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: 811-21432
REAVES UTILITY INCOME FUND
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1100, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
David T. Buhler, Esq.
Reaves Utility Income Fund
1290 Broadway, Suite 1100
Denver, Colorado 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: October 31
Date of reporting period: July 1, 2012 - June 30, 2013
Item 1. Proxy Voting Record.
Investment Company Report
| ALTRIA GROUP, INC.
| ||||||||
| Security | 02209S103 | Meeting Type | Annual | |||||
| Ticker Symbol | MO | Meeting Date | 16-May-2013 | |||||
| ISIN | US02209S1033 | Agenda | 933764979 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: GERALD L. BALILES | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: MARTIN J. BARRINGTON | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JOHN T. CASTEEN III | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: DINYAR S. DEVITRE | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: THOMAS F. FARRELL II | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: THOMAS W. JONES | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: DEBRA J. KELLY-ENNIS | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: W. LEO KIELY III | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: KATHRYN B. MCQUADE | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: GEORGE MUNOZ | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: NABIL Y. SAKKAB | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
| 4. | SHAREHOLDER PROPOSAL - DISCLOSURE OF LOBBYING POLICIES AND PRACTICES | Shareholder | Against | For | ||||||||
| Page 1 of 52 |
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Investment Company Report
| AMEREN CORPORATION
| ||||||||
| Security | 023608102 | Meeting Type | Annual | |||||
| Ticker Symbol | AEE | Meeting Date | 23-Apr-2013 | |||||
| ISIN | US0236081024 | Agenda | 933744600 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 STEPHEN F. BRAUER |
For | For | ||||||||||
| 2 CATHERINE S. BRUNE |
For | For | ||||||||||
| 3 ELLEN M. FITZSIMMONS |
For | For | ||||||||||
| 4 WALTER J. GALVIN |
For | For | ||||||||||
| 5 GAYLE P.W. JACKSON |
For | For | ||||||||||
| 6 JAMES C. JOHNSON |
For | For | ||||||||||
| 7 STEVEN H. LIPSTEIN |
For | For | ||||||||||
| 8 PATRICK T. STOKES |
For | For | ||||||||||
| 9 THOMAS R. VOSS |
For | For | ||||||||||
| 10 STEPHEN R. WILSON |
For | For | ||||||||||
| 11 JACK D. WOODARD |
For | For | ||||||||||
| 2. | ADVISORY APPROVAL OF THE COMPENSATION OF THE EXECUTIVES DISCLOSED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 4. | SHAREHOLDER PROPOSAL RELATING TO REPORT ON REDUCING RISK IN ENERGY PORTFOLIO THROUGH INCREASED ENERGY EFFICIENCY AND RENEWABLE ENERGY RESOURCES. | Shareholder | Against | For | ||||||||
| Page 2 of 52 |
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Investment Company Report
| AMERICAN TOWER CORPORATION
| ||||||||
| Security | 03027X100 | Meeting Type | Annual | |||||
| Ticker Symbol | AMT | Meeting Date | 21-May-2013 | |||||
| ISIN | US03027X1000 | Agenda | 933777457 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: RAYMOND P. DOLAN | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: RONALD M. DYKES | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: CAROLYN F. KATZ | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: GUSTAVO LARA CANTU | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: JOANN A. REED | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: PAMELA D.A. REEVE | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: DAVID E. SHARBUTT | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JAMES D. TAICLET, JR. | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: SAMME L. THOMPSON | Management | For | For | ||||||||
| 2. | TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | TO APPROVE AN AMENDMENT TO THE COMPANY’S AMENDED AND RESTATED BY-LAWS TO REDUCE THE OWNERSHIP THRESHOLD REQUIRED TO CALL A SPECIAL MEETING. | Management | For | For | ||||||||
| Page 3 of 52 |
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Investment Company Report
| AMERICAN WATER WORKS COMPANY, INC.
| ||||||||
| Security | 030420103 | Meeting Type | Annual | |||||
| Ticker Symbol | AWK | Meeting Date | 13-May-2013 | |||||
| ISIN | US0304201033 | Agenda | 933763597 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: STEPHEN P. ADIK | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: MARTHA CLARK GOSS | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JULIE A. DOBSON | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: PAUL J. EVANSON | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: RICHARD R. GRIGG | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: JULIA L. JOHNSON | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: GEORGE MACKENZIE | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: WILLIAM J. MARRAZZO | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: JEFFRY E. STERBA | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR ENDED DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE OUR EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| Page 4 of 52 |
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Investment Company Report
| ANNALY CAPITAL MANAGEMENT, INC.
| ||||||||
| Security | 035710409 | Meeting Type | Annual | |||||
| Ticker Symbol | NLY | Meeting Date | 23-May-2013 | |||||
| ISIN | US0357104092 | Agenda | 933788258 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: KEVIN P. BRADY | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: E. WAYNE NORDBERG | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: KEVIN G. KEYES | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: JOHN H. SCHAEFER | Management | For | For | ||||||||
| 2. | THE MANAGEMENT EXTERNALIZATION PROPOSAL TO APPROVE OUR ENTERING INTO A MANAGEMENT AGREEMENT WITH THE MANAGER. | Management | For | For | ||||||||
| 3. | THE PROPOSAL TO APPROVE A NON-BINDING ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE 2013 FISCAL YEAR. | Management | For | For | ||||||||
| Page 5 of 52 |
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Investment Company Report
| AQUA AMERICA, INC.
| ||||||||
| Security | 03836W103 | Meeting Type | Annual | |||||
| Ticker Symbol | WTR | Meeting Date | 08-May-2013 | |||||
| ISIN | US03836W1036 | Agenda | 933753837 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 NICK DEBENEDICTIS |
For | For | ||||||||||
| 2 RICHARD GLANTON |
For | For | ||||||||||
| 3 LON GREENBERG |
For | For | ||||||||||
| 4 WILLIAM HANKOWSKY |
For | For | ||||||||||
| 5 WENDELL HOLLAND |
For | For | ||||||||||
| 6 ANDREW SORDONI III |
For | For | ||||||||||
| 2. | TO CONSIDER AND TAKE ACTION ON THE RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE 2013 FISCAL YEAR. | Management | For | For | ||||||||
| 3. | TO CONSIDER AND TAKE ACTION ON AN ADVISORY VOTE ON THE COMPANY’S EXECUTIVE COMPENSATION PROGRAMS AS DISCLOSED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| 4. | TO CONSIDER AND TAKE ACTION ON A SHAREHOLDER PROPOSAL REQUESTING THAT THE BOARD OF DIRECTORS CREATE A COMPREHENSIVE POLICY ARTICULATING THE COMPANY’S RESPECT FOR AND COMMITMENT TO THE HUMAN RIGHT TO WATER, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
| Page 6 of 52 |
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Investment Company Report
| AT&T INC.
| ||||||||
| Security | 00206R102 | Meeting Type | Annual | |||||
| Ticker Symbol | T | Meeting Date | 26-Apr-2013 | |||||
| ISIN | US00206R1023 | Agenda | 933744016 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: RANDALL L. STEPHENSON | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: GILBERT F. AMELIO | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: REUBEN V. ANDERSON | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: JAMES H. BLANCHARD | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: JAIME CHICO PARDO | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: SCOTT T. FORD | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: JAMES P. KELLY | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JON C. MADONNA | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: MICHAEL B. MCCALLISTER | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: JOHN B. MCCOY | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: JOYCE M. ROCHE | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: MATTHEW K. ROSE | Management | For | For | ||||||||
| 1M. | ELECTION OF DIRECTOR: LAURA D’ANDREA TYSON | Management | For | For | ||||||||
| 2. | RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS. | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | APPROVE STOCK PURCHASE AND DEFERRAL PLAN. | Management | For | For | ||||||||
| 5. | POLITICAL CONTRIBUTIONS REPORT. | Shareholder | Against | For | ||||||||
| 6. | LEAD BATTERIES REPORT. | Shareholder | Against | For | ||||||||
| 7. | COMPENSATION PACKAGES. | Shareholder | Against | For | ||||||||
| 8. | INDEPENDENT BOARD CHAIRMAN. | Shareholder | Against | For | ||||||||
| Page 7 of 52 |
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Investment Company Report
| BCE INC.
| ||||||||
| Security | 05534B760 | Meeting Type | Annual | |||||
| Ticker Symbol | BCE | Meeting Date | 09-May-2013 | |||||
| ISIN | CA05534B7604 | Agenda | 933759598 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 01 | DIRECTOR | Management | ||||||||||
| 1 B.K. ALLEN |
For | For | ||||||||||
| 2 A. BÉRARD |
For | For | ||||||||||
| 3 R.A. BRENNEMAN |
For | For | ||||||||||
| 4 S. BROCHU |
For | For | ||||||||||
| 5 R.E. BROWN |
For | For | ||||||||||
| 6 G.A. COPE |
For | For | ||||||||||
| 7 D.F. DENISON |
For | For | ||||||||||
| 8 A.S. FELL |
For | For | ||||||||||
| 9 E.C. LUMLEY |
For | For | ||||||||||
| 10 T.C. O’NEILL |
For | For | ||||||||||
| 11 J. PRENTICE |
For | For | ||||||||||
| 12 R.C. SIMMONDS |
For | For | ||||||||||
| 13 C. TAYLOR |
For | For | ||||||||||
| 14 P.R. WEISS |
For | For | ||||||||||
| 02 | APPOINTMENT OF DELOITTE LLP AS AUDITORS. | Management | For | For | ||||||||
| 03 | RESOLVED, ON AN ADVISORY BASIS AND NOT TO DIMINISH THE ROLE AND RESPONSIBILITIES OF THE BOARD OF DIRECTORS, THAT THE SHAREHOLDERS ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION DISCLOSED IN THE 2013 MANAGEMENT PROXY CIRCULAR DATED MARCH 7, 2013 DELIVERED IN ADVANCE OF THE 2013 ANNUAL GENERAL MEETING OF SHAREHOLDERS OF BCE INC. | Management | For | For | ||||||||
| 4A | PROPOSAL NO. 1 EQUITY RATIO | Shareholder | Against | For | ||||||||
| 4B | PROPOSAL NO. 2 CRITICAL MASS OF QUALIFIED WOMEN ON BOARD OF DIRECTORS | Shareholder | Against | For | ||||||||
| 4C | PROPOSAL NO. 3 POST-EXECUTIVE COMPENSATION ADVISORY VOTE DISCLOSURE | Shareholder | Against | For | ||||||||
| 4D | PROPOSAL NO. 4 RISK MANAGEMENT COMMITTEE | Shareholder | Against | For | ||||||||
| 4E | PROPOSAL NO. 5 DIVERSITY POLICIES AND INITIATIVES | Shareholder | Against | For | ||||||||
| Page 8 of 52 |
15-Jul-2013 | |||
Investment Company Report
| CELLCOM ISRAEL LTD
| ||||||||
| Security | M2196U109 | Meeting Type | Annual | |||||
| Ticker Symbol | CEL | Meeting Date | 07-Aug-2012 | |||||
| ISIN | IL0011015349 | Agenda | 933669179 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1.1 | RE-ELECTION OF DIRECTOR: AMI EREL | Management | For | For | ||||||||
| 1.2 | RE-ELECTION OF DIRECTOR: SHAY LIVNAT | Management | For | For | ||||||||
| 1.3 | RE-ELECTION OF DIRECTOR: RAANAN COHEN | Management | For | For | ||||||||
| 1.4 | RE-ELECTION OF DIRECTOR: RAFI BISKER | Management | For | For | ||||||||
| 1.5 | RE-ELECTION OF DIRECTOR: SHLOMO WAXE | Management | For | For | ||||||||
| 1.6 | RE-ELECTION OF DIRECTOR: HAIM GAVRIELI | Management | For | For | ||||||||
| 1.7 | RE-ELECTION OF DIRECTOR: ARI BRONSHTEIN | Management | For | For | ||||||||
| 1.8 | RE-ELECTION OF DIRECTOR: EPHRAIM KUNDA | Management | For | For | ||||||||
| 1.9 | RE-ELECTION OF DIRECTOR: EDITH LUSKY | Management | For | For | ||||||||
| 2. | REAPPOINTMENT OF SOMEKH CHAIKIN, AS OUR INDEPENDENT AUDITOR. | Management | For | For | ||||||||
| Page 9 of 52 |
15-Jul-2013 | |||
Investment Company Report
| CENTURYLINK, INC.
| ||||||||
| Security | 156700106 | Meeting Type | Annual | |||||
| Ticker Symbol | CTL | Meeting Date | 22-May-2013 | |||||
| ISIN | US1567001060 | Agenda | 933785757 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 W. BRUCE HANKS |
For | For | ||||||||||
| 2 C. G. MELVILLE, JR. |
For | For | ||||||||||
| 3 FRED R. NICHOLS |
For | For | ||||||||||
| 4 WILLIAM A. OWENS |
For | For | ||||||||||
| 5 HARVEY P. PERRY |
For | For | ||||||||||
| 6 GLEN F. POST, III |
For | For | ||||||||||
| 7 LAURIE A. SIEGEL |
For | For | ||||||||||
| 8 JOSEPH R. ZIMMEL |
For | For | ||||||||||
| 2 | RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT AUDITOR FOR 2013. | Management | For | For | ||||||||
| 3 | ADVISORY VOTE REGARDING OUR EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4A | SHAREHOLDER PROPOSAL REGARDING EQUITY COMPENSATION. | Shareholder | Against | For | ||||||||
| 4B | SHAREHOLDER PROPOSAL REGARDING BONUS DEFERRALS. | Shareholder | Against | For | ||||||||
| 4C | SHAREHOLDER PROPOSAL REGARDING PROXY ACCESS. | Shareholder | Against | For | ||||||||
| 4D | SHAREHOLDER PROPOSAL REGARDING CONFIDENTIAL VOTING. | Shareholder | Against | For | ||||||||
| Page 10 of 52 |
15-Jul-2013 | |||
Investment Company Report
| COMCAST CORPORATION
| ||||||||
| Security | 20030N101 | Meeting Type | Annual | |||||
| Ticker Symbol | CMCSA | Meeting Date | 15-May-2013 | |||||
| ISIN | US20030N1019 | Agenda | 933764739 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 KENNETH J. BACON |
For | For | ||||||||||
| 2 SHELDON M. BONOVITZ |
For | For | ||||||||||
| 3 JOSEPH J. COLLINS |
For | For | ||||||||||
| 4 J. MICHAEL COOK |
For | For | ||||||||||
| 5 GERALD L. HASSELL |
For | For | ||||||||||
| 6 JEFFREY A. HONICKMAN |
For | For | ||||||||||
| 7 EDUARDO G. MESTRE |
For | For | ||||||||||
| 8 BRIAN L. ROBERTS |
For | For | ||||||||||
| 9 RALPH J. ROBERTS |
For | For | ||||||||||
| 10 JOHNATHAN A. RODGERS |
For | For | ||||||||||
| 11 DR. JUDITH RODIN |
For | For | ||||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF OUR INDEPENDENT AUDITORS | Management | For | For | ||||||||
| 3. | TO PROHIBIT ACCELERATED VESTING UPON A CHANGE IN CONTROL | Shareholder | Against | For | ||||||||
| 4. | TO ADOPT A RECAPITALIZATION PLAN | Shareholder | For | Against | ||||||||
| Page 11 of 52 |
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Investment Company Report
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO
|
||||||||||
| Security | 20441A102 | Meeting Type | Annual | |||||||
| Ticker Symbol | SBS | Meeting Date | 22-Apr-2013 | |||||||
| ISIN | US20441A1025 | Agenda | 933780959 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| E1. | RATIFICATION OF CODEC (STATE COUNCIL FOR PROTECTION OF CAPITAL OF THE STATE OF SAO PAULO) OPINION NO 003/2013 DEALING WITH THE COMPENSATION ADJUSTMENT OF OFFICERS, MEMBERS OF THE BOARD OF DIRECTORS AND FISCAL COUNCIL OF COMPANIES CONTROLLED BY THE STATE GOVERNMENT. | Management | For | For | ||||||||
| E2. | RESOLUTION ON THE SPLIT OF THE COMPANY COMMON SHARES THROUGH WHICH EACH COMMON SHARE WILL BE THEN REPRESENTED BY THREE (3) COMMON SHARES, AT THE RATIO OF 1:3. | Management | For | For | ||||||||
| E3. | AMENDMENT TO THE CAPUT OF ARTICLE 3 OF THE COMPANY’S BYLAWS, WITHOUT ANY ALTERATION IN THE FINANCIAL AMOUNT OF SHARE CAPITAL, AS A RESULT OF THE SPLIT OF THE COMPANY COMMON SHARES, PURSUANT TO ITEM II ABOVE. | Management | For | For | ||||||||
| A1. | ANALYSIS OF THE MANAGEMENT ANNUAL REPORT; RESOLUTION ON THE FINANCIAL STATEMENTS, NAMELY: BALANCE SHEET AND RELATED STATEMENTS OF INCOME, STATEMENTS OF CHANGES IN SHAREHOLDERS’ EQUITY, STATEMENTS OF CASH FLOWS, STATEMENTS OF VALUE ADDED AND NOTES TO THE FINANCIAL STATEMENTS, ACCOMPANIED BY REPORTS OF INDEPENDENT AUDITORS AND FISCAL COUNCIL. | Management | For | For | ||||||||
| A2. | RESOLUTION ON THE ALLOCATION OF NET INCOME FOR 2012. | Management | For | For | ||||||||
| A3. | ELECTION OF MEMBERS OF THE BOARD, SITTING AND ALTERNATE MEMBERS OF THE FISCAL COUNCIL AND DEFINITION OF THEIR COMPENSATION. | Management | For | For | ||||||||
| Page 12 of 52 |
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Investment Company Report
| DTE ENERGY COMPANY
|
||||||||||
| Security | 233331107 | Meeting Type | Annual | |||||||
| Ticker Symbol | DTE | Meeting Date | 02-May-2013 | |||||||
| ISIN | US2333311072 | Agenda | 933747303 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 GERARD M. ANDERSON |
For | For | ||||||||||
| 2 DAVID A. BRANDON |
For | For | ||||||||||
| 3 CHARLES G. MCCLURE, JR. |
For | For | ||||||||||
| 4 GAIL J. MCGOVERN |
For | For | ||||||||||
| 5 JAMES B. NICHOLSON |
For | For | ||||||||||
| 6 CHARLES W. PRYOR, JR. |
For | For | ||||||||||
| 7 RUTH G. SHAW |
For | For | ||||||||||
| 2. | RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM PRICEWATERHOUSECOOPERS LLP | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 4. | SHAREHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS | Shareholder | Against | For | ||||||||
| Page 13 of 52 |
15-Jul-2013 | |||
Investment Company Report
| DUKE ENERGY CORPORATION
|
||||||||||
| Security | 26441C204 | Meeting Type | Annual | |||||||
| Ticker Symbol | DUK | Meeting Date | 02-May-2013 | |||||||
| ISIN | US26441C2044 | Agenda | 933746705 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 WILLIAM BARNET, III |
For | For | ||||||||||
| 2 G. ALEX BERNHARDT, SR. |
For | For | ||||||||||
| 3 MICHAEL G. BROWNING |
For | For | ||||||||||
| 4 HARRIS E. DELOACH, JR. |
For | For | ||||||||||
| 5 DANIEL R. DIMICCO |
For | For | ||||||||||
| 6 JOHN H. FORSGREN |
For | For | ||||||||||
| 7 ANN M. GRAY |
For | For | ||||||||||
| 8 JAMES H. HANCE, JR. |
For | For | ||||||||||
| 9 JOHN T. HERRON |
For | For | ||||||||||
| 10 JAMES B. HYLER, JR. |
For | For | ||||||||||
| 11 E. MARIE MCKEE |
For | For | ||||||||||
| 12 E. JAMES REINSCH |
For | For | ||||||||||
| 13 JAMES T. RHODES |
For | For | ||||||||||
| 14 JAMES E. ROGERS |
For | For | ||||||||||
| 15 CARLOS A. SALADRIGAS |
For | For | ||||||||||
| 16 PHILIP R. SHARP |
For | For | ||||||||||
| 2. | RATIFICATION OF DELOITTE & TOUCHE LLP AS DUKE ENERGY CORPORATION’S INDEPENDENT PUBLIC ACCOUNTANT FOR 2013 | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||||
| 4. | APPROVAL OF THE AMENDED DUKE ENERGY CORPORATION EXECUTIVE SHORT-TERM INCENTIVE PLAN | Management | For | For | ||||||||
| 5. | SHAREHOLDER PROPOSAL REGARDING SHAREHOLDER ACTION BY WRITTEN CONSENT | Shareholder | Against | For | ||||||||
| 6. | SHAREHOLDER PROPOSAL REGARDING AN AMENDMENT TO OUR ORGANIZATIONAL DOCUMENTS TO REQUIRE MAJORITY VOTING FOR THE ELECTION OF DIRECTORS | Shareholder | Against | For | ||||||||
| Page 14 of 52 |
15-Jul-2013 | |||
Investment Company Report
| EDISON INTERNATIONAL
|
||||||||||
| Security | 281020107 | Meeting Type | Annual | |||||||
| Ticker Symbol | EIX | Meeting Date | 25-Apr-2013 | |||||||
| ISIN | US2810201077 | Agenda | 933744725 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: JAGJEET S. BINDRA | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: VANESSA C.L. CHANG | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: FRANCE A. CORDOVA | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: THEODORE F. CRAVER, JR. | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: BRADFORD M. FREEMAN | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: LUIS G. NOGALES | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: RONALD L. OLSON | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: RICHARD T. SCHLOSBERG, III | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: THOMAS C. SUTTON | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: PETER J. TAYLOR | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: BRETT WHITE | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE THE COMPANY’S EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 4. | SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT BOARD CHAIRMAN | Shareholder | Against | For | ||||||||
| Page 15 of 52 |
15-Jul-2013 | |||
Investment Company Report
| ENTERGY CORPORATION
|
||||||||||
| Security | 29364G103 | Meeting Type | Annual | |||||||
| Ticker Symbol | ETR | Meeting Date | 03-May-2013 | |||||||
| ISIN | US29364G1031 | Agenda | 933766860 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. |
ELECTION OF DIRECTOR: M.S. BATEMAN | Management | For | For | ||||||||
| 1B. |
ELECTION OF DIRECTOR: L.P. DENAULT | Management | For | For | ||||||||
| 1C. |
ELECTION OF DIRECTOR: G.W. EDWARDS | Management | For | For | ||||||||
| 1D. |
ELECTION OF DIRECTOR: A.M. HERMAN | Management | For | For | ||||||||
| 1E. |
ELECTION OF DIRECTOR: D.C. HINTZ | Management | For | For | ||||||||
| 1F. |
ELECTION OF DIRECTOR: S.L. LEVENICK | Management | For | For | ||||||||
| 1G. |
ELECTION OF DIRECTOR: B.L. LINCOLN | Management | For | For | ||||||||
| 1H. |
ELECTION OF DIRECTOR: S.C. MYERS | Management | For | For | ||||||||
| 1I. |
ELECTION OF DIRECTOR: W.J. TAUZIN | Management | For | For | ||||||||
| 1J. |
ELECTION OF DIRECTOR: S.V. WILKINSON | Management | For | For | ||||||||
| 2. |
RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2013. | Management | For | For | ||||||||
| 3. |
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 4. |
SHAREHOLDER PROPOSAL REGARDING LOBBYING DISCLOSURE. | Shareholder | Against | For | ||||||||
| 5. |
SHAREHOLDER PROPOSAL REGARDING NUCLEAR FUEL. | Shareholder | Against | For | ||||||||
| Page 16 of 52 |
15-Jul-2013 | |||
Investment Company Report
| FRONTIER COMMUNICATIONS CORP
| ||||||||
| Security | 35906A108 | Meeting Type | Annual | |||||
| Ticker Symbol | FTR | Meeting Date | 08-May-2013 | |||||
| ISIN | US35906A1088 | Agenda | 933758116 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 LEROY T. BARNES, JR. |
For | For | ||||||||||
| 2 PETER C.B. BYNOE |
For | For | ||||||||||
| 3 JERI B. FINARD |
For | For | ||||||||||
| 4 EDWARD FRAIOLI |
For | For | ||||||||||
| 5 JAMES S. KAHAN |
For | For | ||||||||||
| 6 PAMELA D.A. REEVE |
For | For | ||||||||||
| 7 HOWARD L. SCHROTT |
For | For | ||||||||||
| 8 LARRAINE D. SEGIL |
For | For | ||||||||||
| 9 MARK SHAPIRO |
For | For | ||||||||||
| 10 MYRON A. WICK, III |
For | For | ||||||||||
| 11 MARY AGNES WILDEROTTER |
For | For | ||||||||||
| 2. | TO CONSIDER AND VOTE UPON AN ADVISORY PROPOSAL ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 3. | TO ADOPT THE 2013 FRONTIER BONUS PLAN. | Management | For | For | ||||||||
| 4. | TO ADOPT THE 2013 EQUITY INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | TO CONSIDER AND VOTE UPON A STOCKHOLDER PROPOSAL, IF PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
| 6. | TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| Page 17 of 52 |
15-Jul-2013 | |||
Investment Company Report
| INTEGRYS ENERGY GROUP INC
| ||||||||
| Security | 45822P105 | Meeting Type | Annual | |||||
| Ticker Symbol | TEG | Meeting Date | 16-May-2013 | |||||
| ISIN | US45822P1057 | Agenda | 933764602 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. |
DIRECTOR | Management | ||||||||||
| 1 WILLIAM J. BRODSKY |
For | For | ||||||||||
| 2 ALBERT J. BUDNEY, JR. |
For | For | ||||||||||
| 3 ELLEN CARNAHAN |
For | For | ||||||||||
| 4 MICHELLE L. COLLINS |
For | For | ||||||||||
| 5 K.M. HASSELBLAD-PASCALE |
For | For | ||||||||||
| 6 JOHN W. HIGGINS |
For | For | ||||||||||
| 7 PAUL W. JONES |
For | For | ||||||||||
| 8 HOLLY KELLER KOEPPEL |
For | For | ||||||||||
| 9 MICHAEL E. LAVIN |
For | For | ||||||||||
| 10 WILLIAM F. PROTZ, JR. |
For | For | ||||||||||
| 11 CHARLES A. SCHROCK |
For | For | ||||||||||
| 2. |
THE APPROVAL OF A NON-BINDING ADVISORY RESOLUTION TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 3. |
THE RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR INTEGRYS ENERGY GROUP AND ITS SUBSIDIARIES FOR 2013. | Management | For | For | ||||||||
| Page 18 of 52 |
15-Jul-2013 | |||
Investment Company Report
| ITC HOLDINGS CORP.
| ||||||||||
| Security | 465685105 | Meeting Type | Special | |||||||
| Ticker Symbol | ITC | Meeting Date | 16-Apr-2013 | |||||||
| ISIN | US4656851056 | Agenda | 933741779 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1. | TO APPROVE THE MERGER AGREEMENT, DATED AS OF DECEMBER 4, 2011, AS AMENDED BY AMENDMENT NO. 1, DATED SEPTEMBER 21, 2012, AND BY AMENDMENT NO. 2, DATED JANUARY 28, 2013 (AS THE SAME MAY BE AMENDED OR SUPPLEMENTED FROM TIME TO TIME, THE “MERGER AGREEMENT”), AMONG ENTERGY CORPORATION, MID SOUTH TRANSCO LLC, ITC HOLDINGS CORP. AND ITC MIDSOUTH LLC. | Management | For | For | ||||||||
| 2. | TO AMEND THE AMENDED AND RESTATED ARTICLES OF INCORPORATION OF ITC HOLDINGS CORP. TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF ITC HOLDINGS CORP. COMMON STOCK FROM 100,000,000 TO 300,000,000. | Management | For | For | ||||||||
| 3. | TO APPROVE THE ISSUANCE OF ITC HOLDINGS CORP. COMMON STOCK PURSUANT TO THE MERGER AGREEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| 4. | TO APPROVE, BY NON-BINDING ADVISORY VOTE, CERTAIN COMPENSATION ARRANGEMENTS FOR ITC HOLDINGS CORP.’S NAMED EXECUTIVE OFFICERS IN CONNECTION WITH THE MERGER CONTEMPLATED BY THE MERGER AGREEMENT. | Management | For | For | ||||||||
| 5. | TO ADJOURN THE SPECIAL MEETING IF NECESSARY OR APPROPRIATE TO PERMIT FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE PROPOSALS (1), (2) AND (3). | Management | For | For | ||||||||
| Page 19 of 52 |
15-Jul-2013 | |||
Investment Company Report
| ITC HOLDINGS CORP.
| ||||||||||
| Security | 465685105 | Meeting Type | Annual | |||||||
| Ticker Symbol | ITC | Meeting Date | 15-May-2013 | |||||||
| ISIN | US4656851056 | Agenda | 933770693 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 CHRISTOPHER H. FRANKLIN |
For | For | ||||||||||
| 2 EDWARD G. JEPSEN |
For | For | ||||||||||
| 3 WILLIAM J. MUSELER |
For | For | ||||||||||
| 4 HAZEL R. O’LEARY |
For | For | ||||||||||
| 5 THOMAS G. STEPHENS |
For | For | ||||||||||
| 6 G. BENNETT STEWART, III |
For | For | ||||||||||
| 7 LEE C. STEWART |
For | For | ||||||||||
| 8 J.C. WATTS, JR. |
For | For | ||||||||||
| 9 JOSEPH L. WELCH |
For | For | ||||||||||
| 2. | TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2013. | Management | For | For | ||||||||
| 4. | SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTING, IN THE CASE OF UNCONTESTED DIRECTOR ELECTIONS, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
| Page 20 of 52 |
15-Jul-2013 | |||
Investment Company Report
| MARKWEST ENERGY PARTNERS LP
| ||||||||||
| Security | 570759100 | Meeting Type | Annual | |||||||
| Ticker Symbol | MWE | Meeting Date | 29-May-2013 | |||||||
| ISIN | US5707591005 | Agenda | 933808505 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 FRANK M. SEMPLE |
For | For | ||||||||||
| 2 DONALD D. WOLF |
For | For | ||||||||||
| 3 KEITH E. BAILEY |
For | For | ||||||||||
| 4 MICHAEL L. BEATTY |
For | For | ||||||||||
| 5 CHARLES K. DEMPSTER |
For | For | ||||||||||
| 6 DONALD C. HEPPERMANN |
For | For | ||||||||||
| 7 RANDALL J. LARSON |
For | For | ||||||||||
| 8 ANNE E. FOX MOUNSEY |
For | For | ||||||||||
| 9 WILLIAM P. NICOLETTI |
For | For | ||||||||||
| 2. | RATIFICATION OF DELOITTE & TOUCHE LLP AS THE PARTNERSHIP’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Page 21 of 52 |
15-Jul-2013 | |||
Investment Company Report
| NATIONAL FUEL GAS COMPANY
| ||||||||||
| Security | 636180101 | Meeting Type | Annual | |||||||
| Ticker Symbol | NFG | Meeting Date | 07-Mar-2013 | |||||||
| ISIN | US6361801011 | Agenda | 933726498 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 DAVID C. CARROLL |
For | For | ||||||||||
| 2 CRAIG G. MATTHEWS |
For | For | ||||||||||
| 3 DAVID F. SMITH |
For | For | ||||||||||
| 2. | VOTE TO RATIFY PRICEWATERHOUSECOOPERS LLP AS OUR REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| Page 22 of 52 |
15-Jul-2013 | |||
Investment Company Report
| NATIONAL GRID PLC
| ||||||||||
| Security | 636274300 | Meeting Type | Annual | |||||||
| Ticker Symbol | NGG | Meeting Date | 30-Jul-2012 | |||||||
| ISIN | US6362743006 | Agenda | 933661402 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1 | TO RECEIVE THE ANNUAL REPORT AND ACCOUNTS | Management | For | |||||||||
| 2 | TO DECLARE A FINAL DIVIDEND | Management | For | |||||||||
| 3 | TO ELECT SIR PETER GERSHON | Management | For | |||||||||
| 4 | TO RE-ELECT STEVE HOLLIDAY | Management | For | |||||||||
| 5 | TO RE-ELECT ANDREW BONFIELD | Management | For | |||||||||
| 6 | TO RE-ELECT TOM KING | Management | For | |||||||||
| 7 | TO RE-ELECT NICK WINSER | Management | For | |||||||||
| 8 | TO RE-ELECT KEN HARVEY | Management | For | |||||||||
| 9 | TO RE-ELECT LINDA ADAMANY | Management | For | |||||||||
| 10 | TO RE-ELECT PHILIP AIKEN | Management | For | |||||||||
| 11 | TO ELECT NORA BROWNELL | Management | For | |||||||||
| 12 | TO ELECT PAUL GOLBY | Management | For | |||||||||
| 13 | TO ELECT RUTH KELLY | Management | For | |||||||||
| 14 | TO RE-ELECT MARIA RICHTER | Management | For | |||||||||
| 15 | TO RE-ELECT GEORGE ROSE | Management | For | |||||||||
| 16 | TO REAPPOINT THE AUDITORS PRICEWATERHOUSECOOPERS LLP | Management | For | |||||||||
| 17 | TO AUTHORISE THE DIRECTORS TO SET THE AUDITORS’ REMUNERATION | Management | For | |||||||||
| 18 | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT | Management | For | |||||||||
| 19 | TO AUTHORISE THE DIRECTORS TO ALLOT ORDINARY SHARES | Management | For | |||||||||
| S20 | TO DISAPPLY PRE-EMPTION RIGHTS | Management | For | |||||||||
| S21 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES | Management | For | |||||||||
| S22 | TO AUTHORISE THE DIRECTORS TO HOLD GENERAL MEETINGS ON 14 CLEAR DAYS’ NOTICE | Management | For | |||||||||
| S23 | TO AMEND THE EXISTING ARTICLES OF ASSOCIATION | Management | For | |||||||||
| Page 23 of 52 |
15-Jul-2013 | |||
Investment Company Report
| NATIONAL OILWELL VARCO, INC.
| ||||||||||
| Security | 637071101 | Meeting Type | Annual | |||||||
| Ticker Symbol | NOV | Meeting Date | 22-May-2013 | |||||||
| ISIN | US6370711011 | Agenda | 933784464 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1A. | ELECTION OF DIRECTOR: MERRILL A. MILLER, JR. |
Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: GREG L. ARMSTRONG | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: BEN A. GUILL | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: DAVID D. HARRISON | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: ROGER L. JARVIS | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: ERIC L. MATTSON | Management | For | For | ||||||||
| 2. | RATIFICATION OF INDEPENDENT AUDITORS. | Management | For | For | ||||||||
| 3. | APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4. | APPROVE AMENDMENTS TO THE NATIONAL OILWELL VARCO, INC. LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | APPROVE THE NATIONAL OILWELL VARCO, INC. ANNUAL CASH INCENTIVE PLAN FOR EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Page 24 of 52 |
15-Jul-2013 | |||
Investment Company Report
| NEXTERA ENERGY, INC.
| ||||||||||
| Security | 65339F101 | Meeting Type | Annual | |||||||
| Ticker Symbol | NEE | Meeting Date | 23-May-2013 | |||||||
| ISIN | US65339F1012 | Agenda | 933777205 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1A. | ELECTION OF DIRECTOR: SHERRY S. BARRAT | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: ROBERT M. BEALL, II | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JAMES L. CAMAREN | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: KENNETH B. DUNN | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: LEWIS HAY, III | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: TONI JENNINGS | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: JAMES L. ROBO | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: RUDY E. SCHUPP | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: JOHN L. SKOLDS | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: WILLIAM H. SWANSON | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: MICHAEL H. THAMAN | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: HANSEL E. TOOKES, II | Management | For | For | ||||||||
| 2. | RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS NEXTERA ENERGY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | APPROVAL, AS REQUIRED BY INTERNAL REVENUE CODE SECTION 162(M), OF THE MATERIAL TERMS FOR PAYMENT OF PERFORMANCE-BASED ANNUAL INCENTIVE COMPENSATION UNDER THE NEXTERA ENERGY, INC. 2013 EXECUTIVE ANNUAL INCENTIVE PLAN. | Management | For | For | ||||||||
| 4. | APPROVAL, BY NON-BINDING ADVISORY VOTE, OF NEXTERA ENERGY’S COMPENSATION OF ITS NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| 5. | SHAREHOLDER PROPOSAL-POLICY REGARDING STORAGE OF NUCLEAR WASTE. | Shareholder | Against | For | ||||||||
| Page 25 of 52 |
15-Jul-2013 | |||
Investment Company Report
| NISOURCE INC.
| ||||||||||
| Security | 65473P105 | Meeting Type | Annual | |||||||
| Ticker Symbol | NI | Meeting Date | 14-May-2013 | |||||||
| ISIN | US65473P1057 | Agenda | 933768650 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| I1 | ELECTION OF DIRECTOR: RICHARD A. ABDOO | Management | For | For | ||||||||
| I2 | ELECTION OF DIRECTOR: ARISTIDES S. CANDRIS | Management | For | For | ||||||||
| I3 | ELECTION OF DIRECTOR: SIGMUND L. CORNELIUS | Management | For | For | ||||||||
| I4 | ELECTION OF DIRECTOR: MICHAEL E. JESANIS | Management | For | For | ||||||||
| I5 | ELECTION OF DIRECTOR: MARTY R. KITTRELL | Management | For | For | ||||||||
| I6 | ELECTION OF DIRECTOR: W. LEE NUTTER | Management | For | For | ||||||||
| I7 | ELECTION OF DIRECTOR: DEBORAH S. PARKER | Management | For | For | ||||||||
| I8 | ELECTION OF DIRECTOR: ROBERT C. SKAGGS, JR. |
Management | For | For | ||||||||
| I9 | ELECTION OF DIRECTOR: TERESA A. TAYLOR | Management | For | For | ||||||||
| I10 | ELECTION OF DIRECTOR: RICHARD L. THOMPSON | Management | For | For | ||||||||
| I11 | ELECTION OF DIRECTOR: CAROLYN Y. WOO | Management | For | For | ||||||||
| II | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS. | Management | For | For | ||||||||
| III | TO CONSIDER ADVISORY APPROVAL OF EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| IV | TO CONSIDER A STOCKHOLDER PROPOSAL REGARDING ACTION BY WRITTEN CONSENT. | Shareholder | Against | For | ||||||||
| V | TO CONSIDER A STOCKHOLDER PROPOSAL REGARDING A POLICY TO END BENCHMARKING CEO COMPENSATION. | Shareholder | Against | For | ||||||||
| Page 26 of 52 |
15-Jul-2013 | |||
Investment Company Report
| NORTHEAST UTILITIES
| ||||||||||
| Security | 664397106 | Meeting Type | Annual | |||||||
| Ticker Symbol | NU | Meeting Date | 31-Oct-2012 | |||||||
| ISIN | US6643971061 | Agenda | 933688256 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 RICHARD H. BOOTH |
For | For | ||||||||||
| 2 JOHN S. CLARKESON |
For | For | ||||||||||
| 3 COTTON M. CLEVELAND |
For | For | ||||||||||
| 4 SANFORD CLOUD, JR. |
For | For | ||||||||||
| 5 JAMES S. DISTASIO |
For | For | ||||||||||
| 6 FRANCIS A. DOYLE |
For | For | ||||||||||
| 7 CHARLES K. GIFFORD |
For | For | ||||||||||
| 8 PAUL A. LA CAMERA |
For | For | ||||||||||
| 9 KENNETH R. LEIBLER |
For | For | ||||||||||
| 10 THOMAS J. MAY |
For | For | ||||||||||
| 11 CHARLES W. SHIVERY |
For | For | ||||||||||
| 12 WILLIAM C. VAN FAASEN |
For | For | ||||||||||
| 13 FREDERICA M. WILLIAMS |
For | For | ||||||||||
| 14 DENNIS R. WRAASE |
For | For | ||||||||||
| 2. | TO CONSIDER AND APPROVE THE FOLLOWING ADVISORY (NON-BINDING) PROPOSAL: “RESOLVED, THAT THE COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS, AS DISCLOSED PURSUANT TO THE COMPENSATION DISCLOSURE RULES OF THE SECURITIES AND EXCHANGE COMMISSION, INCLUDING THE COMPENSATION DISCUSSION AND ANALYSIS, COMPENSATION TABLES AND ANY RELATED MATERIAL IS HEREBY APPROVED. | Management | For | For | ||||||||
| 3. | TO RE-APPROVE THE MATERIAL TERMS OF PERFORMANCE GOALS UNDER THE 2009 NORTHEAST UTILITIES INCENTIVE PLAN AS REQUIRED BY SECTION 162(M) OF THE INTERNAL REVENUE CODE. | Management | For | For | ||||||||
| 4. | TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2012. | Management | For | For | ||||||||
| Page 27 of 52 |
15-Jul-2013 | |||
Investment Company Report
| NORTHEAST UTILITIES
| ||||||||||
| Security | 664397106 | Meeting Type | Annual | |||||||
| Ticker Symbol | NU | Meeting Date | 01-May-2013 | |||||||
| ISIN | US6643971061 | Agenda | 933752443 - Management | |||||||
| Item | Proposal | Type | Vote | For/Against Management
| ||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 RICHARD H. BOOTH |
For | For | ||||||||||
| 2 JOHN S. CLARKESON |
For | For | ||||||||||
| 3 COTTON M. CLEVELAND |
For | For | ||||||||||
| 4 SANFORD CLOUD, JR. |
For | For | ||||||||||
| 5 JAMES S. DISTASIO |
For | For | ||||||||||
| 6 FRANCIS A. DOYLE |
For | For | ||||||||||
| 7 CHARLES K. GIFFORD |
For | For | ||||||||||
| 8 PAUL A. LA CAMERA |
For | For | ||||||||||
| 9 KENNETH R. LEIBLER |
For | For | ||||||||||
| 10 THOMAS J. MAY |
For | For | ||||||||||
| 11 CHARLES W. SHIVERY |
For | For | ||||||||||
| 12 WILLIAM C. VAN FAASEN |
For | For | ||||||||||
| 13 FREDERICA M. WILLIAMS |
For | For | ||||||||||
| 14 DENNIS R. WRAASE |
For | For | ||||||||||
| 2. | TO CONSIDER AND APPROVE THE FOLLOWING ADVISORY (NON-BINDING) PROPOSAL: “RESOLVED, THAT THE COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS, AS DISCLOSED PURSUANT TO THE COMPENSATION DISCLOSURE RULES OF THE SECURITIES AND EXCHANGE COMMISSION, INCLUDING THE COMPENSATION DISCUSSION AND ANALYSIS, COMPENSATION TABLES AND ANY RELATED MATERIAL IS HEREBY APPROVED” | Management | For | For | ||||||||
| 3. | TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2013 | Management | For | For | ||||||||
| Page 28 of 52 |
15-Jul-2013 | |||
Investment Company Report
| OCCIDENTAL PETROLEUM CORPORATION
| ||||||||
| Security | 674599105 | Meeting Type | Annual | |||||
| Ticker Symbol | OXY | Meeting Date | 03-May-2013 | |||||
| ISIN | US6745991058 | Agenda | 933771063 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: SPENCER ABRAHAM | Management | Against | Against | ||||||||
| 1B. | ELECTION OF DIRECTOR: HOWARD I. ATKINS | Management | Against | Against | ||||||||
| 1C. | ELECTION OF DIRECTOR: STEPHEN I. CHAZEN | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: EDWARD P. DJEREJIAN | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: JOHN E. FEICK | Management | Abstain | Against | ||||||||
| 1F. | ELECTION OF DIRECTOR: MARGARET M. FORAN | Management | Against | Against | ||||||||
| 1G. | ELECTION OF DIRECTOR: CARLOS M. GUTIERREZ | Management | Against | Against | ||||||||
| 1H. | ELECTION OF DIRECTOR: RAY R. IRANI | Management | Against | Against | ||||||||
| 1I. | ELECTION OF DIRECTOR: AVEDICK B. POLADIAN | Management | Against | Against | ||||||||
| 1J. | ELECTION OF DIRECTOR: AZIZ D. SYRIANI | Management | For | For | ||||||||
| 2. | ADVISORY VOTE APPROVING EXECUTIVE COMPENSATION | Management | Against | Against | ||||||||
| 3. | RATIFICATION OF SELECTION OF KPMG LLP AS INDEPENDENT AUDITORS | Management | For | For | ||||||||
| 4. | STOCKHOLDER RIGHT TO ACT BY WRITTEN CONSENT | Shareholder | For | Against | ||||||||
| Page 29 of 52 |
15-Jul-2013 | |||
Investment Company Report
| OGE ENERGY CORP.
| ||||||||
| Security | 670837103 | Meeting Type | Annual | |||||
| Ticker Symbol | OGE | Meeting Date | 16-May-2013 | |||||
| ISIN | US6708371033 | Agenda | 933763220 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 JAMES H. BRANDI |
For | For | ||||||||||
| 2 WAYNE H. BRUNETTI |
For | For | ||||||||||
| 3 LUKE R. CORBETT |
For | For | ||||||||||
| 4 PETER B. DELANEY |
For | For | ||||||||||
| 5 JOHN D. GROENDYKE |
For | For | ||||||||||
| 6 KIRK HUMPHREYS |
For | For | ||||||||||
| 7 ROBERT KELLEY |
For | For | ||||||||||
| 8 ROBERT O. LORENZ |
For | For | ||||||||||
| 9 JUDY R. MCREYNOLDS |
For | For | ||||||||||
| 10 LEROY C. RICHIE |
For | For | ||||||||||
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S PRINCIPAL INDEPENDENT ACCOUNTANTS FOR 2013. | Management | For | For | ||||||||
| 3 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 4 | AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION TO ELIMINATE SUPERMAJORITY VOTING PROVISIONS. | Management | For | For | ||||||||
| 5 | APPROVAL OF THE OGE ENERGY CORP. 2013 STOCK INCENTIVE PLAN. | Management | For | For | ||||||||
| 6 | APPROVAL OF THE OGE ENERGY CORP. 2013 ANNUAL INCENTIVE COMPENSATION PLAN. | Management | For | For | ||||||||
| 7 | AMENDMENT OF THE RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 225,000,000 TO 450,000,000. | Management | For | For | ||||||||
| 8 | SHAREHOLDER PROPOSAL REGARDING REINCORPORATION IN DELAWARE. | Shareholder | Against | For | ||||||||
| Page 30 of 52 |
15-Jul-2013 | |||
Investment Company Report
| ONEOK, INC.
| ||||||||
| Security | 682680103 | Meeting Type | Annual | |||||
| Ticker Symbol | OKE | Meeting Date | 22-May-2013 | |||||
| ISIN | US6826801036 | Agenda | 933777902 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: JAMES C. DAY | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: JULIE H. EDWARDS | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: WILLIAM L. FORD | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: JOHN W. GIBSON | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: BERT H. MACKIE | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: STEVEN J. MALCOLM | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: JIM W. MOGG | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: PATTYE L. MOORE | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: GARY D. PARKER | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: EDUARDO A. RODRIGUEZ | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF ONEOK, INC. | Management | For | For | ||||||||
| 3. | A PROPOSAL TO APPROVE THE MATERIAL TERMS OF THE PERFORMANCE GOALS FOR OUR EQUITY COMPENSATION PLAN. | Management | For | For | ||||||||
| 4. | AN ADVISORY VOTE TO APPROVE THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 5. | A SHAREHOLDER PROPOSAL REGARDING PUBLICATION OF A REPORT ON METHANE EMISSIONS. | Shareholder | Against | For | ||||||||
| Page 31 of 52 |
15-Jul-2013 | |||
Investment Company Report
| PENN WEST PETROLEUM LTD.
| ||||||||
| Security | 707887105 | Meeting Type | Annual and Special Meeting | |||||
| Ticker Symbol | PWE | Meeting Date | 05-Jun-2013 | |||||
| ISIN | CA7078871059 | Agenda | 933824927 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 01 | THE APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS, AS AUDITOR OF PENN WEST FOR THE ENSUING YEAR. | Management | For | For | ||||||||
| 02 | DIRECTOR | Management | ||||||||||
| 1 JAMES E. ALLARD |
For | For | ||||||||||
| 2 GEORGE H. BROOKMAN |
For | For | ||||||||||
| 3 GILLIAN H. DENHAM |
For | For | ||||||||||
| 4 RICHARD L. GEORGE |
For | For | ||||||||||
| 5 DARYL H. GILBERT |
For | For | ||||||||||
| 6 ALLAN P. MARKIN |
For | For | ||||||||||
| 7 MURRAY R. NUNNS |
For | For | ||||||||||
| 8 FRANK POTTER |
For | For | ||||||||||
| 9 JACK SCHANCK |
For | For | ||||||||||
| 10 JAMES C. SMITH |
For | For | ||||||||||
| 11 JAY W. THORNTON |
For | For | ||||||||||
| 03 | ADVISORY VOTE APPROVING PENN WEST’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 04 | THE APPROVAL OF ALL UNALLOCATED OPTIONS TO ACQUIRE COMMON SHARES UNDER THE STOCK OPTION PLAN OF PENN WEST UNTIL JUNE 5, 2016. | Management | For | For | ||||||||
| 05 | THE APPROVAL OF AN AMENDMENT TO THE AMENDING PROVISIONS OF THE STOCK OPTION PLAN OF PENN WEST. | Management | For | For | ||||||||
| 06 | THE APPROVAL OF BY-LAW NO. 2 OF PENN WEST RELATING TO THE ADVANCE NOTICE OF NOMINATIONS OF DIRECTORS. | Management | For | For | ||||||||
| Page 32 of 52 |
15-Jul-2013 | |||
Investment Company Report
| PG&E CORPORATION
| ||||||||
| Security | 69331C108 | Meeting Type | Annual | |||||
| Ticker Symbol | PCG | Meeting Date | 06-May-2013 | |||||
| ISIN | US69331C1080 | Agenda | 933755007 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: DAVID R. ANDREWS | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: LEWIS CHEW | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: C. LEE COX | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: ANTHONY F. EARLEY, JR. |
Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: FRED J. FOWLER | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: MARYELLEN C. HERRINGER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: ROGER H. KIMMEL | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: RICHARD A. MESERVE | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: FORREST E. MILLER | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: ROSENDO G. PARRA | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: BARBARA L. RAMBO | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: BARRY LAWSON WILLIAMS | Management | For | For | ||||||||
| 2. | RATIFICATION OF APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE THE COMPANY’S EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 4. | SHAREHOLDER PROPOSAL: INDEPENDENT BOARD CHAIR | Shareholder | Against | For | ||||||||
| Page 33 of 52 |
15-Jul-2013 | |||
Investment Company Report
| PINNACLE WEST CAPITAL CORPORATION
| ||||||||
| Security | 723484101 | Meeting Type | Annual | |||||
| Ticker Symbol | PNW | Meeting Date | 15-May-2013 | |||||
| ISIN | US7234841010 | Agenda | 933763066 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 EDWARD N. BASHA, JR. |
For | For | ||||||||||
| 2 DONALD E. BRANDT |
For | For | ||||||||||
| 3 SUSAN CLARK-JOHNSON |
For | For | ||||||||||
| 4 DENIS A. CORTESE, M.D. |
For | For | ||||||||||
| 5 MICHAEL L. GALLAGHER |
For | For | ||||||||||
| 6 R.A. HERBERGER, JR, PHD |
For | For | ||||||||||
| 7 DALE E. KLEIN, PH.D. |
For | For | ||||||||||
| 8 HUMBERTO S. LOPEZ |
For | For | ||||||||||
| 9 KATHRYN L. MUNRO |
For | For | ||||||||||
| 10 BRUCE J. NORDSTROM |
For | For | ||||||||||
| 2. | VOTE ON AN ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION AS DISCLOSED IN THE 2013 PROXY STATEMENT. | Management | For | For | ||||||||
| 3. | RATIFY THE APPOINTMENT OF THE COMPANY’S INDEPENDENT ACCOUNTANTS FOR THE YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Page 34 of 52 |
15-Jul-2013 | |||
Investment Company Report
| PPL CORPORATION
| ||||||||
| Security | 69351T106 | Meeting Type | Annual | |||||
| Ticker Symbol | PPL | Meeting Date | 15-May-2013 | |||||
| ISIN | US69351T1060 | Agenda | 933772798 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 FREDERICK M. BERNTHAL |
For | For | ||||||||||
| 2 JOHN W. CONWAY |
For | For | ||||||||||
| 3 PHILIP G. COX |
For | For | ||||||||||
| 4 STEVEN G. ELLIOTT |
For | For | ||||||||||
| 5 LOUISE K. GOESER |
For | For | ||||||||||
| 6 STUART E. GRAHAM |
For | For | ||||||||||
| 7 STUART HEYDT |
For | For | ||||||||||
| 8 RAJA RAJAMANNAR |
For | For | ||||||||||
| 9 CRAIG A. ROGERSON |
For | For | ||||||||||
| 10 WILLIAM H. SPENCE |
For | For | ||||||||||
| 11 NATICA VON ALTHANN |
For | For | ||||||||||
| 12 KEITH H. WILLIAMSON |
For | For | ||||||||||
| 2 | APPROVAL OF AMENDMENT TO PPL CORPORATION’S ARTICLES OF INCORPORATION TO IMPLEMENT MAJORITY VOTE STANDARD IN UNCONTESTED ELECTIONS OF DIRECTORS | Management | For | For | ||||||||
| 3 | RATIFICATION OF THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 4 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||||
| 5 | SHAREOWNER PROPOSAL - REQUEST FOR POLITICAL SPENDING REPORT | Shareholder | Against | For | ||||||||
| Page 35 of 52 |
15-Jul-2013 | |||
Investment Company Report
| QUALCOMM INCORPORATED
| ||||||||
| Security | 747525103 | Meeting Type | Annual | |||||
| Ticker Symbol | QCOM | Meeting Date | 05-Mar-2013 | |||||
| ISIN | US7475251036 | Agenda | 933726397 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A | ELECTION OF DIRECTOR: BARBARA T. ALEXANDER | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: DONALD G. CRUICKSHANK | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: RAYMOND V. DITTAMORE | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: SUSAN HOCKFIELD | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: THOMAS W. HORTON | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: PAUL E. JACOBS | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: SHERRY LANSING | Management | For | For | ||||||||
| 1H | ELECTION OF DIRECTOR: DUANE A. NELLES | Management | For | For | ||||||||
| 1I | ELECTION OF DIRECTOR: FRANCISCO ROS | Management | For | For | ||||||||
| 1J | ELECTION OF DIRECTOR: BRENT SCOWCROFT | Management | For | For | ||||||||
| 1K | ELECTION OF DIRECTOR: MARC I. STERN | Management | For | For | ||||||||
| 02 | TO APPROVE THE 2006 LONG-TERM INCENTIVE PLAN, AS AMENDED, WHICH INCLUDES AN INCREASE IN THE SHARE RESERVE BY 90,000,000 SHARES. | Management | For | For | ||||||||
| 03 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANTS FOR OUR FISCAL YEAR ENDING SEPTEMBER 29, 2013. | Management | For | For | ||||||||
| 04 | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| Page 36 of 52 |
15-Jul-2013 | |||
Investment Company Report
| SCANA CORPORATION
| ||||||||
| Security | 80589M102 | Meeting Type | Annual | |||||
| Ticker Symbol | SCG | Meeting Date | 25-Apr-2013 | |||||
| ISIN | US80589M1027 | Agenda | 933758130 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 KEVIN B. MARSH |
For | For | ||||||||||
| 2 JOSHUA W. MARTIN, III |
For | For | ||||||||||
| 3 JAMES M. MICALI |
For | For | ||||||||||
| 4 HAROLD C. STOWE |
For | For | ||||||||||
| 2. | APPROVAL OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| 3. | SHAREHOLDER PROPOSAL REGARDING REPEAL OF THE CLASSIFICATION OF THE BOARD OF DIRECTORS. | Shareholder | For | |||||||||
| Page 37 of 52 |
15-Jul-2013 | |||
Investment Company Report
| SOUTH JERSEY INDUSTRIES, INC.
| ||||||||
| Security | 838518108 | Meeting Type | Annual | |||||
| Ticker Symbol | SJI | Meeting Date | 19-Apr-2013 | |||||
| ISIN | US8385181081 | Agenda | 933748850 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A | ELECTION OF DIRECTOR: SARAH M. BARPOULIS | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: THOMAS A. BRACKEN | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: KEITH S. CAMPBELL | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: SHEILA HARTNETT-DEVLIN | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: VICTOR A. FORTKIEWICZ | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: EDWARD J. GRAHAM | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: WALTER M. HIGGINS III | Management | For | For | ||||||||
| 1H | ELECTION OF DIRECTOR: SUNITA HOLZER | Management | For | For | ||||||||
| 1I | ELECTION OF DIRECTOR: JOSEPH H. PETROWSKI | Management | For | For | ||||||||
| 1J | ELECTION OF DIRECTOR: FRANK L. SIMS | Management | For | For | ||||||||
| 2 | TO APPROVE THE NONBINDING ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 3 | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| Page 38 of 52 |
15-Jul-2013 | |||
Investment Company Report
| SOUTHERN CALIFORNIA EDISON COMPANY
| ||||||||
| Security | 842400400 | Meeting Type | Annual | |||||
| Ticker Symbol | SCEPRD | Meeting Date | 25-Apr-2013 | |||||
| ISIN | US8424004005 | Agenda | 933746224 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: JAGJEET S. BINDRA | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: VANESSA C.L. CHANG | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: FRANCE A. CORDOVA | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: THEODORE F. CRAVER, JR. | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: BRADFORD M. FREEMAN | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: RONALD L. LITZINGER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: LUIS G. NOGALES | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: RONALD L. OLSON | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: RICHARD T. SCHLOSBERG, III | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: THOMAS C. SUTTON | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: PETER J. TAYLOR | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: BRETT WHITE | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| Page 39 of 52 |
15-Jul-2013 | |||
Investment Company Report
| TECO ENERGY, INC.
| ||||||||
| Security | 872375100 | Meeting Type | Annual | |||||
| Ticker Symbol | TE | Meeting Date | 01-May-2013 | |||||
| ISIN | US8723751009 | Agenda | 933740513 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1.1 | ELECTION OF DIRECTOR: JOHN B. RAMIL | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: TOM L. RANKIN | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: WILLIAM D. ROCKFORD | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT AUDITOR FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | AMENDMENT OF THE COMPANY’S EQUAL EMPLOYMENT OPPORTUNITY POLICY. | Shareholder | Against | For | ||||||||
| Page 40 of 52 |
15-Jul-2013 | |||
Investment Company Report
| TELECOM CORPORATION OF NEW ZEALAND LTD.
| ||||||||
| Security | 879278208 | Meeting Type | Annual | |||||
| Ticker Symbol | NZTCY | Meeting Date | 28-Sep-2012 | |||||
| ISIN | US8792782083 | Agenda | 933683612 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | THAT THE DIRECTORS ARE AUTHORISED TO FIX THE AUDITORS’ REMUNERATION. | Management | For | |||||||||
| 2. | THAT MR MARK VERBIEST IS RE-ELECTED AS A DIRECTOR OF TELECOM. | Management | For | |||||||||
| 3. | THAT MR PAUL BERRIMAN IS RE-ELECTED AS A DIRECTOR OF TELECOM. | Management | For | |||||||||
| 4. | THAT MR SIMON MOUTTER IS ELECTED AS A DIRECTOR OF TELECOM. | Management | For | |||||||||
| 5. | THAT APPROVAL IS GIVEN FOR THE ISSUE BY TELECOM’S BOARD OF DIRECTORS TO MR SIMON MOUTTER DURING THE PERIOD TO 27 SEPTEMBER 2015 OF IN TOTAL UP TO 1,000,000 SHARES IN TELECOM UNDER THE PERFORMANCE EQUITY SCHEME, ON THE TERMS SET OUT IN THE EXPLANATORY NOTES ACCOMPANYING THE 2012 NOTICE OF ANNUAL MEETING. | Management | For | |||||||||
| 6. | THAT APPROVAL IS GIVEN FOR THE ISSUE BY TELECOM’S BOARD OF DIRECTORS TO MR SIMON MOUTTER DURING THE PERIOD TO 27 SEPTEMBER 2015 OF IN TOTAL UP TO 2,500,000 SHARE RIGHTS TO ACQUIRE TELECOM ORDINARY SHARES UNDER THE TERMS SET OUT IN THE EXPLANATORY NOTES ACCOMPANYING THE 2012 NOTICE OF ANNUAL MEETING. | Management | For | |||||||||
| Page 41 of 52 |
15-Jul-2013 | |||
Investment Company Report
| THE SOUTHERN COMPANY
| ||||||||
| Security | 842587107 | Meeting Type | Annual | |||||
| Ticker Symbol | SO | Meeting Date | 22-May-2013 | |||||
| ISIN | US8425871071 | Agenda | 933789490 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: J.P. BARANCO | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: J.A. BOSCIA | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: H.A. CLARK III | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: T.A. FANNING | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: D.J. GRAIN | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: H.W. HABERMEYER, JR. |
Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: V.M. HAGEN | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: W.A. HOOD, JR. | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: D.M. JAMES | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: D.E. KLEIN | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: W.G. SMITH, JR. | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: S.R. SPECKER | Management | For | For | ||||||||
| 1M. | ELECTION OF DIRECTOR: E.J. WOOD III | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013 | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICERS’ COMPENSATION | Management | For | For | ||||||||
| 4. | RATIFICATION OF BY-LAW AMENDMENT | Management | For | For | ||||||||
| 5. | AMENDMENT TO COMPANY’S CERTIFICATE OF INCORPORATION TO REDUCE TWO- THIRDS SUPERMAJORITY REQUIREMENTS IN ARTICLE ELEVENTH TO A MAJORITY VOTE | Management | For | For | ||||||||
| 6. | AMENDMENT TO COMPANY’S CERTIFICATE OF INCORPORATION TO REDUCE 75% SUPERMAJORITY REQUIREMENTS IN ARTICLE THIRTEENTH TO A TWO-THIRDS VOTE | Management | For | For | ||||||||
| Page 42 of 52 |
15-Jul-2013 | |||
Investment Company Report
| THE WILLIAMS COMPANIES, INC.
| ||||||||
| Security | 969457100 | Meeting Type | Annual | |||||
| Ticker Symbol | WMB | Meeting Date | 16-May-2013 | |||||
| ISIN | US9694571004 | Agenda | 933780303 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A | ELECTION OF DIRECTOR: ALAN S. ARMSTRONG | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: JOSEPH R. CLEVELAND | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: KATHLEEN B. COOPER | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: JOHN A. HAGG | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: JUANITA H. HINSHAW | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: RALPH IZZO | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: FRANK T. MACINNIS | Management | For | For | ||||||||
| 1H | ELECTION OF DIRECTOR: STEVEN W. NANCE | Management | For | For | ||||||||
| 1I | ELECTION OF DIRECTOR: MURRAY D. SMITH | Management | For | For | ||||||||
| 1J | ELECTION OF DIRECTOR: JANICE D. STONEY | Management | For | For | ||||||||
| 1K | ELECTION OF DIRECTOR: LAURA A. SUGG | Management | For | For | ||||||||
| 02 | RATIFICATION OF ERNST & YOUNG LLP AS AUDITORS FOR 2013. | Management | For | For | ||||||||
| 03 | APPROVAL, BY NONBINDING ADVISORY VOTE, OF THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| Page 43 of 52 |
15-Jul-2013 | |||
Investment Company Report
| TRANSCANADA CORPORATION
| ||||||||
| Security | 89353D107 | Meeting Type | Annual and Special Meeting | |||||
| Ticker Symbol | TRP | Meeting Date | 26-Apr-2013 | |||||
| ISIN | CA89353D1078 | Agenda | 933745183 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 01 | DIRECTOR | Management | ||||||||||
| 1 KEVIN E. BENSON |
For | For | ||||||||||
| 2 DEREK H. BURNEY |
For | For | ||||||||||
| 3 PAULE GAUTHIER |
For | For | ||||||||||
| 4 RUSSELL K. GIRLING |
For | For | ||||||||||
| 5 S. BARRY JACKSON |
For | For | ||||||||||
| 6 PAUL L. JOSKOW |
For | For | ||||||||||
| 7 PAULA ROSPUT REYNOLDS |
For | For | ||||||||||
| 8 MARY PAT SALOMONE |
For | For | ||||||||||
| 9 W. THOMAS STEPHENS |
For | For | ||||||||||
| 10 D. MICHAEL G. STEWART |
For | For | ||||||||||
| 11 RICHARD E. WAUGH |
For | For | ||||||||||
| 02 | RESOLUTION TO APPOINT KPMG LLP, CHARTERED ACCOUNTANTS AS AUDITORS AND AUTHORIZE THE DIRECTORS TO SET THEIR REMUNERATION. | Management | For | For | ||||||||
| 03 | RESOLUTION TO RECONFIRM AND AMEND THE STOCK OPTION PLAN, AS DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | ||||||||
| 04 | RESOLUTION TO CONTINUE AND APPROVE THE AMENDED AND RESTATED SHAREHOLDER RIGHTS PLAN, AS DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | ||||||||
| 05 | RESOLUTION TO ACCEPT TRANSCANADA CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION, AS DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | ||||||||
| Page 44 of 52 |
15-Jul-2013 | |||
Investment Company Report
| UIL HOLDINGS CORPORATION
| ||||||||
| Security | 902748102 | Meeting Type | Annual | |||||
| Ticker Symbol | UIL | Meeting Date | 14-May-2013 | |||||
| ISIN | US9027481020 | Agenda | 933768080 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 THELMA R. ALBRIGHT |
For | For | ||||||||||
| 2 ARNOLD L. CHASE |
For | For | ||||||||||
| 3 BETSY HENLEY-COHN |
For | For | ||||||||||
| 4 SUEDEEN G. KELLY |
For | For | ||||||||||
| 5 JOHN L. LAHEY |
For | For | ||||||||||
| 6 DANIEL J. MIGLIO |
For | For | ||||||||||
| 7 WILLIAM F. MURDY |
For | For | ||||||||||
| 8 WILLIAM B. PLUMMER |
For | For | ||||||||||
| 9 DONALD R. SHASSIAN |
For | For | ||||||||||
| 10 JAMES P. TORGERSON |
For | For | ||||||||||
| 2. | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS UIL HOLDINGS CORPORATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4. | PROPOSAL TO APPROVE THE AMENDED AND RESTATED UIL HOLDINGS CORPORATION 2008 STOCK AND INCENTIVE COMPENSATION PLAN. | Management | For | For | ||||||||
| Page 45 of 52 |
15-Jul-2013 | |||
Investment Company Report
| UNION PACIFIC CORPORATION
| ||||||||
| Security | 907818108 | Meeting Type | Annual | |||||
| Ticker Symbol | UNP | Meeting Date | 16-May-2013 | |||||
| ISIN | US9078181081 | Agenda | 933779398 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: A.H. CARD, JR. | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: E.B. DAVIS, JR. | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: T.J. DONOHUE | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: A.W. DUNHAM | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: J.R. HOPE | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: J.J. KORALESKI | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: C.C. KRULAK | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: M.R. MCCARTHY | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: M.W. MCCONNELL | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: T.F. MCLARTY III | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: S.R. ROGEL | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: J.H. VILLARREAL | Management | For | For | ||||||||
| 1M. | ELECTION OF DIRECTOR: J.R. YOUNG | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| 3. | AN ADVISORY VOTE ON EXECUTIVE COMPENSATION (“SAY ON PAY”). | Management | For | For | ||||||||
| 4. | ADOPT THE UNION PACIFIC CORPORATION 2013 STOCK INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | SHAREHOLDER PROPOSAL REGARDING LOBBYING ACTIVITIES IF PROPERLY PRESENTED AT THE ANNUAL MEETING. | Shareholder | Against | For | ||||||||
| Page 46 of 52 |
15-Jul-2013 | |||
Investment Company Report
| VALERO ENERGY CORPORATION
| ||||||||
| Security | 91913Y100 | Meeting Type | Annual | |||||
| Ticker Symbol | VLO | Meeting Date | 02-May-2013 | |||||
| ISIN | US91913Y1001 | Agenda | 933749129 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: JERRY D. CHOATE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: RUBEN M. ESCOBEDO | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: WILLIAM R. KLESSE | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: DEBORAH P. MAJORAS | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: BOB MARBUT | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: DONALD L. NICKLES | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: PHILIP J. PFEIFFER | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: ROBERT A. PROFUSEK | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: SUSAN KAUFMAN PURCELL | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: STEPHEN M. WATERS | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: RANDALL J. WEISENBURGER | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: RAYFORD WILKINS, JR. | Management | For | For | ||||||||
| 2. | RATIFY THE APPOINTMENT OF KPMG LLP AS VALERO ENERGY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | APPROVE, BY NON-BINDING VOTE, THE 2012 COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4. | VOTE ON A STOCKHOLDER PROPOSAL ENTITLED, “DISCLOSURE OF POLITICAL CONTRIBUTIONS.” | Shareholder | Against | For | ||||||||
| Page 47 of 52 |
15-Jul-2013 | |||
Investment Company Report
| VERIZON COMMUNICATIONS INC.
| ||||||||
| Security | 92343V104 | Meeting Type | Annual | |||||
| Ticker Symbol | VZ | Meeting Date | 02-May-2013 | |||||
| ISIN | US92343V1044 | Agenda | 933747872 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A | ELECTION OF DIRECTOR: RICHARD L. CARRION | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: MELANIE L. HEALEY | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: M. FRANCES KEETH | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: ROBERT W. LANE | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: LOWELL C. MCADAM | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: SANDRA O. MOOSE | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: JOSEPH NEUBAUER | Management | For | For | ||||||||
| 1H | ELECTION OF DIRECTOR: DONALD T. NICOLAISEN | Management | For | For | ||||||||
| 1I | ELECTION OF DIRECTOR: CLARENCE OTIS, JR. | Management | For | For | ||||||||
| 1J | ELECTION OF DIRECTOR: HUGH B. PRICE | Management | For | For | ||||||||
| 1K | ELECTION OF DIRECTOR: RODNEY E. SLATER | Management | For | For | ||||||||
| 1L | ELECTION OF DIRECTOR: KATHRYN A. TESIJA | Management | For | For | ||||||||
| 1M | ELECTION OF DIRECTOR: GREGORY D. WASSON | Management | For | For | ||||||||
| 02 | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 03 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 04 | APPROVAL OF LONG-TERM INCENTIVE PLAN | Management | For | For | ||||||||
| 05 | NETWORK NEUTRALITY | Shareholder | Against | For | ||||||||
| 06 | LOBBYING ACTIVITIES | Shareholder | Against | For | ||||||||
| 07 | PROXY ACCESS BYLAWS | Shareholder | Against | For | ||||||||
| 08 | SEVERANCE APPROVAL POLICY | Shareholder | Against | For | ||||||||
| 09 | SHAREHOLDER RIGHT TO CALL A SPECIAL MEETING | Shareholder | Against | For | ||||||||
| 10 | SHAREHOLDER RIGHT TO ACT BY WRITTEN CONSENT | Shareholder | Against | For | ||||||||
| Page 48 of 52 |
15-Jul-2013 | |||
Investment Company Report
| VODAFONE GROUP PLC
| ||||||||
| Security | 92857W209 | Meeting Type | Annual | |||||
| Ticker Symbol | VOD | Meeting Date | 24-Jul-2012 | |||||
| ISIN | US92857W2098 | Agenda | 933661123 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1 | TO RECEIVE THE COMPANY’S ACCOUNTS AND REPORTS OF THE DIRECTORS AND THE AUDITOR FOR THE YEAR ENDED 31 MARCH 2012 | Management | For | |||||||||
| 2 | TO RE-ELECT GERARD KLEISTERLEE AS A DIRECTOR (MEMBER OF THE NOMINATIONS AND GOVERNANCE COMMITTEE) | Management | For | |||||||||
| 3 | TO RE-ELECT VITTORIO COLAO AS A DIRECTOR | Management | For | |||||||||
| 4 | TO RE-ELECT ANDY HALFORD AS A DIRECTOR | Management | For | |||||||||
| 5 | TO RE-ELECT STEPHEN PUSEY AS A DIRECTOR | Management | For | |||||||||
| 6 | TO RE-ELECT RENEE JAMES AS A DIRECTOR | Management | For | |||||||||
| 7 | TO RE-ELECT ALAN JEBSON AS A DIRECTOR (MEMBER OF THE AUDIT AND RISK COMMITTEE) | Management | For | |||||||||
| 8 | TO RE-ELECT SAMUEL JONAH AS A DIRECTOR (MEMBER OF THE REMUNERATION COMMITTEE) | Management | For | |||||||||
| 9 | TO RE-ELECT NICK LAND AS A DIRECTOR (MEMBER OF THE AUDIT AND RISK COMMITTEE) | Management | For | |||||||||
| 10 | TO RE-ELECT ANNE LAUVERGEON AS A DIRECTOR (MEMBER OF THE AUDIT AND RISK COMMITTEE) | Management | For | |||||||||
| 11 | TO RE-ELECT LUC VANDEVELDE AS A DIRECTOR (MEMBER OF THE NOMINATIONS AND GOVERNANCE COMMITTEE AND MEMBER OF THE REMUNERATION COMMITTEE) | Management | For | |||||||||
| 12 | TO RE-ELECT ANTHONY WATSON AS A DIRECTOR (MEMBER OF THE NOMINATIONS AND GOVERNANCE COMMITTEE AND MEMBER OF THE REMUNERATION COMMITTEE) | Management | For | |||||||||
| 13 | TO RE-ELECT PHILIP YEA AS A DIRECTOR (MEMBER OF THE REMUNERATION COMMITTEE) | Management | For | |||||||||
| 14 | TO APPROVE A FINAL DIVIDEND OF 6.47 PENCE PER ORDINARY SHARE | Management | For | |||||||||
| 15 | TO APPROVE THE REMUNERATION REPORT OF THE BOARD FOR THE YEAR ENDED 31 MARCH 2012 | Management | For | |||||||||
| 16 | TO RE-APPOINT DELOITTE LLP AS AUDITOR | Management | For | |||||||||
| 17 | TO AUTHORISE THE AUDIT & RISK COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITOR | Management | For | |||||||||
| 18 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES | Management | For | |||||||||
| S19 | TO AUTHORISE THE DIRECTORS TO DIS- APPLY PRE-EMPTION RIGHTS | Management | For | |||||||||
| Page 49 of 52 |
15-Jul-2013 | |||
Investment Company Report
| S20 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN SHARES (SECTION 701, COMPANIES ACT 2006) | Management | For | |||||||||
| 21 | TO AUTHORISE POLITICAL DONATIONS AND EXPENDITURE | Management | For | |||||||||
| S22 | TO AUTHORISE THE CALLING OF A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING ON NOT LESS THAN 14 CLEAR DAYS’ NOTICE | Management | For | |||||||||
| Page 50 of 52 |
15-Jul-2013 | |||
Investment Company Report
| WINDSTREAM CORPORATION
| ||||||||
| Security | 97381W104 | Meeting Type | Annual | |||||
| Ticker Symbol | WIN | Meeting Date | 08-May-2013 | |||||
| ISIN | US97381W1045 | Agenda | 933756946 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1A. | ELECTION OF DIRECTOR: CAROL B. ARMITAGE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: SAMUEL E. BEALL, III | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: DENNIS E. FOSTER | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: FRANCIS X. FRANTZ | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: JEFFERY R. GARDNER | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: JEFFREY T. HINSON | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: JUDY K. JONES | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: WILLIAM A. MONTGOMERY | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: ALAN L. WELLS | Management | For | For | ||||||||
| 2. | TO VOTE ON AN ADVISORY (NON-BINDING) RESOLUTION ON EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 3. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS WINDSTREAM’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANT FOR 2013 | Management | For | For | ||||||||
| 4. | STOCKHOLDER PROPOSAL - PROHIBITION ON ACCELERATED VESTING OF RESTRICTED STOCK | Shareholder | Against | For | ||||||||
| 5. | STOCKHOLDER PROPOSAL - TRANSPARENCY AND ACCOUNTABILITY IN CORPORATE SPENDING ON POLITICAL ACTIVITIES | Shareholder | Against | For | ||||||||
| 6. | STOCKHOLDER PROPOSAL - SIMPLE MAJORITY VOTE RIGHT | Shareholder | Against | For | ||||||||
| Page 51 of 52 |
15-Jul-2013 | |||
Investment Company Report
| WISCONSIN ENERGY CORPORATION
| ||||||||
| Security | 976657106 | Meeting Type | Annual | |||||
| Ticker Symbol | WEC | Meeting Date | 02-May-2013 | |||||
| ISIN | US9766571064 | Agenda | 933742834 - Management | |||||
| Item | Proposal | Type | Vote | For/Against
|
||||||||
| 1.1 | ELECTION OF DIRECTOR: JOHN F. BERGSTROM | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: BARBARA L. BOWLES | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: PATRICIA W. CHADWICK | Management | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: CURT S. CULVER | Management | For | For | ||||||||
| 1.5 | ELECTION OF DIRECTOR: THOMAS J. FISCHER | Management | For | For | ||||||||
| 1.6 | ELECTION OF DIRECTOR: GALE E. KLAPPA | Management | For | For | ||||||||
| 1.7 | ELECTION OF DIRECTOR: HENRY W. KNUEPPEL | Management | For | For | ||||||||
| 1.8 | ELECTION OF DIRECTOR: ULICE PAYNE, JR. | Management | For | For | ||||||||
| 1.9 | ELECTION OF DIRECTOR: MARY ELLEN STANEK | Management | For | For | ||||||||
| 2. | RATIFICATION OF DELOITTE & TOUCHE LLP AS INDEPENDENT AUDITORS FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Page 52 of 52 |
15-Jul-2013 | |||
SIGNATURE
Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Reaves Utility Income Fund | ||
| By: | /s/ Jeremy O. May | |
| Jeremy O. May | ||
| President | ||
| Date: | August 30, 2013 | |