N-PX 1 d235069dnpx.txt THE SWISS HELVETIA FUND, INC. ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ----------------- FORM N-PX ----------------- ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-05128 ----------------- The Swiss Helvetia Fund, Inc. (Exact name of registrant as specified in charter) ----------------- 875 Third Avenue, 22/nd/ Floor New York, New York 10022 (Address of principal executive offices) (Zip code) With copy to: Mark Hemenetz Schroders Investment Management North America Inc. 875 Third Avenue, 22/nd/ Floor New York, New York 10022 (Name and Address of Agent for Service) ----------------- Registrant's telephone number, including area code: (800) 730-2932 Date of fiscal year end: December 31 Date of reporting period: July 1, 2015 to June 30, 2016 ----------------- Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 ((S)(S)239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. (S) 3507. ================================================================================ Item 1. Proxy Voting Record FORM N-PX ICA File Number: 811-05128 Registrant Name: Swiss Helvetia Fund, Inc Reporting Period: 07/01/2015 - 06/30/2016 Swiss Helvetia Fund, Inc ACTELION LTD. Ticker: ATLN Security ID: H0032X135 Meeting Date: MAY 04, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For For 2 Approve Allocation of Income and Management For For Dividends of CHF 1.50 per Share from Capital Contribution Reserves 3 Approve Discharge of Board and Senior Management For For Management 4 Approve CHF 3.2 Million Reduction in Management For For Share Capital via Cancellation of Repurchased Shares 5 Extend Duration of CHF 6.5 Million Pool Management For For of Capital without Preemptive Rights 6.1a Reelect Jean-Pierre Garnier as Director Management For For 6.1b Reelect Jean-Paul Clozel as Director Management For For 6.1c Reelect Juhani Anttila as Director Management For For 6.1d Reelect Robert Bertolini as Director Management For For 6.1e Reelect John J. Greisch as Director Management For For 6.1f Reelect Peter Gruss as Director Management For For 6.1g Reelect Michael Jacobi as Director Management For For 6.1h Reelect Jean Malo as Director Management For For 6.1i Reelect David Stout as Director Management For For 6.1j Reelect Herna Verhagen as Director Management For For 6.2 Reelect Jean-Pierre Garnier as Board Management For For Chairman 6.3a Appoint Herna Verhagen as Member of the Management For For Compensation Committee 6.3b Appoint Jean-Pierre Garnier as Member Management For For of the Compensation Committee 6.3c Appoint John Greisch as Member of the Management For For Compensation Committee 7.1 Approve Remuneration of Directors in Management For For the Amount of CHF 2.4 Million 7.2 Approve Remuneration of Executive Management For For Committee in the Amount of CHF 23 Million 8 Designate BDO AG as Independent Proxy Management For For 9 Ratify Ernst & Young AG as Auditors Management For For 10 Transact Other Business (Voting) Management For Against
AIROPACK TECHNOLOGY GROUP AG Ticker: AIRN Security ID: H0107G108 Meeting Date: JUN 23, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Treatment of Net Loss Management For For 3 Approve Discharge of Board and Senior Management For For Management 4.1.1 Reelect Antoine Kohler as Director Management For For 4.1.2 Reelect Quint Kelders as Director Management For For 4.1.3 Reelect Attila Tamer as Director Management For For 4.2.1 Elect Okko Filius as Director Management For For 4.2.2 Elect Robert Seminara as Director Management For For (Contingent Upon Approval of Item 9) 4.2.3 Elect Ralf Ackermann as Director Management For For (Contingent Upon Approval of Item 9) 4.2.4 Elect Lorenzo Levi as Director Management For For (Contingent Upon Approval of Item 9) 4.3 Reelect Antoine Kohler as Board Chairman Management For For 4.4.1 Appoint Antoine Kohler as Member of the Management For For Compensation Committee 4.4.2 Appoint Okko Filius as Member of the Management For For Compensation Committee 4.4.3 Appoint Lorenzo Levi as Member of the Management For For Compensation Committee (Contingent Upon Approval of Item 9) 5 Approve Remuneration of Directors in Management For Against the Amount of CHF 200,000 6 Approve Remuneration of Executive Management For Against Committee in the Amount of CHF 1.5 Million 7 Ratify BDO AG as Auditors Management For For 8 Designate Daniel Bill as Independent Management For For Proxy 9 Approve CHF 20.7 Million Share Capital Management For For Increase for a Private Placement with Apollo Global Management, LLC 10 Approve CHF 9.3 Million Pool of Management For For Conditional Capital without Preemptive Rights for Option Rights Granted to Apollo Global Management, LLC 11 Amend Articles Re: Board Quorum Management For For Requirement 12 Transact Other Business (Voting) Management For Against
ARYZTA AG Ticker: YZA Security ID: H0336B110 Meeting Date: DEC 08, 2015 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For For 2.1 Approve Allocation of Income Management For For 2.2 Approve Dividends of CHF 0.66 per Share Management For For
3 Approve Discharge of Board and Senior Management For Against Management 4.1.1 Reelect Denis Lucey as Director and Management For Against Chairman 4.1.2 Reelect Charles Adair as Director Management For Against 4.1.3 Reelect Annette Flynn as Director Management For For 4.1.4 Reelect Shaun Higgins as Director Management For For 4.1.5 Reelect Owen Killian as Director Management For Against 4.1.6 Reelect Andrew Morgan as Director Management For For 4.1.7 Reelect Wolfgang Werle as Director Management For For 4.1.8 Elect Dan Flinter as Director Management For Against 4.2.1 Appoint Charles Adair as Member of the Management For Against Compensation Committee 4.2.2 Appoint Shaun Higgins as Member of the Management For For Compensation Committee 4.2.3 Appoint Denis Lucey as Member of the Management For Against Compensation Committee 4.3 Ratify PricewaterhouseCoopers AG as Management For For Auditors 4.4 Designate Ines Poeschel as Independent Management For For Proxy 5.1 Approve Maximum Remuneration of Board Management For For Directors in the Amount of CHF 1 Million 5.2 Approve Maximum Remuneration of Management For Against Executive Committee in the Amount of CHF 17.75 Million 6 Approve Creation of CHF 183,621 Pool of Management For Against Capital without Preemptive Rights 7 Transact Other Business (Voting) Management For Against
BASILEA PHARMACEUTICA AG Ticker: BSLN Security ID: H05131109 Meeting Date: APR 21, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1a Accept Financial Statements and Management For For Statutory Reports 1b Approve Variable Remuneration of Management For For Executive Committee in the Amount of CHF 5.46 Million for Fiscal 2015 (Non-Binding) 2 Approve Treatment of Net Loss Management For For 3 Approve Discharge of Board and Senior Management For For Management 4a Reelect Daniel Lew as Director Management For For 4b Reelect Martin Nicklasson as Director Management For For 4c Reelect Thomas Rinderknecht as Director Management For For 4d Reelect Domenico Scala as Director Management For For 4e Reelect Steven Skolsky as Director Management For For 4f Reelect Thomas Werner as Director Management For For 5 Elect Domenico Scala as Board Chairman Management For For 6a Appoint Martin Nicklasson as Member of Management For For the Compensation Committee 6b Appoint Steven Skolsky as Member of the Management For For Compensation Committee 6c Appoint Thomas Werner as Member of the Management For For Compensation Committee 7a Approve Maximum Remuneration of Board Management For For of Directors in the Amount of CHF 1.4 Million 7b Approve Maximum Fixed Remuneration of Management For For Executive Committee in the Amount of CHF 3.3 Million
7c Approve Variable Remuneration of Management For For Executive Committee in the Amount of CHF 5.2 Million 8 Designate Caroline Cron as Independent Management For For Proxy 9 Ratify PricewaterhouseCoopers Ltd as Management For For Auditors 10a Amend Article 18 Para. 4: Remove Management For For Possibility of Granting Stock Options to Members of the Board of Directors 10b Approve Creation of CHF 1 Million Pool Management For For of Capital without Preemptive Rights 11 Transact Other Business (Voting) Management For Against
BELIMO HOLDING AG Ticker: BEAN Security ID: H07171103 Meeting Date: APR 25, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Allocation of Income and Management For For Dividends of CHF 65 per Share 3 Approve Remuneration Report Management For For 4 Approve Discharge of Board and Senior Management For For Management 5.1.1 Reelect Adrian Altenburger as Director Management For For 5.1.2 Reelect Patrick Burkhalter as Director Management For For 5.1.3 Reelect Martin Hess as Director Management For For 5.1.4 Reelect Hans Peter Wehrli as Director Management For For 5.1.5 Reelect Martin Zwyssig as Director Management For For 5.2.1 Reelect Hans Peter Wehrli as Board Management For For Chairman 5.2.2 Reelect Martin Zwyssig as Deputy Management For For Chairman 5.3.1 Appoint Martin Hess as Member and Management For For Chairman of the Compensation Committee 5.3.2 Appoint Adrian Altenburger as Member of Management For For the Compensation Committee 5.3.3 Appoint Patrick Burkhalter as Member of Management For Against the Compensation Committee 5.4 Designate Proxy Voting Services GmbH as Management For For Independent Proxy 5.5 Ratify KPMG AG as Auditors Management For For 6.1 Approve Fixed Maximum Remuneration of Management For For Directors in the Amount of CHF 770,000 6.2 Approve Remuneration of Executive Management For For Committee in the Amount of CHF 4.2 Million 7 Transact Other Business (Voting) Management For Against
BUCHER INDUSTRIES AG Ticker: BUCN Security ID: H10914176 Meeting Date: APR 15, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Discharge of Board and Senior Management For For Management 3 Approve Allocation of Income and Management For For Dividends of CHF 5.50 per Share 4.1a Reelect Ernst Baertschi as Director Management For For 4.1b Reelect Claude R. Cornaz as Director Management For Against 4.1c Reelect Anita Hauser as Director Management For For 4.1d Reelect Michael Hauser as Director Management For For 4.1e Reelect Heinrich Spoerry as Director Management For For 4.1f Reelect Valentin Vogt as Director Management For For 4.2 Elect Philip Moslmann as Director and Management For For Board Chairman 4.3a Appoint Claude R. Cornaz as Member of Management For Against the Compensation Committee 4.3b Appoint Anita Hauser as Member of the Management For For Compensation Committee 4.3c Appoint Valentin Vogt as Member of the Management For For Compensation Committee 4.4 Designate Mathe & Partner as Management For For Independent Proxy 4.5 Ratify PricewaterhouseCoopers AG as Management For For Auditors 5.1 Approve Variable Remuneration of Management For For Executive Committee in the Amount of CHF 2.7 Million 5.2 Approve Remuneration Report Management For For 5.3 Approve Remuneration of Directors in Management For For the Amount of CHF 1.2 Million 5.4 Approve Fixed Remuneration of Executive Management For For Committee in the Amount of CHF 5 Million 6 Transact Other Business (Voting) Management For Against
CEMBRA MONEY BANK AG Ticker: CMBN Security ID: H3119A101 Meeting Date: APR 27, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Remuneration Report Management For For 3.1 Approve Allocation of Income Management For For 3.2 Approve Dividends of CHF 3.35 per Share Management For For from Capital Contribution Reserves 4 Approve Discharge of Board and Senior Management For For Management 5.1.1 Reelect Felix Weber as Director Management For For 5.1.2 Reelect Peter Athanas as Director Management For For
5.1.3 Reelect Urs Baumann as Director Management For For 5.1.4 Reelect Denis Hall as Director Management For For 5.1.5 Elect Monica Maechler as Director Management For For 5.2.1 Elect Katrina Machin as Director Management For For 5.2.2 Elect Ben Tellings as Director Management For For 5.3 Reelect Felix Weber as Board Chairman Management For For 5.4.1 Appoint Urs Baumann as Member of the Management For For Compensation and Nomination Committee 5.4.2 Appoint Katrina Machin as Member of the Management For For Compensation and Nomination Committee 5.4.3 Appoint Ben Tellings as Member of the Management For For Compensation and Nomination Committee 5.5 Designate Andreas Keller as Independent Management For For Proxy 5.6 Ratify KPMG AG as Auditors Management For For 6.1 Amend Articles Re: Tasks of Management For For Compensation and Nomination Committee 6.2 Amend Articles Re: Prohibition of Management For For Competition Agreements in Employment Agreements 6.3 Amend Articles Re: Compensation of the Management For For Board of Directors 6.4 Amend Articles Re: Compensation of the Management For For Executive Committee 6.5 Approve Possibility to Introduce Management For For Employee Stock Purchase Plan 7.1 Approve Maximum Remuneration of Management For For Directors in the Amount of CHF 1.4 Million 7.2 Approve Maximum Fixed and Variable Management For For Remuneration of Executive Committee in the Amount of CHF 5.3 Million 8 Transact Other Business (Voting) Management For Against
CREDIT SUISSE GROUP AG Ticker: CSGN Security ID: H3698D419 Meeting Date: NOV 19, 2015 Meeting Type: SPECIAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Approve CHF 2.3 Million Share Capital Management For For Increase without Preemptive Rights for Private Placement 2 Approve Share Capital Increase of Up to Management For For CHF 10.4 Million with Preemptive Rights 3.1 Additional Voting Management None Against Instructions - Shareholder Proposals (Voting) 3.2 Additional Voting Instructions - Board Management None Against of Directors Proposals (Voting)
CREDIT SUISSE GROUP AG Ticker: CSGN Security ID: H3698D419 Meeting Date: APR 29, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Receive Financial Statements and Management None None Statutory Reports (Non-Voting) 1.2 Approve Remuneration Report Management For For 1.3 Accept Financial Statements and Management For For Statutory Reports 2 Approve Discharge of Board and Senior Management For For Management 3.1 Approve Allocation of Income Management For For 3.2 Approve Dividends of CHF 0.70 per Share Management For For from Capital Contribution Reserves 4.1 Approve Maximum Remuneration of Management For For Directors in the Amount of CHF 12 Million
4.2.1 Approve Short-Term Variable Management For For Remuneration of Executive Committee in the Amount of CHF 34.6 Million 4.2.2 Approve Maximum Fixed Remuneration of Management For For Executive Committee in the Amount of CHF 33 Million 4.2.3 Approve Maximum Long-Term Variable Management For For Remuneration of Executive Committee in the Amount of CHF 49 Million 5.1 Approve Amendment of Pool of Authorized Management For For Capital with or without Preemptive Rights for Script Dividends 5.2 Approve Amendment of Pool of Authorized Management For For Capital with or without Preemptive Rights for Future Acquisitions 6.1a Reelect Urs Rohner as Director and Management For Against Board Chairman 6.1b Reelect Jassim Al Thani as Director Management For For 6.1c Reelect Iris Bohnet as Director Management For For 6.1d Reelect Noreen Doyle as Director Management For For 6.1e Reelect Andreas Koopmann as Director Management For For 6.1f Reelect Jean Lanier as Director Management For For 6.1g Reelect Seraina Maag as Director Management For For 6.1h Reelect Kai Nargolwala as Director Management For For 6.1i Reelect Severin Schwan as Director Management For For 6.1j Reelect Richard Thornburgh as Director Management For For 6.1k Reelect John Tiner as Director Management For For 6.1l Elect Alexander Gut as Director Management For For 6.1m Elect Joaquin J. Ribeiro as Director Management For For 6.2a Appoint Iris Bohnet as Member of the Management For For Compensation Committee 6.2b Appoint Andreas Koopmann as Member of Management For For the Compensation Committee 6.2c Appoint Jean Lanier as Member of the Management For For Compensation Committee 6.2d Appoint Kai Nargolwala as Member of the Management For For Compensation Committee 6.3 Ratify KPMG AG as Auditors Management For For 6.4 Ratify BDO AG as Special Auditor Management For For 6.5 Designate Andreas Keller as Independent Management For For Proxy 7.1 Transact Other Business: Proposals by Management None Against Shareholders (Voting) 7.2 Transact Other Business: Proposals by Management None Against the Board of Directors (Voting)
DKSH HOLDING AG Ticker: DKSH Security ID: H2012M121 Meeting Date: MAR 30, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Allocation of Income and Management For For Dividends of CHF 1.30 per Share 3 Approve Discharge of Board and Senior Management For For Management 4.1 Approve Remuneration of Directors in Management For For the Amount of CHF 2.6 Million
4.2 Approve Remuneration of Executive Management For For Committee in the Amount of CHF 16.5 Million 5.1.1 Elect Adrian Keller as Director Management For For 5.1.2 Elect Rainer-Marc Frey as Director Management For For 5.1.3 Elect Frank Gulich as Director Management For For 5.1.4 Elect David Kemenetzky as Director Management For For 5.1.5 Elect Andreas Keller as Director Management For For 5.1.6 Elect Robert Peugeot as Director Management For For 5.1.7 Elect Theo Siegert as Director Management For For 5.1.8 Elect Hans Tanner as Director Management For For 5.1.9 Elect Joerg Wolle as Director Management For For 5.2 Elect Adrian Keller as Board Chairman Management For For 5.3.1 Appoint Andreas Keller as Member of the Management For For Compensation Committee 5.3.2 Appoint Frank Gulich as Member of the Management For For Compensation Committee 5.3.3 Appoint Robert Peugeot as Member of the Management For For Compensation Committee 5.4 Ratify Ernst & Young AG as Auditors Management For For 5.5 Designate Ernst Widmer as Independent Management For For Proxy 6 Transact Other Business (Voting) Management For Against
DUFRY AG Ticker: DUFN Security ID: H2082J107 Meeting Date: APR 28, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For For 2 Approve Allocation of Income Management For For 3 Approve Discharge of Board and Senior Management For For Management 4.1 Reelect Juan Carlos Torres Carretero as Management For Against Director and Board Chairman 4.2.1 Reelect Andres Holzer Neumann as Management For For Director 4.2.2 Reelect Jorge Born as Director Management For For 4.2.3 Reelect Xavier Bouton as Director Management For For 4.2.4 Reelect Julian Diaz Gonzalez as Director Management For Against 4.2.5 Reelect George Koutsolioutsos as Management For For Director 4.2.6 Reelect Joaquin Moya-Angeler Cabrera as Management For For Director 4.3.1 Elect Heekyung Min as Director Management For For 4.3.2 Elect Claire Chiang as Director Management For For 5.1 Appoint Jorge Born as Member of the Management For For Compensation Committee 5.2 Appoint Xavier Bouton as Member of the Management For For Compensation Committee 5.3 Appoint Heekyung Min as Member of the Management For For Compensation Committee 6 Ratify Ernst & Young Ltd. as Auditors Management For For 7 Designate Altenburger Ltd. as Management For For Independent Proxy 8.1 Approve Maximum Remuneration of Management For Against Directors in the Amount of CHF 7.7 Million 8.2 Approve Maximum Remuneration of Management For Against Executive Committee in the Amount of CHF 49 Million 9 Transact Other Business (Voting) Management For Against
FEINTOOL INTERNATIONAL HOLDING AG Ticker: FTON Security ID: H24510135 Meeting Date: APR 19, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2a Approve Allocation of Income Management For For 2b Approve Allocation of Dividends of CHF Management For For 1.50 per Share 3 Approve Discharge of Board and Senior Management For For Management 4a Approve Remuneration of Directors in Management For Against the Amount of CHF 1.5 Million 4b Approve Remuneration of Executive Management For For Committee in the Amount of CHF 1.8 Million 5a1 Reelect Alexander von Witzleben as Management For For Director 5a2 Reelect Michael Soormann as Director Management For For 5a3 Reelect Thomas A. Erb as Director Management For For 5a4 Reelect Wolfgang Feil as Director Management For For 5a5 Reelect Thomas Muhr as Director Management For For 5a6 Reelect Kurt E. Stirnemann as Director Management For For 5a7 Elect Rolf-Dieter Kempis as Director Management For For 5b Reelect Alexander von Witzleben as Management For For Board Chairman 5c1 Appoint Alexander von Witzleben as Management For For Member of the Compensation and Nomination Committee 5c2 Appoint Michael Soormann as Member of Management For For the Compensation and Nomination Committee 5c3 Appoint Wolfgang Feil as Member of the Management For For Compensation and Nomination Committee 5d Designate COT Treuhand AG as Management For For Independent Proxy 5e Ratify KPMG AG as Auditors Management For For 6 Approve Creation of CHF 6 Million Pool Management For For of Capital without Preemptive Rights 7 Transact Other Business (Voting) Management For Against
FORBO HOLDING AG Ticker: FORN Security ID: H26865214 Meeting Date: APR 29, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Discharge of Board and Senior Management For For Management 3 Approve Allocation of Income and Management For Against Dividends of CHF 17 per Share 4 Approve CHF 19,000 Reduction in Share Management For For Capital via Cancellation of Repurchased Shares
5.1 Approve Remuneration Report Management For Against 5.2 Approve Variable Remuneration of Management For For Executive Committee in the Amount of CHF 830,000 5.3 Approve Maximum Remuneration of Management For For Directors in the Amount of CHF 4 Million 5.4 Approve Fixed Remuneration of Executive Management For For Committee in the Amount of CHF 2.3 Million 6.1 Reelect This E. Schneider as Director Management For For and Chairman 6.2 Reelect Peter Altorfer as Director Management For For 6.3 Reelect Michael Pieper as Director Management For For 6.4 Reelect Claudia Coninx-Kaczynski as Management For For Director 6.5 Reelect Reto Mueller as Director Management For For 6.6 Reelect Vincent Studer as Director Management For For 7.1 Appoint Peter Altorfer as Member of the Management For For Compensation Committee 7.2 Appoint Claudia Coninx-Kaczynski as Management For For Member of the Compensation Committee 7.3 Appoint Michael Pieper as Member of the Management For For Compensation Committee 8 Ratify KPMG AG as Auditors Management For For 9 Designate Rene Peyer as Independent Management For For Proxy 10 Transact Other Business (Voting) Management For Against
GAM HOLDING LTD. Ticker: GAM Security ID: H2878E106 Meeting Date: APR 27, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For Against 2 Approve Allocation of Income and Management For For Dividends of CHF 0.65 per Share from Capital Contribution Reserves 3 Approve Discharge of Board and Senior Management For For Management 4 Approve CHF 155,000 Reduction in Share Management For For Capital via Cancellation of Repurchased Shares 5 Approve Creation of CHF 816,973 Pool of Management For For Capital without Preemptive Rights 6.1 Reelect Johannes de Gier as Director Management For For and Board Chairman 6.2 Reelect Diego du Monceau as Director Management For For 6.3 Reelect Hugh Scott-Barrett as Director Management For For 6.4 Elect Nancy Mistretta as Director Management For For 6.5 Elect Ezra S. Field as Director Management For For 6.6 Elect Benjamin Meuli as Director Management For For 7.1 Appoint Diego du Monceau as Member of Management For For the Compensation Committee 7.2 Appoint Nancy Mistretta as Member of Management For For the Compensation Committee 7.3 Appoint Benjamin Meuli as Member of the Management For For Compensation Committee 8.1 Approve Remuneration of Directors in Management For Against the Amount of CHF 3 Million
8.2 Approve Fixed Remuneration of Executive Management For Against Committee in the Amount of CHF 8 Million 8.3 Approve Variable Remuneration of Management For Against Executive Committee in the Amount of CHF 15 Million 9 Ratify KPMG AG as Auditors Management For For 10 Designate Tobias Rohner as Independent Management For For Proxy 11 Transact Other Business (Voting) Management For Against
GATEGROUP HOLDING AG Ticker: GATE Security ID: H30145108 Meeting Date: APR 14, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Annual Report and Consolidated Management For For Financial Statements 1.2 Accept Financial Statements and Management For For Statutory Reports 1.3 Approve Remuneration Report Management For Against 2.1 Approve Allocation of Income Management For For 2.2 Approve Dividends of CHF 0.30 per Share Management For For 3 Approve Discharge of Board and Senior Management For For Management 4.1 Reelect Andreas Schmid as Director and Management For Against as Board Chairman 4.2 Relect David Barger as Director Management For For 4.3 Reelect Remo Brunschwiler as Director Management For For 4.4 Reelect Gerard van Kesteren as Director Management For For 4.5 Reelect Frederick Reid as Director Management For For 4.6 Reelect Julie Southern as Director Management For For 4.7 Reelect Anthonie Stal as Director Management For For 4.8 Elect Rudolf Bohli as Director Shareholder Against Against 4.9 Elect Nils Engel as Director Shareholder Against Against 5.1 Appoint Julie Southern as Member of the Management For For Compensation Committee 5.2 Appoint Frederick Reid as Member of the Management For For Compensation Committee 5.3 Appoint Anthonie Stal as Member of the Management For For Compensation Committee 5.4 Appoint Nils Engel as Member of the Shareholder Against Against Compensation Committee 6 Designate Andreas Keller as Independent Management For For Proxy 7 Ratify Ernst & Young AG as Auditors Management For For 8.1 Extend Duration of Existing CHF 13.3 Management For For Million Pool of Capital without Preemptive Rights 8.2 Amend Articles Re: Long-Term Incentives Management For For 9.1 Approve Remuneration of Directors in Management For For the Amount of CHF 1.4 Million 9.2 Approve Remuneration of Executive Management For For Committee in the Amount of CHF 17.8 Million 10 Transact Other Business (Voting) Management For Against
HELVETIA HOLDING AG Ticker: HELN Security ID: H3701H100 Meeting Date: APR 22, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Discharge of Board and Senior Management For For Management 3 Approve Allocation of Income and Management For For Dividends of CHF 19.00 per Share 4.1 Elect Pierin Vincenz as Director and Management For Against Board Chairman 4.2.1 Reelect Hans-Juerg Bernet as Director Management For For 4.2.2 Reelect Jean-Rene Fournier as Director Management For Against 4.2.3 Reelect Patrik Gisel as Director Management For Against 4.2.4 Reelect Hans Kuenzle as Director Management For Against 4.2.5 Reelect Christoph Lechner as Director Management For For 4.2.6 Reelect Gabriela Payer as Director Management For For 4.2.7 Reelect Doris Russi Schurter as Director Management For Against 4.2.8 Reelect Herbert J. Scheidt as Director Management For Against 4.2.9 Reelect Andreas von Planta as Director Management For For 4.3.1 Appoint Hans-Juerg Bernet as Member of Management For For the Compensation Committee 4.3.2 Appoint Gabriela Payer as Member of the Management For For Compensation Committee 4.3.3 Appoint Doris Russi Schurter as Member Management For Against of the Compensation Committee 4.3.4 Appoint Andreas von Planta as Member of Management For For the Compensation Committee 5.1 Approve Fixed Remuneration of Directors Management For For in the Amount of CHF 2.74 Million 5.2 Approve Fixed Remuneration of Executive Management For For Committee in the Amount of CHF 5.06 Million 5.3 Approve Variable Remuneration of Management For For Directors in the Amount of CHF 392,000 5.4 Approve Variable Remuneration of Management For For Executive Committee in the Amount of CHF 3.36 Million 6 Designate Schmuki Bachmann Management For For Rechtsanwaelte as Independent Proxy 7 Ratify KPMG AG as Auditors Management For For 8 Transact Other Business (Voting) Management For Against
IMPLENIA AG Ticker: IMPN Security ID: H41929102 Meeting Date: MAR 22, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For Against 2 Approve Allocation of Income and Management For For Dividends of CHF 1.90 per Share 3 Approve Discharge of Board and Senior Management For For Management
4.1 Approve Maximum Remuneration of Management For For Directors in the Amount of CHF 1.5 Million 4.2 Approve Maximum Remuneration of Management For Against Executive Committee in the Amount of CHF 10 Million 5.1a Reelect Hans-Ulrich Meister as Director Management For Against and as Chairman of the Board 5.1b Reelect Chantal Emery as Director Management For For 5.1c Reelect Calvin Grieder as Director Management For For 5.1d Reelect Henner Mahlstedt as Director Management For For 5.1e Elect Ines Poeschel as Director Management For For 5.1f Elect Kyrre Johansen as Director Management For For 5.1g Elect Laurent Vulliet as Director Management For For 5.2a Appoint Calvin Grieder as Member of the Management For For Compensation Committee 5.2b Appoint Ines Poeschel as Member of the Management For For Compensation Committee 5.2c Appoint Kyrre Johansen as Member of the Management For For Compensation Committee 5.3 Designate Andreas Keller as Independent Management For For Proxy 5.4 Ratify PricewaterhouseCoopers AG as Management For For Auditors 6 Transact Other Business (Voting) Management For Against
JULIUS BAER GRUPPE AG Ticker: BAER Security ID: H4414N103 Meeting Date: APR 13, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For For 2 Approve Allocation of Income and Management For For Dividends of CHF 1.10 per Share 3 Approve Discharge of Board and Senior Management For For Management 4.1 Approve Maximum Remuneration of Board Management For For of Directors in the Amount of CHF 3.16 Million 4.2.1 Approve Variable Cash-Based Management For Against Remuneration of Executive Committee for Fiscal 2015 in the Amount of CHF 6.2 Million 4.2.2 Approve Variable Share-Based Management For Against Remuneration of Executive Committee for Fiscal 2016 in the Amount of CHF 5.52 Million 4.2.3 Approve Maximum Fixed Remuneration of Management For Against Executive Committee for Fiscal 2017 in the Amount of CHF 6.63 Million 5.1.1 Reelect Daniel Sauter as Director Management For For 5.1.2 Reelect Gilbert Achermann as Director Management For For 5.1.3 Reelect Andreas Amschwand as Director Management For For 5.1.4 Reelect Heinrich Baumann as Director Management For For 5.1.5 Reelect Paul Chow as Director Management For For 5.1.6 Reelect Claire Giraut as Director Management For For 5.1.7 Reelect Gareth Penny as Director Management For For 5.1.8 Reelect Charles Stonehill as Director Management For For 5.2 Elect Ann Almeida as Director Management For For 5.3 Elect Daniel Sauter as Board Chairman Management For For 5.4.1 Appoint Ann Almeida as Member of the Management For For Compensation Committee
5.4.2 Appoint Gilbert Achermann as Member of Management For For the Compensation Committee 5.4.3 Appoint Heinrich Baumann as Member of Management For For the Compensation Committee 5.4.4 Appoint Gareth Penny as Member of the Management For For Compensation Committee 6 Ratify KPMG AG as Auditors Management For For 7 Designate Marc Nater as Independent Management For For Proxy 8 Transact Other Business (Voting) Management For Against
KUROS BIOSCIENCES LTD. Ticker: KURN Security ID: H1754L101 Meeting Date: JUN 16, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Treatment of Net Loss Management For For 3 Approve Discharge of Board and Senior Management For For Management 4a Approve Fixed Remuneration of Directors Management For For in the Amount of CHF 575,000 4b Approve Allocation of 1.3 Million Management For Against Options as Variable Remuneration to Directors 4c Approve Fixed Remuneration of Executive Management For For Committee in the Amount of CHF 1.85 Million 4d Approve Variable Remuneration of Management For For Executive Committee in the Amount of CHF 765,000 4e Approve Allocation of 10.82 Million Management For Against Options as Variable Remuneration to Executive Committee 5a Reelect Christian Itin as Director and Management For For Chairman of the Board 5b Reelect Didier Cowling as Director Management For Against 5c Reelect Arnd Kaltofen-Ehrmann as Management For For Director 5d Reelect Joerg Neermann as Director Management For For 5e Reelect Gerhard Ries as Director Management For For 5f Reelect Harry Welten as Director Management For Against 5g Elect Leanna Caron as Director Management For For 6a Appoint Arnd Kaltofen-Ehmann as Member Management For For of the Compensation Committee 6b Appoint Gerhard Ries as Member of the Management For For Compensation Committee 7 Designate Andreas Keller as Independent Management For For Proxy 8 Ratify PricewaterhouseCoopers AG as Management For For Auditors 9 Approve 100:1 Reverse Stock Split and Management For For Amend Articles of Association 10 Amend Stock Option Plan Management For For 11 Approve Creation of CHF 2.5 Million Management For For Pool of Capital without Preemptive Rights 12 Transact Other Business (Voting) Management For For
LEONTEQ AG Ticker: LEON Security ID: G3082X113 Meeting Date: MAR 24, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2.1 Approve Allocation of Income Management For For 2.2 Approve Dividends of CHF 1.75 per Share Management For For 3 Approve Discharge of Board and Senior Management For For Management 4.1 Reelect Pierin Vincenz as Director and Management For Against Board Chairman 4.2 Reelect Joerg Behrens as Director Management For For 4.3 Reelect Vince Chandler as Director Management For Against 4.4 Reelect Patrick de Figueiredo as Management For Against Director 4.5 Reelect Patrik Gisel as Director Management For Against 4.6 Reelect Hans Isler as Director Management For For 4.7 Reelect Lukas Ruflin as Director Management For Against 5.1 Appoint Vince Chandler as Member of the Management For Against Compensation Committee 5.2 Appoint Pierin Vincenz as Member of the Management For Against Compensation Committee 5.3 Appoint Lukas Ruflin as Member of the Management For Against Compensation Committee 5.4 Appoint Hans Isler as Member of the Management For For Compensation Committee 6 Ratify PricewaterhouseCoopers AG as Management For For Auditors 7 Designate Proxy Voting Services GmbH as Management For For Independent Proxy 8.1 Approve Remuneration of Directors in Management For Against the Amount of CHF 4.1 Million 8.2 Approve Remuneration of Executive Management For Against Committee in the Amount of CHF 24 Million for Fiscal Year 2017 8.3 Approve Remuneration Report Management For Against 9 Transact Other Business (Voting) Management For Against
LINDT & SPRUENGLI AG Ticker: LISN Security ID: H49983176 Meeting Date: APR 21, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For Did Not Vote Statutory Reports 2 Approve Remuneration Report Management For Did Not Vote 3 Approve Discharge of Board and Senior Management For Did Not Vote Management 4.1 Approve Allocation of Income and Management For Did Not Vote Dividends of CHF 400 per Registered Share and CHF 40 per Participation Certificate 4.2 Approve Dividends from Capital Management For Did Not Vote Contribution Reserves of CHF 400 per Registered Share and CHF 40 per Participation Certificate 5.1 Reelect Ernst Tanner as Director and Management For Did Not Vote Board Chairman
5.2 Reelect Antonio Bulgheroni as Director Management For Did Not Vote 5.3 Reelect Rudolf Spruengli as Director Management For Did Not Vote 5.4 Reelect Elisabeth Guertler as Director Management For Did Not Vote 5.5 Reelect Petra Schadeberg-Herrmann as Management For Did Not Vote Director 5.6 Elect Thomas Rinderknecht as Director Management For Did Not Vote 6.1 Appoint Rudolf Spruengli as Member of Management For Did Not Vote the Compensation Committee 6.2 Appoint Antonio Bulgheroni as Member of Management For Did Not Vote the Compensation Committee 6.3 Appoint Elisabeth Guertler as Member of Management For Did Not Vote the Compensation Committee 7 Designate Patrick Schleiffer as Management For Did Not Vote Independent Proxy 8 Ratify PricewaterhouseCoopers AG as Management For Did Not Vote Auditors 9.1 Approve Remuneration of Directors in Management For Did Not Vote the Amount of CHF 1.1 Million 9.2 Approve Remuneration of Executive Management For Did Not Vote Committee in the Amount of CHF 28 Million 10 Transact Other Business (Voting) Management For Did Not Vote
LONZA GROUP LTD. Ticker: LONN Security ID: H50524133 Meeting Date: APR 22, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Remuneration Report Management For For 3 Approve Discharge of Board and Senior Management For For Management 4 Approve Allocation of Income and Management For For Dividends of CHF 2.50 per Share 5.1a Reelect Patrick Aebischer as Director Management For For 5.1b Reelect Werner Bauer as Director Management For For 5.1c Reelect Thomas Ebeling as Director Management For For 5.1d Reelect Jean-Daniel Gerber as Director Management For For 5.1e Reelect Barbara Richmond as Director Management For For 5.1f Reelect Margot Scheltema as Director Management For For 5.1g Reelect Rolf Soiron as Director Management For For 5.1h Reelect Juergen Steinemann as Director Management For For 5.1i Reelect Antonio Trius as Director Management For For 5.2 Elect Christoph Maeder as Director Management For For 5.3 Reelect Rolf Soiron as Board Chairman Management For For 5.4a Appoint Thomas Ebeling as Member of the Management For For Nomination and Compensation Committee 5.4b Appoint Jean-Daniel Gerber as Member of Management For For the Nomination and Compensation Committee 5.4c Appoint Christoph Maeder as Member of Management For For the Nomination and Compensation Committee 5.4d Appoint Juergen Steinemann as Member of Management For For the Nomination and Compensation Committee 6 Ratify KPMG AG as Auditors Management For For
7 Designate Daniel Pluess as Independent Management For For Proxy 8 Approve Remuneration of Directors in Management For For the Amount of CHF 2.96 Million 9.1 Approve Maximum Fixed Remuneration of Management For For Executive Committee in the Amount of CHF 4.02 Million 9.2 Approve Maximum Short-Term Variable Management For For Remuneration of Executive Committee in the Amount of CHF 3.31 Million 9.3 Approve Maximum Long-Term Variable Management For For Remuneration of Executive Committee in the Amount of CHF 5.67 Million 10 Transact Other Business (Voting) Management For Against
NESTLE SA Ticker: NESN Security ID: H57312649 Meeting Date: APR 07, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For For (Non-binding) 2 Approve Discharge of Board and Senior Management For For Management 3 Approve Allocation of Income and Management For For Dividends of CHF 2.25 per Share 4.1a Reelect Peter Brabeck-Letmathe as Management For For Director 4.1b Reelect Paul Bulcke as Director Management For For 4.1c Reelect Andreas Koopmann as Director Management For For 4.1d Reelect Beat Hess as Director Management For For 4.1e Reelect Renato Fassbind as Director Management For For 4.1f Reelect Steven G. Hoch as Director Management For For 4.1g Reelect Naina Lal Kidwai as Director Management For For 4.1h Reelect Jean-Pierre Roth as Director Management For For 4.1i Reelect Ann Veneman as Director Management For For 4.1j Reelect Henri de Castries as Director Management For For 4.1k Reelect Eva Cheng as Director Management For For 4.1l Reelect Ruth K. Oniang'o as Director Management For For 4.1m Reelect Patrick Aebischer as Director Management For For 4.2 Reelect Peter Brabeck-Letmathe as Board Management For For Chairman 4.3.1 Appoint Beat Hess as Member of the Management For For Compensation Committee 4.3.2 Appoint Andreas Koopmann as Member of Management For For the Compensation Committee 4.3.3 Appoint Jean-Pierre Roth as Member of Management For For the Compensation Committee 4.3.4 Appoint Patrick Aebischer as Member of Management For For the Compensation Committee 4.4 Ratify KPMG AG as Auditors Management For For 4.5 Designate Hartmann Dreyer as Management For For Independent Proxy 5.1 Approve Remuneration of Board of Management For Against Directors in the Amount of CHF 10.5 Million 5.2 Approve Remuneration of Executive Management For For Committee in the Amount of CHF 60 Million 6 Approve CHF 7.6 Million Reduction in Management For For Share Capital via Cancellation of Repurchased Shares 7 Transact Other Business (Voting) Management Against Against
NOVARTIS AG Ticker: NOVN Security ID: H5820Q150 Meeting Date: FEB 23, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Discharge of Board and Senior Management For For Management 3 Approve Allocation of Income and Management For For Dividends of CHF 2.70 per Share 4 Approve CHF 24.9 Million Reduction in Management For For Share Capital via Cancellation of Repurchased Shares 5 Authorize Repurchase of up to CHF 10 Management For For Billion in Issued Share Capital 6.1 Approve Maximum Remuneration of Board Management For For of Directors in the Amount of CHF 8.16 Million 6.2 Approve Maximum Remuneration of Management For For Executive Committee in the Amount of CHF 93 Million 6.3 Approve Remuneration Report Management For For (Non-Binding) 7.1 Reelect Joerg Reinhardt as Director and Management For For Chairman 7.2 Reelect Nancy Andrews as Director Management For For 7.3 Reelect Dimitri Azar as Director Management For For 7.4 Reelect Srikant Datar as Director Management For For 7.5 Reelect Ann Fudge as Director Management For For 7.6 Reelect Pierre Landolt as Director Management For For 7.7 Reelect Andreas von Planta as Director Management For For 7.8 Reelect Charles Sawyers as Director Management For For 7.9 Reelect Enrico Vanni as Director Management For For 7.10 Reelect William Winters as Director Management For For 7.11 Elect Tom Buechner as Director Management For For 7.12 Elect Elizabeth Doherty as Director Management For For 8.1 Appoint Srikant Datar as Member of the Management For For Compensation Committee 8.2 Appoint Ann Fudge as Member of the Management For For Compensation Committee 8.3 Appoint Enrico Vanni as Member of the Management For For Compensation Committee 8.4 Appoint William Winters as Member of Management For For the Compensation Committee 9 Ratify PricewaterhouseCoopers AG as Management For For Auditors 10 Designate Peter Andreas Zahn as Management For For Independent Proxy 11 Transact Other Business (Voting) Management For For
OC OERLIKON CORPORATION AG Ticker: OERL Security ID: H59187106 Meeting Date: APR 05, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2.1 Approve Allocation of Income Management For For 2.2 Approve Dividends of CHF 0.30 per Share Management For For from Capital Contribution Reserves 3 Approve Discharge of Board and Senior Management For For Management 4.1.1 Reelect Michael Suess as Director and Management For For Board Chairman 4.1.2 Reelect Gerhard Pegam as Director Management For For 4.1.3 Reelect Hans Ziegler as Director Management For For 4.2.1 Elect Jean Botti as Director Management For For 4.2.2 Elect David Metzger as Director Management For Against 4.2.3 Elect Alexy Moskov as Director Management For Against 5.1.1 Reappoint Michael Suess as Member of Management For Against the Human Resources Committee 5.1.2 Reappoint Hans Ziegler as Member of the Management For Against Human Resources Committee 5.2 Appoint Alexy Moskov as Member of the Management For Against Human Resources Committee 6 Ratify PricewaterhouseCoopers AG as Management For For Auditors 7 Designate Proxy Voting Services GmbH as Management For For Independent Proxy 8 Approve Remuneration of Board of Management For Against Directors in the Amount of CHF 2.2 Million 9 Approve Fixed Remuneration of Executive Management For For Committee in the Amount of CHF 6.9 Million 10 Approve Variable Remuneration of Management For For Executive Committee in the Amount of CHF 7.0 Million 11 Transact Other Business (Voting) Management For For
SFS GROUP AG Ticker: SFSN Security ID: H7482F118 Meeting Date: APR 20, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2.1 Approve Additional Remuneration of Management For Against Board of Directors in the Amount of CHF 104,000 for the Period from January 1, 2016 until the Conclusion of the 2016 AGM 2.2 Approve Maximum Remuneration of Board Management For Against of Directors in the Amount of CHF 736,000 in Cash and CHF 305,000 in Shares for the Period from the 2016 AGM until the 2017 AGM 2.3 Approve Maximum Fixed Remuneration of Management For For Executive Committee in the Amount of CHF 3.32 Million 2.4 Approve Maximum Variable Remuneration Management For For of Executive Committee in the Amount of CHF 986,000 in Cash and CHF 516,000 in Shares 2.5 Approve Remuneration Report Management For Against 3 Approve Discharge of Board and Senior Management For For Management 4 Approve Allocation of Income and Management For For Dividends of CHF 1.50 per Share 5.1a Reelect Ruedi Huber as Director Management For For 5.1b Reelect Urs Kaufmann as Director Management For For 5.1c Reelect Thomas Oetterli as Director Management For For
5.1d Reelect Heinrich Spoerry as Director Management For For and Chairman of the Board 5.1e Reelect Karl Stadler as Director Management For For 5.1f Reelect Joerg Walther as Director Management For For 5.2a Appoint Urs Kaufmann as Member of the Management For For Nomination and Compensation Committee 5.2b Appoint Karl Stadler as Member of the Management For Against Nomination and Compensation Committee 5.2c Appoint Heinrich Spoerry as Member of Management For Against the Compensation Committee 5.3 Designate buerki bolt nemeth Management For For Rechtsanwaelte as Independent Proxy 5.4 Ratify PricewaterhouseCoopers AG as Management For For Auditors 6 Transact Other Business (Voting) Management For Against
SONOVA HOLDING AG Ticker: SOON Security ID: H8024W106 Meeting Date: JUN 14, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For For (Non-Binding) 2 Approve Allocation of Income and Management For For Dividends of CHF 2.10 per Share 3 Approve Discharge of Board and Senior Management For For Management 4.1.1 Reelect Robert Spoerry as Director and Management For For Board Chairman 4.1.2 Reelect Beat Hess as Director Management For For 4.1.3 Reelect Stacy Enxing Seng as Director Management For For 4.1.4 Reelect Michael Jacobi as Director Management For For 4.1.5 Reelect Anssi Vanjoki as Director Management For For 4.1.6 Reelect Roland van der Vis as Director Management For For 4.1.7 Reelect Jinlong Wang as Director Management For For 4.2 Elect Lynn Dorsey Bleil as Director Management For For 4.3.1 Appoint Robert Spoerry as Member of the Management For For Compensation Committee 4.3.2 Appoint Beat Hess as Member of the Management For For Compensation Committee 4.3.3 Appoint Stacy Enxing Seng as Member of Management For For the Compensation Committee 4.4 Ratify PricewaterhouseCoopers AG as Management For For Auditors 4.5 Designate Andreas Keller as Independent Management For For Proxy 5.1 Approve Remuneration of Directors in Management For For the Amount of CHF 3 Million 5.2 Approve Remuneration of Executive Management For Against Committee in the Amount of CHF 15.4 Million 6 Approve CHF 60,175 Reduction in Share Management For For Capital via Cancellation of Shares 7 Transact Other Business (Voting) Management For Against
SUNRISE COMMUNICATIONS GROUP AG Ticker: SRCG Security ID: H83659104 Meeting Date: APR 15, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2.1 Approve Allocation of Income Management For For 2.2 Approve Dividends of from Capital Management For For Contribution Reserves 3 Approve Discharge of Board and Senior Management For For Management 4.1.1 Reelect Lorne Somerville as Director Management For For 4.1.2 Reelect Peter Schoepfer as Director Management For For 4.1.3 Reelect Jesper Ovesen as Director Management For For 4.1.4 Elect Peter Kurer as Director Management For For 4.1.5 Elect Robin Bienenstock as Director Management For For 4.1.6 Elect Michael Krammer as Director Management For For 4.1.7 Elect Christoph Vilanek as Director Management For For 4.1.8 Elect Joachim Preisig as Director Management For For 4.1.9 Elect Peter Kurer as Board Chairman Management For For 4.2.1 Appoint Peter Schoepfer as Member of Management For For the Compensation Committee 4.2.2 Appoint Lorne Somerville as Member of Management For For the Compensation Committee 4.2.3 Appoint Peter Kurer as Member of the Management For For Compensation Committee 4.2.4 Appoint Christoph Vilanek as Member of Management For For the Compensation Committee 4.2.5 Appoint Peter Schoepfer as Chairman of Management For For the Compensation Committee 5 Designate Andreas Keller as Independent Management For For Proxy 6 Ratify Ernst & Young as Auditors Management For For 7.1 Approve Remuneration Report Management For For 7.2 Approve Maximum Aggregate Remuneration Management For For of Directors in the Amount of CHF 1.5 Million 7.3 Approve Maximum Aggregate Remuneration Management For For of Executive Committee in the Amount of CHF 11 Million 8.1 Approve CHF 350,000 Pool of Authorized Management For For Capital without Preemptive Rights for Employee Equity Participation 8.2 Amend Articles Re: Deletion of Management For For Opting-Out Clause 9 Transact Other Business (Voting) Management For Against
SWATCH GROUP AG Ticker: UHR Security ID: H83949133 Meeting Date: MAY 11, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Receive 2015 Annual Report (Non-Voting) Management None None 1.2 Receive Financial Statements and Management None None Statutory Reports (Non-Voting) 1.3 Receive Statutory Auditors' Report Management None None (Non-Voting) 1.4 Accept Financial Statements and Management For For Statutory Reports
2 Approve Discharge of Board and Senior Management For For Management 3 Approve Allocation of Income and Management For For Dividends of CHF 1.50 per Registered Share and CHF 7.50 per Bearer Shares 4.1.1 Approve Fixed Remuneration of Management For For Non-Executive Directors in the Amount of CHF 1 Million 4.1.2 Approve Fixed Remuneration of Executive Management For Against Directors in the Amount of CHF 2.6 Million 4.2 Approve Fixed Remuneration of Executive Management For For Committee in the Amount of CHF 6.2 Million 4.3 Approve Variable Remuneration of Management For Against Executive Directors in the Amount of CHF 7.6 Million 4.4 Approve Variable Remuneration of Management For Against Executive Committee in the Amount of CHF 21.9 Million 5.1 Elect Nayla Hayek as Director and Board Management For Against Chairman 5.2 Elect Ernst Tanner as Director Management For Against 5.3 Elect Georges N. Hayek as Director Management For Against 5.4 Elect Claude Nicollier as Director Management For For 5.5 Elect Jean-Pierre Roth as Director Management For For 5.6 Elect Daniela Aeschlimann as Director Management For Against 6.1 Appoint Nayla Hayek as Member of the Management For Against Compensation Committee 6.2 Appoint Ernst Tanner as Member of the Management For Against Compensation Committee 6.3 Appoint Georges N. Hayek as Member of Management For Against the Compensation Committee 6.4 Appoint Claude Nicollier as Member of Management For For the Compensation Committee 6.5 Appoint Jean-Pierre Roth as Member of Management For For the Compensation Committee 6.6 Appoint Daniela Aeschlimann as Member Management For Against of the Compensation Committee 7 Designate Bernhard Lehmann as Management For For Independent Proxy 8 Ratify PricewaterhouseCoopers Ltd as Management For For Auditors 9 Transact Other Business (Voting) Management For Against
SWISS LIFE HOLDING Ticker: SLHN Security ID: H8404J162 Meeting Date: APR 26, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For For (Non-Binding) 2.1 Approve Allocation of Income Management For For 2.2 Approve Dividends of CHF 8.50 per Share Management For For from Capital Contribution Reserves 3 Approve Discharge of Board and Senior Management For For Management 4.1 Approve Fixed Remuneration of Directors Management For For in the Amount of CHF 3.44 Million 4.2 Approve Short-Term Variable Management For For Remuneration of Executive Committee in the Amount of CHF 4.15 Million 4.3 Approve Maximum Fixed Remuneration and Management For For Long-Term Variable Remuneration of Executive Committee in the Amount of CHF 13.7 Million
5.1 Reelect Rolf Doerig as Director and Management For For Board Chairman 5.2 Reelect Wolf Becke as Director Management For For 5.3 Reelect Gerold Buehrer as Director Management For For 5.4 Reelect Adrienne Fumagalli as Director Management For For 5.5 Reelect Ueli Dietiker as Director Management For For 5.6 Reelect Damir Filipovic as Director Management For For 5.7 Reelect Frank Keuper as Director Management For For 5.8 Reelect Henry Peter as Director Management For For 5.9 Reelect Frank Schnewlin as Director Management For For 5.10 Reelect Franziska Sauber as Director Management For For 5.11 Reelect Klaus Tschuetscher as Director Management For For 5.12 Appoint Henry Peter as Member of the Management For For Compensation Committee 5.13 Appoint Frank Schnewlin as Member of Management For For the Compensation Committee 5.14 Appoint Franziska Sauber as Member of Management For For the Compensation Committee 6 Designate Andreas Zuercher as Management For For Independent Proxy 7 Ratify PricewaterhouseCoopers AG as Management For For Auditors 8 Transact Other Business (Voting) Management For Against
SWISS REINSURANCE (SCHWEIZERISCHE RUECKVERSICHERUNGS) Ticker: SREN Security ID: H8431B109 Meeting Date: APR 22, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Approve Remuneration Report Management For For 1.2 Accept Financial Statements and Management For For Statutory Reports 2 Approve Allocation of Income and Management For For Dividends of CHF 4.60 per Share 3 Approve Variable Short-Term Management For For Remuneration of Executive Committee in the Amount of CHF 20.3 Million 4 Approve Discharge of Board and Senior Management For For Management 5.1a Reelect Walter Kielholz as Director and Management For Against Board Chairman 5.1b Reelect Raymond Ch'ien as Director Management For For 5.1c Reelect Renato Fassbind as Director Management For For 5.1d Reelect Mary Francis as Director Management For For 5.1e Reelect Rajna Gibson Brandon as Director Management For For 5.1f Reelect Robert Henrikson as Director Management For For 5.1g Reelect Trevor Manuel as Director Management For For 5.1h Reelect Carlos Represas as Director Management For For 5.1i Reelect Philip Ryan as Director Management For For 5.1j Reelect Susan Wagner as Director Management For For 5.1k Elect Paul Tucker as Director Management For For 5.2a Appoint Renato Fassbind as Member of Management For For the Compensation Committee 5.2b Appoint Robert Henrikson as Member of Management For For the Compensation Committee 5.2c Appoint Carlos Represas as Member of Management For For the Compensation Committee
5.2d Appoint Raymond Ch'ien as Member of the Management For For Compensation Committee 5.3 Designate Proxy Voting Services GmbH as Management For For Independent Proxy 5.4 Ratify PricewaterhouseCoopers AG as Management For For Auditors 6.1 Approve Maximum Remuneration of Management For Against Directors in the Amount of CHF 10.1 Million 6.2 Approve Maximum Fixed and Variable Management For For Long-Term Remuneration of Executive Committee in the Amount of CHF 34 Million 7 Approve CHF 1.1 Million Reduction in Management For For Share Capital via Cancellation of Repurchased Shares 8 Authorize Repurchase of up to CHF 1 Management For For Billion of Issued Share Capital 9 Amend Articles Re: Financial Markets Management For For Infrastructure Act 10 Transact Other Business (Voting) Management For Against
SYNGENTA AG Ticker: SYNN Security ID: H84140112 Meeting Date: APR 26, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Remuneration Report Management For For (Non-Binding) 3 Approve Discharge of Board and Senior Management For For Management 4 Approve CHF 36,750 Reduction in Share Management For For Capital via Cancellation of Treasury Shares 5.1 Approve Allocation of Income and Management For For Dividends of CHF 11.00 per Share 5.2 Approve Allocation of Special Dividend Management For For of CHF 5.00 per Share 6.1 Reelect Vinita Bali as Director Management For For 6.2 Reelect Stefan Borgas as Director Management For For 6.3 Reelect Gunnar Brock as Director Management For For 6.4 Reelect Michel Demare as Director Management For Against 6.5 Reelect Eleni Gabre-Madhin as Director Management For For 6.6 Reelect David Lawrence as Director Management For For 6.7 Reelect Eveline Saupper as Director Management For For 6.8 Reelect Juerg Witmer as Director Management For For 7 Reelect Michel Demare as Board Chairman Management For Against 8.1 Reelect Eveline Saupper as Member of Management For For the Compensation Committee 8.2 Reelect Juerg Witmer as Member of the Management For For Compensation Committee 8.3 Appoint Stefan Borgas as Member of the Management For For Compensation Committee 9 Approve Remuneration of Directors in Management For For the Amount of CHF 4.5 Million 10 Approve Remuneration of Executive Management For For Committee in the Amount of CHF 41 Million 11 Designate Lukas Handschin as Management For For Independent Proxy 12 Ratify KPMG AG as Auditors Management For For 13 Transact Other Business (Voting) Management For Against
TECAN GROUP AG Ticker: TECN Security ID: H84774167 Meeting Date: APR 13, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Allocation of Income and Management For For Dividends of CHF 1.75 per Share 3 Approve Discharge of Board and Senior Management For For Management 4.1a Reelect Heinrich Fischer as Director Management For For 4.1b Reelect Oliver Fetzer as Director Management For For 4.1c Reelect Lars Holmqvist as Director Management For For 4.1d Reelect Karen Huebscher as Director Management For For 4.1e Reelect Christa Kreuzburg as Director Management For For 4.1f Reelect Gerard Vaillant as Director Management For For 4.1g Reelect Rolf Classon as Director Management For For 4.2 Elect Rolf Classon as Board Chairman Management For For 4.3a Appoint Oliver Fetzer as Member of the Management For For Compensation Committee 4.3b Appoint Christa Kreuzburg as Member of Management For For the Compensation Committee 4.3c Appoint Gerard Vaillant as Member of Management For For the Compensation Committee 4.4 Ratify Ernst & Young AG as Auditors Management For For 4.5 Designate Proxy Voting Services GmbH as Management For For Independent Proxy 5.1 Approve Remuneration Report Management For For 5.2 Approve Remuneration of Directors in Management For For the Amount of CHF 1.45 Million 5.3 Approve Remuneration of Executive Management For For Committee in the Amount of CHF 18.2 Million 6 Extend Duration of CHF 220,000 Pool of Management For For Capital without Preemptive Rights 7 Transact Other Business (Voting) Management For Against
UBS GROUP AG Ticker: UBSG Security ID: H892U1882 Meeting Date: MAY 10, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1.1 Accept Financial Statements and Management For For Statutory Reports 1.2 Approve Remuneration Report Management For Against 2.1 Approve Allocation of Income and Management For For Dividends of 0.60 per Share from Capital Contribution Reserves 2.2 Approve Supplementary Dividends of CHF Management For For 0.25 per Share from Capital Contribution Reserves
3 Approve Discharge of Board and Senior Management For For Management 4 Approve Variable Remuneration of Management For Against Executive Committee in the Amount of CHF 71.25 Million 5 Approve Fixed Remuneration of Executive Management For For Committee in the Amount of CHF 28.5 Million 6.1.1 Reelect Axel Weber as Director and Management For For Board Chairman 6.1.2 Reelect Michel Demare as Director Management For For 6.1.3 Reelect David Sidwell as Director Management For For 6.1.4 Reelect Reto Francioni as Director Management For For 6.1.5 Reelect Ann Godbehere as Director Management For For 6.1.6 Reelect William Parrett as Director Management For For 6.1.7 Reelect Isabelle Romy as Director Management For For 6.1.8 Reelect Beatrice Weder di Mauro as Management For For Director 6.1.9 Reelect Joseph Yam as Director Management For For 6.2.1 Elect Robert Scully as Director Management For For 6.2.2 Elect Dieter Wemmer as Director Management For For 6.3.1 Appoint Ann Godbehere as Member of the Management For For Compensation Committee 6.3.2 Appoint Michel Demare as Member of the Management For For Compensation Committee 6.3.3 Appoint Reto Francioni as Member of the Management For For Compensation Committee 6.3.4 Appoint William Parrett as Member of Management For For the Compensation Committee 7 Approve Maximum Remuneration of Management For Against Directors in the Amount of CHF 14 Million 8.1 Designate ADB Altorfer Duss & Beilstein Management For For AG as Independent Proxy 8.2 Ratify Ernst & Young AG as Auditors Management For For 9 Transact Other Business (Voting) Management For Against
VALIANT HOLDING AG Ticker: VATN Security ID: H90203128 Meeting Date: MAY 18, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Remuneration Report Management For Against 3 Approve Discharge of Board and Senior Management For For Management 4 Approve Allocation of Income and Management For For Dividends of CHF 3.60 per Share 5.1 Approve Maximum Remuneration of Board Management For For of Directors in the Amount of CHF 1.7 Million 5.2 Approve Maximum Fixed Remuneration of Management For For Executive Committee in the Amount of CHF 2.9 Million 5.3 Approve Maximum Variable Remuneration Management For For of Executive Committee in the Amount of CHF 1.9 Million 6.1.1 Reelect Juerg Bucher as Director and Management For For Board Chairman 6.1.2 Reelect Ivo Furrer as Director Management For For 6.1.3 Reelect Barbara Artmann as Director Management For For
6.1.4 Reelect Jean-Baptiste Beuret as Director Management For For 6.1.5 Reelect Christoph Buehler as Director Management For For 6.1.6 Reelect Andreas Huber as Director Management For For 6.1.7 Reelect Franziska von Weissenfluh as Management For For Director 6.2 Elect Othmar Stoeckli as Director Management For For 7.1 Appoint Franziska von Weissenfluh as Management For For Member of the Compensation Committee 7.2 Appoint Juerg Bucher as Member of the Management For For Compensation Committee 7.3 Appoint Ivo Furrer as Member of the Management For For Compensation Committee 8 Ratify PricewaterhouseCoopers AG as Management For For Auditors 9 Designate Fellmann Tschuemperlin Management For For Loetscher AG as Independent Proxy 10 Transact Other Business (Voting) Management For Against
VZ HOLDING AG Ticker: VZN Security ID: H9239A103 Meeting Date: APR 12, 2016 Meeting Type: ANNUAL Record Date:
Management Proposal No Proposal Proposed By Recommendation Vote Cast 1 Accept Financial Statements and Management For For Statutory Reports 2 Approve Discharge of Board and Senior Management For For Management 3 Approve Allocation of Income and Management For For Dividends of CHF 4.20 per Share 4.1.1 Reelect Fred Kindle as Director Management For For 4.1.2 Reelect Roland Iff as Director Management For For 4.1.3 Reelect Albrecht Langhart as Director Management For For 4.1.4 Reelect Roland Ledergerber as Director Management For For 4.1.5 Reelect Olivier de Perregaux as Director Management For For 4.2 Reelect Fred Kindle as Board Chairman Management For For 4.3.1 Appoint Fred Kindle as Member of the Management For For Compensation Committee 4.3.2 Appoint Roland Ledergerber as Member of Management For For the Compensation Committee 5 Designate Andreas Keller as Independent Management For For Proxy 6 Ratify PricewaterhouseCoopers AG as Management For For Auditors 7.1 Approve Remuneration of Directors in Management For For the Amount of CHF 345,000 7.2 Approve Fixed Remuneration of Executive Management For For Committee in the Amount of CHF 4.4 Million 7.3 Approve Variable Remuneration of Management For For Executive Committee in the Amount of CHF 2.04 Million 8 Transact Other Business (Voting) Management For Against
END NPX REPORT 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. The Swiss Helvetia Fund, Inc. By: /s/ William P. Sauer --------------------------------------- William P. Sauer Vice President Date: August 11, 2016