0001193125-14-327193.txt : 20140829 0001193125-14-327193.hdr.sgml : 20140829 20140829144139 ACCESSION NUMBER: 0001193125-14-327193 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140829 DATE AS OF CHANGE: 20140829 EFFECTIVENESS DATE: 20140829 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPS Series Trust CENTRAL INDEX KEY: 0001558107 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-22747 FILM NUMBER: 141074990 BUSINESS ADDRESS: STREET 1: 1290 BROADWAY, SUITE 1100 CITY: DENVER STATE: CO ZIP: 80203 BUSINESS PHONE: 303.623.2577 MAIL ADDRESS: STREET 1: 1290 BROADWAY, SUITE 1100 CITY: DENVER STATE: CO ZIP: 80203 0001558107 S000039135 Cognios Market Neutral Large Cap Fund C000120403 Investor Class COGMX C000120404 Institutional Class COGIX 0001558107 S000041394 GKE Asian Opportunities Fund C000128385 Institutional Class GKEAX 0001558107 S000043166 Insignia Macro Fund C000133576 Class A IGMFX C000138169 Class I IGMLX 0001558107 S000043293 Crystal Strategy Absolute Income Fund C000133984 Class A CSTFX C000133985 Class I CSTNX C000133986 Class R CSTTX 0001558107 S000043294 Crystal Strategy Absolute Return Fund C000133987 Class A CSRAX C000133988 Class I CSRNX C000133989 Class R CSRTX 0001558107 S000043295 Crystal Strategy Leveraged Alternative Fund C000133990 Class A CSLFX C000133991 Class I CSLNX C000133992 Class R CSLTX 0001558107 S000044154 Riverside Frontier Markets Fund C000137303 Investor Class RFMFX C000137304 Institutional Class RFMIX 0001558107 S000045854 Cupps All Cap Growth Fund C000142915 Institutional Class N-PX 1 d782632dnpx.htm ALPS SERIES TRUST ALPS Series Trust

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT

INVESTMENT COMPANY

Investment Company Act file number: 811-22747

ALPS SERIES TRUST

(Exact name of registrant as specified in charter)

1290 Broadway, Suite 1100, Denver, Colorado 80203

(Address of principal executive offices) (Zip code)

JoEllen L. Legg, Esq., Secretary

ALPS Series Trust

1290 Broadway, Suite 1100

Denver, CO 80203

(Name and address of agent for service)

Registrant’s Telephone Number, including Area Code: (303) 623-2577

Date of fiscal year end: September 30

Date of reporting period: July 1, 2013 - June 30, 2014

Item 1 – Proxy Voting Record.

Cupps All Cap Growth Fund

There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.

GKE Asian Opportunities Fund

There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.

Insignia Macro Fund

There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.

 

-2-

Cognios Market Neutral Large Cap Fund

Investment Company Report

 

 

BMC SOFTWARE, INC.

 

  Security   055921100   Meeting Type   Special
  Ticker Symbol   BMC   Meeting Date   24-Jul-2013
  ISIN   US0559211000   Agenda   933853497 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1   PROPOSAL TO CONSIDER AND VOTE ON A PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER (AS IT MAY BE AMENDED FROM TIME TO TIME, THE “MERGER AGREEMENT”), DATED AS OF MAY 6, 2013, BY AND AMONG BOXER PARENT COMPANY INC., BOXER MERGER SUB INC. AND BMC SOFTWARE, INC.   Management   For   For  
  2   PROPOSAL TO APPROVE, ON AN ADVISORY (NON-BINDING) BASIS, SPECIFIED COMPENSATION THAT MAY BECOME PAYABLE TO THE NAMED EXECUTIVE OFFICERS OF BMC SOFTWARE, INC. IN CONNECTION WITH THE MERGER.   Management   For   For  
  3   PROPOSAL TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE PROPOSAL TO ADOPT THE MERGER AGREEMENT.   Management   For   For  

 

   

Account

Number

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     7,515       0    28-Jun-2013    28-Jun-2013
  6734305561   6734305561   6734305561   UNION BANK     4,503       0    28-Jun-2013    28-Jun-2013
  6734305562   6734305562   6734305562   UNION BANK     781       0    28-Jun-2013    28-Jun-2013

 

 

CA, INC.

 

  Security   12673P105   Meeting Type   Annual
  Ticker Symbol   CA   Meeting Date   31-Jul-2013
  ISIN   US12673P1057   Agenda   933849880 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: JENS ALDER   Management   For   For  
  1B.   ELECTION OF DIRECTOR: RAYMOND J. BROMARK   Management   For   For  
  1C.   ELECTION OF DIRECTOR: GARY J. FERNANDES   Management   For   For  
  1D.   ELECTION OF DIRECTOR: MICHAEL P. GREGOIRE   Management   For   For  
  1E.   ELECTION OF DIRECTOR: ROHIT KAPOOR   Management   For   For  
  1F.   ELECTION OF DIRECTOR: KAY KOPLOVITZ   Management   For   For  
  1G.   ELECTION OF DIRECTOR: CHRISTOPHER B. LOFGREN   Management   For   For  
  1H.   ELECTION OF DIRECTOR: RICHARD SULPIZIO   Management   For   For  
  1I.   ELECTION OF DIRECTOR: LAURA S. UNGER   Management   For   For  
  1J.   ELECTION OF DIRECTOR: ARTHUR F. WEINBACH   Management   For   For  
  1K.   ELECTION OF DIRECTOR: RENATO (RON) ZAMBONINI   Management   For   For  
  2.   TO RATIFY APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR ENDING MARCH 31, 2014.   Management   For   For  
  3.   TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF NAMED EXECUTIVE OFFICERS.   Management   For   For  
  4.   TO RATIFY THE STOCKHOLDER PROTECTION RIGHTS AGREEMENT.   Management   For   For  

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     12,461       0    22-Jun-2013    22-Jun-2013
  6734305561   6734305561   6734305561   UNION BANK     7,466       0    22-Jun-2013    22-Jun-2013
  6734305562   6734305562   6734305562   UNION BANK     1,294       0    22-Jun-2013    22-Jun-2013

 

 

DELL INC.

 

  Security   24702R101   Meeting Type   Annual
  Ticker Symbol   DELL   Meeting Date   17-Oct-2013
  ISIN   US24702R1014   Agenda   933881004 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A   ELECTION OF DIRECTOR: DONALD J. CARTY   Management   For   For  
  1B   ELECTION OF DIRECTOR: JANET F. CLARK   Management   For   For  
  1C   ELECTION OF DIRECTOR: LAURA CONIGLIARO   Management   For   For  
  1D   ELECTION OF DIRECTOR: MICHAEL S. DELL   Management   For   For  
  1E   ELECTION OF DIRECTOR: KENNETH M. DUBERSTEIN   Management   For   For  
  1F   ELECTION OF DIRECTOR: GERARD J. KLEISTERLEE   Management   For   For  
  1G   ELECTION OF DIRECTOR: KLAUS S. LUFT   Management   For   For  
  1H   ELECTION OF DIRECTOR: ALEX J. MANDL   Management   For   For  
  1I   ELECTION OF DIRECTOR: SHANTANU NARAYEN   Management   For   For  
  1J   ELECTION OF DIRECTOR: H. ROSS PEROT, JR.   Management   For   For  
  2   RATIFICATION OF SELECTION OF PRICEWATERHOUSECOOPERS LLP AS DELL INC.‘S INDEPENDENT AUDITOR FOR FISCAL 2014   Management   For   For  
  3   APPROVAL, ON AN ADVISORY BASIS, OF DELL INC.‘S COMPENSATION OF ITS NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT   Management   For   For  
  4   REQUESTING THAT THE BOARD OF DIRECTORS UNDERTAKE SUCH STEPS AS MAY BE NECESSARY TO PERMIT DELL INC.‘S STOCKHOLDERS TO ACT BY WRITTEN CONSENT INSTEAD OF AT A MEETING OF STOCKHOLDERS   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     5,984       0    26-Sep-2013    26-Sep-2013
  6734305561   6734305561   6734305561   UNION BANK     4,971       0    26-Sep-2013    26-Sep-2013
  6734305562   6734305562   6734305562   UNION BANK     562       0    26-Sep-2013    26-Sep-2013

 

 

HARRIS CORPORATION

 

  Security   413875105   Meeting Type   Annual
  Ticker Symbol   HRS   Meeting Date   25-Oct-2013
  ISIN   US4138751056   Agenda   933877005 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: WILLIAM M. BROWN   Management   For   For  
  1B.   ELECTION OF DIRECTOR: PETER W. CHIARELLI   Management   For   For  
  1C.   ELECTION OF DIRECTOR: THOMAS A. DATTILO   Management   For   For  
  1D.   ELECTION OF DIRECTOR: TERRY D. GROWCOCK   Management   For   For  
  1E.   ELECTION OF DIRECTOR: LEWIS HAY III   Management   For   For  

  1F.   ELECTION OF DIRECTOR: VYOMESH I. JOSHI   Management   For   For  
  1G.   ELECTION OF DIRECTOR: KAREN KATEN   Management   For   For  
  1H.   ELECTION OF DIRECTOR: STEPHEN P. KAUFMAN   Management   For   For  
  1I.   ELECTION OF DIRECTOR: LESLIE F. KENNE   Management   For   For  
  1J.   ELECTION OF DIRECTOR: DAVID B. RICKARD   Management   For   For  
  1K.   ELECTION OF DIRECTOR: DR. JAMES C. STOFFEL   Management   For   For  
  1L.   ELECTION OF DIRECTOR: GREGORY T. SWIENTON   Management   For   For  
  1M.   ELECTION OF DIRECTOR: HANSEL E. TOOKES II   Management   For   For  
  2.   ADVISORY VOTE TO APPROVE THE COMPENSATION OF NAMED EXECUTIVE OFFICERS AS DISCLOSED IN PROXY STATEMENT   Management   For   For  
  3.   RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     5,402       0    13-Sep-2013    13-Sep-2013
  6734305561   6734305561   6734305561   UNION BANK     2,922       0    13-Sep-2013    13-Sep-2013
  6734305562   6734305562   6734305562   UNION BANK     508       0    13-Sep-2013    13-Sep-2013

 

 

SEAGATE TECHNOLOGY PLC

 

  Security   G7945M107   Meeting Type   Annual
  Ticker Symbol   STX   Meeting Date   30-Oct-2013
  ISIN   IE00B58JVZ52   Agenda   933877803 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: STEPHEN J. LUCZO   Management   For   For  
  1B.   ELECTION OF DIRECTOR: FRANK J. BIONDI, JR.   Management   For   For  
  1C.   ELECTION OF DIRECTOR: MICHAEL R. CANNON   Management   For   For  
  1D.   ELECTION OF DIRECTOR: MEI-WEI CHENG   Management   For   For  
  1E.   ELECTION OF DIRECTOR: WILLIAM T. COLEMAN   Management   For   For  
  1F.   ELECTION OF DIRECTOR: JAY L. GELDMACHER   Management   For   For  
  1G.   ELECTION OF DIRECTOR: DR. SEH-WOONG JEONG   Management   For   For  
  1H.   ELECTION OF DIRECTOR: LYDIA M. MARSHALL   Management   For   For  
  1I.   ELECTION OF DIRECTOR: KRISTEN M. ONKEN   Management   For   For  
  1J.   ELECTION OF DIRECTOR: DR. CHONG SUP PARK   Management   For   For  
  1K.   ELECTION OF DIRECTOR: GREGORIO REYES   Management   For   For  
  1L.   ELECTION OF DIRECTOR: EDWARD J. ZANDER   Management   For   For  
  2.   TO APPROVE THE SEAGATE TECHNOLOGY PLC AMENDED AND RESTATED EXECUTIVE OFFICER PERFORMANCE BONUS PLAN.   Management   For   For  
  3.   TO DETERMINE THE PRICE RANGE AT WHICH THE COMPANY CAN RE-ISSUE TREASURY SHARES OFF-MARKET.   Management   For   For  
  4.   TO AUTHORIZE HOLDING THE 2014 ANNUAL GENERAL MEETING OF SHAREHOLDERS OF THE COMPANY AT A LOCATION OUTSIDE OF IRELAND.   Management   For   For  
  5.   TO APPROVE, IN A NON-BINDING ADVISORY VOTE, THE COMPANY’S NAMED EXECUTIVE OFFICER COMPENSATION.   Management   For   For  
  6A.   TO APPROVE THE AMENDMENTS TO THE COMPANY’S ARTICLES OF ASSOCIATION: REMOVE RESTRICTIONS ON HOLDING GENERAL MEETINGS OUTSIDE OF THE U.S.   Management   For   For  

  6B.   TO APPROVE THE AMENDMENTS TO THE COMPANY’S ARTICLES OF ASSOCIATION: CLARIFY THE RIGHT OF MEMBERS TO APPOINT ONE OR MORE PROXIES.   Management   For   For  
  6C.   TO APPROVE THE AMENDMENTS TO THE COMPANY’S ARTICLES OF ASSOCIATION: PROVIDE FOR ESCHEATMENT IN ACCORDANCE WITH U.S. LAW.   Management   For   For  
  6D.   TO APPROVE THE AMENDMENTS TO THE COMPANY’S ARTICLES OF ASSOCIATION: CLARIFY THE MECHANISM USED BY THE COMPANY TO EFFECT SHARE REPURCHASES.   Management   For   For  
  7.   TO RATIFY, IN A NON-BINDING VOTE, THE APPOINTMENT OF ERNST & YOUNG AS THE INDEPENDENT AUDITORS OF THE COMPANY FOR THE 2014 FISCAL YEAR AND TO AUTHORIZE, IN A BINDING VOTE, THE AUDIT COMMITTEE OF THE BOARD TO SET THE AUDITORS’ REMUNERATION.   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     9,420       0    19-Sep-2013    19-Sep-2013
  6734305561   6734305561   6734305561   UNION BANK     5,096       0    19-Sep-2013    19-Sep-2013
  6734305562   6734305562   6734305562   UNION BANK     885       0    19-Sep-2013    19-Sep-2013

 

 

WESTERN DIGITAL CORPORATION

 

  Security   958102105   Meeting Type   Annual
  Ticker Symbol   WDC   Meeting Date   14-Nov-2013
  ISIN   US9581021055   Agenda   933881117 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: KATHLEEN A. COTE   Management   For   For  
  1B.   ELECTION OF DIRECTOR: HENRY T. DENERO   Management   For   For  
  1C.   ELECTION OF DIRECTOR: WILLIAM L. KIMSEY   Management   For   For  
  1D.   ELECTION OF DIRECTOR: MICHAEL D. LAMBERT   Management   For   For  
  1E.   ELECTION OF DIRECTOR: LEN J. LAUER   Management   For   For  
  1F.   ELECTION OF DIRECTOR: MATTHEW E. MASSENGILL   Management   For   For  
  1G.   ELECTION OF DIRECTOR: STEPHEN D. MILLIGAN   Management   For   For  
  1H.   ELECTION OF DIRECTOR: ROGER H. MOORE   Management   For   For  
  1I.   ELECTION OF DIRECTOR: THOMAS E. PARDUN   Management   For   For  
  1J.   ELECTION OF DIRECTOR: ARIF SHAKEEL   Management   For   For  
  1K.   ELECTION OF DIRECTOR: AKIO YAMAMOTO   Management   For   For  
  1L.   ELECTION OF DIRECTOR: MASAHIRO YAMAMURA   Management   For   For  
  2.   TO APPROVE ON AN ADVISORY BASIS THE NAMED EXECUTIVE OFFICER COMPENSATION IN THIS PROXY STATEMENT.   Management   For   For  
  3.   TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     4,711       0    28-Sep-2013    28-Sep-2013
  6734305561   6734305561   6734305561   UNION BANK     5,528       0    28-Sep-2013    28-Sep-2013
  6734305562   6734305562   6734305562   UNION BANK     625       0    28-Sep-2013    28-Sep-2013

 

 

MICROSOFT CORPORATION

 

  Security   594918104   Meeting Type   Annual
  Ticker Symbol   MSFT   Meeting Date   19-Nov-2013
  ISIN   US5949181045   Agenda   933883185 - Management

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.   ELECTION OF DIRECTOR: STEVEN A. BALLMER   Management   For   For  
  2.   ELECTION OF DIRECTOR: DINA DUBLON   Management   For   For  
  3.   ELECTION OF DIRECTOR: WILLIAM H. GATES III   Management   For   For  
  4.   ELECTION OF DIRECTOR: MARIA M. KLAWE   Management   For   For  
  5.   ELECTION OF DIRECTOR: STEPHEN J. LUCZO   Management   For   For  
  6.   ELECTION OF DIRECTOR: DAVID F. MARQUARDT   Management   For   For  
  7.   ELECTION OF DIRECTOR: CHARLES H. NOSKI   Management   For   For  
  8.   ELECTION OF DIRECTOR: HELMUT PANKE   Management   For   For  
  9.   ELECTION OF DIRECTOR: JOHN W. THOMPSON   Management   For   For  
  10.   APPROVE MATERIAL TERMS OF THE PERFORMANCE CRITERIA UNDER THE EXECUTIVE OFFICER INCENTIVE PLAN   Management   For   For  
  11.   ADVISORY VOTE ON EXECUTIVE COMPENSATION   Management   For   For  
  12.   RATIFICATION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT AUDITOR FOR FISCAL YEAR 2014   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     6,997       0    09-Oct-2013    09-Oct-2013
  6734305561   6734305561   6734305561   UNION BANK     8,209       0    09-Oct-2013    09-Oct-2013
  6734305562   6734305562   6734305562   UNION BANK     910       0    09-Oct-2013    09-Oct-2013

 

 

JABIL CIRCUIT, INC.

 

  Security   466313103   Meeting Type   Annual
  Ticker Symbol   JBL   Meeting Date   23-Jan-2014
  ISIN   US4663131039   Agenda   933909826 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.   DIRECTOR   Management      
   

1      MARTHA F. BROOKS

   For   For  
   

2      MEL S. LAVITT

   For   For  
   

3      TIMOTHY L. MAIN

   For   For  
   

4      MARK T. MONDELLO

   For   For  
   

5      LAWRENCE J. MURPHY

   For   For  
   

6      FRANK A. NEWMAN

   For   For  
   

7      STEVEN A. RAYMUND

   For   For  
   

8      THOMAS A. SANSONE

   For   For  
   

9      DAVID M. STOUT

   For   For  
  2.   TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS JABIL’S INDEPENDENT REGISTERED CERTIFIED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING AUGUST 31, 2014.   Management   For   For  
  3.   TO APPROVE (ON AN ADVISORY BASIS) JABIL’S EXECUTIVE COMPENSATION.   Management   For   For  
  4.   TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE ANNUAL MEETING, INCLUDING ANY ADJOURNMENT THEREOF.   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     5,028       0    19-Dec-2013    19-Dec-2013
  6734305561   6734305561   6734305561   UNION BANK     5,874       0    19-Dec-2013    19-Dec-2013
  6734305562   6734305562   6734305562   UNION BANK     619       0    19-Dec-2013    19-Dec-2013

 

VERIZON COMMUNICATIONS INC.

 

  Security   92343V104   Meeting Type   Special
  Ticker Symbol   VZ   Meeting Date   28-Jan-2014
  ISIN   US92343V1044   Agenda   933908735 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.   APPROVE THE ISSUANCE OF UP TO APPROXIMATELY 1.28 BILLION SHARES OF VERIZON COMMON STOCK TO VODAFONE ORDINARY SHAREHOLDERS IN CONNECTION WITH VERIZON’S ACQUISITION OF VODAFONE’S INDIRECT 45% INTEREST IN VERIZON WIRELESS   Management   For   For  
  2.   APPROVE AN AMENDMENT TO ARTICLE 4(A) OF VERIZON’S RESTATED CERTIFICATE OF INCORPORATION TO INCREASE VERIZON’S AUTHORIZED SHARES OF COMMON STOCK BY 2 BILLION SHARES TO AN AGGREGATE OF 6.25 BILLION AUTHORIZED SHARES OF COMMON STOCK   Management   For   For  
  3.   APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING TO SOLICIT ADDITIONAL VOTES AND PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE ABOVE PROPOSALS   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     2,275       0    13-Dec-2013    13-Dec-2013
  6734305561   6734305561   6734305561   UNION BANK     2,500       0    13-Dec-2013    13-Dec-2013
  6734305562   6734305562   6734305562   UNION BANK     288       0    13-Dec-2013    13-Dec-2013

 

 

APPLE INC.

 

  Security   037833100   Meeting Type   Annual
  Ticker Symbol   AAPL   Meeting Date   28-Feb-2014
  ISIN   US0378331005   Agenda   933915564 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.   DIRECTOR   Management      
   

1      WILLIAM CAMPBELL

   For   For  
   

2      TIMOTHY COOK

   For   For  
   

3      MILLARD DREXLER

   For   For  
   

4      AL GORE

   For   For  
   

5      ROBERT IGER

   For   For  
   

6      ANDREA JUNG

   For   For  
   

7      ARTHUR LEVINSON

   For   For  
   

8      RONALD SUGAR

   For   For  
  2.   THE AMENDMENT OF THE COMPANY’S RESTATED ARTICLES OF INCORPORATION (THE “ARTICLES”) TO FACILITATE THE IMPLEMENTATION OF MAJORITY VOTING FOR THE ELECTION OF DIRECTORS IN AN UNCONTESTED ELECTION BY ELIMINATING ARTICLE VII, WHICH RELATES TO THE TERM OF DIRECTORS AND THE TRANSITION FROM A CLASSIFIED BOARD OF DIRECTORS TO A DECLASSIFIED STRUCTURE   Management   For   For  
  3.   THE AMENDMENT OF THE ARTICLES TO ELIMINATE THE “BLANK CHECK” AUTHORITY OF THE BOARD TO ISSUE PREFERRED STOCK   Management   For   For  
  4.   THE AMENDMENT OF THE ARTICLES TO ESTABLISH A PAR VALUE FOR THE COMPANY’S COMMON STOCK OF $0.00001 PER SHARE   Management   For   For  

  5.   RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014   Management   For   For  
  6.   A NON-BINDING ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION   Management   For   For  
  7.   THE APPROVAL OF THE APPLE INC. 2014 EMPLOYEE STOCK PLAN   Management   For   For  
  8.   A SHAREHOLDER PROPOSAL BY JOHN HARRINGTON AND NORTHSTAR ASSET MANAGEMENT INC. ENTITLED “BOARD COMMITTEE ON HUMAN RIGHTS” TO AMEND THE COMPANY’S BYLAWS   Shareholder   Against   For  
  9.   A SHAREHOLDER PROPOSAL BY THE NATIONAL CENTER FOR PUBLIC POLICY RESEARCH OF A NON-BINDING ADVISORY RESOLUTION ENTITLED “REPORT ON COMPANY MEMBERSHIP AND INVOLVEMENT WITH CERTAIN TRADE ASSOCIATIONS AND BUSINESS ORGANIZATIONS”   Shareholder   Against   For  
  10.   A SHAREHOLDER PROPOSAL BY CARL ICAHN OF A NON-BINDING ADVISORY RESOLUTION THAT THE COMPANY COMMIT TO COMPLETING NOT LESS THAN $50 BILLION OF SHARE REPURCHASES DURING ITS 2014 FISCAL YEAR (AND INCREASE THE AUTHORIZATION UNDER ITS CAPITAL RETURN PROGRAM ACCORDINGLY)   Shareholder   Against   For  
  11.   A SHAREHOLDER PROPOSAL BY JAMES MCRITCHIE OF A NON-BINDING ADVISORY RESOLUTION ENTITLED “PROXY ACCESS FOR SHAREHOLDERS”   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     377       0    11-Jan-2014    11-Jan-2014
  6734305561   6734305561   6734305561   UNION BANK     414       0    11-Jan-2014    11-Jan-2014
  6734305562   6734305562   6734305562   UNION BANK     47       0    11-Jan-2014    11-Jan-2014

 

 

THE ADT CORPORATION

 

  Security   00101J106   Meeting Type   Annual
  Ticker Symbol   ADT   Meeting Date   13-Mar-2014
  ISIN   US00101J1060   Agenda   933918142 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: THOMAS COLLIGAN   Management   For   For  
  1B.   ELECTION OF DIRECTOR: RICHARD DALY   Management   For   For  
  1C.   ELECTION OF DIRECTOR: TIMOTHY DONAHUE   Management   For   For  
  1D.   ELECTION OF DIRECTOR: ROBERT DUTKOWSKY   Management   For   For  
  1E.   ELECTION OF DIRECTOR: BRUCE GORDON   Management   For   For  
  1F.   ELECTION OF DIRECTOR: NAREN GURSAHANEY   Management   For   For  
  1G.   ELECTION OF DIRECTOR: BRIDGETTE HELLER   Management   For   For  
  1H.   ELECTION OF DIRECTOR: KATHLEEN HYLE   Management   For   For  
  2.   TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS ADT’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014.   Management   For   For  
  3.   TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF ADT’S NAMED EXECUTIVE OFFICERS.   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     8,295       0    28-Jan-2014    28-Jan-2014
  6734305561   6734305561   6734305561   UNION BANK     9,101       0    28-Jan-2014    28-Jan-2014
  6734305562   6734305562   6734305562   UNION BANK     994       0    28-Jan-2014    28-Jan-2014

 

HEWLETT-PACKARD COMPANY

 

  Security   428236103   Meeting Type   Annual
  Ticker Symbol   HPQ   Meeting Date   19-Mar-2014
  ISIN   US4282361033   Agenda   933921098 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: M.L. ANDREESSEN   Management   For   For  
  1B.   ELECTION OF DIRECTOR: S. BANERJI   Management   For   For  
  1C.   ELECTION OF DIRECTOR: R.R. BENNETT   Management   For   For  
  1D.   ELECTION OF DIRECTOR: R.L. GUPTA   Management   For   For  
  1E.   ELECTION OF DIRECTOR: R.J. LANE   Management   For   For  
  1F.   ELECTION OF DIRECTOR: A.M. LIVERMORE   Management   For   For  
  1G.   ELECTION OF DIRECTOR: R.E. OZZIE   Management   For   For  
  1H.   ELECTION OF DIRECTOR: G.M. REINER   Management   For   For  
  1I.   ELECTION OF DIRECTOR: P.F. RUSSO   Management   For   For  
  1J.   ELECTION OF DIRECTOR: J.A. SKINNER   Management   For   For  
  1K.   ELECTION OF DIRECTOR: M.C. WHITMAN   Management   For   For  
  1L.   ELECTION OF DIRECTOR: R.V. WHITWORTH   Management   For   For  
  2.   RATIFICATION OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING OCTOBER 31, 2014.   Management   For   For  
  3.   ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.   Management   For   For  
  4.   STOCKHOLDER PROPOSAL RELATED TO THE FORMATION OF A HUMAN RIGHTS COMMITTEE.   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     4,128       0    04-Feb-2014    04-Feb-2014
  6734305561   6734305561   6734305561   UNION BANK     4,536       0    04-Feb-2014    04-Feb-2014
  6734305562   6734305562   6734305562   UNION BANK     516       0    04-Feb-2014    04-Feb-2014

 

 

THE AES CORPORATION

 

  Security   00130H105   Meeting Type   Annual
  Ticker Symbol   AES   Meeting Date   17-Apr-2014
  ISIN   US00130H1059   Agenda   933928890 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: ANDRES GLUSKI   Management   For   For  
  1B.   ELECTION OF DIRECTOR: ZHANG GUO BAO   Management   For   For  
  1C.   ELECTION OF DIRECTOR: CHARLES L. HARRINGTON   Management   For   For  
  1D.   ELECTION OF DIRECTOR: KRISTINA M. JOHNSON   Management   For   For  
  1E.   ELECTION OF DIRECTOR: TARUN KHANNA   Management   For   For  
  1F.   ELECTION OF DIRECTOR: PHILIP LADER   Management   For   For  
  1G.   ELECTION OF DIRECTOR: JAMES H. MILLER   Management   For   For  
  1H.   ELECTION OF DIRECTOR: SANDRA O. MOOSE   Management   For   For  
  1I.   ELECTION OF DIRECTOR: JOHN B. MORSE, JR.   Management   For   For  
  1J.   ELECTION OF DIRECTOR: MOISES NAIM   Management   For   For  
  1K.   ELECTION OF DIRECTOR: CHARLES O. ROSSOTTI   Management   For   For  
  1L.   ELECTION OF DIRECTOR: SVEN SANDSTROM   Management   For   For  
  2.   TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR YEAR 2014.   Management   For   For  
  3.   TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION.   Management   For   For  

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     8,010       0    08-Mar-2014    08-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     8,789       0    08-Mar-2014    08-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     1,010       0    08-Mar-2014    08-Mar-2014

 

 

EDISON INTERNATIONAL

 

  Security   281020107   Meeting Type   Annual
  Ticker Symbol   EIX   Meeting Date   24-Apr-2014
  ISIN   US2810201077   Agenda   933932370 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: JAGJEET S. BINDRA   Management   For   For  
  1B.   ELECTION OF DIRECTOR: VANESSA C.L. CHANG   Management   For   For  
  1C.   ELECTION OF DIRECTOR: FRANCE A. CORDOVA   Management   For   For  
  1D.   ELECTION OF DIRECTOR: THEODORE F. CRAVER, JR.   Management   For   For  
  1E.   ELECTION OF DIRECTOR: BRADFORD M. FREEMAN   Management   For   For  
  1F.   ELECTION OF DIRECTOR: LUIS G. NOGALES   Management   For   For  
  1G.   ELECTION OF DIRECTOR: RICHARD T. SCHLOSBERG, III   Management   For   For  
  1H.   ELECTION OF DIRECTOR: LINDA G. STUNTZ   Management   For   For  
  1I.   ELECTION OF DIRECTOR: THOMAS C. SUTTON   Management   For   For  
  1J.   ELECTION OF DIRECTOR: ELLEN O. TAUSCHER   Management   For   For  
  1K.   ELECTION OF DIRECTOR: PETER J. TAYLOR   Management   For   For  
  1L.   ELECTION OF DIRECTOR: BRETT WHITE   Management   For   For  
  2.   RATIFICATION OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM   Management   For   For  
  3.   ADVISORY VOTE TO APPROVE THE COMPANY’S EXECUTIVE COMPENSATION   Management   For   For  
  4.   SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT BOARD CHAIRMAN   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     2,308       0    15-Mar-2014    15-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     2,527       0    15-Mar-2014    15-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     305       0    15-Mar-2014    15-Mar-2014

 

 

DIRECTV

 

  Security   25490A309   Meeting Type   Annual
  Ticker Symbol   DTV   Meeting Date   29-Apr-2014
  ISIN   US25490A3095   Agenda   933933550 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: NEIL AUSTRIAN   Management   For   For  
  1B.   ELECTION OF DIRECTOR: RALPH BOYD, JR.   Management   For   For  
  1C.   ELECTION OF DIRECTOR: ABELARDO BRU   Management   For   For  
  1D.   ELECTION OF DIRECTOR: DAVID DILLON   Management   For   For  
  1E.   ELECTION OF DIRECTOR: SAMUEL DIPIAZZA, JR.   Management   For   For  
  1F.   ELECTION OF DIRECTOR: DIXON DOLL   Management   For   For  
  1G.   ELECTION OF DIRECTOR: CHARLES LEE   Management   For   For  
  1H.   ELECTION OF DIRECTOR: PETER LUND   Management   For   For  

  1I.   ELECTION OF DIRECTOR: NANCY NEWCOMB   Management   For   For  
  1J.   ELECTION OF DIRECTOR: LORRIE NORRINGTON   Management   For   For  
  1K.   ELECTION OF DIRECTOR: ANTHONY VINCIQUERRA   Management   For   For  
  1L.   ELECTION OF DIRECTOR: MICHAEL WHITE   Management   For   For  
  2.   TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR DIRECTV FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014.   Management   For   For  
  3.   AN ADVISORY VOTE TO APPROVE COMPENSATION OF OUR NAMED EXECUTIVES.   Management   For   For  
  4.   SHAREHOLDER PROPOSAL TO ADOPT A POLICY THAT THERE WOULD BE NO ACCELERATED VESTING OF PERFORMANCE-BASED EQUITY AWARDS UPON A CHANGE IN CONTROL.   Shareholder   Against   For  
  5.   SHAREHOLDER PROPOSAL TO REQUIRE SENIOR EXECUTIVES TO RETAIN 50% OF NET AFTER-TAX SHARES ACQUIRED THROUGH PAY PROGRAMS UNTIL REACHING NORMAL RETIREMENT AGE.   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     2,982       0    21-Mar-2014    21-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     3,265       0    21-Mar-2014    21-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     373       0    21-Mar-2014    21-Mar-2014

 

 

EMC CORPORATION

 

    
  Security   268648102   Meeting Type   Annual
  Ticker Symbol   EMC   Meeting Date   30-Apr-2014
  ISIN   US2686481027   Agenda   933944159 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: MICHAEL W. BROWN   Management   For   For  
  1B.   ELECTION OF DIRECTOR: RANDOLPH L. COWEN   Management   For   For  
  1C.   ELECTION OF DIRECTOR: GAIL DEEGAN   Management   For   For  
  1D.   ELECTION OF DIRECTOR: JAMES S. DISTASIO   Management   For   For  
  1E.   ELECTION OF DIRECTOR: JOHN R. EGAN   Management   For   For  
  1F.   ELECTION OF DIRECTOR: WILLIAM D. GREEN   Management   For   For  
  1G.   ELECTION OF DIRECTOR: EDMUND F. KELLY   Management   For   For  
  1H.   ELECTION OF DIRECTOR: JAMI MISCIK   Management   For   For  
  1I.   ELECTION OF DIRECTOR: PAUL SAGAN   Management   For   For  
  1J.   ELECTION OF DIRECTOR: DAVID N. STROHM   Management   For   For  
  1K.   ELECTION OF DIRECTOR: JOSEPH M. TUCCI   Management   For   For  
  2.   RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF PRICEWATERHOUSECOOPERS LLP AS EMC’S INDEPENDENT AUDITORS.   Management   For   For  
  3.   ADVISORY APPROVAL OF OUR EXECUTIVE COMPENSATION, AS DESCRIBED IN EMC’S PROXY STATEMENT.   Management   For   For  
  4.   TO ACT UPON A SHAREHOLDER PROPOSAL RELATING TO AN INDEPENDENT BOARD CHAIRMAN, AS DESCRIBED IN EMC’S PROXY STATEMENT.   Shareholder   Against   For  
  5.   TO ACT UPON A SHAREHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS, AS DESCRIBED IN EMC’S PROXY STATEMENT.   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     8,575       0    22-Mar-2014    22-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     9,321       0    22-Mar-2014    22-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     1,062       0    22-Mar-2014    22-Mar-2014

 

MARATHON PETROLEUM CORPORATION

 

  Security   56585A102   Meeting Type   Annual
  Ticker Symbol   MPC   Meeting Date   30-Apr-2014
  ISIN   US56585A1025   Agenda   933943208 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.   DIRECTOR   Management      
   

1      STEVEN A. DAVIS

   For   For  
   

2      GARY R. HEMINGER

   For   For  
   

3      JOHN W. SNOW

   For   For  
   

4      JOHN P. SURMA

   For   For  
  2.   RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT AUDITOR FOR 2014.   Management   For   For  
  3.   ADVISORY APPROVAL OF THE COMPANY’S 2014 NAMED EXECUTIVE OFFICER COMPENSATION.   Management   For   For  
  4.   SHAREHOLDER PROPOSAL SEEKING THE ADOPTION OF QUANTITATIVE GREENHOUSE GAS EMISSION REDUCTION GOALS AND ASSOCIATED REPORTS.   Shareholder   Against   For  
  5.   SHAREHOLDER PROPOSAL SEEKING A REPORT ON CORPORATE LOBBYING EXPENDITURES, POLICIES AND PROCEDURES.   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     1,289       0    20-Mar-2014    20-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     1,411       0    20-Mar-2014    20-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     161       0    20-Mar-2014    20-Mar-2014

 

 

VERIZON COMMUNICATIONS INC.

 

  
  Security   92343V104   Meeting Type   Annual
  Ticker Symbol   VZ   Meeting Date   01-May-2014
  ISIN   US92343V1044   Agenda   933936607 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: SHELLYE L. ARCHAMBEAU   Management   For   For  
  1B.   ELECTION OF DIRECTOR: RICHARD L. CARRION   Management   For   For  
  1C.   ELECTION OF DIRECTOR: MELANIE L. HEALEY   Management   For   For  
  1D.   ELECTION OF DIRECTOR: M. FRANCES KEETH   Management   For   For  
  1E.   ELECTION OF DIRECTOR: ROBERT W. LANE   Management   For   For  
  1F.   ELECTION OF DIRECTOR: LOWELL C. MCADAM   Management   For   For  
  1G.   ELECTION OF DIRECTOR: DONALD T. NICOLAISEN   Management   For   For  
  1H.   ELECTION OF DIRECTOR: CLARENCE OTIS, JR.   Management   For   For  
  1I.   ELECTION OF DIRECTOR: RODNEY E. SLATER   Management   For   For  
  1J.   ELECTION OF DIRECTOR: KATHRYN A. TESIJA   Management   For   For  
  1K.   ELECTION OF DIRECTOR: GREGORY D. WASSON   Management   For   For  
  2.   RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM   Management   For   For  
  3.   ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION   Management   For   For  

  4.   PROPOSAL TO IMPLEMENT PROXY ACCESS   Management   For   For  
  5.   NETWORK NEUTRALITY   Shareholder   Against   For  
  6.   LOBBYING ACTIVITIES   Shareholder   Against   For  
  7.   SEVERANCE APPROVAL POLICY   Shareholder   Against   For  
  8.   SHAREHOLDER RIGHT TO CALL A SPECIAL MEETING   Shareholder   Against   For  
  9.   SHAREHOLDER RIGHT TO ACT BY WRITTEN CONSENT   Shareholder   Against   For  
  10.   PROXY VOTING AUTHORITY   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     2,361       0    22-Mar-2014    22-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     2,590       0    22-Mar-2014    22-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     288       0    22-Mar-2014    22-Mar-2014

 

 

L-3 COMMUNICATIONS HOLDINGS, INC.

 

  
  Security   502424104   Meeting Type   Annual
  Ticker Symbol   LLL   Meeting Date   06-May-2014
  ISIN   US5024241045   Agenda   933945896 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: ANN E. DUNWOODY   Management   For   For  
  1B.   ELECTION OF DIRECTOR: VINCENT PAGANO, JR.   Management   For   For  
  1C.   ELECTION OF DIRECTOR: H. HUGH SHELTON   Management   For   For  
  1D.   ELECTION OF DIRECTOR: MICHAEL T. STRIANESE   Management   For   For  
  2.   RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.   Management   For   For  
  3.   APPROVE, IN A NON-BINDING, ADVISORY VOTE, THE COMPENSATION PAID TO OUR NAMED EXECUTIVE OFFICERS.   Management   For   For  
  4.   APPROVE A SHAREHOLDER PROPOSAL REGARDING EQUITY RETENTION BY SENIOR EXECUTIVES, IF PRESENTED AT THE MEETING.   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     1,805       0    25-Mar-2014    25-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     1,970       0    25-Mar-2014    25-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     232       0    25-Mar-2014    25-Mar-2014

 

 

PHILLIPS 66

 

  
  Security   718546104   Meeting Type   Annual
  Ticker Symbol   PSX   Meeting Date   07-May-2014
  ISIN   US7185461040   Agenda   933944010 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: WILLIAM R. LOOMIS, JR.   Management   For   For  
  1B.   ELECTION OF DIRECTOR: GLENN F. TILTON   Management   For   For  
  1C.   ELECTION OF DIRECTOR: MARNA C. WHITTINGTON   Management   For   For  
  2.   PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR PHILLIPS 66 FOR 2014.   Management   For   For  
  3.   SAY ON PAY - AN ADVISORY (NON-BINDING) VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION.   Management   For   For  
  4.   GREENHOUSE GAS REDUCTION GOALS.   Shareholder   Against   For  

   

Account
Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares   Unavailable
Shares		      Vote
Date		    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK   1,504     0       27-Mar-2014    27-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK   1,651     0       27-Mar-2014    27-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK   203     0       27-Mar-2014    27-Mar-2014

 

 

THE DUN & BRADSTREET CORPORATION

 

  Security   26483E100   Meeting Type   Annual
  Ticker Symbol   DNB   Meeting Date   07-May-2014
  ISIN   US26483E1001   Agenda   933949844 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: AUSTIN A. ADAMS   Management   For   For  
  1B.   ELECTION OF DIRECTOR: ROBERT P. CARRIGAN   Management   For   For  
  1C.   ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN   Management   For   For  
  1D.   ELECTION OF DIRECTOR: JAMES N. FERNANDEZ   Management   For   For  
  1E.   ELECTION OF DIRECTOR: PAUL R. GARCIA   Management   For   For  
  1F.   ELECTION OF DIRECTOR: ANASTASSIA LAUTERBACH   Management   For   For  
  1G.   ELECTION OF DIRECTOR: THOMAS J. MANNING   Management   For   For  
  1H.   ELECTION OF DIRECTOR: SANDRA E. PETERSON   Management   For   For  
  1I.   ELECTION OF DIRECTOR: JUDITH A. REINSDORF   Management   For   For  
  2.   RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.   Management   For   For  
  3.   ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION (SAY ON PAY).   Management   For   For  
  4.   VOTE ON A SHAREHOLDER PROPOSAL REQUESTING THE BOARD TO ADOPT A POLICY REQUIRING AN INDEPENDENT CHAIRMAN OF THE BOARD.   Shareholder   Against   For  

 

    Account
Number		   Account Name   Internal
Account 		  Custodian   Ballot  Shares  

Unavailable
Shares

 

      Vote
Date		    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK   2,119     0       29-Mar-2014    29-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK   2,312     0       29-Mar-2014    29-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK   266     0       29-Mar-2014    29-Mar-2014

 

 

NEWFIELD EXPLORATION COMPANY

 

  Security   651290108   Meeting Type   Annual
  Ticker Symbol   NFX   Meeting Date   09-May-2014
  ISIN   US6512901082   Agenda   933951926 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: LEE K. BOOTHBY   Management   For   For  
  1B.   ELECTION OF DIRECTOR: PAMELA J. GARDNER   Management   For   For  
  1C.   ELECTION OF DIRECTOR: JOHN RANDOLPH
KEMP III		   Management   For   For  
  1D.   ELECTION OF DIRECTOR: STEVEN W. NANCE   Management   For   For  
  1E.   ELECTION OF DIRECTOR: HOWARD H. NEWMAN   Management   For   For  
  1F.   ELECTION OF DIRECTOR: THOMAS G. RICKS   Management   For   For  
  1G.   ELECTION OF DIRECTOR: JUANITA M. ROMANS   Management   For   For  
  1H.   ELECTION OF DIRECTOR: JOHN W. SCHANCK   Management   For   For  

  1I.   ELECTION OF DIRECTOR: C.E. (CHUCK) SHULTZ   Management   For   For  
  1J.   ELECTION OF DIRECTOR: RICHARD K. STONEBURNER   Management   For   For  
  1K.   ELECTION OF DIRECTOR: J. TERRY STRANGE   Management   For   For  
  2.   RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITOR FOR FISCAL 2014.   Management   For   For  
  3.   ADVISORY VOTE ON NAMED EXECUTIVE OFFICER COMPENSATION.   Management   For   For  

 

   

Account
Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		    Vote
Date		    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     2,988       0    27-Mar-2014    27-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     3,261       0    27-Mar-2014    27-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     375       0    27-Mar-2014    27-Mar-2014

 

 

ANADARKO PETROLEUM CORPORATION

 

  Security   032511107   Meeting Type   Annual
  Ticker Symbol   APC   Meeting Date   13-May-2014
  ISIN   US0325111070   Agenda   933952651 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: ANTHONY R. CHASE   Management   For   For  
  1B.   ELECTION OF DIRECTOR: KEVIN P. CHILTON   Management   For   For  
  1C.   ELECTION OF DIRECTOR: H. PAULETT EBERHART   Management   For   For  
  1D.   ELECTION OF DIRECTOR: PETER J. FLUOR   Management   For   For  
  1E.   ELECTION OF DIRECTOR: RICHARD L. GEORGE   Management   For   For  
  1F.   ELECTION OF DIRECTOR: CHARLES W. GOODYEAR   Management   For   For  
  1G.   ELECTION OF DIRECTOR: JOHN R. GORDON   Management   For   For  
  1H.   ELECTION OF DIRECTOR: ERIC D. MULLINS   Management   For   For  
  1I.   ELECTION OF DIRECTOR: R.A. WALKER   Management   For   For  
  2.   RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT AUDITOR.   Management   For   For  
  3.   ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.   Management   For   For  
  4.   STOCKHOLDER PROPOSAL - REPORT ON POLITICAL CONTRIBUTIONS.   Shareholder   Against   For  
  5.   STOCKHOLDER PROPOSAL - REPORT ON CLIMATE CHANGE RISK.   Shareholder   Against   For  

 

    Account Number   Account Name   Internal
Account 		  Custodian   Ballot  Shares     

Unavailable
Shares

 

    Vote
Date		    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     1,324       0    29-Mar-2014    29-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     1,444       0    29-Mar-2014    29-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     166       0    29-Mar-2014    29-Mar-2014

 

 

BROADCOM CORPORATION

 

  Security   111320107   Meeting Type   Annual
  Ticker Symbol   BRCM   Meeting Date   13-May-2014
  ISIN   US1113201073   Agenda   933953956 - Management

 

     Item   Proposal       Type   Vote  

For/Against
Management

 

    
  1.   DIRECTOR     Management      
    1   ROBERT J. FINOCCHIO, JR     For   For  
    2   NANCY H. HANDEL     For   For  
    3   EDDY W. HARTENSTEIN     For   For  
    4   MARIA M. KLAWE, PH.D.     For   For  

    5   JOHN E. MAJOR     For   For  
    6   SCOTT A. MCGREGOR     For   For  
    7   WILLIAM T. MORROW     For   For  
    8   HENRY SAMUELI, PH.D.     For   For  
    9   ROBERT E. SWITZ     For   For  
  2.  

ADVISORY VOTE ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS DESCRIBED IN THE PROXY STATEMENT.

   Management   For   For  
  3.  

TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2014.

   Management   For   For  

 

   

Account
Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		    Vote
Date		    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     7,002       0    29-Mar-2014    29-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     7,665       0    29-Mar-2014    29-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     876       0    29-Mar-2014    29-Mar-2014

 

 

LABORATORY CORP. OF AMERICA HOLDINGS

 

  Security   50540R409   Meeting Type   Annual
  Ticker Symbol   LH   Meeting Date   14-May-2014
  ISIN   US50540R4092   Agenda   933960494 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: KERRII B. ANDERSON   Management   For   For  
  1B.   ELECTION OF DIRECTOR: JEAN-LUC BELINGARD   Management   For   For  
  1C.   ELECTION OF DIRECTOR: D. GARY GILLILAND, M.D., PH.D.   Management   For   For  
  1D.   ELECTION OF DIRECTOR: DAVID P. KING   Management   For   For  
  1E.   ELECTION OF DIRECTOR: GARHENG KONG, M.D., PH.D.   Management   For   For  
  1F.   ELECTION OF DIRECTOR: ROBERT E. MITTELSTAEDT, JR.   Management   For   For  
  1G.   ELECTION OF DIRECTOR: PETER M. NEUPERT   Management   For   For  
  1H.   ELECTION OF DIRECTOR: ADAM H. SCHECHTER   Management   For   For  
  1I.   ELECTION OF DIRECTOR: R. SANDERS WILLIAMS, M.D.   Management   For   For  
  2.   TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION.   Management   For   For  
  3.   RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS LABORATORY CORPORATION OF AMERICA HOLDINGS’ INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.   Management   For   For  

 

   

Account
Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares     

Unavailable
Shares

 

    Vote
Date		    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     2,233       0    05-Apr-2014    05-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     2,437       0    05-Apr-2014    05-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     295       0    05-Apr-2014    05-Apr-2014

 

 

MURPHY OIL CORPORATION

 

  Security   626717102   Meeting Type   Annual
  Ticker Symbol   MUR   Meeting Date   14-May-2014
  ISIN   US6267171022   Agenda   933944767 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: F.W. BLUE   Management   For   For  
  1B.   ELECTION OF DIRECTOR: T.J. COLLINS   Management   For   For  

  1C.   ELECTION OF DIRECTOR: S.A. COSSE   Management   For   For  
  1D.   ELECTION OF DIRECTOR: C.P. DEMING   Management   For   For  
  1E.   ELECTION OF DIRECTOR: R.W. JENKINS   Management   For   For  
  1F.   ELECTION OF DIRECTOR: J.V. KELLEY   Management   For   For  
  1G.   ELECTION OF DIRECTOR: W. MIROSH   Management   For   For  
  1H.   ELECTION OF DIRECTOR: R.M. MURPHY   Management   For   For  
  1I.   ELECTION OF DIRECTOR: J.W. NOLAN   Management   For   For  
  1J.   ELECTION OF DIRECTOR: N.E. SCHMALE   Management   For   For  
  1K.   ELECTION OF DIRECTOR: C.G. THEUS   Management   For   For  
  2.   ADVISORY VOTE ON EXECUTIVE COMPENSATION.   Management   For   For  
  3.   APPROVE THE APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     1,880       0    22-Mar-2014    22-Mar-2014
  6734305561   6734305561   6734305561   UNION BANK     2,052       0    22-Mar-2014    22-Mar-2014
  6734305562   6734305562   6734305562   UNION BANK     222       0    22-Mar-2014    22-Mar-2014

 

 

APACHE CORPORATION

 

    
  Security   037411105   Meeting Type   Annual
  Ticker Symbol   APA   Meeting Date   15-May-2014
  ISIN   US0374111054   Agenda   933967486 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.   ELECTION OF DIRECTOR: G. STEVEN FARRIS   Management   For   For  
  2.   ELECTION OF DIRECTOR: A.D. FRAZIER, JR.   Management   For   For  
  3.   ELECTION OF DIRECTOR: AMY H. NELSON   Management   For   For  
  4.   RATIFICATION OF ERNST & YOUNG LLP AS APACHE’S INDEPENDENT AUDITORS   Management   For   For  
  5.   ADVISORY VOTE TO APPROVE THE COMPENSATION OF APACHE’S NAMED EXECUTIVE OFFICERS   Management   For   For  
  6.   APPROVAL OF AMENDMENT TO APACHE’S RESTATED CERTIFICATE OF INCORPORATION TO ELIMINATE APACHE’S CLASSIFIED BOARD OF DIRECTORS   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     1,399       0    05-Apr-2014    05-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     1,527       0    05-Apr-2014    05-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     176       0    05-Apr-2014    05-Apr-2014

 

 

CMS ENERGY CORPORATION

 

    
  Security   125896100   Meeting Type   Annual
  Ticker Symbol   CMS   Meeting Date   16-May-2014
  ISIN   US1258961002   Agenda   933969923 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: JON E. BARFIELD   Management   For   For  
  1B.   ELECTION OF DIRECTOR: KURT L. DARROW   Management   For   For  
  1C.   ELECTION OF DIRECTOR: STEPHEN E. EWING   Management   For   For  
  1D.   ELECTION OF DIRECTOR: RICHARD M. GABRYS   Management   For   For  
  1E.   ELECTION OF DIRECTOR: WILLIAM D. HARVEY   Management   For   For  
  1F.   ELECTION OF DIRECTOR: DAVID W. JOOS   Management   For   For  

  1G.   ELECTION OF DIRECTOR: PHILIP R. LOCHNER, JR.   Management   For   For  
  1H.   ELECTION OF DIRECTOR: JOHN G. RUSSELL   Management   For   For  
  1I.   ELECTION OF DIRECTOR: KENNETH L. WAY   Management   For   For  
  1J.   ELECTION OF DIRECTOR: LAURA H. WRIGHT   Management   For   For  
  1K.   ELECTION OF DIRECTOR: JOHN B. YASINSKY   Management   For   For  
  2.   ADVISORY VOTE TO APPROVE THE CORPORATION’S EXECUTIVE COMPENSATION.   Management   For   For  
  3.   RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM (PRICEWATERHOUSECOOPERS LLP).   Management   For   For  
  4.   PROPOSAL TO APPROVE PERFORMANCE INCENTIVE STOCK PLAN.   Management   For   For  
  5.   PROPOSAL TO APPROVE PERFORMANCE MEASURES IN INCENTIVE COMPENSATION PLAN.   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     3,962       0    08-Apr-2014    08-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     4,324       0    08-Apr-2014    08-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     497       0    08-Apr-2014    08-Apr-2014

 

 

THE WESTERN UNION COMPANY

 

  Security   959802109   Meeting Type   Annual
  Ticker Symbol   WU   Meeting Date   16-May-2014
  ISIN   US9598021098   Agenda   933960393 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A   ELECTION OF DIRECTOR: DINYAR S. DEVITRE   Management   For   For  
  1B   ELECTION OF DIRECTOR: HIKMET ERSEK   Management   For   For  
  1C   ELECTION OF DIRECTOR: JACK M. GREENBERG   Management   For   For  
  1D   ELECTION OF DIRECTOR: BETSY D. HOLDEN   Management   For   For  
  1E   ELECTION OF DIRECTOR: LINDA FAYNE LEVINSON   Management   For   For  
  1F   ELECTION OF DIRECTOR: FRANCES FRAGOS TOWNSEND   Management   For   For  
  1G   ELECTION OF DIRECTOR: SOLOMON D. TRUJILLO   Management   For   For  
  2   ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION   Management   For   For  
  3   RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014   Management   For   For  
  4   STOCKHOLDER PROPOSAL REGARDING STOCKHOLDER ACTION BY WRITTEN CONSENT   Shareholder   Against   For  
  5   STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS   Shareholder   Against   For  
  6   STOCKHOLDER PROPOSAL REGARDING NEW BOARD COMMITTEE   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     12,584       0    03-Apr-2014    03-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     13,733       0    03-Apr-2014    03-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     1,674       0    03-Apr-2014    03-Apr-2014

 

 

ENSCO PLC

 

  Security   G3157S106   Meeting Type   Annual
  Ticker Symbol   ESV   Meeting Date   19-May-2014
  ISIN   GB00B4VLR192   Agenda   933971017 - Management

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   RE-ELECTION OF DIRECTOR: J. RODERICK CLARK   Management   For   For  
  1B.   RE-ELECTION OF DIRECTOR: ROXANNE J. DECYK   Management   For   For  
  1C.   RE-ELECTION OF DIRECTOR: MARY E. FRANCIS CBE   Management   For   For  
  1D.   RE-ELECTION OF DIRECTOR: C. CHRISTOPHER GAUT   Management   For   For  
  1E.   RE-ELECTION OF DIRECTOR: GERALD W. HADDOCK   Management   For   For  
  1F.   RE-ELECTION OF DIRECTOR: FRANCIS S. KALMAN   Management   For   For  
  1G.   RE-ELECTION OF DIRECTOR: DANIEL W. RABUN   Management   For   For  
  1H.   RE-ELECTION OF DIRECTOR: KEITH O. RATTIE   Management   For   For  
  1I.   RE-ELECTION OF DIRECTOR: PAUL E. ROWSEY, III   Management   For   For  
  2.   TO AUTHORISE THE BOARD OF DIRECTORS TO ALLOT SHARES.   Management   For   For  
  3.   TO RATIFY THE AUDIT COMMITTEE’S APPOINTMENT OF KPMG LLP AS OUR U.S. INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED 31 DECEMBER 2014.   Management   For   For  
  4.   TO RE-APPOINT KPMG AUDIT PLC AS OUR U.K. STATUTORY AUDITORS UNDER THE U.K. COMPANIES ACT 2006 (TO HOLD OFFICE FROM THE CONCLUSION OF THE ANNUAL GENERAL MEETING OF SHAREHOLDERS UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF SHAREHOLDERS AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY).   Management   For   For  
  5.   TO AUTHORISE THE AUDIT COMMITTEE TO DETERMINE OUR U.K. STATUTORY AUDITORS’ REMUNERATION.   Management   For   For  
  6.   TO APPROVE THE DIRECTORS’ REMUNERATION POLICY.   Management   For   For  
  7.   A NON-BINDING ADVISORY VOTE TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE YEAR ENDED 31 DECEMBER 2013.   Management   For   For  
  8.   A NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.   Management   For   For  
  9.   A NON-BINDING ADVISORY VOTE TO APPROVE THE REPORTS OF THE AUDITORS AND THE DIRECTORS AND THE U.K. STATUTORY ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2013 (IN ACCORDANCE WITH LEGAL REQUIREMENTS APPLICABLE TO U.K. COMPANIES).   Management   For   For  
  10.   TO APPROVE A CAPITAL REORGANISATION.   Management   For   For  
  11.   TO APPROVE THE DISAPPLICATION OF PRE- EMPTION RIGHTS.   Management   For   For  

 

   

Account

Number

 

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     2,127       0    10-Apr-2014    10-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     2,321       0    10-Apr-2014    10-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     278       0    10-Apr-2014    10-Apr-2014

 

 

DENBURY RESOURCES INC.

 

  Security   247916208   Meeting Type   Annual
  Ticker Symbol   DNR   Meeting Date   20-May-2014
  ISIN   US2479162081   Agenda   933970370 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.   DIRECTOR   Management      
   

1      WIELAND F. WETTSTEIN

   For   For  

   

2      MICHAEL L. BEATTY

   For   For  
   

3      MICHAEL B. DECKER

   For   For  
   

4      JOHN P. DIELWART

   For   For  
   

5      RONALD G. GREENE

   For   For  
   

6      GREGORY L. MCMICHAEL

   For   For  
   

7      KEVIN O. MEYERS

   For   For  
   

8      PHIL RYKHOEK

   For   For  
   

9      RANDY STEIN

   For   For  
   

10    LAURA A. SUGG

   For   For  
  2.   ADVISORY VOTE TO APPROVE THE COMPANY’S 2013 NAMED EXECUTIVE OFFICER COMPENSATION.   Management   For   For  
  3.   PROPOSAL TO RATIFY THE AUDIT COMMITTEE’S SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.   Management   For   For  

 

   

Account

Number

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     6,786       0    11-Apr-2014    11-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     7,406       0    11-Apr-2014    11-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     892       0    11-Apr-2014    11-Apr-2014

 

 

SOUTHWESTERN ENERGY COMPANY

 

  Security   845467109   Meeting Type   Annual
  Ticker Symbol   SWN   Meeting Date   20-May-2014
  ISIN   US8454671095   Agenda   933966395 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.1   ELECTION OF DIRECTOR: JOHN D. GASS   Management   For   For  
  1.2   ELECTION OF DIRECTOR: CATHERINE A. KEHR   Management   For   For  
  1.3   ELECTION OF DIRECTOR: GREG D. KERLEY   Management   For   For  
  1.4   ELECTION OF DIRECTOR: VELLO A. KUUSKRAA   Management   For   For  
  1.5   ELECTION OF DIRECTOR: KENNETH R. MOURTON   Management   For   For  
  1.6   ELECTION OF DIRECTOR: STEVEN L. MUELLER   Management   For   For  
  1.7   ELECTION OF DIRECTOR: ELLIOTT PEW   Management   For   For  
  1.8   ELECTION OF DIRECTOR: ALAN H. STEVENS   Management   For   For  
  2.   PROPOSAL TO RATIFY INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.   Management   For   For  
  3.   ADVISORY VOTE TO APPROVE OUR EXECUTIVE COMPENSATION.   Management   For   For  
  4.   PROPOSAL FROM STOCKHOLDER REGARDING SPECIAL MEETINGS.   Shareholder   Against   For  
  5.   PROPOSAL FROM STOCKHOLDER REGARDING METHANE EMISSIONS REPORT.   Shareholder   Against   For  

 

    Account Number   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     5,064       0    08-Apr-2014    08-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     5,526       0    08-Apr-2014    08-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     636       0    08-Apr-2014    08-Apr-2014

 

 

XEROX CORPORATION

 

  Security   984121103   Meeting Type   Annual
  Ticker Symbol   XRX   Meeting Date   20-May-2014
  ISIN   US9841211033   Agenda   933953932 - Management

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: GLENN A. BRITT   Management   For   For  
  1B.   ELECTION OF DIRECTOR: URSULA M. BURNS   Management   For   For  
  1C.   ELECTION OF DIRECTOR: RICHARD J. HARRINGTON   Management   For   For  
  1D.   ELECTION OF DIRECTOR: WILLIAM CURT HUNTER   Management   For   For  
  1E.   ELECTION OF DIRECTOR: ROBERT J. KEEGAN   Management   For   For  
  1F.   ELECTION OF DIRECTOR: ROBERT A. MCDONALD   Management   For   For  
  1G.   ELECTION OF DIRECTOR: CHARLES PRINCE   Management   For   For  
  1H.   ELECTION OF DIRECTOR: ANN N. REESE   Management   For   For  
  1I.   ELECTION OF DIRECTOR: SARA MARTINEZ TUCKER   Management   For   For  
  1J.   ELECTION OF DIRECTOR: MARY AGNES WILDEROTTER   Management   For   For  
  2.   RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.   Management   For   For  
  3.   APPROVAL, ON AN ADVISORY BASIS, OF THE 2013 COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.   Management   For   For  

 

   

Account

Number

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     10,346       0    08-Apr-2014    08-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     11,290       0    08-Apr-2014    08-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     1,299       0    08-Apr-2014    08-Apr-2014

 

 

CABLEVISION SYSTEMS CORPORATION

 

  Security   12686C109   Meeting Type   Annual
  Ticker Symbol   CVC   Meeting Date   22-May-2014
  ISIN   US12686C1099   Agenda   933976334 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.   DIRECTOR   Management      
   

1      JOSEPH J. LHOTA

   For   For  
   

2      THOMAS V. REIFENHEISER

   For   For  
   

3      JOHN R. RYAN

   For   For  
   

4      VINCENT TESE

   For   For  
   

5      LEONARD TOW

   For   For  
  2.   RATIFICATION OF THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.   Management   For   For  
  3.   APPROVAL OF CABLEVISION SYSTEMS CORPORATION AMENDED AND RESTATED 2006 EMPLOYEE STOCK PLAN.   Management   For   For  
  4.   NON-BINDING ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.   Management   For   For  
  5.   STOCKHOLDER PROPOSAL FOR A POLITICAL CONTRIBUTIONS REPORT.   Shareholder   Against   For  
  6.   STOCKHOLDER PROPOSAL TO ADOPT A RECAPITALIZATION PLAN.   Shareholder   Against   For  

 

   

Account

Number

   Account Name   Internal
Account 		  Custodian   Ballot  Shares     

Unavailable
Shares

 

   

Vote

Date

    Date
Confirmed
  6734305560   6734305560   6734305560   UNION BANK     11,743       0    12-Apr-2014    12-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     12,815       0    12-Apr-2014    12-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     1,474       0    12-Apr-2014    12-Apr-2014

 

 

INTEL CORPORATION

 

  Security   458140100   Meeting Type   Annual
  Ticker Symbol   INTC   Meeting Date   22-May-2014
  ISIN   US4581401001   Agenda   933962854 - Management

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: CHARLENE BARSHEFSKY   Management   For   For  
  1B.   ELECTION OF DIRECTOR: ANDY D. BRYANT   Management   For   For  
  1C.   ELECTION OF DIRECTOR: SUSAN L. DECKER   Management   For   For  
  1D.   ELECTION OF DIRECTOR: JOHN J. DONAHOE   Management   For   For  
  1E.   ELECTION OF DIRECTOR: REED E. HUNDT   Management   For   For  
  1F.   ELECTION OF DIRECTOR: BRIAN M. KRZANICH   Management   For   For  
  1G.   ELECTION OF DIRECTOR: JAMES D. PLUMMER   Management   For   For  
  1H.   ELECTION OF DIRECTOR: DAVID S. POTTRUCK   Management   For   For  
  1I.   ELECTION OF DIRECTOR: FRANK D. YEARY   Management   For   For  
  1J.   ELECTION OF DIRECTOR: DAVID B. YOFFIE   Management   For   For  
  2.   RATIFICATION OF SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CURRENT YEAR   Management   For   For  
  3.   ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION   Management   For   For  

 

   

Account

Number

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     8,486       0    04-Apr-2014    04-Apr-2014
  6734305561   6734305561   6734305561   UNION BANK     9,290       0    04-Apr-2014    04-Apr-2014
  6734305562   6734305562   6734305562   UNION BANK     1,087       0    04-Apr-2014    04-Apr-2014

 

 

CATERPILLAR INC.

 

  Security   149123101   Meeting Type   Annual
  Ticker Symbol   CAT   Meeting Date   11-Jun-2014
  ISIN   US1491231015   Agenda   934004805 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: DAVID L. CALHOUN   Management   For   For  
  1B.   ELECTION OF DIRECTOR: DANIEL M. DICKINSON   Management   For   For  
  1C.   ELECTION OF DIRECTOR: JUAN GALLARDO   Management   For   For  
  1D.   ELECTION OF DIRECTOR: JESSE J. GREENE, JR.   Management   For   For  
  1E.   ELECTION OF DIRECTOR: JON M. HUNTSMAN, JR.   Management   For   For  
  1F.   ELECTION OF DIRECTOR: PETER A. MAGOWAN   Management   For   For  
  1G.   ELECTION OF DIRECTOR: DENNIS A. MUILENBURG   Management   For   For  
  1H.   ELECTION OF DIRECTOR: DOUGLAS R. OBERHELMAN   Management   For   For  
  1I.   ELECTION OF DIRECTOR: WILLIAM A. OSBORN   Management   For   For  
  1J.   ELECTION OF DIRECTOR: EDWARD B. RUST, JR.   Management   For   For  
  1K.   ELECTION OF DIRECTOR: SUSAN C. SCHWAB   Management   For   For  
  1L.   ELECTION OF DIRECTOR: MILES D. WHITE   Management   For   For  
  2.   RATIFY THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.   Management   For   For  
  3.   ADVISORY VOTE ON EXECUTIVE COMPENSATION.   Management   For   For  
  4.   APPROVE THE CATERPILLAR INC. 2014 LONG-TERM INCENTIVE PLAN.   Management   For   For  
  5.   APPROVE THE CATERPILLAR INC. EXECUTIVE SHORT-TERM INCENTIVE PLAN.   Management   For   For  
  6.   STOCKHOLDER PROPOSAL - REVIEW OF GLOBAL CORPORATE STANDARDS.   Shareholder   Against   For  

  7.   STOCKHOLDER PROPOSAL - SALES TO SUDAN.   Shareholder   Against   For  
  8.   STOCKHOLDER PROPOSAL - CUMULATIVE VOTING.   Shareholder   Against   For  

 

   

Account

Number

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     1,167       0    02-May-2014    02-May-2014
  6734305561   6734305561   6734305561   UNION BANK     1,273       0    02-May-2014    02-May-2014
  6734305562   6734305562   6734305562   UNION BANK     146       0    02-May-2014    02-May-2014

 

 

TARGET CORPORATION

 

  Security   87612E106   Meeting Type   Annual
  Ticker Symbol   TGT   Meeting Date   11-Jun-2014
  ISIN   US87612E1064   Agenda   934026433 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: ROXANNE S. AUSTIN   Management   For   For  
  1B.   ELECTION OF DIRECTOR: DOUGLAS M. BAKER, JR.   Management   For   For  
  1C.   ELECTION OF DIRECTOR: CALVIN DARDEN   Management   For   For  
  1D.   ELECTION OF DIRECTOR: HENRIQUE DE CASTRO   Management   For   For  
  1E.   ELECTION OF DIRECTOR: JAMES A. JOHNSON   Management   For   For  
  1F.   ELECTION OF DIRECTOR: MARY E. MINNICK   Management   For   For  
  1G.   ELECTION OF DIRECTOR: ANNE M. MULCAHY   Management   For   For  
  1H.   ELECTION OF DIRECTOR: DERICA W. RICE   Management   For   For  
  1I.   ELECTION OF DIRECTOR: KENNETH L. SALAZAR   Management   For   For  
  1J.   ELECTION OF DIRECTOR: JOHN G. STUMPF   Management   For   For  
  2.   COMPANY PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.   Management   For   For  
  3.   COMPANY PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, OUR EXECUTIVE COMPENSATION (“SAY-ON-PAY”).   Management   For   For  
  4.   SHAREHOLDER PROPOSAL TO ELIMINATE PERQUISITES.   Shareholder   Against   For  
  5.   SHAREHOLDER PROPOSAL TO ADOPT A POLICY FOR AN INDEPENDENT CHAIRMAN.   Shareholder   Against   For  
  6.   SHAREHOLDER PROPOSAL TO ADOPT A POLICY PROHIBITING DISCRIMINATION “AGAINST” OR “FOR” PERSONS.   Shareholder   Against   For  

 

   

Account

Number

   Account Name   Internal
Account 		  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date
Confirmed

 

  6734305560   6734305560   6734305560   UNION BANK     1,916       0    21-May-2014    21-May-2014
  6734305561   6734305561   6734305561   UNION BANK     2,096       0    21-May-2014    21-May-2014
  6734305562   6734305562   6734305562   UNION BANK     243       0    21-May-2014    21-May-2014

 

 

DAVITA HEALTHCARE PARTNERS, INC.

 

  Security   23918K108   Meeting Type   Annual
  Ticker Symbol   DVA   Meeting Date   17-Jun-2014
  ISIN   US23918K1088   Agenda   934006671 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1A.   ELECTION OF DIRECTOR: PAMELA M. ARWAY   Management   For   For  
  1B.   ELECTION OF DIRECTOR: CHARLES G. BERG   Management   For   For  
  1C.   ELECTION OF DIRECTOR: CAROL ANTHONY DAVIDSON   Management   For   For  
  1D.   ELECTION OF DIRECTOR: PAUL J. DIAZ   Management   For   For  

  1E.   ELECTION OF DIRECTOR: PETER T. GRAUER   Management   For   For  
  1F.   ELECTION OF DIRECTOR: ROBERT J. MARGOLIS   Management   For   For  
  1G.   ELECTION OF DIRECTOR: JOHN M. NEHRA   Management   For   For  
  1H.   ELECTION OF DIRECTOR: WILLIAM L. ROPER   Management   For   For  
  1I.   ELECTION OF DIRECTOR: KENT J. THIRY   Management   For   For  
  1J.   ELECTION OF DIRECTOR: ROGER J. VALINE   Management   For   For  
  2.   TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014.   Management   For   For  
  3.   TO HOLD AN ADVISORY VOTE ON EXECUTIVE COMPENSATION.   Management   For   For  
  4.   TO ADOPT AND APPROVE AN AMENDMENT AND RESTATEMENT OF OUR 2011 INCENTIVE AWARD PLAN.   Management   For   For  
  5.   TO CONSIDER AND VOTE UPON A STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE ANNUAL MEETING REGARDING THE BOARD CHAIRMANSHIP.   Shareholder   Against   For  

 

   

Account

Number

 

   Account Name   Internal
Account		   Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date

Confirmed

  6734305560   6734305560   6734305560   UNION BANK     3,128       0    08-May-2014    08-May-2014
  6734305561   6734305561   6734305561   UNION BANK     3,421       0    08-May-2014    08-May-2014
  6734305562   6734305562   6734305562   UNION BANK     384       0    08-May-2014    08-May-2014

 

 

GAMESTOP CORP.

 

  Security   36467W109   Meeting Type   Annual
  Ticker Symbol   GME   Meeting Date   24-Jun-2014
  ISIN   US36467W1099   Agenda   934015175 - Management

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1.1   RE-ELECTION OF DIRECTOR: THOMAS N. KELLY JR.   Management   For   For  
  1.2   RE-ELECTION OF DIRECTOR: GERALD R. SZCZEPANSKI   Management   For   For  
  1.3   RE-ELECTION OF DIRECTOR: LAWRENCE S. ZILAVY   Management   For   For  
  2.   ADVISORY VOTE ON EXECUTIVE COMPENSATION   Management   For   For  
  3.   RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT, REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2014   Management   For   For  

 

   

Account

Number

 

   Account Name  

Internal

Account

  Custodian   Ballot  Shares      Unavailable
Shares		   

Vote

Date

   

Date

Confirmed

  6734305560   6734305560   6734305560   UNION BANK     8,061       0    16-May-2014    16-May-2014
  6734305561   6734305561   6734305561   UNION BANK     8,816       0    16-May-2014    16-May-2014
  6734305562   6734305562   6734305562   UNION BANK     1,023       0    16-May-2014    16-May-2014

Crystal Strategy Absolute Income Fund

 

Custodian
Account
Name		    Company
Name		    Ticker    Country    Provider
Security
ID		    Meeting
Type		    Meeting
Date		    Record
Date		    Proponent    Proposal
Number		    Proposal Text    Management
Recommendation		    Vote
Instruction

Crystal Strategy Absolute Income

    Fifth Street
Finance Corp.		    FSC    USA    31678A103    Annual    13-Mar-14    14-Jan-14    Management    1.1a    Elect Director Ivelin M.
Dimitrov		    For    For

Crystal Strategy Absolute Income

    Fifth Street
Finance Corp.		    FSC    USA    31678A103    Annual    13-Mar-14    14-Jan-14    Management    1.1b    Elect Director Brian S.
Dunn		    For    For

Crystal Strategy Absolute Income

    Fifth Street
Finance Corp.		    FSC    USA    31678A103    Annual    13-Mar-14    14-Jan-14    Management    1.1c    Elect Director Byron J.
Haney		    For    For

Crystal Strategy Absolute Income

    Fifth Street
Finance Corp.		    FSC    USA    31678A103    Annual    13-Mar-14    14-Jan-14    Management    2    Ratify Auditors    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    1    Accept Financial
Statements and
Statutory Reports		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    2    Approve Remuneration
Report		    For    Abstain

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    3    Approve Remuneration
Policy		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    4    Re-elect Bob Dudley as
Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    5    Re-elect Iain Conn as
Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    6    Re-elect Dr Brian Gilvary
as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    7    Re-elect Paul Anderson
as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    8    Re-elect Frank Bowman
as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    9    Re-elect Antony
Burgmans as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    10    Re-elect Cynthia Carroll
as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    11    Re-elect George David
as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    12    Re-elect Ian Davis as
Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    13    Re-elect Dame Ann
Dowling as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    14    Re-elect Brendan Nelson
as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    15    Re-elect Phuthuma
Nhleko as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    16    Re-elect Andrew Shilston
as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    17    Re-elect Carl-Henric
Svanberg as Director		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    18    Reappoint Ernst &
Young LLP as Auditors
and Authorise Their
Remuneration		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    19    Approve Executive
Directors’ Incentive Plan		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    20    Approve Remuneration
of Non-Executive
Directors		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    21    Authorise Issue of Equity
with Pre-emptive Rights		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    22    Authorise Issue of Equity
without Pre-emptive
Rights		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    23    Authorise Market
Purchase of Ordinary
Shares		    For    For

Crystal Strategy Absolute Income

    BP plc    BP.    United
Kingdom		    055622104    Annual    10-Apr-14    28-Mar-14    Management    24    Authorise the Company
to Call EGM with Two
Weeks’ Notice		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    1.1    Elect Director Brian M.
Sondey		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    1.2    Elect Director Malcolm P.
Baker		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    1.3    Elect Director Claude
Germain		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    1.4    Elect Director Kenneth
Hanau		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    1.5    Elect Director Helmut
Kaspers		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    1.6    Elect Director Frederic H.
Lindeberg		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    2    Advisory Vote to Ratify
Named Executive
Officers’ Compensation		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    3    Approve Omnibus Stock
Plan		    For    For

Crystal Strategy Absolute Income

    TAL
International
Group, Inc.		    TAL    USA    874083108    Annual    22-Apr-14    14-Mar-14    Management    4    Ratify Auditors    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.1    Elect Director Richard D.
Bronson		    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.2    Elect Director Jeffrey F.
DiModica		    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.3    Elect Director Jeffrey G.
Dishner		    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.4    Elect Director Camille J.
Douglas		    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.5    Elect Director Boyd W.
Fellows		    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.6    Elect Director Barry S.
Sternlicht		    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.7    Elect Director Strauss
Zelnick		    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    2    Advisory Vote to Ratify
Named Executive
Officers’ Compensation		    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    3    Ratify Auditors    For    For

Crystal Strategy Absolute Income

    Starwood
Property Trust,
Inc.		    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Share
Holder		    4    Require Independent
Board Chairman		    Against    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.1    Elect Director Peter
Marrone		    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.2    Elect Director Patrick J.
Mars		    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.3    Elect Director John
Begeman		    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.4    Elect Director Alexander
Davidson		    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.5    Elect Director Richard
Graff		    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.6    Elect Director Nigel Lees    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.7    Elect Director Carl
Renzoni		    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.8    Elect Director Dino Titaro    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    2    Ratify Deloitte LLP as
Auditors		    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    3    Adopt By-Law No. 1    For    For

Crystal Strategy Absolute Income

    Yamana Gold
Inc.		    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    4    Advisory Vote on
Executive Compensation
Approach		    For    For

Crystal Strategy Absolute Income

    Colony
Financial, Inc.		    CLNY    USA    19624R106    Annual    08-May-14    25-Mar-14    Management    1.1    Elect Director Thomas J.
Barrack, Jr.		    For    For

Crystal Strategy Absolute Income

    Colony
Financial, Inc.		    CLNY    USA    19624R106    Annual    08-May-14    25-Mar-14    Management    1.2    Elect Director Richard B.
Saltzman		    For    For

Crystal Strategy Absolute Income

    Colony
Financial, Inc.		    CLNY    USA    19624R106    Annual    08-May-14    25-Mar-14    Management    1.3    Elect Director George G.
C. Parker		    For    For

Crystal Strategy Absolute Income

    Colony
Financial, Inc.		    CLNY    USA    19624R106    Annual    08-May-14    25-Mar-14    Management    1.4    Elect Director John A.
Somers		    For    For

Crystal Strategy Absolute Income

    Colony
Financial, Inc.		    CLNY    USA    19624R106    Annual    08-May-14    25-Mar-14    Management    1.5    Elect Director John L.
Steffens		    For    For

Crystal Strategy Absolute Income

    Colony
Financial, Inc.		    CLNY    USA    19624R106    Annual    08-May-14    25-Mar-14    Management    2    Advisory Vote to Ratify
Named Executive
Officers’ Compensation		    For    For

Crystal Strategy Absolute Income

    Colony
Financial, Inc.		    CLNY    USA    19624R106    Annual    08-May-14    25-Mar-14    Management    3    Ratify Auditors    For    For

Crystal Strategy Absolute Income

    Colony
Financial, Inc.		    CLNY    USA    19624R106    Annual    08-May-14    25-Mar-14    Management    4    Amend Omnibus Stock
Plan		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1a    Elect Director Richard L.
Armitage		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1b    Elect Director Richard H.
Auchinleck		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1c    Elect Director Charles E.
Bunch		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1d    Elect Director James E.
Copeland, Jr.		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1e    Elect Director Jody L.
Freeman		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1f    Elect Director Gay Huey
Evans		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1g    Elect Director Ryan M.
Lance		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1h    Elect Director Robert A.
Niblock		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1i    Elect Director Harald J.
Norvik		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    1j    Elect Director William E.
Wade, Jr.		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    2    Ratify Auditors    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    3    Advisory Vote to Ratify
Named Executive
Officers’ Compensation		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Management    4    Approve Omnibus Stock
Plan		    For    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Share
Holder		    5    Report on Lobbying
Payments and Policy		    Against    For

Crystal Strategy Absolute Income

    ConocoPhillips    COP    USA    20825C104    Annual    13-May-14    14-Mar-14    Share
Holder		    6    Adopt Quantitative GHG
Goals for Operations		    Against    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    1    Accept Financial
Statements and
Statutory Reports		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    2    Approve Remuneration
Policy		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    3    Approve Remuneration
Report		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    4    Elect Euleen Goh as
Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    5    Elect Patricia Woertz as
Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    6    Elect Ben van Beurden
as Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    7    Re-elect Guy Elliott as
Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    8    Re-elect Simon Henry as
Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    9    Re-elect Charles
Holliday as Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    10    Re-elect Gerard
Kleisterlee as Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    11    Re-elect Jorma Ollila as
Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    12    Re-elect Sir Nigel
Sheinwald as Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    13    Re-elect Linda Stuntz as
Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    14    Re-elect Hans Wijers as
Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    15    Re-elect Gerrit Zalm as
Director		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    16    Reappoint
PricewaterhouseCoopers
LLP as Auditors		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    17    Authorise Board to Fix
Remuneration of
Auditors		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    18    Authorise Issue of Equity
with Pre-emptive Rights		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    19    Authorise Issue of Equity
without Pre-emptive
Rights		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    20    Authorise Market
Purchase of Ordinary
Shares		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    21    Approve Long Term
Incentive Plan		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    22    Approve Deferred Bonus
Plan		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    23    Approve Restricted
Share Plan		    For    For

Crystal Strategy Absolute Income

    Royal Dutch
Shell plc		    RDSA    United
Kingdom		    780259206    Annual    20-May-14    10-Apr-14    Management    24    Approve EU Political
Donations and
Expenditure		    For    For

Crystal Strategy Absolute Return Fund

 

Custodian Account Name   

Company

Name

    Ticker    Country   

Provider

Security

ID

   

Meeting

Type

   

Meeting

Date

   

Record

Date

    Proponent   

Proposal

Number

   Proposal Text   

Management

Recommendation

   

Vote

Instruction

Crystal Strategy Absolute Return

    WisdomTree Trust       USA    97717W851    Special    11-Mar-14    16-Jan-14    Management    1.1   Elect Director David G. Chrencik    For    For

Crystal Strategy Absolute Return

    WisdomTree Trust       USA    97717W851    Special    11-Mar-14    16-Jan-14    Management    1.2   Elect Director Joel H. Goldberg    For    For

Crystal Strategy Absolute Return

    WisdomTree Trust       USA    97717W851    Special    11-Mar-14    16-Jan-14    Management    1.3   Elect Director Melinda A. Raso Kirstein    For    For

Crystal Strategy Absolute Return

    CEMEX S.A.B. de C.V.    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    1   Approve Financial Statements and Statutory Reports    For    For

Crystal Strategy Absolute Return

    CEMEX S.A.B. de C.V.    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    2   Approve Allocation of Income    For    For

Crystal Strategy Absolute Return

    CEMEX S.A.B. de C.V.    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    3   Authorize Increase in Variable Portion of Capital via Capitalization of Reserves and Issuance of Treasury Shares    For    For

Crystal Strategy Absolute Return

    CEMEX S.A.B. de C.V.    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    4   Elect Directors, Members and Chairmen of Audit, Corporate Practices and Finance Committees    For    Against

Crystal Strategy Absolute Return

    CEMEX S.A.B. de C.V.    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    5   Approve Remuneration of Directors and Members of Audit, Corporate Practices and Finance Committees    For    For

Crystal Strategy Absolute Return

    CEMEX S.A.B. de C.V.    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    6   Authorize Board to Ratify and Execute Approved Resolutions    For    For

Crystal Strategy Absolute Return

    CEMEX S.A.B. de C.V.    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    1   Expand Corporate Purpose and Amend Article 2 Accordingly    For    Against

Crystal Strategy Absolute Return

    CEMEX S.A.B. de C.V.    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    2   Authorize Board to Ratify and Execute Approved Resolutions    For    Against

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    1a   Elect Director Donald C. Cacciapaglia    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    1b   Elect Director Donald A. Chubb, Jr.    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    1c   Elect Director Maynard F. Oliverius    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    1d   Elect Director Jerry B. Farley    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    2   Approve Increase in Size of Board    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    1a   Elect Director Donald C. Cacciapaglia    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    1b   Elect Director Donald A. Chubb, Jr.    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    1c   Elect Director Maynard F. Oliverius    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    1d   Elect Director Jerry B. Farley    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    2   Approve Increase in Size of Board    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    1a   Elect Director Donald C. Cacciapaglia    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    1b   Elect Director Donald A. Chubb, Jr.    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    1c   Elect Director Maynard F. Oliverius    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    1d   Elect Director Jerry B. Farley    For    For

Crystal Strategy Absolute Return

    Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    2   Approve Increase in Size of Board    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.1   Elect Director Don M. Casto, III    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.2   Elect Director Ann (‘Tanny’) B. Crane    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.3   Elect Director Steven G. Elliott    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.4   Elect Director Michael J. Endres    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.5   Elect Director John B. Gerlach, Jr.    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.6   Elect Director Peter J. Kight    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.7   Elect Director Jonathan A. Levy    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.8   Elect Director Richard W. Neu    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.9   Elect Director David L. Porteous    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.10   Elect Director Kathleen H. Ransier    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.11   Elect Director Stephen D. Steinour    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    2   Ratify Auditors    For    For

Crystal Strategy Absolute Return

    Huntington Bancshares Incorporated    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    3   Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.1   Elect Director Richard D. Bronson    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.2   Elect Director Jeffrey F. DiModica    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.3   Elect Director Jeffrey G. Dishner    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.4   Elect Director Camille J. Douglas    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.5   Elect Director Boyd W. Fellows    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.6   Elect Director Barry S. Sternlicht    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.7   Elect Director Strauss Zelnick    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    2   Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    3   Ratify Auditors    For    For

Crystal Strategy Absolute Return

    Starwood Property Trust, Inc.    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Share
Holder		    4   Require Independent Board Chairman    Against    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.1   Elect Director Peter Marrone    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.2   Elect Director Patrick J. Mars    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.3   Elect Director John Begeman    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.4   Elect Director Alexander Davidson    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.5   Elect Director Richard Graff    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.6   Elect Director Nigel Lees    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.7   Elect Director Carl Renzoni    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.8   Elect Director Dino Titaro    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    2   Ratify Deloitte LLP as Auditors    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    3   Adopt By-Law No. 1    For    For

Crystal Strategy Absolute Return

    Yamana Gold Inc.    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    4   Advisory Vote on Executive Compensation Approach    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1a   Elect Director Jared L. Cohon    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1b   Elect Director J. Edward Coleman    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1c   Elect Director Alison Davis    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1d   Elect Director Nathaniel A. Davis    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1e   Elect Director Denise K. Fletcher    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1f   Elect Director Leslie F. Kenne    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1g   Elect Director Lee D. Roberts    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1h   Elect Director Paul E. Weaver    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    2   Ratify Auditors    For    For

Crystal Strategy Absolute Return

    Unisys Corporation    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    3   Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1a   Elect Director Herbert Wender    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1b   Elect Director David C. Carney    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1c   Elect Director Howard B. Culang    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1d   Elect Director Lisa W. Hess    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1e   Elect Director Stephen T. Hopkins    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1f   Elect Director Sanford A. Ibrahim    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1g   Elect Director Brian D. Montgomery    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1h   Elect Director Gaetano Muzio    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1i   Elect Director Jan Nicholson    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1j   Elect Director Gregory V. Serio    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1k   Elect Director Noel J. Spiegel    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    2   Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    3   Approve Omnibus Stock Plan    For    For

Crystal Strategy Absolute Return

    Radian Group Inc.    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    4   Ratify Auditors    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.1   Elect Director Bruce B. Bingham    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.2   Elect Director Christine C. Carsman    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.3   Elect Director William E. Chapman, II    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.4   Elect Director Edward J. Kaier    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.5   Elect Director Kurt Keilhacker    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.6   Elect Director Steven J. Paggioli    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.7   Elect Director Richard F. Powers, III    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.8   Elect Director Eric P. Rakowski    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.9   Elect Director Victoria Sassine    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.10   Elect Director Thomas R. Schneeweis    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    2   Approve Investment Advisory Agreement    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    3   Approve the Manager-of-Managers Structure    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.1   Elect Director Bradford B. Baker    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.2   Elect Director Max H. Cohen    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.3   Elect Director Mark D. Gordon    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.4   Elect Director Mark B. Justh    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.5   Elect Director David J. Saul    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.6   Elect Director Jon D. Sawyer    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.7   Elect Director Gregory P. Stemm    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    2   Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    3   Approve Omnibus Stock Plan (Withdrawn)      

Crystal Strategy Absolute Return

    Odyssey Marine Exploration, Inc.    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    4   Ratify Auditors    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.1   Elect Director Matthew Goldstein    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.2   Elect Director John F. Finn    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.3   Elect Director Robert J. Higgins    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.4   Elect Director Peter C. Marshall    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.5   Elect Director Mary E. Martinez    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.6   Elect Director Marilyn McCoy    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.7   Elect Director Mitchell M. Merin    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.8   Elect Director William G. Morton, Jr.    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.9   Elect Director Robert A. Oden, Jr.    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.10   Elect Director Marian U. Pardo    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.11   Elect Director Frederick W. Ruebeck    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.12   Elect Director James J. Schonbachler    For    For

Crystal Strategy Absolute Return

    JPMorgan Trust I       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.13   Elect Director Frankie D. Hughes    For    For

Crystal Strategy Absolute Return

    Aston Funds       USA    00080Y462    Special    25-Jun-14    24-Apr-14    Management    1   Approve Subadvisory Agreement Between Aston Asset Management, LP and River Road Asset Management, LLC    For    For

Crystal Strategy Leveraged Alternative Fund

 

Custodian

Account

Name

    Company Name    Ticker    Country   

Provider

Security ID

   

Meeting

Type

   

Meeting

Date

    Record
Date		    Proponent    Proposal
Number		    Proposal Text    Management
Recommendation		    Vote
Instruction

Crystal Strategy Leverage Fund

   

WisdomTree Trust

       USA    97717W851    Special    11-Mar-14    16-Jan-14    Management    1.1   

Elect Director David G. Chrencik

    For    For

Crystal Strategy Leverage Fund

   

WisdomTree Trust

       USA    97717W851    Special    11-Mar-14    16-Jan-14    Management    1.2   

Elect Director Joel H. Goldberg

    For    For

Crystal Strategy Leverage Fund

   

WisdomTree Trust

       USA    97717W851    Special    11-Mar-14    16-Jan-14    Management    1.3   

Elect Director Melinda A. Raso Kirstein

    For    For

Crystal Strategy Leverage Fund

   

CEMEX S.A.B. de C.V.

    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    1   

Approve Financial Statements and Statutory Reports

    For    For

Crystal Strategy Leverage Fund

   

CEMEX S.A.B. de C.V.

    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    2   

Approve Allocation of Income

    For    For

Crystal Strategy Leverage Fund

   

CEMEX S.A.B. de C.V.

    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    3   

Authorize Increase in Variable Portion of Capital via Capitalization of Reserves and Issuance of Treasury Shares

    For    For

Crystal Strategy Leverage Fund

   

CEMEX S.A.B. de C.V.

    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    4   

Elect Directors, Members and Chairmen of Audit, Corporate Practices and Finance Committees

    For    Against

Crystal Strategy Leverage Fund

   

CEMEX S.A.B. de C.V.

    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    5   

Approve Remuneration of Directors and Members of Audit, Corporate Practices and Finance Committees

    For    For

Crystal Strategy Leverage Fund

   

CEMEX S.A.B. de C.V.

    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    6   

Authorize Board to Ratify and Execute Approved Resolutions

    For    For

Crystal Strategy Leverage Fund

   

CEMEX S.A.B. de C.V.

    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    1   

Expand Corporate Purpose and Amend Article 2 Accordingly

    For    Against

Crystal Strategy Leverage Fund

   

CEMEX S.A.B. de C.V.

    CEMEXCPO    Mexico    151290889    Annual/Special    20-Mar-14    10-Feb-14    Management    2   

Authorize Board to Ratify and Execute Approved Resolutions

    For    Against

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    1a   

Elect Director Donald C. Cacciapaglia

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    1b   

Elect Director Donald A. Chubb, Jr.

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    1c   

Elect Director Maynard F. Oliverius

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    1d   

Elect Director Jerry B. Farley

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M209    Special    03-Apr-14    17-Jan-14    Management    2   

Approve Increase in Size of Board

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    1a   

Elect Director Donald C. Cacciapaglia

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    1b   

Elect Director Donald A. Chubb, Jr.

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    1c   

Elect Director Maynard F. Oliverius

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    1d   

Elect Director Jerry B. Farley

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M605    Special    03-Apr-14    17-Jan-14    Management    2   

Approve Increase in Size of Board

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    1a   

Elect Director Donald C. Cacciapaglia

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    1b   

Elect Director Donald A. Chubb, Jr.

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    1c   

Elect Director Maynard F. Oliverius

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    1d   

Elect Director Jerry B. Farley

    For    For

Crystal Strategy Leverage Fund

   

Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF

       USA    18383M613    Special    03-Apr-14    17-Jan-14    Management    2   

Approve Increase in Size of Board

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.1   

Elect Director Don M. Casto, III

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.2   

Elect Director Ann (‘Tanny’) B. Crane

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.3   

Elect Director Steven G. Elliott

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.4   

Elect Director Michael J. Endres

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.5   

Elect Director John B. Gerlach, Jr.

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.6   

Elect Director Peter J. Kight

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.7   

Elect Director Jonathan A. Levy

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.8   

Elect Director Richard W. Neu

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.9   

Elect Director David L. Porteous

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.10   

Elect Director Kathleen H. Ransier

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    1.11   

Elect Director Stephen D. Steinour

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    2   

Ratify Auditors

    For    For

Crystal Strategy Leverage Fund

   

Huntington Bancshares Incorporated

    HBAN    USA    446150104    Annual    17-Apr-14    12-Feb-14    Management    3   

Advisory Vote to Ratify Named Executive Officers’ Compensation

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.1   

Elect Director Richard D. Bronson

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.2   

Elect Director Jeffrey F. DiModica

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.3   

Elect Director Jeffrey G. Dishner

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.4   

Elect Director Camille J. Douglas

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.5   

Elect Director Boyd W. Fellows

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.6   

Elect Director Barry S. Sternlicht

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    1.7   

Elect Director Strauss Zelnick

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Management    3   

Ratify Auditors

    For    For

Crystal Strategy Leverage Fund

   

Starwood Property Trust, Inc.

    STWD    USA    85571B105    Annual    30-Apr-14    10-Mar-14    Share Holder    4   

Require Independent Board Chairman

    Against    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.1   

Elect Director Peter Marrone

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.2   

Elect Director Patrick J. Mars

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.3   

Elect Director John Begeman

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.4   

Elect Director Alexander Davidson

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.5   

Elect Director Richard Graff

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.6   

Elect Director Nigel Lees

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.7   

Elect Director Carl Renzoni

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    1.8   

Elect Director Dino Titaro

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    2   

Ratify Deloitte LLP as Auditors

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    3   

Adopt By-Law No. 1

    For    For

Crystal Strategy Leverage Fund

   

Yamana Gold Inc.

    YRI    Canada    98462Y100    Annual/Special    30-Apr-14    07-Mar-14    Management    4   

Advisory Vote on Executive Compensation Approach

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1a   

Elect Director Jared L. Cohon

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1b   

Elect Director J. Edward Coleman

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1c   

Elect Director Alison Davis

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1d   

Elect Director Nathaniel A. Davis

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1e   

Elect Director Denise K. Fletcher

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1f   

Elect Director Leslie F. Kenne

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1g   

Elect Director Lee D. Roberts

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    1h   

Elect Director Paul E. Weaver

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    2   

Ratify Auditors

    For    For

Crystal Strategy Leverage Fund

   

Unisys Corporation

    UIS    USA    909214306    Annual    01-May-14    03-Mar-14    Management    3   

Advisory Vote to Ratify Named Executive Officers’ Compensation

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1a   

Elect Director Herbert Wender

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1b   

Elect Director David C. Carney

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1c   

Elect Director Howard B. Culang

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1d   

Elect Director Lisa W. Hess

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1e   

Elect Director Stephen T. Hopkins

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1f   

Elect Director Sanford A. Ibrahim

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1g   

Elect Director Brian D. Montgomery

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1h   

Elect Director Gaetano Muzio

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1i   

Elect Director Jan Nicholson

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1j   

Elect Director Gregory V. Serio

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    1k   

Elect Director Noel J. Spiegel

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    3   

Approve Omnibus Stock Plan

    For    For

Crystal Strategy Leverage Fund

   

Radian Group Inc.

    RDN    USA    750236101    Annual    14-May-14    17-Mar-14    Management    4   

Ratify Auditors

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.1   

Elect Director Bruce B. Bingham

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.2   

Elect Director Christine C. Carsman

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.3   

Elect Director William E. Chapman, II

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.4   

Elect Director Edward J. Kaier

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.5   

Elect Director Kurt Keilhacker

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.6   

Elect Director Steven J. Paggioli

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.7   

Elect Director Richard F. Powers, III

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.8   

Elect Director Eric P. Rakowski

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.9   

Elect Director Victoria Sassine

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    1.10   

Elect Director Thomas R. Schneeweis

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    2   

Approve Investment Advisory Agreement

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    28-May-14    24-Jan-14    Management    3   

Approve the Manager-of-Managers Structure

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.1   

Elect Director Bradford B. Baker

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.2   

Elect Director Max H. Cohen

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.3   

Elect Director Mark D. Gordon

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.4   

Elect Director Mark B. Justh

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.5   

Elect Director David J. Saul

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.6   

Elect Director Jon D. Sawyer

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    1.7   

Elect Director Gregory P. Stemm

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

    For    For

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    3   

Approve Omnibus Stock Plan (Withdrawn)

      

Crystal Strategy Leverage Fund

   

Odyssey Marine Exploration, Inc.

    OMEX    USA    676118102    Annual    04-Jun-14    07-Apr-14    Management    4   

Ratify Auditors

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.1   

Elect Director Matthew Goldstein

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.2   

Elect Director John F. Finn

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.3   

Elect Director Robert J. Higgins

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.4   

Elect Director Peter C. Marshall

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.5   

Elect Director Mary E. Martinez

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.6   

Elect Director Marilyn McCoy

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.7   

Elect Director Mitchell M. Merin

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.8   

Elect Director William G. Morton, Jr.

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.9   

Elect Director Robert A. Oden, Jr.

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.10   

Elect Director Marian U. Pardo

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.11   

Elect Director Frederick W. Ruebeck

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.12   

Elect Director James J. Schonbachler

    For    For

Crystal Strategy Leverage Fund

   

JPMorgan Trust I

       USA    4812A4351    Special    10-Jun-14    21-Mar-14    Management    1.13   

Elect Director Frankie D. Hughes

    For    For

Crystal Strategy Leverage Fund

   

Aston Funds

       USA    00080Y462    Special    25-Jun-14    24-Apr-14    Management    1   

Approve Subadvisory Agreement Between Aston Asset Management, LP and River Road Asset Management, LLC

    For    For

Riverside Frontier Markets Fund

Vote Summary

 

 

PRESTARIANG BHD

 

    
  Security   Y707AR102   Meeting Type   Extraordinary General Meeting
  Ticker Symbol     Meeting Date   16-Apr-2014
  ISIN   MYL520400002   Agenda   705088222 - Management
  Record Date   10-Apr-2014   Holding Recon Date   10-Apr-2014
  City / Country   SELANGOR / Malaysia   Vote Deadline Date   04-Apr-2014
  SEDOL(s)   B6WFG06   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against

Management

 

    
 

1

  

Proposed bonus issue of 220,000,000 new

ordinary shares of RM0.10 each in Prestariang Berhad (“prestariang shares”) (“bonus shares”) to be credited as fully paid-up, on the basis of one (1) bonus share for every one (1) existing Prestariang share held by the entitled shareholders on an entitlement date to be determined and announced later (“proposed bonus issue”)

   Management   For   For  

 

           

Page 2 of 39

       23-Jul-2014

Vote Summary

 

 

KAZMUNAIGAS EXPLORATION PRODUCTION JSC, ASTANA

 

  Security   48666V204   Meeting Type   Annual General Meeting
  Ticker Symbol     Meeting Date   13-May-2014
  ISIN   US48666V2043   Agenda   705176700 - Management
  Record Date   14-Apr-2014   Holding Recon Date   14-Apr-2014
  City / Country   ASTANA / Kazakhstan   Vote Deadline Date   29-Apr-2014
  SEDOL(s)   B1FKV75 - B1FSCP4 - BJ04DL6   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against

Management

 

    
  1   APPROVE CONSOLIDATED FINANCIAL STATEMENTS   Management   For   For  
  2   APPROVE ALLOCATION OF INCOME AND DIVIDENDS   Management   For   For  
  3   APPROVE ANNUAL REPORT   Management   For   For  
  4   RECEIVE RESULTS OF SHAREHOLDERS APPEALS ON ACTIONS OF COMPANY AND ITS OFFICIALS   Management   For   For  
  5   RECEIVE REPORT ON REMUNERATION OF DIRECTORS AND MEMBERS OF MANAGEMENT BOARD IN 2013   Management   For   For  
  6   APPROVE REPORT ON ACTIVITIES OF BOARD OF DIRECTORS AND MANAGEMENT BOARD IN FISCAL 2013   Management   For   For  
  7   RATIFY AUDITOR   Management   For   For  
  CMMT   21 APR 2014: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE-WILL BE A SECOND CALL ON 14 MAY 2014 AT 10:00 AM. CONSEQUENTLY, YOUR VOTING l-NSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THAN-K YOU   Non-Voting      
  CMMT   21 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF QUORUM COMM-ENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS Y-OU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU   Non-Voting      

 

           

Page 11 of 39

       23-Jul-2014

Vote Summary

 

 

KAZMUNAIGAS EXPLORATION PRODUCTION JSC, ASTANA

 

  Security   48666V204   Meeting Type   Extraordinary General Meeting
  Ticker Symbol     Meeting Date   14-Apr-2014
  ISIN   US48666V2043   Agenda   705091027 - Management
  Record Date   14-Mar-2014   Holding Recon Date   14-Mar-2014
  City / Country   ASTANA / Kazakhstan   Vote Deadline Date   02-Apr-2014
  SEDOL(s)   B1FKV75 - B1FSCP4 - BJ04DL6   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against

Management

 

    
  CMMT   PLEASE NOTE THAT CUMULATIVE VOTING APPLIES TO THIS RESOLUTION REGARDING THE-ELECTION OF DIRECTORS. STANDING INSTRUCTIONS HAVE BEEN REMOVED FOR THIS-MEETING. PLEASE NOTE THAT ONLY A VOTE “FOR” THE DIRECTOR WILL BE CUMULATED.-PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE IF YOU HAVE ANY QUESTIONS.   Non-Voting      
  1.1   ELECT DANIYAR BERLIBAYEV AS DIRECTOR   Management   For   For  
  1.2   ELECT TIMUR BIMAGAMBETOV AS DIRECTOR   Management   For   For  
  1.3   ELECT ASIYA SYRGABEKOVA AS DIRECTOR   Management   For   For  
  1.4   ELECT YERZHAN ZHANGAULOV AS DIRECTOR   Management   For   For  
  1.5   ELECT ABAT NURSEITOV AS DIRECTOR   Management   For   For  
  1.6   ELECT PHILIP DAYER AS DIRECTOR   Management   For   For  
  1.7   ELECT EDWARD WALSHE AS DIRECTOR   Management   For   For  
  1.8   ELECT ALASTAIR FERGUSON AS DIRECTOR   Management   For   For  
  2   APPROVE REMUNERATION OF DIRECTORS   Management   For   For  
  CMMT   03 APR 2014: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE-WILL BE A SECOND CALL ON 15 APR 2014. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS-WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU.   Non-Voting      
  CMMT   03 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF QUORUM COMM-ENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY F-ORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.   Non-Voting      

 

           

Page 1 of 39

       23-Jul-2014

Vote Summary

 

 

MALAYSIA BUILDING SOCIETY BHD MBS

 

  Security   Y56103107   Meeting Type   Annual General Meeting
  Ticker Symbol     Meeting Date   22-Apr-2014
  ISIN   MYL117100007   Agenda   705087840 - Management
  Record Date   15-Apr-2014   Holding Recon Date   15-Apr-2014
  City / Country   KUALALUMPUR / Malaysia   Vote Deadline Date   15-Apr-2014
  SEDOL(s)   6556789   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1   To receive and adopt the Audited Financial Statements of the Company and of the Group for the year ended 31 December 2013 and Reports of the Directors and Auditors thereon   Management   For   For  
  2   To declare a Single-Tier Final Dividend of 5% for the financial year ended 31 December 2013   Management   For   For  
  3   To approve payment of Directors’ Fees amounting to RM586,667.00 for the financial year ended 31 December 2013   Management   For   For  
  4   To re-elect the following Director who retire in accordance with Article 86 of the Company’s Articles of Association and who being eligible offer himself for re-election: Encik Lim Tian Huat   Management   For   For  
  5   To re-elect the following Director who retire in accordance with Article 78 of the Company’s Articles of Association and who being eligible offer herself for re-election: Cik Ravinder Kaur a/p Mahan Singh   Management   For   For  
  6   That YBhg Tan Sri Abdul Halim bin Ali, retiring pursuant to Section 129 (6) of the Companies Act, 1965, be re-appointed a Director of the Company to hold office until the next Annual General Meeting   Management   For   For  
  7   To re-appoint Messrs Ernst & Young as Auditors of the Company and to authorise the Directors to determine their remuneration   Management   For   For  
  8   Authority to Directors to issue shares   Management   For   For  
  9   Allotment and issuance of new Ordinary Shares of RM1.00 each in MBSB (“MBSB Shares”) in relation to the dividend reinvestment plan that allows shareholders of MBSB (“Shareholders”) to reinvest their dividend to which the dividend reinvestment plan applies, in new Ordinary Shares of RM1.00 each in MBSB (“Dividend Reinvestment Plan”)   Management   For   For  

 

           

Page 3 of 39

       23-Jul-2014

Vote Summary

 

 

GLOBETRONICS TECHNOLOGY BHD

 

  Security   Y2725L106   Meeting Type   Annual General Meeting
  Ticker Symbol     Meeting Date   20-May-2014
  ISIN   MYL702200006   Agenda   705216427 - Management
  Record Date   12-May-2014   Holding Recon Date   12-May-2014
  City / Country   PENANG / Malaysia   Vote Deadline Date   06-May-2014
  SEDOL(s)   6071174 - B00NYQ2 - B02GQY1   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1   THAT DATO’ NG KWENG MOH, A DIRECTOR WHO RETIRES PURSUANT TO SECTION 129(2) OF THE COMPANIES ACT, 1965 BE AND IS HEREBY RE-APPOINTED AS A DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY   Management   For   For  
  2   THAT MR. NG KWENG TONG, A DIRECTOR WHO RETIRES PURSUANT TO SECTION 129(2) OF THE COMPANIES ACT, 1965 BE AND IS HEREBY RE-APPOINTED AS A DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY   Management   For   For  
  3   TO RE-ELECT DATO’ NORHALIM BIN YUNUS, A DIRECTOR WHO RETIRES BY ROTATION IN ACCORDANCE WITH ARTICLE 80 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND WHO, BEING ELIGIBLE, OFFER HIMSELF FOR RE-ELECTION   Management   For   For  
  4   TO RE-ELECT MS. LAM VOON KEAN, A DIRECTOR WHO RETIRES IN ACCORDANCE WITH ARTICLE 87 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND WHO, BEING ELIGIBLE, OFFER HERSELF FOR RE- ELECTION   Management   For   For  
  5   TO APPROVE THE INCREASE IN DIRECTORS’ FEES AND THE PAYMENT OF DIRECTORS’ FEES FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2013   Management   For   For  
  6   TO APPROVE THE PAYMENT OF A SINGLE TIER FINAL DIVIDEND OF 4% PER ORDINARY SHARE OF RM0.50 EACH AND A SPECIAL DIVIDEND OF 4% PER ORDINARY SHARE OF RM0.50 EACH FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2013   Management   For   For  
  7   TO RE-APPOINT MESSRS. KPMG AS AUDITORS OF THE COMPANY UNTIL THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION   Management   For   For  

 

           

Page 15 of 39

       23-Jul-2014

Vote Summary

 

 

GLOBETRONICS TECHNOLOGY BHD

 

  Security   Y2725L106   Meeting Type   Extraordinary General Meeting
  Ticker Symbol     Meeting Date   20-May-2014
  ISIN   MYL702200006   Agenda   705212518 - Management
  Record Date   12-May-2014   Holding Recon Date   12-May-2014
  City / Country   PENANG / Malaysia   Vote Deadline Date   09-May-2014
  SEDOL(s)   6071174 - B00NYQ2 - B02GQY1   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against

Management

 

    
  1   PROPOSED ESTABLISHMENT OF A NEW EMPLOYEES’ SHARE OPTION SCHEME OF UP TO TEN PERCENT (10%) OF THE ISSUED AND PAID-UP ORDINARY SHARE CAPITAL OF THE COMPANY (“PROPOSED NEW ESOS”)   Management   For   For  
  2   PROPOSED GRANTING OF OPTIONS TO NG KWENG CHONG   Management   For   For  
  3   PROPOSED GRANTING OF OPTIONS TO HENG HUCK LEE   Management   For   For  
  4   PROPOSED GRANTING OF OPTIONS TO NG KOK YU   Management   For   For  
  5   PROPOSED GRANTING OF OPTIONS TO HENG CHARNG SUH   Management   For   For  
  6   PROPOSED GRANTING OF OPTIONS TO HENG CHARNG YEE   Management   For   For  
  7   PROPOSED GRANTING OF OPTIONS TO NG KOK CHOONG   Management   For   For  

 

           

Page 16 of 39

       23-Jul-2014

Vote Summary

 

 

HAP SENG CONSOLIDATED BHD

 

  Security   Y6579W100   Meeting Type   Annual General Meeting
  Ticker Symbol     Meeting Date   28-May-2014
  ISIN   MYL303400005   Agenda   705234300 - Management
  Record Date   21-May-2014   Holding Recon Date   21-May-2014
  City / Country   KUALALUMPUR / Malaysia   Vote Deadline Date   16-May-2014
  SEDOL(s)   6297743 - B2RK642   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against

Management

 

    
  1   TO REAPPOINT DATO’ JORGEN BORNHOFT PURSUANT TO SECTION 129(6) OF THE COMPANIES ACT, 1965 AS DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY   Management   For   For  
  2   TO RE-ELECT DATUK EDWARD LEE MING FOO, JP WHO SHALL RETIRE IN ACCORDANCE WITH ARTICLE 97 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, HAS OFFERED HIMSELF FOR RE-ELECTION   Management   For   For  
  3   TO RE-ELECT MR. LEE WEE YONG WHO SHALL RETIRE IN ACCORDANCE WITH ARTICLE 97 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, HAS OFFERED HIMSELF FOR RE-ELECTION   Management   For   For  
  4   TO APPROVE THE PAYMENT OF DIRECTORS’ FEES OF RM472,500.00 FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2013   Management   For   For  
  5   TO REAPPOINT MESSRS ERNST & YOUNG AS AUDITORS OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AT A REMUNERATION TO BE DETERMINED BY THE DIRECTORS OF THE COMPANY   Management   For   For  
  6   AUTHORITY TO ALLOT AND ISSUE SHARES PURSUANT TO SECTION 132D OF THE COMPANIES ACT, 1965   Management   For   For  
  7   CONTINUATION OF INDEPENDENT NON-EXECUTIVE CHAIRMAN :DATO’ JORGEN BORNHOFT   Management   For   For  
  CMMT   30 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION TO TEXT O-F RESOLUTION 7. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGA-IN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.   Non-Voting      

 

           

Page 19 of 39

       23-Jul-2014

Vote Summary

 

 

HAP SENG CONSOLIDATED BHD

 

  Security   Y6579W100   Meeting Type   Extraordinary General Meeting
  Ticker Symbol     Meeting Date   28-May-2014
  ISIN   MYL303400005   Agenda   705234297 - Management
  Record Date   21-May-2014   Holding Recon Date   21-May-2014
  City / Country   KUALALUMPUR / Malaysia   Vote Deadline Date   16-May-2014
  SEDOL(s)   6297743 - B2RK642   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against

Management

 

    
  O.1   THAT THE PROPOSED RENEWAL OF AND NEW SHAREHOLDERS MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS WITH GEK POH (HOLDINGS) SDN BHD GROUP BE AND IS HEREBY APPROVED   Management   For   For  
  O.2   THAT THE PROPOSED RENEWAL OF AND NEW SHAREHOLDERS MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS WITH LEI SHING HONG LIMITED GROUP BE AND IS HEREBY APPROVED   Management   For   For  
  O.3   THAT THE PROPOSED RENEWAL OF AND NEW SHAREHOLDERS MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS WITH SAMLING STRATEGIC CORPORATION SDN BHD GROUP, LINGUI DEVELOPMENTS BERHAD GROUP AND GLENEALY PLANTATIONS (MALAYA) BERHAD GROUP BE AND IS HEREBY APPROVED   Management   For   For  
  O.4   THAT THE PROPOSED RENEWAL OF AND NEW SHAREHOLDERS MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS WITH CORPORATED INTERNATIONAL CONSULTANT BE AND IS HEREBY APPROVED   Management   For   For  
  S.1   PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY   Management   For   For  
  O.5   PROPOSED RENEWAL OF SHARE BUY-BACK AUTHORITY   Management   For   For  

 

           

Page 20 of 39

       23-Jul-2014

Vote Summary

 

 

TOTAL GABON, PORT GENTIL

 

  Security   V9047L105      Meeting Type   Annual General Meeting
  Ticker Symbol        Meeting Date   28-May-2014
  ISIN   GA0000121459      Agenda   705263337 - Management
  Record Date        Holding Recon Date   26-May-2014
  City /    Country   TBD        / Gabon   Blocking    Vote Deadline Date   19-May-2014
  SEDOL(s)   4309781 - B01XSM5 - B030RZ0 - B28ZZB6    Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against

Management

 

    
  1   APPROVAL OF THE ANNUAL FINANCIAL STATEMENTS AND THE BALANCE SHEET FOR THE 2013 FINANCIAL YEAR-REVIEW OF THE REPORT OF THE STATUTORY AUDITORS ON THE REGULATED AGREEMENTS AND APPROVAL OF THE AGREEMENTS THEREIN   Management   For   For  
  2   ALLOCATION OF INCOME   Management   For   For  
  3   RATIFICATION OF THE COOPTATION OF MR. OLIVIER MIHINDOU AS DIRECTOR, REPLACING MR. HENRI-MAX NDONG-NZUE WHO RESIGNED   Management   For   For  
  4   RATIFICATION OF THE COOPTATION OF MR. ALEXANDRE MAILLARD AS DIRECTOR, REPLACING MR. PHILIPPE LE TARO WHO RESIGNED   Management   For   For  
  5   RATIFICATION OF THE COOPTATION OF MR. GUY MAURICE AS DIRECTOR, REPLACING MR. JACQUES MARRAUD DES GROTTES WHO RESIGNED   Management   For   For  
  6   RENEWAL OF TERM OF MR. BENOIT CHAGUE AS DIRECTOR   Management   For   For  
  7   RENEWAL OF TERM OF REPUBLIQUE GABONAISE AS DIRECTOR   Management   For   For  
  8   RENEWAL OF TERM OF MR. ALEXANDRE MAILLARD AS DIRECTOR   Management   For   For  
  9   RENEWAL OF TERM OF MR. THEODORE IYEZE AS DIRECTOR   Management   For   For  
  10   SETTING THE TOTAL COMPENSATION TO BE PAID TO THE STATUTORY AUDITORS FOR THEIR REPORTS ON THE 2013 FINANCIAL STATEMENTS AT EUR 75,400   Management   For   For  
  11   SETTING THE AMOUNT OF ATTENDANCE ALLOWANCES TO BE ALLOCATED TO THE DIRECTORS   Management   For   For  
  12   POWERS TO THE BEARER OF A COPY OR AN EXTRACT OF THE MINUTES OF THIS MEETING TO CARRY OUT ALL LEGAL FORMALITIES   Management   For   For  
  CMMT   08 MAY 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN BLOCKING TAG-TO Y. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS-YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.   Non-Voting      

 

 

           

Page 24 of 39

       23-Jul-2014

Vote Summary

 

 

RAS AL KHAIMAH CERAMIC CO (RAK CERAMICS), RAS AL K

 

  Security   M82052107   Meeting Type   Extraordinary General Meeting
  Ticker Symbol     Meeting Date   12-Jun-2014
  ISIN   AER000301013   Agenda   705316621 - Management
  Record Date   11-Jun-2014   Holding Recon Date   11-Jun-2014
  City / Country   RASALKHIMAH /United Arab Emirates   Vote Deadline Date   05-Jun-2014
  SEDOL(s)   6706636   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  1   DISCUSS AND APPROVE CLAUSE 7 OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY   Management   For   For  
  2   DISCUSS AND APPROVE CLAUSE 21 OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY   Management   For   For  
  3   DISCUSS AND APPROVE CLAUSE 66 OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY   Management   For   For  
  CMMT   26 MAY 2014: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE-WILL BE A SECOND CALL ON 19 JUN 2014 (AND A THIRD CALL ON 20 JUL 2014). CONSE-QUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE A-GENDA IS AMENDED. THANK YOU.   Non-Voting      
  CMMT   26 MAY 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF QUORUM COMM-ENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS Y-OU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.   Non-Voting      

 

           

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       23-Jul-2014

Vote Summary

 

 

DELEUM BERHAD

 

  Security   Y2026U102   Meeting Type   Annual General Meeting
  Ticker Symbol     Meeting Date   27-May-2014
  ISIN   MYL51320 0005   Agenda   705254756 - Management
  Record Date   20-May-2014   Holding Recon Date   20-May-2014
  City / Country   KUALALUMPUR / Malaysia   Vote Deadline Date   15-May-2014
  SEDOL(s)   B1Y9MF8   Quick Code  

 

     Item   Proposal   Type   Vote  

For/Against
Management

 

    
  0.1   TO RE-ELECT THE DIRECTOR WHO RETIRE BY ROTATION PURSUANT TO ARTICLE 78 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, OFFER HIMSELF FOR RE-ELECTION: CHIN KWAI YOONG   Management   For   For  
  0.2   TO RE-ELECT THE DIRECTOR WHO RETIRE BY ROTATION PURSUANT TO ARTICLE 78 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, OFFER HIMSELF FOR RE-ELECTION: TAN SRI DATO’ SERI ABDUL GHANI BIN ABDUL AZIZ   Management   For   For  
  0.3   TO RE-ELECT DATUK IR (DR) ABDUL RAHIM BIN HASHIM WHO RETIRES PURSUANT TO ARTICLE 76 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, OFFERS HIMSELF FOR RE-ELECTION   Management   For   For  
  0.4   TO APPROVE THE PAYMENT OF THE DIRECTORS’ FEES OF RM924.475 IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2013. 2012: RM811.664   Management   For   For  
  0.5   TO RE-APPOINT MESSRS PRICEWATERHOUSECOOPERS AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION   Management   For   For  
  0.6   THAT DATO’ IZHAM BIN MAHMUD, BEING OVER THE AGE OF 70 YEARS AND RETIRING IN ACCORDANCE WITH SECTION 129(2) OF THE COMPANIES ACT, 1965, BE AND IS HEREBY RE-APPOINTED A DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING   Management   For   For  
  0.7   THAT DATUK VIVEKANANTHAN A/L M.V. NATHAN, BEING OVER THE AGE OF 70 YEARS AND RETIRING IN ACCORDANCE WITH SECTION 129(2) OF THE COMPANIES ACT, 1965, BE AND IS HEREBY REAPPOINTED A DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING   Management   For   For  
  0.8   AUTHORITY TO ALLOT AND ISSUE SHARES PURSUANT TO SECTION 132D OF THE COMPANIES ACT, 1965   Management   For   For  

 

           

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Vote Summary

 

  0.9   PROPOSED RENEWAL OF SHAREHOLDERS’ MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS OF A REVENUE OR TRADING NATURE AS SET OUT UNDER SECTION 2.5(1) OF THE CIRCULAR TO SHAREHOLDERS DATED 5 MAY 2014   Management   For   For  
  0.10   PROPOSED RENEWAL OF SHAREHOLDERS’ MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS OF A REVENUE OR TRADING NATURE AS SET OUT UNDER SECTION 2.5(2) OF THE CIRCULAR TO SHAREHOLDERS DATED 5 MAY 2014   Management   For   For  
  0.11   PROPOSED BONUS ISSUE   Management   For   For  
  0.12   PROPOSED SHARE SPLIT   Management   For   For  
  0.13   PROPOSED ESTABLISHMENT OF A LONG-TERM INCENTIVE PLAN FOR THE EXECUTIVE DIRECTORS OF THE COMPANY AND THE KEY EMPLOYEES OF THE COMPANY AND ITS SUBSIDIARIES   Management   For   For  
  0.14   PROPOSED LTIP AWARD TO NAN YUSRI BIN NAN RAHIMY   Management   For   For  
  0.15   PROPOSED LTIP AWARD TO TAN SRI DATO’ SERI ABDUL GHANI BIN ABDUL AZIZ   Management   For   For  
  S.1   PROPOSED AMENDMENTS TO THE MEMORANDUM OF ASSOCIATION   Management   For   For  

 

           

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       23-Jul-2014

SIGNATURE

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

ALPS Series Trust

By:

   /s/ Jeremy O. May
  Jeremy O. May
  President

Date:

   August 29, 2014

 

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