N-PX 1 d402274dnpx.htm FORM N-PX Form N-PX

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF

REGISTERED MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number: 811-173

 

Dodge & Cox Funds
(Exact name of registrant as specified in charter)
555 California Street
40th Floor
San Francisco, CA 94104
(Address of principal executive offices)
Thomas M. Mistele, Esq.
Secretary
555 California Street
40th Floor
San Francisco, CA 94104
(Name and address of agent for service)

 

Registrant’s telephone number, including area code: (415) 981-1710

 

Date of Fiscal year-end: 12/31/2012

 

Date of reporting period: 7/1/2011 - 6/30/2012

 

Item 1. Proxy Voting Record

 

Dodge & Cox Balanced Fund

 

ADOBE SYSTEMS, INC.

 

Ticker:    ADBE    Security ID:    00724F101
Meeting Date:    APR 12, 2012    Meeting Type:    Annual
Record Date:    FEB 15, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Edward W. Barnholt    For    For    Management
2    Elect Director Michael R. Cannon    For    For    Management
3    Elect Director James E. Daley    For    For    Management
4    Elect Director Charles M. Geschke    For    For    Management
5    Elect Director Shantanu Narayen    For    For    Management
6    Amend Omnibus Stock Plan    For    For    Management
7    Ratify Auditors    For    For    Management
8    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management

 

AEGON NV

 

Ticker:    AEG    Security ID:    007924103
Meeting Date:    MAY 16, 2012    Meeting Type:    Annual
Record Date:    MAR 20, 2012          

 

#

   

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Mgt Rec

   

Vote Cast

   

Sponsor

1    Open Meeting (Non-Voting)    None    None    Management
2    Presentation on the Course of Business in 2011 (Non-Voting)    None    None    Management
3.1    Receive Report of Management Board (Non-Voting)    None    None    Management
3.2    Adopt Financial Statements    For    For    Management
4    Approve Dividends of EUR 0.10 Per Share    For    For    Management
5    Approve Discharge of Management Board    For    For    Management
6    Approve Discharge of Supervisory Board    For    For    Management
7    Ratify Ernst and Young as Auditors    For    For    Management
8    Re-elect I.W. Bailey to Supervisory Board    For    For    Management
9    Re-elect R.J. Routs to Supervisory Board    For    For    Management
10    Re-elect B. van der Veer to Supervisory Board    For    For    Management
11    Re-elect D.P.M. Verbeek to Supervisory Board    For    For    Management
12    Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital Plus Additional 10 Percent in Case of Takeover/Merger    For    For    Management
13    Authorize Board to Exclude Preemptive Rights from Issuance under Item 12    For    For    Management
14    Authorize Board to Issue Shares Up To 1 Percent of Issued Capital Under Incentive Plans    For    For    Management
15    Authorize Repurchase of Up to 10 Percent of Issued Share Capital    For    For    Management
16    Other Business (Non-Voting)    None    None    Management
17    Close Meeting (Non-Voting)    None    None    Management

 

Page 1

AMGEN, INC.

 

Ticker:    AMGN    Security ID:    031162100
Meeting Date:    MAY 23, 2012    Meeting Type:    Annual
Record Date:    MAR 26, 2012          

 

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Vote Cast

   

Sponsor

1    Elect Director David Baltimore    For    For    Management
2    Elect Director Frank J. Biondi, Jr.    For    For    Management
3    Elect Director Robert A. Bradway    For    For    Management
4    Elect Director Francois De Carbonnel    For    For    Management
5    Elect Director Vance D. Coffman    For    For    Management
6    Elect Director Rebecca M. Henderson    For    For    Management
7    Elect Director Frank C. Herringer    For    For    Management
8    Elect Director Tyler Jacks    For    For    Management
9    Elect Director Gilbert S. Omenn    For    For    Management
10    Elect Director Judith C. Pelham    For    For    Management
11    Elect Director J. Paul Reason    For    For    Management
12    Elect Director Leonard D. Schaeffer    For    For    Management
13    Elect Director Kevin W. Sharer    For    For    Management
14    Elect Director Ronald D. Sugar    For    For    Management
15    Ratify Auditors    For    For    Management
16    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
17    Provide Right to Act by Written Consent    For    For    Management
18    Require Independent Board Chairman    Against    Against    Shareholder
19    Report on Research Animal Care and Promotion of Testing Alternatives    Against    Against    Shareholder
20    Report on Lobbying Payments and Policy    Against    Against    Shareholder
21    Limit CEO to Serving on only One Other Board    Against    Against    Shareholder

 

AOL, INC.

 

Ticker:    AOL    Security ID:    00184X105
Meeting Date:    JUN 14, 2012    Meeting Type:    Proxy Contest
Record Date:    APR 18, 2012          

 

#

   

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Vote Cast

   

Sponsor

1.1    Elect Director Tim Armstrong    For    For    Management
1.2    Elect Director Richard Dalzell    For    For    Management
1.3    Elect Director Karen Dykstra    For    For    Management
1.4    Elect Director Alberto Ibarguen    For    For    Management
1.5    Elect Director Susan Lyne    For    For    Management
1.6    Elect Director Patricia Mitchell    For    For    Management
1.7    Elect Director Fredric Reynolds    For    For    Management
1.8    Elect Director James Stengel    For    For    Management
2    Ratify Auditors    For    For    Management
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
4    Amend Omnibus Stock Plan    For    For    Management
5    Approve Non-qualified Employee Stock Purchase Plan Dissident Proxy    For    For    Management
1.1    Elect Director Dennis A. Miller    For    Not Voted    Shareholder
1.2    Elect Director Jeffrey C. Smith    For    Not Voted    Shareholder
1.3    Elect Director James A. Warner    For    Not Voted    Shareholder
1.4    Management Nominee - Tim Armstrong    For    Not Voted    Shareholder

 

Page 2

1.5    Management Nominee - Richard Dalzell    For    Not Voted    Shareholder
1.6    Management Nominee - Karen Dykstra    For    Not Voted    Shareholder
1.7    Management Nominee - Susan Lyne    For    Not Voted    Shareholder
1.8    Management Nominee - Fredric Reynolds    For    Not Voted    Shareholder
2    Ratify Auditors    None    Not Voted    Shareholder
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    None    Not Voted    Shareholder
4    Amend Omnibus Stock Plan    None    Not Voted    Shareholder
5    Approve Non-qualified Employee Stock Purchase Plan    None    Not Voted    Shareholder

 

BAKER HUGHES, INC.

 

Ticker:    BHI    Security ID:    057224107
Meeting Date:    APR 26, 2012    Meeting Type:    Annual
Record Date:    MAR 01, 2012          

 

#

   

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Vote Cast

   

Sponsor

1.1    Elect Director Larry D. Brady    For    For    Management
1.2    Elect Director Clarence P. Cazalot, Jr.    For    For    Management
1.3    Elect Director Martin S. Craighead    For    For    Management
1.4    Elect Director Chad C. Deaton    For    For    Management
1.5    Elect Director Anthony G. Fernandes    For    For    Management
1.6    Elect Director Claire W. Gargalli    For    For    Management
1.7    Elect Director Pierre H. Jungels    For    For    Management
1.8    Elect Director James A. Lash    For    For    Management
1.9    Elect Director J. Larry Nichols    For    For    Management
1.10    Elect Director H. John Riley, Jr.    For    For    Management
1.11    Elect Director J. W. Stewart    For    For    Management
1.12    Elect Director Charles L. Watson    For    For    Management
2    Ratify Auditors    For    For    Management
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
4    Require a Majority Vote for the Election of Directors    Against    For    Shareholder

 

BANK OF AMERICA CORP.

 

Ticker:    BAC    Security ID:    060505104
Meeting Date:    MAY 09, 2012    Meeting Type:    Annual
Record Date:    MAR 14, 2012          

 

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Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Mukesh D. Ambani    For    For    Management
2    Elect Director Susan S. Bies    For    For    Management
3    Elect Director Frank P. Bramble, Sr.    For    For    Management
4    Elect Director Virgis W. Colbert    For    For    Management
5    Elect Director Charles K. Gifford    For    For    Management
6    Elect Director Charles O. Holliday, Jr.    For    For    Management
7    Elect Director Monica C. Lozano    For    For    Management
8    Elect Director Thomas J. May    For    For    Management
9    Elect Director Brian T. Moynihan    For    For    Management
10    Elect Director Donald E. Powell    For    For    Management
11    Elect Director Charles O. Rossotti    For    For    Management
12    Elect Director Robert W. Scully    For    For    Management
13    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management

 

Page 3

14    Ratify Auditors    For    For    Management
15    Disclose Prior Government Service    Against    Against    Shareholder
16    Report on Lobbying Payments and Policy    Against    Against    Shareholder
17    Stock Retention/Holding Period    Against    Against    Shareholder
18    Require Audit Committee Review and Report on Controls Related to Loans, Foreclosure and Securitizations    Against    Against    Shareholder
19    Prohibit Political Contributions    Against    Against    Shareholder

 

BANK OF NEW YORK MELLON CORP.

 

Ticker:    BK    Security ID:    064058100
Meeting Date:    APR 10, 2012    Meeting Type:    Annual
Record Date:    FEB 10, 2012          

 

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Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Ruth E. Bruch    For    For    Management
2    Elect Director Nicholas M. Donofrio    For    For    Management
3    Elect Director Gerald L. Hassell    For    For    Management
4    Elect Director Edmund F. Kelly    For    For    Management
5    Elect Director Richard J. Kogan    For    For    Management
6    Elect Director Michael J. Kowalski    For    For    Management
7    Elect Director John A. Luke, Jr.    For    For    Management
8    Elect Director Mark A. Nordenberg    For    For    Management
9    Elect Director Catherine A. Rein    For    For    Management
10    Elect Director William C. Richardson    For    For    Management
11    Elect Director Samuel C. Scott, III    For    For    Management
12    Elect Director Wesley W. von Schack    For    For    Management
13    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
14    Ratify Auditors    For    For    Management
15    Require Independent Board Chairman    Against    Against    Shareholder
16    Restore or Provide for Cumulative Voting    Against    Against    Shareholder

 

BB&T CORP.

 

Ticker:    BBT    Security ID:    054937107
Meeting Date:    APR 24, 2012    Meeting Type:    Annual
Record Date:    FEB 22, 2012          

 

#

   

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Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director John A. Allison, IV    For    For    Management
1.2    Elect Director Jennifer S. Banner    For    For    Management
1.3    Elect Director K. David Boyer, Jr.    For    For    Management
1.4    Elect Director Anna R. Cablik    For    For    Management
1.5    Elect Director Ronald E. Deal    For    For    Management
1.6    Elect Director J.L. Glover, Jr.    For    For    Management
1.7    Elect Director Jane P. Helm    For    For    Management
1.8    Elect Director John P. Howe, III    For    For    Management
1.9    Elect Director Kelly S. King    For    For    Management
1.10    Elect Director Valeria Lynch Lee    For    For    Management
1.11    Elect Director Nido R. Qubein    For    For    Management
1.12    Elect Director Thomas E. Skains    For    For    Management
1.13    Elect Director Thomas N. Thompson    For    For    Management
1.14    Elect Director Edwin H. Welch    For    For    Management
1.15    Elect Director Stephen T. Williams    For    For    Management

 

Page 4

2    Approve Omnibus Stock Plan    For    For    Management
3    Ratify Auditors    For    For    Management
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
5    Report on Political Contributions    Against    Against    Shareholder
6    Require a Majority Vote for the Election of Directors    Against    For    Shareholder

 

BMC SOFTWARE, INC.

 

Ticker:    BMC    Security ID:    055921100
Meeting Date:    JUL 21, 2011    Meeting Type:    Annual
Record Date:    MAY 25, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Robert E. Beauchamp    For    For    Management
2    Elect Director Jon E. Barfield    For    For    Management
3    Elect Director Gary L. Bloom    For    For    Management
4    Elect Director Meldon K. Gafner    For    For    Management
5    Elect Director Mark J. Hawkins    For    For    Management
6    Elect Director Stephan A. James    For    For    Management
7    Elect Director P. Thomas Jenkins    For    For    Management
8    Elect Director Louis J. Lavigne, Jr.    For    For    Management
9    Elect Director Kathleen A. O’Neil    For    For    Management
10    Elect Director Tom C. Tinsley    For    For    Management
11    Amend Omnibus Stock Plan    For    For    Management
12    Ratify Auditors    For    For    Management
13    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
14    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management

 

BOSTON SCIENTIFIC CORP.

 

Ticker:    BSX    Security ID:    101137107
Meeting Date:    MAY 08, 2012    Meeting Type:    Annual
Record Date:    MAR 16, 2012          

 

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Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Katharine T. Bartlett    For    For    Management
1.2    Elect Director Bruce L. Byrnes    For    For    Management
1.3    Elect Director Nelda J. Connors    For    For    Management
1.4    Elect Director Kristina M. Johnson    For    For    Management
1.5    Elect Director William H. Kucheman    For    For    Management
1.6    Elect Director Ernest Mario    For    For    Management
1.7    Elect Director N.J. Nicholas, Jr.    For    For    Management
1.8    Elect Director Pete M. Nicholas    For    For    Management
1.9    Elect Director Uwe E. Reinhardt    For    For    Management
1.10    Elect Director John E. Sununu    For    For    Management
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
3    Ratify Auditors    For    For    Management
4    Adopt Majority Voting for Uncontested Election of Directors    For    For    Management

 

Page 5

CADENCE DESIGN SYSTEMS, INC.

 

Ticker:    CDNS    Security ID:    127387108
Meeting Date:    MAY 04, 2012    Meeting Type:    Annual
Record Date:    MAR 06, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Susan L. Bostrom    For    For    Management
2    Elect Director Donald L. Lucas    For    For    Management
3    Elect Director James D. Plummer    For    For    Management
4    Elect Director Alberto Sangiovanni-Vincentelli    For    For    Management
5    Elect Director George M. Scalise    For    For    Management
6    Elect Director John B. Shoven    For    For    Management
7    Elect Director Roger S. Siboni    For    For    Management
8    Elect Director Lip-Bu Tan    For    For    Management
9    Amend Non-Employee Director Omnibus Stock Plan    For    For    Management
10    Amend Non-Employee Director Omnibus Stock Plan    For    For    Management
11    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
12    Ratify Auditors    For    For    Management

 

CAPITAL ONE FINANCIAL CORP.

 

Ticker:    COF    Security ID:    14040H105
Meeting Date:    MAY 08, 2012    Meeting Type:    Annual
Record Date:    MAR 13, 2012          

 

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Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Richard D. Fairbank    For    For    Management
2    Elect Director Peter E. Raskind    For    For    Management
3    Elect Director Bradford H. Warner    For    For    Management
4    Ratify Auditors    For    For    Management
5    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
6    Amend Non-qualified Employee Stock Purchase Plan    For    For    Management

 

CARMAX, INC.

 

Ticker:    KMX    Security ID:    143130102
Meeting Date:    JUN 25, 2012    Meeting Type:    Annual
Record Date:    APR 20, 2012          

 

#

   

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Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Jeffrey E. Garten    For    For    Management
1.2    Elect Director Vivian M. Stephenson    For    For    Management
1.3    Elect Director Beth A. Stewart    For    For    Management
1.4    Elect Director William R. Tiefel    For    For    Management
2    Ratify Auditors    For    For    Management
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
4    Amend Omnibus Stock Plan    For    For    Management
5    Amend Executive Incentive Bonus Plan    For    For    Management
6    Declassify the Board of Directors    Against    For    Shareholder

 

Page 6

CELANESE CORP.

 

Ticker:    CE    Security ID:    150870103
Meeting Date:    APR 19, 2012    Meeting Type:    Annual
Record Date:    FEB 21, 2012          

 

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Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director James E. Barlett    For    For    Management
2    Elect Director David F. Hoffmeister    For    For    Management
3    Elect Director Paul H. O’Neill    For    For    Management
4    Elect Director Jay V. Ihlenfeld    For    For    Management
5    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
6    Amend Omnibus Stock Plan    For    For    Management
7    Ratify Auditors    For    For    Management

 

CEMEX SAB DE CV

 

Ticker:    CX    Security ID:    151290889
Meeting Date:    NOV 14, 2011    Meeting Type:    Special
Record Date:    OCT 14, 2011          

 

#

   

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Mgt Rec

   

Vote Cast

   

Sponsor

1    Amend Clauses 1, 10 and 14 of the CPO Trust Deed    For    For    Management
2    Designate Inspector or Shareholder Representative(s) of Minutes of Meeting    For    For    Management
3    Approve Minutes of Meeting    For    For    Management

 

CEMEX SAB DE CV

 

Ticker:    CX    Security ID:    151290889
Meeting Date:    FEB 23, 2012    Meeting Type:    Annual
Record Date:    JAN 23, 2012          

 

#

   

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Sponsor

1    Accept Financial Statements and Statutory Reports for Fiscal Year 2011 in Accordance with Mexican Securities Market Law; Accept Board Opinion on CEO Report; Present Reports of Audit and Corporate Practices Committees, Receive Report on Tax Obligations    For    For    Management
2    Approve Allocation of Income    For    For    Management
3    Authorize Increase in Variable Portion of Capital via Capitalization of Reserves and Issuance of Treasury Shares    For    For    Management
4    Approve Extension of Holding Period of Five Years the Current Stock Option Plan for Directors, Officers and Employees; Authorize Increase in Variable Portion of Capital via Issuance of Treasury Shares Without Preemptive Rights    For    For    Management

 

Page 7

5    Elect Directors, and Chairmen and Members of the Audit, Corporate Practices and Finance Committees    For    For    Management
6    Approve Remuneration of Directors and Members of the Audit, Corporate Practices and Finance Committees    For    For    Management
7    Designate Inspector or Shareholder Representative(s) of Minutes of Meeting    For    For    Management

 

CHARLES SCHWAB CORP.

 

Ticker:    SCHW    Security ID:    808513105
Meeting Date:    MAY 17, 2012    Meeting Type:    Annual
Record Date:    MAR 19, 2012          

 

#

   

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Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Nancy H. Bechtle    For    For    Management
2    Elect Director Walter W. Bettinger, II    For    For    Management
3    Elect Director C. Preston Butcher    For    For    Management
4    Ratify Auditors    For    For    Management
5    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
6    Declassify the Board of Directors    For    For    Management
7    Report on Political Contributions    Against    Against    Shareholder
8    Adopt Proxy Access Right    Against    For    Shareholder

 

CHEVRON CORP.

 

Ticker:    CVX    Security ID:    166764100
Meeting Date:    MAY 30, 2012    Meeting Type:    Annual
Record Date:    APR 04, 2012          

 

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Sponsor

1    Elect Director Linnet F. Deily    For    For    Management
2    Elect Director Robert E. Denham    For    For    Management
3    Elect Director Chuck Hagel    For    For    Management
4    Elect Director Enrique Hernandez, Jr.    For    For    Management
5    Elect Director George L. Kirkland    For    For    Management
6    Elect Director Charles W. Moorman, IV    For    For    Management
7    Elect Director Kevin W. Sharer    For    For    Management
8    Elect Director John G. Stumpf    For    For    Management
9    Elect Director Ronald D. Sugar    For    For    Management
10    Elect Director Carl Ware    For    For    Management
11    Elect Director John S. Watson    For    For    Management
12    Ratify Auditors    For    For    Management
13    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
14    Remove Exclusive Venue Provision    Against    For    Shareholder
15    Require Independent Board Chairman    Against    Against    Shareholder
16    Report on Lobbying Payments and Policy    Against    Against    Shareholder
17    Adopt Guidelines for Country Selection    Against    Against    Shareholder
18    Report on Hydraulic Fracturing Risks to Company    Against    Against    Shareholder
19    Report on Accident Risk Reduction Efforts    Against    Against    Shareholder
20    Amend Articles/Bylaws/Charter - Call Special Meetings    Against    For    Shareholder
21    Request Director Nominee with Environmental Qualifications    Against    Against    Shareholder

 

Page 8

COMCAST CORP.

 

Ticker:    CMCSA    Security ID:    20030N101
Meeting Date:    MAY 31, 2012    Meeting Type:    Annual
Record Date:    MAR 22, 2012          

 

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Sponsor

1.1    Elect Director Kenneth J. Bacon    For    For    Management
1.2    Elect Director Sheldon M. Bonovitz    For    For    Management
1.3    Elect Director Joseph J. Collins    For    For    Management
1.4    Elect Director J. Michael Cook    For    For    Management
1.5    Elect Director Gerald L. Hassell    For    For    Management
1.6    Elect Director Jeffrey A. Honickman    For    For    Management
1.7    Elect Director Eduardo G. Mestre    For    For    Management
1.8    Elect Director Brian L. Roberts    For    For    Management
1.9    Elect Director Ralph J. Roberts    For    For    Management
1.10    Elect Director Johnathan A. Rodgers    For    For    Management
1.11    Elect Director Judith Rodin    For    For    Management
2    Ratify Auditors    For    For    Management
3    Amend Qualified Employee Stock Purchase Plan    For    For    Management
4    Amend Non-qualified Employee Stock Purchase Plan    For    For    Management
5    Restore or Provide for Cumulative Voting    Against    Against    Shareholder
6    Require Independent Board Chairman    Against    Against    Shareholder
7    Stock Retention/Holding Period    Against    Against    Shareholder
8    Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote    Against    For    Shareholder

 

COMPUTER SCIENCES CORP.

 

Ticker:    CSC    Security ID:    205363104
Meeting Date:    AUG 08, 2011    Meeting Type:    Annual
Record Date:    JUN 13, 2011          

 

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Vote Cast

   

Sponsor

1    Elect Director Irving W. Bailey, II    For    For    Management
2    Elect Director David J. Barram    For    For    Management
3    Elect Director Stephen L. Baum    For    For    Management
4    Elect Director Erik Brynjolfsson    For    For    Management
5    Elect Director Rodney F. Chase    For    For    Management
6    Elect Director Judith R. Haberkorn    For    For    Management
7    Elect Director Michael W. Laphen    For    For    Management
8    Elect Director F. Warren McFarlan    For    For    Management
9    Elect Director Chong Sup Park    For    For    Management
10    Elect Director Thomas H. Patrick    For    For    Management
11    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
12    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management
13    Approve Omnibus Stock Plan    For    For    Management
14    Ratify Auditors    For    For    Management

 

Page 9

COMPUWARE CORP.

 

Ticker:    CPWR    Security ID:    205638109
Meeting Date:    AUG 23, 2011    Meeting Type:    Annual
Record Date:    JUN 27, 2011          

 

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Sponsor

1.1    Elect Director Dennis W. Archer    For    For    Management
1.2    Elect Director Gurminder S. Bedi    For    For    Management
1.3    Elect Director William O. Grabe    For    For    Management
1.4    Elect Director Frederick A. Henderson    For    For    Management
1.5    Elect Director Peter Karmanos, Jr.    For    For    Management
1.6    Elect Director Faye Alexander Nelson    For    For    Management
1.7    Elect Director Robert C. Paul    For    For    Management
1.8    Elect Director Glenda D. Price    For    For    Management
1.9    Elect Director W. James Prowse    For    For    Management
1.10    Elect Director G. Scott Romney    For    For    Management
1.11    Elect Director Ralph J. Szygenda    For    For    Management
2    Ratify Auditors    For    For    Management
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
4    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management
5    Amend Omnibus Stock Plan    For    For    Management
6    Amend Qualified Employee Stock Purchase Plan    For    For    Management
7    Require a Majority Vote for the Election of Directors    Against    For    Shareholder

 

CORNING, INC.

 

Ticker:    GLW    Security ID:    219350105
Meeting Date:    APR 26, 2012    Meeting Type:    Annual
Record Date:    FEB 23, 2012          

 

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Vote Cast

   

Sponsor

1    Elect Director John Seely Brown    For    For    Management
2    Elect Director Stephanie A. Burns    For    For    Management
3    Elect Director John A. Canning, Jr.    For    For    Management
4    Elect Director Richard T. Clark    For    For    Management
5    Elect Director James B. Flaws    For    For    Management
6    Elect Director Gordon Gund    For    For    Management
7    Elect Director Kurt M. Landgraf    For    For    Management
8    Elect Director Deborah D. Rieman    For    For    Management
9    Elect Director H. Onno Ruding    For    For    Management
10    Elect Director Mark S. Wrighton    For    For    Management
11    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
12    Ratify Auditors    For    For    Management
13    Approve Omnibus Stock Plan    For    For    Management
14    Reduce Supermajority Vote Requirement    For    For    Management

 

Page 10

CREDIT SUISSE GROUP AG

 

Ticker:    CS    Security ID:    225401108
Meeting Date:    APR 27, 2012    Meeting Type:    Annual
Record Date:    MAR 20, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Receive Financial Statements and Statutory Reports (Non-Voting)    None    None    Management
1.2    Approve Remuneration Report    For    For    Management
1.3    Accept Financial Statements and Statutory Reports    For    For    Management
2    Approve Discharge of Board and Senior Management    For    For    Management
3.1    Approve Allocation of Income and Omission of Dividends    For    For    Management
3.2    Approve Dividends of CHF 0.75 per Share from Capital Contribution Reserves to be Paid in Cash, Shares, or a Combination of Cash and Shares    For    For    Management
4.1    Approve Creation of CHF 8 Million Pool of Convertible Capital without Preemptive Rights    For    For    Management
4.2    Approve CHF 2 Million Increase to Existing Pool of Authorized Capital for the Purpose of Scrip Dividends with Preemptive Rights    For    For    Management
5.1.1    Re-elect Walter Kielholz as Director    For    For    Management
5.1.2    Re-elect Andreas Koopmann as Director    For    For    Management
5.1.3    Re-elect Richard Thornburgh as Director    For    For    Management
5.1.4    Re-elect John Tiner as Director    For    For    Management
5.1.5    Re-elect Urs Rohner as Director    For    For    Management
5.1.6    Elect Iris Bohnet as Director    For    For    Management
5.1.7    Elect Jean-Daniel Gerber as Director    For    For    Management
5.2    Ratify KPMG AG as Auditors    For    For    Management
5.3    Ratify BDO AG as Special Auditor    For    For    Management
6    For Proposals that have not been Submitted until the AGM itself as defined in Art. 700 Paras. 3 and 4 of the Swiss Code of Obligations, I Hereby Authorize the Independent Proxy to Vote in Favor of the Proposal of the Board of Directors    None    Against    Management

 

DISH NETWORK CORP.

 

Ticker:    DISH    Security ID:    25470M109
Meeting Date:    MAY 02, 2012    Meeting Type:    Annual
Record Date:    MAR 07, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Joseph P. Clayton    For    For    Management
1.2    Elect Director James DeFranco    For    For    Management
1.3    Elect Director Cantey M. Ergen    For    For    Management
1.4    Elect Director Charles W. Ergen    For    For    Management
1.5    Elect Director Steven R. Goodbarn    For    For    Management
1.6    Elect Director Gary S. Howard    For    For    Management
1.7    Elect Director David K. Moskowitz    For    For    Management
1.8    Elect Director Tom A. Ortolf    For    For    Management
1.9    Elect Director Carl E. Vogel    For    For    Management
2    Ratify Auditors    For    For    Management
3    Other Business    For    For    Management

 

Page 11

DOMTAR CORP.

 

Ticker:    UFS    Security ID:    257559203
Meeting Date:    MAY 02, 2012    Meeting Type:    Annual
Record Date:    MAR 13, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Giannella Alvarez    For    For    Management
2    Elect Director Jack C. Bingleman    For    For    Management
3    Elect Director Louis P. Gignac    For    For    Management
4    Elect Director Brian M. Levitt    For    For    Management
5    Elect Director Harold H. MacKay    For    For    Management
6    Elect Director David G. Maffucci    For    For    Management
7    Elect Director Robert J. Steacy    For    For    Management
8    Elect Director Pamela B. Strobel    For    For    Management
9    Elect Director Denis Turcotte    For    For    Management
10    Elect Director John D. Williams    For    For    Management
11    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
12    Amend Omnibus Stock Plan    For    For    Management
13    Approve Executive Incentive Bonus Plan    For    For    Management
14    Ratify Auditors    For    For    Management

 

DOW CHEMICAL CO.

 

Ticker:    DOW    Security ID:    260543103
Meeting Date:    MAY 10, 2012    Meeting Type:    Annual
Record Date:    MAR 19, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Arnold A. Allemang    For    For    Management
2    Elect Director Jacqueline K. Barton    For    For    Management
3    Elect Director James A. Bell    For    For    Management
4    Elect Director Jeff M. Fettig    For    For    Management
5    Elect Director John B. Hess    For    For    Management
6    Elect Director Andrew N. Liveris    For    For    Management
7    Elect Director Paul Polman    For    For    Management
8    Elect Director Dennis H. Reilley    For    For    Management
9    Elect Director James M. Ringler    For    For    Management
10    Elect Director Ruth G. Shaw    For    For    Management
11    Ratify Auditors    For    For    Management
12    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
13    Approve Omnibus Stock Plan    For    For    Management
14    Approve Non-qualified Employee Stock Purchase Plan    For    For    Management
15    Provide Right to Act by Written Consent    Against    For    Shareholder
16    Require Independent Board Chairman    Against    Against    Shareholder

 

Page 12

EBAY, INC.

 

Ticker:    EBAY    Security ID:    278642103
Meeting Date:    APR 26, 2012    Meeting Type:    Annual
Record Date:    MAR 08, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Marc L. Andreessen    For    For    Management
2    Elect Director William C. Ford, Jr.    For    For    Management
3    Elect Director Dawn G. Lepore    For    For    Management
4    Elect Director Kathleen C. Mitic    For    For    Management
5    Elect Director Pierre M. Omidyar    For    For    Management
6    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
7    Amend Omnibus Stock Plan    For    For    Management
8    Approve Qualified Employee Stock Purchase Plan    For    For    Management
9    Declassify the Board of Directors    For    For    Management
10    Provide Right to Call Special Meeting    For    For    Management
11    Ratify Auditors    For    For    Management

 

ELECTRONIC ARTS, INC.

 

Ticker:    ERTS    Security ID:    285512109
Meeting Date:    JUL 28, 2011    Meeting Type:    Annual
Record Date:    JUN 06, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Leonard S. Coleman    For    For    Management
2    Elect Director Jeffrey T. Huber    For    For    Management
3    Elect Director Geraldine B. Laybourne    For    For    Management
4    Elect Director Gregory B. Maffei    For    For    Management
5    Elect Director Vivek Paul    For    For    Management
6    Elect Director Lawrence F. Probst, III    For    For    Management
7    Elect Director John S. Riccitiello    For    For    Management
8    Elect Director Richard A. Simonson    For    For    Management
9    Elect Director Linda J. Srere    For    For    Management
10    Elect Director Luis A. Ubinas    For    For    Management
11    Amend Omnibus Stock Plan    For    For    Management
12    Amend Qualified Employee Stock Purchase Plan    For    For    Management
13    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
14    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management
15    Ratify Auditors    For    For    Management

 

EQUINIX, INC.

 

Ticker:    EQIX    Security ID:    29444U502
Meeting Date:    JUN 05, 2012    Meeting Type:    Annual
Record Date:    APR 20, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Steven T. Clontz    For    For    Management
1.2    Elect Director Gary F. Hromadko    For    For    Management
1.3    Elect Director Scott G. Kriens    For    For    Management
1.4    Elect Director William K. Luby    For    For    Management
1.5    Elect Director Irving F. Lyons, III    For    For    Management
1.6    Elect Director Christopher B. Paisley    For    For    Management
1.7    Elect Director Stephen M. Smith    For    For    Management
1.8    Elect Director Peter F. Van Camp    For    For    Management

 

Page 13

2    Ratify Auditors    For    For    Management
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
4    Approve Material Terms for Long-Term Incentive Performance Awards    For    For    Management
5    Provide Right to Call Special Meeting    For    For    Management

 

FEDEX CORP.

 

Ticker:    FDX    Security ID:    31428X106
Meeting Date:    SEP 26, 2011    Meeting Type:    Annual
Record Date:    AUG 01, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director James L. Barksdale    For    For    Management
2    Elect Director John A. Edwardson    For    For    Management
3    Elect Director Shirley Ann Jackson    For    For    Management
4    Elect Director Steven R. Loranger    For    For    Management
5    Elect Director Gary W. Loveman    For    For    Management
6    Elect Director R. Brad Martin    For    For    Management
7    Elect Director Joshua Cooper Ramo    For    For    Management
8    Elect Director Susan C. Schwab    For    For    Management
9    Elect Director Frederick W. Smith    For    For    Management
10    Elect Director Joshua I. Smith    For    For    Management
11    Elect Director David P. Steiner    For    For    Management
12    Elect Director Paul S. Walsh    For    For    Management
13    Provide Right to Call Special Meeting    For    For    Management
14    Ratify Auditors    For    For    Management
15    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
16    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management
17    Require Independent Board Chairman    Against    Against    Shareholder
18    Stock Retention/Holding Period    Against    Against    Shareholder
19    Report on Political Contributions    Against    Against    Shareholder

 

GENERAL ELECTRIC CO.

 

Ticker:    GE    Security ID:    369604103
Meeting Date:    APR 25, 2012    Meeting Type:    Annual
Record Date:    FEB 27, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director W. Geoffrey Beattie    For    For    Management
2    Elect Director James I. Cash, Jr.    For    For    Management
3    Elect Director Ann M. Fudge    For    For    Management
4    Elect Director Susan Hockfield    For    For    Management
5    Elect Director Jeffrey R. Immelt    For    For    Management
6    Elect Director Andrea Jung    For    For    Management
7    Elect Director Alan G. Lafley    For    For    Management
8    Elect Director Robert W. Lane    For    For    Management
9    Elect Director Ralph S. Larsen    For    For    Management
10    Elect Director Rochelle B. Lazarus    For    For    Management
11    Elect Director James J. Mulva    For    For    Management
12    Elect Director Sam Nunn    For    For    Management
13    Elect Director Roger S. Penske    For    For    Management
14    Elect Director Robert J. Swieringa    For    For    Management
15    Elect Director James S. Tisch    For    For    Management

 

Page 14

16    Elect Director Douglas A. Warner, III    For    For    Management
17    Ratify Auditors    For    For    Management
18    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
19    Amend Omnibus Stock Plan    For    For    Management
20    Approve Material Terms of Senior Officer Performance Goals    For    For    Management
21    Provide for Cumulative Voting    Against    Against    Shareholder
22    Phase Out Nuclear Activities    Against    Against    Shareholder
23    Require Independent Board Chairman    Against    Against    Shareholder
24    Provide Right to Act by Written Consent    Against    For    Shareholder

 

GENWORTH FINANCIAL, INC.

 

Ticker:    GNW    Security ID:    37247D106
Meeting Date:    MAY 17, 2012    Meeting Type:    Annual
Record Date:    MAR 21, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Steven W. Alesio    For    For    Management
2    Elect Director William H. Bolinder    For    For    Management
3    Elect Director Michael D. Fraizer    For    For    Management
4    Elect Director Nancy J. Karch    For    For    Management
5    Elect Director Christine B. Mead    For    For    Management
6    Elect Director Thomas E. Moloney    For    For    Management
7    Elect Director James A. Parke    For    For    Management
8    Elect Director James S. Riepe    For    For    Management
9    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
10    Approve Omnibus Stock Plan    For    For    Management
11    Ratify Auditors    For    For    Management

 

GLAXOSMITHKLINE PLC

 

Ticker:    GSK    Security ID:    37733W105
Meeting Date:    MAY 03, 2012    Meeting Type:    Annual
Record Date:    MAR 06, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Accept Financial Statements and Statutory Reports    For    For    Management
2    Approve Remuneration Report    For    For    Management
3    Re-elect Sir Christopher Gent as Director    For    For    Management
4    Re-elect Sir Andrew Witty as Director    For    For    Management
5    Re-elect Sir Roy Anderson as Director    For    For    Management
6    Re-elect Dr. Stephanie Burns as Director    For    For    Management
7    Re-elect Stacey Cartwright as Director    For    For    Management
8    Re-elect Larry Culp as Director    For    For    Management
9    Re-elect Sir Crispin Davis as Director    For    For    Management
10    Re-elect Simon Dingemans as Director    For    For    Management
11    Re-elect Judy Lewent as Director    For    For    Management
12    Re-elect Sir Deryck Maughan as Director    For    For    Management
13    Re-elect Dr. Daniel Podolsky as Director    For    For    Management
14    Re-elect Dr. Moncef Slaoui as Director    For    For    Management

 

Page 15

15    Re-elect Tom de Swaan as Director    For    For    Management
16    Re-elect Sir Robert Wilson as Director    For    For    Management
17    Reappoint PricewaterhouseCoopers LLP as Auditors    For    For    Management
18    Authorise the Audit & Risk Committee to Fix Remuneration of Auditors    For    For    Management
19    Authorise EU Political Donations and Expenditure    For    For    Management
20    Authorise Issue of Equity with Preemptive Rights    For    For    Management
21    Authorise Issue of Equity without Preemptive Rights    For    For    Management
22    Authorise Market Purchase    For    For    Management
23    Approve the Exemption from Statement of the Name of the Senior Statutory Auditor in Published Copies of the Auditors’ Reports    For    For    Management
24    Authorise the Company to Call EGM with Two Weeks’ Notice    For    For    Management
25    Approve 2012 ShareSave Plan    For    For    Management
26    Approve 2012 ShareReward Plan    For    For    Management

 

GOLDMAN SACHS GROUP, INC.

 

Ticker:    GS    Security ID:    38141G104
Meeting Date:    MAY 24, 2012    Meeting Type:    Annual
Record Date:    MAR 26, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Lloyd C. Blankfein    For    For    Management
2    Elect Director M. Michele Burns    For    For    Management
3    Elect Director Gary D. Cohn    For    For    Management
4    Elect Director Claes Dahlback    For    For    Management
5    Elect Director Stephen Friedman    For    For    Management
6    Elect Director William W. George    For    For    Management
7    Elect Director James A. Johnson    For    For    Management
8    Elect Director Lakshmi N. Mittal    For    For    Management
9    Elect Director James J. Schiro    For    For    Management
10    Elect Director Debora L. Spar    For    For    Management
11    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
12    Ratify Auditors    For    For    Management
13    Provide for Cumulative Voting    Against    Against    Shareholder
14    Stock Retention/Holding Period    Against    Against    Shareholder
15    Report on Lobbying Payments and Policy    Against    Against    Shareholder

 

HEWLETT-PACKARD CO.

 

Ticker:    HPQ    Security ID:    428236103
Meeting Date:    MAR 21, 2012    Meeting Type:    Annual
Record Date:    JAN 23, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Marc L. Andreessen    For    For    Management
2    Elect Director Shumeet Banerji    For    For    Management
3    Elect Director Rajiv L. Gupta    For    For    Management
4    Elect Director John H. Hammergren    For    For    Management

 

Page 16

5    Elect Director Raymond. J. Lane    For    For    Management
6    Elect Director Ann M. Livermore    For    For    Management
7    Elect Director G. M. Reiner    For    For    Management
8    Elect Director Patricia. F. Russo    For    For    Management
9    Elect Director G. Kennedy Thompson    For    For    Management
10    Elect Director Margaret C. Whitman    For    For    Management
11    Elect Director Ralph. V. Whitworth    For    For    Management
12    Ratify Auditors    For    For    Management
13    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
14    Adopt Retention Ratio for Executives    Against    Against    Shareholder

 

HOME DEPOT, INC.

 

Ticker:    HD    Security ID:    437076102
Meeting Date:    MAY 17, 2012    Meeting Type:    Annual
Record Date:    MAR 19, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director F. Duane Ackerman    For    For    Management
2    Elect Director Francis S. Blake    For    For    Management
3    Elect Director Ari Bousbib    For    For    Management
4    Elect Director Gregory D. Brenneman    For    For    Management
5    Elect Director J. Frank Brown    For    For    Management
6    Elect Director Albert P. Carey    For    For    Management
7    Elect Director Armando Codina    For    For    Management
8    Elect Director Bonnie G. Hill    For    For    Management
9    Elect Director Karen L. Katen    For    For    Management
10    Elect Director Ronald L. Sargent    For    For    Management
11    Ratify Auditors    For    For    Management
12    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
13    Amend Qualified Employee Stock Purchase Plan    For    For    Management
14    Adopt Proxy Statement Reporting on Political Contributions and Advisory Vote    Against    Against    Shareholder
15    Prepare Employment Diversity Report    Against    Against    Shareholder
16    Amend Right to Act by Written Consent    Against    For    Shareholder
17    Amend Bylaws - Call Special Meetings    Against    For    Shareholder
18    Report on Charitable Contributions    Against    Against    Shareholder
19    Adopt Storm Water Run-off Management Policy    Against    Against    Shareholder

 

HSBC HOLDINGS PLC

 

Ticker:    HBC    Security ID:    404280406
Meeting Date:    MAY 25, 2012    Meeting Type:    Annual
Record Date:    MAR 27, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Accept Financial Statements and Statutory Reports    For    For    Management
2    Approve Remuneration Report    For    For    Management
3a    Re-elect Safra Catz as Director    For    For    Management
3b    Re-elect Laura Cha as Director    For    For    Management
3c    Re-elect Marvin Cheung as Director    For    For    Management

 

Page 17

3d    Re-elect John Coombe as Director    For    For    Management
3e    Elect Joachim Faber as Director    For    For    Management
3f    Re-elect Rona Fairhead as Director    For    For    Management
3g    Re-elect Douglas Flint as Director    For    For    Management
3h    Re-elect Alexander Flockhart as Director    For    For    Management
3i    Re-elect Stuart Gulliver as Director    For    For    Management
3j    Re-elect James Hughes-Hallett as Director    For    For    Management
3k    Re-elect William Laidlaw as Director    For    For    Management
3l    Elect John Lipsky as Director    For    For    Management
3m    Re-elect Janis Lomax as Director    For    For    Management
3n    Re-elect Iain Mackay as Director    For    For    Management
3o    Re-elect Nagavara Murthy as Director    For    For    Management
3p    Re-elect Sir Simon Robertson as Director    For    For    Management
3q    Re-elect John Thornton as Director    For    For    Management
4    Reappoint KPMG Audit plc as Auditors and Authorise Their Remuneration    For    For    Management
5    Authorise Issue of Equity with Preemptive Rights    For    For    Management
6    Authorise Issue of Equity without Preemptive Rights    For    For    Management
7    Authorise Market Purchase    For    For    Management
8    Approve Scrip Dividend Program    For    For    Management
9    Authorise the Company to Call EGM with Two Weeks’ Notice    For    For    Management

 

KONINKLIJKE PHILIPS ELECTRONICS NV

 

Ticker:    PHG    Security ID:    500472303
Meeting Date:    APR 26, 2012    Meeting Type:    Annual
Record Date:    MAR 15, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    President’s Speech (Non-Voting)    None    None    Management
2a    Adopt Financial Statements    For    For    Management
2b    Receive Explanation on Company’s Reserves and Dividend Policy (Non-Voting)    None    None    Management
2c    Approve Dividends of EUR 0.75 Per Share    For    For    Management
2d    Approve Discharge of Management Board    For    For    Management
2e    Approve Discharge of Supervisory Board    For    For    Management
3a    Re-elect E. Kist to Supervisory Board    For    For    Management
3b    Elect N. Dhawan to Supervisory Board    For    For    Management
4a    Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital Plus Additional 10 Percent in Case of Takeover/Merger and Restricting/Excluding Preemptive Rights    For    For    Management
4b    Authorize Board to Exclude Preemptive Rights from Issuance under Item 4a    For    For    Management
5    Approve Reduction in Share Capital by Cancellation of Shares    For    For    Management
6    Authorize Repurchase of Shares    For    For    Management
7    Other Business (Non-Voting)    None    None    Management

 

Page 18

LEGG MASON, INC.

 

Ticker:    LM    Security ID:    524901105
Meeting Date:    JUL 26, 2011    Meeting Type:    Annual
Record Date:    MAY 24, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Harold L. Adams    For    For    Management
1.2    Elect Director John T. Cahill    For    For    Management
1.3    Elect Director Mark R. Fetting    For    For    Management
1.4    Elect Director Margaret Milner Richardson    For    For    Management
1.5    Elect Director Kurt L. Schmoke    For    For    Management
2    Amend Omnibus Stock Plan    For    For    Management
3    Declassify the Board of Directors    For    For    Management
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
5    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management
6    Ratify Auditors    For    For    Management

 

LIBERTY GLOBAL, INC.

 

Ticker:    LBTYA    Security ID:    530555101
Meeting Date:    JUN 19, 2012    Meeting Type:    Annual
Record Date:    APR 23, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director John P. Cole, Jr.    For    For    Management
1.2    Elect Director Richard R. Green    For    For    Management
1.3    Elect Director David E. Rapley    For    For    Management
2    Ratify Auditors    For    For    Management

 

LIBERTY MEDIA CORP.

 

Ticker:    LINTA    Security ID:    53071M104
Meeting Date:    SEP 07, 2011    Meeting Type:    Annual
Record Date:    JUL 20, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Evan D. Malone    For    For    Management
1.2    Elect Director David E. Rapley    For    For    Management
1.3    Elect Director Larry E. Romrell    For    For    Management
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
3    Advisory Vote on Say on Pay Frequency    Three Years    Three Years    Management
4    Approve Non-Employee Director Omnibus Stock Plan    For    For    Management
5    Change Company Name    For    For    Management
6    Ratify Auditors    For    For    Management

 

Page 19

MAXIM INTEGRATED PRODUCTS, INC.

 

Ticker:    MXIM    Security ID:    57772K101
Meeting Date:    NOV 16, 2011    Meeting Type:    Annual
Record Date:    SEP 19, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Tunc Doluca    For    For    Management
1.2    Elect Director B. Kipling Hagopian    For    For    Management
1.3    Elect Director James R. Bergman    For    For    Management
1.4    Elect Director Joseph R. Bronson    For    For    Management
1.5    Elect Director Robert E. Grady    For    For    Management
1.6    Elect Director William D. Watkins    For    For    Management
1.7    Elect Director A. R. Frank Wazzan    For    For    Management
2    Ratify Auditors    For    For    Management
3    Amend Qualified Employee Stock Purchase Plan    For    For    Management
4    Amend Omnibus Stock Plan    For    For    Management
5    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
6    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management

 

MCGRAW-HILL COMPANIES, INC.

 

Ticker:    MHP    Security ID:    580645109
Meeting Date:    APR 25, 2012    Meeting Type:    Annual
Record Date:    MAR 12, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Pedro Aspe    For    For    Management
2    Elect Director Winfried Bischoff    For    For    Management
3    Elect Director William D. Green    For    For    Management
4    Elect Director Linda Koch Lorimer    For    For    Management
5    Elect Director Harold McGraw, III    For    For    Management
6    Elect Director Robert P. McGraw    For    For    Management
7    Elect Director Hilda Ochoa-Brillembourg    For    For    Management
8    Elect Director Michael Rake    For    For    Management
9    Elect Director Edward B. Rust, Jr.    For    For    Management
10    Elect Director Kurt L. Schmoke    For    For    Management
11    Elect Director Sidney Taurel    For    For    Management
12    Elect Director Richard E. Thornburgh    For    For    Management
13    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
14    Ratify Auditors    For    For    Management
15    Provide Right to Act by Written Consent    Against    For    Shareholder

 

MEDTRONIC, INC.

 

Ticker:    MDT    Security ID:    585055106
Meeting Date:    AUG 25, 2011    Meeting Type:    Annual
Record Date:    JUN 27, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Director Richard H. Anderson    For    For    Management
1.2    Director David L. Calhoun    For    For    Management
1.3    Elect Director Victor J. Dzau    For    For    Management
1.4    Elect Director Omar Ishrak    For    For    Management
1.5    Elect Director Shirley Ann Jackson    For    For    Management
1.6    Elect Director James T. Lenehan    For    For    Management
1.7    Elect Director Denise M. O’Leary    For    For    Management

 

Page 20

1.8    Elect Director Kendall J. Powell    For    For    Management
1.9    Elect Director Robert C. Pozen    For    For    Management
1.10    Elect Director Jean-Pierre Rosso    For    For    Management
1.11    Elect Director Jack W. Schuler    For    For    Management
2    Ratify Auditors    For    For    Management
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
4    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management

 

MERCK & CO., INC.

 

Ticker:    MRK    Security ID:    58933Y105
Meeting Date:    MAY 22, 2012    Meeting Type:    Annual
Record Date:    MAR 23, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Leslie A. Brun    For    For    Management
2    Elect Director Thomas R. Cech    For    For    Management
3    Elect Director Kenneth C. Frazier    For    For    Management
4    Elect Director Thomas H. Glocer    For    For    Management
5    Elect Director William B. Harrison Jr.    For    For    Management
6    Elect Director C. Robert Kidder    For    For    Management
7    Elect Director Rochelle B. Lazarus    For    For    Management
8    Elect Director Carlos E. Represas    For    For    Management
9    Elect Director Patricia F. Russo    For    For    Management
10    Elect Director Craig B. Thompson    For    For    Management
11    Elect Director Wendell P. Weeks    For    For    Management
12    Elect Director Peter C. Wendell    For    For    Management
13    Ratify Auditors    For    For    Management
14    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
15    Provide Right to Act by Written Consent    Against    For    Shareholder
16    Amend Bylaws - Call Special Meetings    Against    For    Shareholder
17    Report on Charitable and Political Contributions    Against    Against    Shareholder

 

MICROSOFT CORP.

 

Ticker:    MSFT    Security ID:    594918104
Meeting Date:    NOV 15, 2011    Meeting Type:    Annual
Record Date:    SEP 02, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Steven A. Ballmer    For    For    Management
2    Elect Director Dina Dublon    For    For    Management
3    Elect Director William H. Gates, III    For    For    Management
4    Elect Director Raymond V. Gilmartin    For    For    Management
5    Elect Director Reed Hastings    For    For    Management
6    Elect Director Maria M. Klawe    For    For    Management
7    Elect Director David F. Marquardt    For    For    Management
8    Elect Director Charles H. Noski    For    For    Management
9    Elect Director Helmut Panke    For    For    Management
10    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
11    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management
12    Ratify Auditors    For    For    Management
13    Amend Bylaws to Establish a Board Committee on Environmental Sustainability    Against    Against    Shareholder

 

Page 21

MOLEX, INC.

 

Ticker:    MOLX    Security ID:    608554101
Meeting Date:    OCT 28, 2011    Meeting Type:    Annual
Record Date:    SEP 01, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Edgar D. Jannotta    For    For    Management
1.2    Elect Director John H. Krehbiel, Jr.    For    For    Management
1.3    Elect Director Donald G. Lubin    For    For    Management
1.4    Elect Director Robert J. Potter    For    For    Management
2    Ratify Auditors    For    For    Management
3    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
4    Advisory Vote on Say on Pay Frequency    Three Years    Three Years    Management
5    Amend Omnibus Stock Plan    For    For    Management
6    Amend Qualified Employee Stock Purchase Plan    For    For    Management

 

NOKIA OYJ

 

Ticker:    NOK    Security ID:    654902204
Meeting Date:    MAY 03, 2012    Meeting Type:    Annual
Record Date:    FEB 27, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Open Meeting (Non-Voting)    None    None    Management
2    Call the Meeting to Order (Non-Voting)    None    None    Management
3    Designate Inspector or Shareholder Representative(s) of Minutes of Meeting (Non-Voting)    None    None    Management
4    Acknowledge Proper Convening of Meeting (Non-Voting)    None    None    Management
5    Acknowledge Proper Convening of Meeting (Non-Voting)    None    None    Management
6    Receive Financial Statements and Statutory Reports; Receive CEO’s Review (Non-Voting)    None    None    Management
7    Accept Financial Statements and Statutory Reports    For    For    Management
8    Approve Allocation of Income and Dividends of EUR 0.20 Per Share    For    For    Management
9    Approve Discharge of Board and President    For    For    Management
10    Approve Remuneration of Directors in the Amount of EUR 440,000 for the Chairman, EUR 150,000 for Deputy Chairman, and EUR 130,000 for Other Directors    For    For    Management
11    Fix Number of Directors at 11    For    For    Management
12.1    Elect Bruce Brown as Director    For    For    Management
12.2    Elect Stephen Elop as Director    For    For    Management
12.3    Elect Henning Kagermann as Director    For    For    Management

 

Page 22

12.4    Elect Jouko Karvinen as Director    For    For    Management
12.5    Elect Helge Lund as Director    For    For    Management
12.6    Elect Isabel Marey-Semper as Director    For    For    Management
12.7    Elect Marten Mickos as Director    For    For    Management
12.8    Elect Elizabeth Nelson as Director    For    For    Management
12.9    Elect Dame Marjorie Scardino as Director    For    For    Management
12.10    Elect Risto Siilasmaa as Director    For    For    Management
12.11    Elect Kari Stadigh as Director    For    For    Management
13    Approve Remuneration of Auditors    For    For    Management
14    Ratify PricewaterhouseCoopers as Auditors    For    For    Management
15    Authorize Share Repurchase Program    For    For    Management
16    Close Meeting (Non-Voting)    None    None    Management

 

NOVARTIS AG

 

Ticker:    NVS    Security ID:    66987V109
Meeting Date:    FEB 23, 2012    Meeting Type:    Annual
Record Date:    JAN 26, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Accept Financial Statements and Statutory Reports    For    For    Management
2    Approve Discharge of Board and Senior Management    For    For    Management
3    Approve Allocation of Income and Dividends of CHF 2.25 per Share    For    For    Management
4    Approve CHF 19.7 Million Reduction in Share Capital via Cancellation of Repurchased Shares    For    For    Management
5.1.1    Re-elect Sikrant Datar as Director    For    For    Management
5.1.2    Re-elect Andreas von Planta as Director    For    For    Management
5.1.3    Re-elect Wendelin Wiedeking as Director    For    For    Management
5.1.4    Re-elect William Brody as Director    For    For    Management
5.1.5    Re-elect Rolf Zinkernagel as Director    For    For    Management
5.2    Elect Dimitri Azar as Director    For    For    Management
6    Ratify PricewaterhouseCoopers as Auditors    For    For    Management
7    Additional and/or Counter-proposals Presented at the Meeting    For    Against    Management

 

OCCIDENTAL PETROLEUM CORP.

 

Ticker:    OXY    Security ID:    674599105
Meeting Date:    MAY 04, 2012    Meeting Type:    Annual
Record Date:    MAR 13, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Spencer Abraham    For    For    Management
2    Elect Director Howard I. Atkins    For    For    Management
3    Elect Director Stephen I. Chazen    For    For    Management
4    Elect Director Edward P. Djerejian    For    For    Management
5    Elect Director John E. Feick    For    For    Management
6    Elect Director Margaret M. Foran    For    For    Management
7    Elect Director Carlos M. Gutierrez    For    For    Management
8    Elect Director Ray R. Irani    For    For    Management

 

Page 23

9    Elect Director Avedick B. Poladian    For    For    Management
10    Elect Director Aziz D. Syriani    For    For    Management
11    Elect Director Rosemary Tomich    For    For    Management
12    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
13    Ratify Auditors    For    For    Management
14    Request Director Nominee with Environmental Qualifications    Against    Against    Shareholder

 

PANASONIC CORP.

 

Ticker:    PC    Security ID:    69832A205
Meeting Date:    JUN 27, 2012    Meeting Type:    Annual
Record Date:    MAR 30, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Matsushita, Masayuki    For    For    Management
1.2    Elect Director Otsubo, Fumio    For    For    Management
1.3    Elect Director Katsura, Yasuo    For    For    Management
1.4    Elect Director Kashima, Ikusaburo    For    For    Management
1.5    Elect Director Yamada, Yoshihiko    For    For    Management
1.6    Elect Director Tsuga, Kazuhiro    For    For    Management
1.7    Elect Director Miyata, Yoshiiku    For    For    Management
1.8    Elect Director Takami, Kazunori    For    For    Management
1.9    Elect Director Toyama, Takashi    For    For    Management
1.10    Elect Director Miyabe, Yoshiyuki    For    For    Management
1.11    Elect Director Nakagawa, Yoshiaki    For    For    Management
1.12    Elect Director Uno, Ikuo    For    For    Management
1.13    Elect Director Oku, Masayuki    For    For    Management
1.14    Elect Director Nagae, Shuusaku    For    For    Management
1.15    Elect Director Kawai, Hideaki    For    For    Management
1.16    Elect Director Yoshida, Mamoru    For    For    Management
2.1    Appoint Statutory Auditor Hata, Ikuo    For    For    Management
2.2    Appoint Statutory Auditor Sano, Seiichiro    For    For    Management

 

PFIZER, INC.

 

Ticker:    PFE    Security ID:    717081103
Meeting Date:    APR 26, 2012    Meeting Type:    Annual
Record Date:    FEB 28, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Dennis A. Ausiello    For    For    Management
2    Elect Director M. Anthony Burns    For    For    Management
3    Elect Director W. Don Cornwell    For    For    Management
4    Elect Director Frances D. Fergusson    For    For    Management
5    Elect Director William H. Gray, III    For    For    Management
6    Elect Director Helen H. Hobbs    For    For    Management
7    Elect Director Constance J. Horner    For    For    Management
8    Elect Director James M. Kilts    For    For    Management
9    Elect Director George A. Lorch    For    For    Management
10    Elect Director John P. Mascotte    For    For    Management
11    Elect Director Suzanne Nora Johnson    For    For    Management
12    Elect Director Ian C. Read    For    For    Management
13    Elect Director Stephen W. Sanger    For    For    Management
14    Elect Director Marc Tessier-Lavigne    For    For    Management

 

Page 24

15    Ratify Auditors    For    For    Management
16    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
17    Publish Political Contributions    Against    Against    Shareholder
18    Provide Right to Act by Written Consent    Against    For    Shareholder
19    Amend Articles/Bylaws/Charter - Call Special Meetings    Against    For    Shareholder
20    Non-Employee Director Compensation    Against    Against    Shareholder

 

PITNEY BOWES, INC.

 

Ticker:    PBI    Security ID:    724479100
Meeting Date:    MAY 14, 2012    Meeting Type:    Annual
Record Date:    MAR 16, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Rodney C. Adkins    For    For    Management
2    Elect Director Anne M. Busquet    For    For    Management
3    Elect Director Roger Fradin    For    For    Management
4    Elect Director Anne Sutherland Fuchs    For    For    Management
5    Elect Director James H. Keyes    For    For    Management
6    Elect Director Murray D. Martin    For    For    Management
7    Elect Director Michael I. Roth    For    For    Management
8    Elect Director David L. Shedlarz    For    For    Management
9    Elect Director David B. Snow, Jr.    For    For    Management
10    Elect Director Robert E. Weissman    For    For    Management
11    Ratify Auditors    For    For    Management
12    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management

 

SANOFI

 

Ticker:    SNY    Security ID:    80105N105
Meeting Date:    MAY 04, 2012    Meeting Type:    Annual/Special
Record Date:    MAR 26, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Approve Financial Statements and Statutory Reports    For    For    Management
2    Approve Consolidated Financial Statements and Statutory Reports    For    For    Management
3    Approve Allocation of Income and Dividends of EUR 2.65 per Share    For    For    Management
4    Elect Laurent Attal as Director    For    For    Management
5    Re-elect Uwe Bicker as Director    For    For    Management
6    Re-elect Jean Rene Fourtou as Director    For    For    Management
7    Re-elect Claudie Haignere as Director    For    For    Management
8    Re-elect Carole Piwnica as Director    For    For    Management
9    Re-elect Klaus Pohle as Director    For    For    Management
10    Appoint Ernst & Young et Autres as Auditor    For    For    Management
11    Appoint Auditex as Alternate Auditor    For    For    Management
12    Ratify Change of Registered Office to 54, rue La Boetie, 75008 Paris and Amend Article 4 of Bylaws Accordingly    For    For    Management
13    Authorize Repurchase of Up to 10 Percent of Issued Share Capital    For    For    Management
14    Authorize up to 1.2 Percent of Issued Capital for Use in Restricted Stock Plan    For    For    Management
15    Authorize Filing of Required Documents/Other Formalities    For    For    Management

 

Page 25

SCHLUMBERGER, LTD.

 

Ticker:    SLB    Security ID:    806857108
Meeting Date:    APR 11, 2012    Meeting Type:    Annual
Record Date:    FEB 22, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Peter L.S. Currie    For    For    Management
1.2    Elect Director Tony Isaac    For    For    Management
1.3    Elect Director K. Vaman Kamath    For    For    Management
1.4    Elect Director Paal Kibsgaard    For    For    Management
1.5    Elect Director Nikolay Kudryavtsev    For    For    Management
1.6    Elect Director Adrian Lajous    For    For    Management
1.7    Elect Director Michael E. Marks    For    For    Management
1.8    Elect Director Elizabeth Moler    For    For    Management
1.9    Elect Director Lubna S. Olayan    For    For    Management
1.10    Elect Director Leo Rafael Reif    For    For    Management
1.11    Elect Director Tore I. Sandvold    For    For    Management
1.12    Elect Director Henri Seydoux    For    For    Management
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
3    Adopt and Approve Financials and Dividends    For    For    Management
4    Ratify PricewaterhouseCoopers LLP as Auditors    For    For    Management
5    Amend Non-Employee Director Omnibus Stock Plan    For    For    Management

 

SONY CORP.

 

Ticker:    SNE    Security ID:    835699307
Meeting Date:    JUN 27, 2012    Meeting Type:    Annual
Record Date:    MAR 30, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Hirai, Kazuo    For    For    Management
1.2    Elect Director Chuubachi, Ryoji    For    For    Management
1.3    Elect Director Kato, Masaru    For    For    Management
1.4    Elect Director Howard Stringer    For    For    Management
1.5    Elect Director Peter Bonfield    For    For    Management
1.6    Elect Director Yasuda, Ryuuji    For    For    Management
1.7    Elect Director Uchinaga, Yukako    For    For    Management
1.8    Elect Director Yahagi, Mitsuaki    For    For    Management
1.9    Elect Director Tsun-Yan Hsieh    For    For    Management
1.10    Elect Director Roland A. Hernandez    For    For    Management
1.11    Elect Director Anraku, Kanemitsu    For    For    Management
1.12    Elect Director Kojima, Yorihiko    For    For    Management
1.13    Elect Director Nagayama, Osamu    For    For    Management
1.14    Elect Director Nimura, Takaaki    For    For    Management
2    Approve Stock Option Plan    For    For    Management

 

Page 26

SPRINT NEXTEL CORP.

 

Ticker:    S    Security ID:    852061100
Meeting Date:    MAY 15, 2012    Meeting Type:    Annual
Record Date:    MAR 16, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Robert R. Bennett    For    For    Management
2    Elect Director Gordon M. Bethune    For    For    Management
3    Elect Director Larry C. Glasscock    For    For    Management
4    Elect Director James H. Hance, Jr.    For    For    Management
5    Elect Director Daniel R. Hesse    For    For    Management
6    Elect Director V. Janet Hill    For    For    Management
7    Elect Director Frank Ianna    For    For    Management
8    Elect Director Sven-Christer Nilsson    For    For    Management
9    Elect Director William R. Nuti    For    For    Management
10    Elect Director Rodney O’Neal    For    For    Management
11    Ratify Auditors    For    For    Management
12    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
13    Amend Articles of Incorporation to Opt-out of the Business Combination Statute    For    For    Management
14    Amend Articles of Incorporation to Eliminate Business Combination Provision    For    For    Management
15    Amend Omnibus Stock Plan    For    For    Management
16    Adopt Policy on Bonus Banking    Against    Against    Shareholder
17    Report on Political Contributions    Against    Against    Shareholder
18    Commit to Wireless Network Neutrality    Against    Against    Shareholder

 

SUNTRUST BANKS, INC.

 

Ticker:    STI    Security ID:    867914103
Meeting Date:    APR 24, 2012    Meeting Type:    Annual
Record Date:    FEB 15, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Robert M. Beall, II    For    For    Management
2    Elect Director Alston D. Correll    For    For    Management
3    Elect Director Jeffrey C. Crowe    For    For    Management
4    Elect Director Blake P. Garrett, Jr.    For    For    Management
5    Elect Director David H. Hughes    For    For    Management
6    Elect Director M. Douglas Ivester    For    For    Management
7    Elect Director Kyle Prechtl Legg    For    For    Management
8    Elect Director William A. Linnenbringer    For    For    Management
9    Elect Director G. Gilmer Minor, III    For    For    Management
10    Elect Director Donna Morea    For    For    Management
11    Elect Director David M. Ratcliffe    For    For    Management
12    Elect Director William H. Rogers, Jr.    For    For    Management
13    Elect Director Thomas R. Watjen    For    For    Management
14    Elect Director Phail Wynn, Jr.    For    For    Management
15    Ratify Auditors    For    For    Management
16    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management

 

Page 27

SYMANTEC CORP.

 

Ticker:    SYMC    Security ID:    871503108
Meeting Date:    OCT 25, 2011    Meeting Type:    Annual
Record Date:    AUG 26, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Stephen M. Bennett    For    For    Management
2    Elect Director Michael A. Brown    For    For    Management
3    Elect Director Frank E. Dangeard    For    For    Management
4    Elect Director Geraldine B. Laybourne    For    For    Management
5    Elect Director David L. Mahoney    For    For    Management
6    Elect Director Robert S. Miller    For    For    Management
7    Elect Director Enrique Salem    For    For    Management
8    Elect Director Daniel H. Schulman    For    For    Management
9    Elect Director V. Paul Unruh    For    For    Management
10    Ratify Auditors    For    For    Management
11    Amend Outside Director Stock Awards/Options in Lieu of Cash    For    For    Management
12    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
13    Advisory Vote on Say on Pay Frequency    One Year    One Year    Management
14    Amend Articles/Bylaws/Charter - Call Special Meetings    Against    For    Shareholder

 

SYNOPSYS, INC.

 

Ticker:    SNPS    Security ID:    871607107
Meeting Date:    APR 03, 2012    Meeting Type:    Annual
Record Date:    FEB 08, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Aart J. De Geus    For    For    Management
1.2    Elect Director Alfred Castino    For    For    Management
1.3    Elect Director Chi-Foon Chan    For    For    Management
1.4    Elect Director Bruce R. Chizen    For    For    Management
1.5    Elect Director Deborah A. Coleman    For    For    Management
1.6    Elect Director Chrysostomos L. “Max” Nikias    For    For    Management
1.7    Elect Director John Schwarz    For    For    Management
1.8    Elect Director Roy Vallee    For    For    Management
1.9    Elect Director Steven C. Walske    For    For    Management
2    Amend Omnibus Stock Plan    For    For    Management
3    Amend Qualified Employee Stock Purchase Plan    For    For    Management
4    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
5    Ratify Auditors    For    For    Management

 

Page 28

TE CONNECTIVITY, LTD.

 

Ticker:    TEL    Security ID:    H84989104
Meeting Date:    MAR 07, 2012    Meeting Type:    Annual
Record Date:    FEB 17, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Re-elect Pierre Brondeau as Director    For    For    Management
2    Re-elect Juergen Gromer as Director    For    For    Management
3    Re-elect William A. Jeffrey as Director    For    For    Management
4    Re-elect Thomas Lynch as Director    For    For    Management
5    Re-elect Yong Nam as Director    For    For    Management
6    Re-elect Daniel Phelan as Director    For    For    Management
7    Re-elect Frederic Poses as Director    For    For    Management
8    Re-elect Lawrence Smith as Director    For    For    Management
9    Re-elect Paula Sneed as Director    For    For    Management
10    Re-elect David Steiner as Director    For    For    Management
11    Re-elect John Van Scoter as Director    For    For    Management
12    Accept Annual Report for Fiscal 2010/2011    For    For    Management
13    Accept Statutory Financial Statements for Fiscal 2011/2012    For    For    Management
14    Accept Consolidated Financial Statements for Fiscal 2011/2012    For    For    Management
15    Approve Discharge of Board and Senior Management    For    For    Management
16    Ratify Deloitte & Touche LLP as Independent Registered Public Accounting Firm for Fiscal 2011/2012    For    For    Management
17    Ratify Deloitte AG as Swiss Registered Auditors for Fiscal 2011/2012    For    For    Management
18    Ratify PricewaterhouseCoopers AG as Special Auditor for Fiscal 2011/2012    For    For    Management
19    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
20    Amend Omnibus Stock Plan    For    For    Management
21    Approve Reduction in Share Capital    For    For    Management
22    Authorize Share Repurchase Program    For    For    Management
23    Approve Ordinary Cash Dividend    For    For    Management
24    Approve Reallocation of Free Reserves to Legal Reserves    For    For    Management
25    Adjourn Meeting    For    For    Management

 

TIME WARNER CABLE, INC.

 

Ticker:    TWC    Security ID:    88732J207
Meeting Date:    MAY 17, 2012    Meeting Type:    Annual
Record Date:    MAR 22, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Carole Black    For    For    Management
2    Elect Director Glenn A. Britt    For    For    Management
3    Elect Director Thomas H. Castro    For    For    Management
4    Elect Director David C. Chang    For    For    Management
5    Elect Director James E. Copeland, Jr.    For    For    Management
6    Elect Director Peter R. Haje    For    For    Management
7    Elect Director Donna A. James    For    For    Management
8    Elect Director Don Logan    For    For    Management
9    Elect Director N.J. Nicholas, Jr.    For    For    Management
10    Elect Director Wayne H. Pace    For    For    Management
11    Elect Director Edward D. Shirley    For    For    Management
12    Elect Director John E. Sununu    For    For    Management
13    Ratify Auditors    For    For    Management
14    Approve Executive Incentive Bonus Plan    For    For    Management
15    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
16    Provide Right to Call Special Meeting    Against    For    Shareholder

 

Page 29

TIME WARNER, INC.

 

Ticker:    TWX    Security ID:    887317303
Meeting Date:    MAY 15, 2012    Meeting Type:    Annual
Record Date:    MAR 22, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director James L. Barksdale    For    For    Management
2    Elect Director William P. Barr    For    For    Management
3    Elect Director Jeffrey L. Bewkes    For    For    Management
4    Elect Director Stephen F. Bollenbach    For    For    Management
5    Elect Director Robert C. Clark    For    For    Management
6    Elect Director Mathias Dopfner    For    For    Management
7    Elect Director Jessica P. Einhorn    For    For    Management
8    Elect Director Fred Hassan    For    For    Management
9    Elect Director Kenneth J. Novack    For    For    Management
10    Elect Director Paul D. Wachter    For    For    Management
11    Elect Director Deborah C. Wright    For    For    Management
12    Ratify Auditors    For    For    Management
13    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
14    Provide Right to Act by Written Consent    Against    For    Shareholder

 

TYCO INTERNATIONAL, LTD.

 

Ticker:    TYC    Security ID:    H89128104
Meeting Date:    MAR 07, 2012    Meeting Type:    Annual
Record Date:    JAN 09, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Accept Financial Statements and Statutory Reports for Fiscal 2010/2011    For    For    Management
2    Approve Discharge of Board and Senior Management    For    For    Management
3.1    Elect Edward D. Breen as Director    For    For    Management
3.2    Elect Michael Daniels as Director    For    For    Management
3.3    Re-elect Timothy Donahue as Director    For    For    Management
3.4    Re-elect Brian Duperreault as Director    For    For    Management
3.5    Re-elect Bruce Gordon as Director    For    For    Management
3.6    Re-elect Rajiv L. Gupta as Director    For    For    Management
3.7    Re-elect John Krol as Director    For    For    Management
3.8    Re-elect Brendan O’Neill as Director    For    For    Management
3.9    Re-elect Dinesh Paliwal as Director    For    For    Management
3.10    Re-elect William Stavropoulos as Director    For    For    Management
3.11    Re-elect Sandra Wijnberg as Director    For    For    Management
3.12    Re-elect R. David Yost as Director    For    For    Management
4a    Ratify Deloitte AG as Auditors    For    For    Management
4b    Appoint Deloitte & Touche LLP as Independent Registered Public Accounting Firm for Fiscal 2011/2012    For    For    Management
4c    Ratify PricewaterhouseCoopers AG as Special Auditors    For    For    Management
5a    Approve Allocation of Income    For    For    Management
5b    Approve Consolidated Reserves    For    For    Management

 

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5c    Approve Ordinary Cash Dividend    For    For    Management
6    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
7    Amend Articles of Association Regarding Book Entry Securities and Transfer of Registered Seat    For    For    Management

 

UNILEVER PLC

 

Ticker:    UL    Security ID:    904767704
Meeting Date:    MAY 09, 2012    Meeting Type:    Annual
Record Date:    MAR 19, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Accept Financial Statements and Statutory Reports    For    For    Management
2    Approve Remuneration Report    For    For    Management
3    Re-elect Paul Polman as Director    For    For    Management
4    Re-elect Jean-Marc Huet as Director    For    For    Management
5    Re-elect Louise Fresco as Director    For    For    Management
6    Re-elect Ann Fudge as Director    For    For    Management
7    Re-elect Charles Golden as Director    For    For    Management
8    Re-elect Byron Grote as Director    For    For    Management
9    Re-elect Sunil Bharti Mittal as Director    For    For    Management
10    Re-elect Hixonia Nyasulu as Director    For    For    Management
11    Re-elect Sir Malcolm Rifkind as Director    For    For    Management
12    Re-elect Kees Storm as Director    For    For    Management
13    Re-elect Michael Treschow as Director    For    For    Management
14    Re-elect Paul Walsh as Director    For    For    Management
15    Reappoint PricewaterhouseCoopers LLP as Auditors    For    For    Management
16    Authorise Board to Fix Remuneration of Auditors    For    For    Management
17    Authorise Issue of Equity with Preemptive Rights    For    For    Management
18    Authorise Issue of Equity without Preemptive Rights    For    For    Management
19    Authorise Market Purchase    For    For    Management
20    Authorise EU Political Donations and Expenditure    For    For    Management
21    Authorise the Company to Call EGM with Two Weeks’ Notice    For    For    Management
22    Adopt New Articles of Association    For    For    Management

 

VODAFONE GROUP PLC

 

Ticker:    VOD    Security ID:    92857W209
Meeting Date:    JUL 26, 2011    Meeting Type:    Annual
Record Date:    JUN 03, 2011          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Accept Financial Statements and Statutory Reports    For    For    Management
2    Elect Gerard Kleisterlee as Director    For    For    Management
3    Re-elect John Buchanan as Director    For    For    Management

 

Page 31

4    Re-elect Vittorio Colao as Director    For    For    Management
5    Re-elect Michel Combes as Director    For    For    Management
6    Re-elect Andy Halford as Director    For    For    Management
7    Re-elect Stephen Pusey as Director    For    For    Management
8    Elect Renee James as Director    For    For    Management
9    Re-elect Alan Jebson as Director    For    For    Management
10    Re-elect Samuel Jonah as Director    For    For    Management
11    Re-elect Nick Land as Director    For    For    Management
12    Re-elect Anne Lauvergeon as Director    For    For    Management
13    Re-elect Luc Vandevelde as Director    For    For    Management
14    Re-elect Anthony Watson as Director    For    For    Management
15    Re-elect Philip Yea as Director    For    For    Management
16    Approve Final Dividend    For    For    Management
17    Approve Remuneration Report    For    For    Management
18    Reappoint Deloitte LLP as Auditors    For    For    Management
19    Authorise Audit Committee to Fix Remuneration of Auditors    For    For    Management
20    Authorise Issue of Equity with Preemptive Rights    For    For    Management
21    Authorise Issue of Equity without Preemptive Rights    For    For    Management
22    Authorise Market Purchase    For    For    Management
23    Authorise the Company to Call EGM with Two Weeks’ Notice    For    For    Management

 

VULCAN MATERIALS CO.

 

Ticker:    VMC    Security ID:    929160109
Meeting Date:    JUN 01, 2012    Meeting Type:    Proxy Contest
Record Date:    APR 20, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1.1    Elect Director Phillip W. Farmer    For    For    Management
1.2    Elect Director H. Allen Franklin    For    For    Management
1.3    Elect Director Richard T. O’Brien    For    For    Management
1.4    Elect Director Donald B. Rice    For    For    Management
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
3    Ratify Auditors    For    For    Management
4    Require a Majority Vote for the Election of Directors    Against    For    Shareholder
5    Declassify the Board of Directors    Against    For    Shareholder
6    Reduce Supermajority Vote Requirement Dissident Proxy    Against    For    Shareholder
1.1    Elect Director Philip R. Lochner, Jr.    For    Not Voted    Shareholder
1.2    Elect Director Edward W. Moneypenny    For    Not Voted    Shareholder
1.3    Elect Director Karen R. Osar    For    Not Voted    Shareholder
1.4    Elect Director V. James Sardo    For    Not Voted    Shareholder
2    Advisory Vote to Ratify Named Executive Officers’ Compensation    None    Not Voted    Shareholder
3    Ratify Auditors    None    Not Voted    Shareholder
4    Require a Majority Vote for the Election of Directors    None    Not Voted    Shareholder
5    Declassify the Board of Directors    None    Not Voted    Shareholder
6    Reduce Supermajority Vote Requirement    None    Not Voted    Shareholder

 

Page 32

WAL-MART STORES, INC.

 

Ticker:    WMT    Security ID:    931142103
Meeting Date:    JUN 01, 2012    Meeting Type:    Annual
Record Date:    APR 04, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Aida M. Alvarez    For    For    Management
2    Elect Director James W. Breyer    For    For    Management
3    Elect Director M. Michele Burns    For    For    Management
4    Elect Director James I. Cash, Jr.    For    For    Management
5    Elect Director Roger C. Corbett    For    For    Management
6    Elect Director Douglas N. Daft    For    For    Management
7    Elect Director Michael T. Duke    For    For    Management
8    Elect Director Marissa A. Mayer    For    For    Management
9    Elect Director Gregory B. Penner    For    For    Management
10    Elect Director Steven S. Reinemund    For    For    Management
11    Elect Director H. Lee Scott, Jr.    For    For    Management
12    Elect Director Arne M. Sorenson    For    For    Management
13    Elect Director Jim C. Walton    For    For    Management
14    Elect Director S. Robson Walton    For    For    Management
15    Elect Director Christopher J. Williams    For    For    Management
16    Elect Director Linda S. Wolf    For    For    Management
17    Ratify Auditors    For    For    Management
18    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
19    Report on Political Contributions    Against    Against    Shareholder
20    Request Director Nominee with Patient Safety and Healthcare Quality Experience    Against    Against    Shareholder
21    Performance-Based Equity Awards    Against    Against    Shareholder

 

WELLS FARGO & CO.

 

Ticker:    WFC    Security ID:    949746101
Meeting Date:    APR 24, 2012    Meeting Type:    Annual
Record Date:    FEB 24, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director John D. Baker, II    For    For    Management
2    Elect Director Elaine L. Chao    For    For    Management
3    Elect Director John S. Chen    For    For    Management
4    Elect Director Lloyd H. Dean    For    For    Management
5    Elect Director Susan E. Engel    For    For    Management
6    Elect Director Enrique Hernandez, Jr.    For    For    Management
7    Elect Director Donald M. James    For    For    Management
8    Elect Director Cynthia H. Milligan    For    For    Management
9    Elect Director Nicholas G. Moore    For    For    Management
10    Elect Director Federico F. Pena    For    For    Management
11    Elect Director Philip J. Quigley    For    For    Management
12    Elect Director Judith M. Runstad    For    For    Management
13    Elect Director Stephen W. Sanger    For    For    Management
14    Elect Director John G. Stumpf    For    For    Management
15    Elect Director Susan G. Swenson    For    For    Management
16    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
17    Ratify Auditors    For    For    Management
18    Require Independent Board Chairman    Against    Against    Shareholder
19    Provide for Cumulative Voting    Against    Against    Shareholder
20    Adopt Proxy Access Right    Against    For    Shareholder
21    Require Audit Committee Review and Report on Controls Related to Loans, Foreclosure and Securitizations    Against    Against    Shareholder

 

Page 33

XEROX CORP.

 

Ticker:    XRX    Security ID:    984121103
Meeting Date:    MAY 24, 2012    Meeting Type:    Annual
Record Date:    MAR 26, 2012          

 

#

   

Proposal

   

Mgt Rec

   

Vote Cast

   

Sponsor

1    Elect Director Glenn A. Britt    For    For    Management
2    Elect Director Ursula M. Burns    For    For    Management
3    Elect Director Richard J. Harrington    For    For    Management
4    Elect Director William Curt Hunter    For    For    Management
5    Elect Director Robert J. Keegan    For    For    Management
6    Elect Director Robert A. McDonald    For    For    Management
7    Elect Director Charles Prince    For    For    Management
8    Elect Director Ann N. Reese    For    For    Management
9    Elect Director Sara Martinez Tucker    For    For    Management
10    Elect Director Mary Agnes Wilderotter    For    For    Management
11    Ratify Auditors    For    For    Management
12    Advisory Vote to Ratify Named Executive Officers’ Compensation    For    For    Management
13    Amend Omnibus Stock Plan    For    For    Management

 

Page 34

SIGNATURES:

 

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

 

Dodge & Cox Funds

(Registrant)

 

 
By  

/s/ Kenneth E. Olivier

   

Chairman

Date    

8/27/12