UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-21586
First Trust Enhanced Equity Income Fund
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: December 31
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Date of reporting period: July 1, 2010 - June 30, 2011
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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 (ss.ss. 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, 100 F Street, N.E., Washington
D.C. 20549. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
VODAFONE GROUP PLC
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
N/A 27-Jul-10 United Kingdom G93882135 Annual 04-Jun-10 67,000 67,000 67,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
Meeting for ADR Holders Mgmt
1 Accept Financial Statements and Statutory Reports Mgmt For For For
2 Re-elect Sir John Bond as Director Mgmt For For For
3 Re-elect John Buchanan as Director Mgmt For For For
4 Re-elect Vittorio Colao as Director Mgmt For For For
5 Re-elect Michel Combes as Director Mgmt For For For
6 Re-elect Andy Halford as Director Mgmt For For For
7 Re-elect Stephen Pusey as Director Mgmt For For For
8 Re-elect Alan Jebson as Director Mgmt For For For
9 Re-elect Samuel Jonah as Director Mgmt For For For
10 Re-elect Nick Land as Director Mgmt For For For
11 Re-elect Anne Lauvergeon as Director Mgmt For For For
12 Re-elect Luc Vandevelde as Director Mgmt For For For
13 Re-elect Anthony Watson as Director Mgmt For For For
14 Re-elect Philip Yea as Director Mgmt For For For
15 Approve Final Dividend Mgmt For For For
16 Approve Remuneration Report Mgmt For For For
17 Reappoint Deloitte LLP as Auditors Mgmt For For For
18 Authorise Audit Committee to Fix Remuneration
of Auditors Mgmt For For For
19 Authorise Issue of Equity with Pre-emptive Rights Mgmt For For For
20 Authorise Issue of Equity without Pre-emptive Rights Mgmt For For For
21 Authorise Market Purchase Mgmt For For For
22 Adopt New Articles of Association Mgmt For For For
23 Authorise the Company to Call EGM with Two Weeks'
Notice Mgmt For For For
24 Approve Share Incentive Plan Mgmt For For For
Page 1
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
APOLLO INVESTMENT CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
AINV 03-Aug-10 USA 03761U106 Annual 09-Jun-10 230,000 230,000 230,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Elliot Stein, Jr Mgmt For For For
1.2 Elect Director Bradley J. Wechsler Mgmt For Withhold Withhold
2 Ratify Auditors Mgmt For For For
3 Approve Sale of Common Shares Below Net Asset Value Mgmt For For For
MICROCHIP TECHNOLOGY INCORPORATED
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MCHP 20-Aug-10 USA 595017104 Annual 21-Jun-10 200,000 200,000 200,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Steve Sanghi Mgmt For For For
1.2 Elect Director Albert J. Hugo-Martinez Mgmt For For For
1.3 Elect Director L.B. Day Mgmt For For For
1.4 Elect Director Matthew W. Chapman Mgmt For For For
1.5 Elect Director Wade F. Meyercord Mgmt For For For
2 Ratify Auditors Mgmt For For For
MEDTRONIC, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MDT 25-Aug-10 USA 585055106 Annual 28-Jun-10 90,000 90,000 90,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Richard H. Anderson Mgmt For For For
1.2 Elect Director David L. Calhoun Mgmt For For For
1.3 Elect Director Victor J. Dzau Mgmt For For For
1.4 Elect Director William A. Hawkins Mgmt For For For
1.5 Elect Director Shirley A. Jackson Mgmt For For For
1.6 Elect Director James T. Lenehan Mgmt For For For
Page 2
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
1.7 Elect Director Denise M. O'Leary Mgmt For For For
1.8 Elect Director Kendall J. Powell Mgmt For For For
1.9 Elect Director Robert C. Pozen Mgmt For For For
1.10 Elect Director Jean-Pierre Rosso Mgmt For For For
1.11 Elect Director Jack W. Schuler Mgmt For For For
2 Ratify Auditors Mgmt For For For
PAYCHEX, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
PAYX 13-Oct-10 USA 704326107 Annual 16-Aug-10 50,000 50,000 50,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director B. Thomas Golisano Mgmt For For For
2 Elect Director David J. S. Flaschen Mgmt For For For
3 Elect Director Grant M. Inman Mgmt For For For
4 Elect Director Pamela A. Joseph Mgmt For For For
5 Elect Director Joseph M. Tucci Mgmt For For For
6 Elect Director Joseph M. Velli Mgmt For For For
7 Amend Omnibus Stock Plan Mgmt For For For
8 Ratify Auditors Mgmt For For For
DIAGEO PLC
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
DGE 14-Oct-10 United Kingdom G42089113 Annual 03-Sep-10 34,800 34,800 34,800 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
Meeting for ADR Holders Mgmt
1 Accept Financial Statements and Statutory Reports Mgmt For For For
2 Approve Remuneration Report Mgmt For For For
3 Approve Final Dividend Mgmt For For For
4 Re-elect Peggy Bruzelius as Director Mgmt For For For
5 Re-elect Laurence Danon as Director Mgmt For For For
6 Re-elect Betsy Holden as Director Mgmt For For For
Page 3
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
7 Re-elect Lord (Clive) Hollick of Notting Hill
as Director Mgmt For For For
8 Re-elect Franz Humer as Director Mgmt For For For
9 Re-elect Philip Scott as Director Mgmt For For For
10 Re-elect Todd Stitzer as Director Mgmt For For For
11 Re-elect Paul Walker as Director Mgmt For For For
12 Re-elect Paul Walsh as Director Mgmt For For For
13 Elect Lord (Mervyn) Davies of Abersoch as Director Mgmt For For For
14 Elect Deirdre Mahlan as Director Mgmt For For For
15 Reappoint KPMG Audit plc as Auditors Mgmt For For For
16 Authorise Board to Fix Remuneration of Auditors Mgmt For For For
17 Authorise Issue of Equity with Pre-emptive Rights Mgmt For For For
18 Authorise Issue of Equity without Pre-emptive Mgmt For For For
Rights
19 Authorise Market Purchase Mgmt For For For
20 Authorise EU Political Donations and Expenditure Mgmt For For For
21 Amend Diageo 2001 Share Incentive Plan Mgmt For For For
22 Approve Diageo 2010 Sharesave Plan Mgmt For For For
23 Authorise the Company to Establish International
Share Plans Mgmt For For For
24 Authorise the Company to Call EGM with Two
Weeks' Notice Mgmt For For For
SYSCO CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
SYY 12-Nov-10 USA 871829107 Annual 14-Sep-10 70,000 70,000 70,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director John M. Cassaday Mgmt For For For
2 Elect Director Manuel A. Fernandez Mgmt For For For
3 Elect Director Hans-joachim Koerber Mgmt For For For
4 Elect Director Jackie M. Ward Mgmt For For For
5 Amend Qualified Employee Stock Purchase Plan Mgmt For For For
6 Ratify Auditors Mgmt For For For
Page 4
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
MICROSOFT CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MSFT 16-Nov-10 USA 594918104 Annual 03-Sep-10 200,000 200,000 200,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Steven A. Ballmer Mgmt For For For
2 Elect Director Dina Dublon Mgmt For For For
3 Elect Director William H. Gates III Mgmt For For For
4 Elect Director Raymond V. Gilmartin Mgmt For For For
5 Elect Director Reed Hastings Mgmt For For For
6 Elect Director Maria M. Klawe Mgmt For For For
7 Elect Director David F. Marquardt Mgmt For For For
8 Elect Director Charles H. Noski Mgmt For For For
9 Elect Director Helmut Panke Mgmt For For For
10 Ratify Auditors Mgmt For For For
11 Amend Bylaws to Establish a Board Committee on SH Against Against Against
Environmental Sustainability
COPANO ENERGY, L.L.C.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
CPNO 17-Nov-10 USA 217202100 Special 20-Sep-10 80,000 80,000 80,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Amend Terms of Series A Preferred Stock and Mgmt For For For
Approve Issuance of Additional Common Stock
Upon Conversion of Preferred Stock
CISCO SYSTEMS, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
CSCO 18-Nov-10 USA 17275R102 Annual 20-Sep-10 245,200 245,200 245,200 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Carol A. Bartz Mgmt For For For
2 Elect Director M. Michele Burns Mgmt For For For
3 Elect Director Michael D. Capellas Mgmt For For For
4 Elect Director Larry R. Carter Mgmt For For For
5 Elect Director John T. Chambers Mgmt For For For
Page 5
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
6 Elect Director Brian L. Halla Mgmt For For For
7 Elect Director John L. Hennessy Mgmt For For For
8 Elect Director Richard M. Kovacevich Mgmt For For For
9 Elect Director Roderick C. Mcgeary Mgmt For For For
10 Elect Director Michael K. Powell Mgmt For For For
11 Elect Director Arun Sarin Mgmt For For For
12 Elect Director Steven M. West Mgmt For For For
13 Elect Director Jerry Yang Mgmt For For For
14 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
15 Ratify Auditors Mgmt For For For
16 Amend Bylaws to Establish a Board Committee on SH Against Against Against
Environmental Sustainability
17 Report on Internet Fragmentation SH Against For For
18 Adopt Policy Prohibiting Sale of Products in SH Against Against Against
China if they Contribute to Human Rights Abuses
EMERSON ELECTRIC CO.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
EMR 01-Feb-11 USA 291011104 Annual 23-Nov-10 69,100 69,100 69,100 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director D.N. Farr Mgmt For For For
1.2 Elect Director H. Green Mgmt For For For
1.3 Elect Director C.A. Peters Mgmt For For For
1.4 Elect Director J.W. Prueher Mgmt For For For
1.5 Elect Director R.L. Ridgway Mgmt For For For
2 Amend Omnibus Stock Plan Mgmt For For For
3 Approve Stock Option Plan Mgmt For For For
4 Ratify Auditors Mgmt For For For
5 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
6 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
7 Report on Sustainability SH Against For For
Page 6
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
ACCENTURE PLC
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
CSA 03-Feb-11 Ireland G1151C101 Annual 13-Dec-10 44,000 44,000 44,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Accept Financial Statements and Statutory Reports Mgmt For For For
2 Reelect Charles H. Giancarlo as a Director Mgmt For For For
3 Reelect Dennis F. Hightower as a Director Mgmt For For For
4 Reelect Blythe J. McGarvie as a Director Mgmt For For For
5 Reelect Mark Moody-Stuart as a Director Mgmt For For For
6 Reelect Pierre Nanterme as a Director Mgmt For For For
7 Ratify Auditors Mgmt For For For
8 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
9 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
10 Authorize the Holding of the 2012 AGM at a Mgmt For For For
Location Outside Ireland
11 Authorize Open-Market Purchases of Class A Mgmt For For For
Ordinary Shares
12 Determine the Price Range at which Accenture Mgmt For For For
Plc can Re-issue Shares that it Acquires as
Treasury Stock
AGILENT TECHNOLOGIES, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
A 01-Mar-11 USA 00846U101 Annual 06-Jan-11 37,000 37,000 37,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Heidi Fields Mgmt For For For
2 Elect Director David M. Lawrence Mgmt For For For
3 Elect Director A. Barry Rand Mgmt For For For
4 Ratify Auditors Mgmt For For For
5 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
6 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
Page 7
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
TYCO ELECTRONICS LTD.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
TEL 09-Mar-11 Switzerland H8912P106 Annual 17-Feb-11 40,000 40,000 40,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Reelect Pierre Brondeau as Director Mgmt For For For
2 Reelect Juergen Gromer as Director Mgmt For For For
3 Reelect Robert Hernandez as Director Mgmt For For For
4 Reelect Thomas Lynch as Director Mgmt For For For
5 Reelect Daniel Phelan as Director Mgmt For For For
6 Reelect Frederic Poses as Director Mgmt For For For
7 Reelect Lawrence Smith as Director Mgmt For For For
8 Reelect Paula Sneed as Director Mgmt For For For
9 Reelect David Steiner as Director Mgmt For For For
10 Reelect John Van Scoter as Director Mgmt For For For
11 Accept Annual Report for Fiscal 2009/2010 Mgmt For For For
12 Accept Statutory Financial Statements for Mgmt For For For
Fiscal 2010/2011
13 Accept Consolidated Financial Statements for Fiscal Mgmt For For For
2010/2011
14 Approve Discharge of Board and Senior Management Mgmt For For For
15 Ratify Deloitte & Touche LLP as Independent Mgmt For For For
Registered Public Accounting Firm for
Fiscal 2010/2011
16 Ratify Deloitte AG as Swiss Registered Auditors Mgmt For For For
for Fiscal 2010/2011
17 Ratify PricewaterhouseCoopers AG as Special Mgmt For For For
Auditor for Fiscal 2010/2011
18 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
19 Advisory Vote on Say on Pay Frequency Mgmt None One Year One Year
20 Approve Ordinary Cash Dividend Mgmt For For For
21 Change Company Name to TE Connectivity Ltd Mgmt For For For
22 Amend Articles to Renew Authorized Share Capital Mgmt For For For
23 Approve Reduction in Share Capital Mgmt For For For
24 Authorize Repurchase of up to USD 800 million Mgmt For Against Against
of Share Capital
25 Adjourn Meeting Mgmt For Against Against
Page 8
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
HEWLETT-PACKARD COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
HPQ 23-Mar-11 USA 428236103 Annual 24-Jan-11 117,000 117,000 117,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director M. L. Andreessen Mgmt For For For
2 Elect Director L. Apotheker Mgmt For For For
3 Elect Director L.T. Babbio, Jr. Mgmt For Against Against
4 Elect Director S.M. Baldauf Mgmt For Against Against
5 Elect Director S. Banerji Mgmt For For For
6 Elect Director R.L. Gupta Mgmt For For For
7 Elect Director J.H. Hammergren Mgmt For For For
8 Elect Director R.J. Lane Mgmt For For For
9 Elect Director G.M. Reiner Mgmt For For For
10 Elect Director P.F. Russo Mgmt For For For
11 Elect Director D. Senequier Mgmt For For For
12 Elect Director G.K. Thompson Mgmt For Against Against
13 Elect Director M.C. Whitman Mgmt For For For
14 Ratify Auditors Mgmt For For For
15 Advisory Vote to Ratify Named Executive Officers' Mgmt For Against Against
Compensation
16 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
17 Approve Qualified Employee Stock Purchase Plan Mgmt For For For
18 Amend Executive Incentive Bonus Plan Mgmt For For For
NOVARTIS AG
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
NOVN 08-Apr-11 Switzerland H5820Q150 Special 25-Feb-11 50,000 50,000 50,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
Meeting for ADR Holders Mgmt
1.1 Approve Merger Agreement with Alcon Inc. Mgmt For For For
1.2 Approve Creation of CHF 54 Million Pool of Mgmt For For For
Authorized Capital in Connection with Merger
Agreement with Alcon Inc.
2 Additional And/or Counter-proposals Presented Mgmt For Against Against
At The Meeting
Page 9
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
CARNIVAL CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
CCL 13-Apr-11 Panama 143658300 Annual 14-Feb-11 50,000 50,000 50,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Reelect Micky Arison As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
2 Reelect Sir Jonathon Band As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
3 Reelect Robert H. Dickinson As A Director Of Mgmt For For For
Carnival Corporation And As A Director Of
Carnival Plc
4 Reelect Arnold W. Donald As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
5 Reelect Pier Luigi Foschi As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
6 Reelect Howard S. Frank As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
7 Reelect Richard J. Glasier As A Director Of Mgmt For For For
Carnival Corporation And As A Director Of
Carnival Plc
8 Reelect Modesto A. Maidique As A Director Of Mgmt For For For
Carnival Corporation And As A Director Of
Carnival Plc
9 Reelect Sir John Parker As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
10 Reelect Peter G. Ratcliffe As A Director Of Mgmt For For For
Carnival Corporation And As A Director Of
Carnival Plc
11 Reelect Stuart Subotnick As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
12 Reelect Laura Weil As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
13 Reelect Randall J. Weisenburger As A Director Of Mgmt For For For
Carnival Corporation And As A Director Of
Carnival Plc
14 Reelect Uzi Zucker As A Director Of Carnival Mgmt For For For
Corporation And As A Director Of Carnival Plc
15 Reappoint The UK Firm Of PricewaterhouseCoopers Mgmt For For For
LLP As Independent Auditors For Carnival Plc And
Ratify The U.S. Firm Of PricewaterhouseCoopers LLP
As The Independent Auditor For Carnival
Corporation
16 Authorize The Audit Committee Of Carnival Plc Mgmt For For For
To Fix Remuneration Of The Independent Auditors Of
Carnival Plc
17 Receive The UK Accounts And Reports Of The Mgmt For For For
Directors And Auditors Of Carnival Plc For The
Year Ended November 30, 2010
18 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
19 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
20 Approve Remuneration of Executive and Non-Executive Mgmt For For For
Directors
21 Authorize Issue of Equity with Pre-emptive Rights Mgmt For For For
Page 10
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
22 Authorize Issue of Equity without Pre-emptive Mgmt For For For
Rights
23 Authorise Shares for Market Purchase Mgmt For For For
24 Approve Omnibus Stock Plan Mgmt For For For
UNITED TECHNOLOGIES CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
UTX 13-Apr-11 USA 913017109 Annual 15-Feb-11 55,000 55,000 55,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Louis R. Chenevert Mgmt For For For
2 Elect Director John V. Faraci Mgmt For For For
3 Elect Director Jean-Pierre Garnier Mgmt For For For
4 Elect Director Jamie S. Gorelick Mgmt For For For
5 Elect Director Edward A. Kangas Mgmt For For For
6 Elect Director Ellen J. Kullman Mgmt For For For
7 Elect Director Charles R. Lee Mgmt For For For
8 Elect Director Richard D. McCormick Mgmt For For For
9 Elect Director Harold McGraw III Mgmt For For For
10 Elect Director Richard B. Myers Mgmt For For For
11 Elect Director H. Patrick Swygert Mgmt For For For
12 Elect Director Andre Villeneuve Mgmt For For For
13 Elect Director Christine Todd Whitman Mgmt For For For
14 Ratify Auditors Mgmt For For For
15 Amend Omnibus Stock Plan Mgmt For For For
16 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
17 Advisory Vote on Say on Pay Frequency Mgmt None One Year One Year
18 Stock Retention/Holding Period SH Against For For
Page 11
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
PEOPLE'S UNITED FINANCIAL, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
PBCT 21-Apr-11 USA 712704105 Annual 28-Feb-11 120,000 120,000 120,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director John P. Barnes Mgmt For For For
1.2 Elect Director Collin P. Baron Mgmt For For For
1.3 Elect Director Richard M. Hoyt Mgmt For For For
2 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
3 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
4 Ratify Auditors Mgmt For For For
PPG INDUSTRIES, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
PPG 21-Apr-11 USA 693506107 Annual 18-Feb-11 41,000 41,000 41,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Stephen F. Angel Mgmt For For For
1.2 Elect Director Hugh Grant Mgmt For For For
1.3 Elect Director Michele J. Hooper Mgmt For For For
1.4 Elect Director Robert Mehrabian Mgmt For For For
2 Amend Omnibus Stock Plan Mgmt For For For
3 Amend Omnibus Stock Plan Mgmt For For For
4 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
5 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
6 Ratify Auditors Mgmt For For For
7 Report on Community Environmental Impact SH Against Against Against
Disclosure Process
HONEYWELL INTERNATIONAL INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
HON 25-Apr-11 USA 438516106 Annual 25-Feb-11 75,900 75,900 75,900 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Gordon M. Bethune Mgmt For For For
2 Elect Director Kevin Burke Mgmt For For For
3 Elect Director Jaime Chico Pardo Mgmt For For For
Page 12
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
4 Elect Director David M. Cote Mgmt For For For
5 Elect Director D. Scott Davis Mgmt For For For
6 Elect Director Linnet F. Deily Mgmt For For For
7 Elect Director Judd Gregg Mgmt For For For
8 Elect Director Clive R. Hollick Mgmt For For For
9 Elect Director George Paz Mgmt For For For
10 Elect Director Bradley T. Sheares Mgmt For For For
11 Ratify Auditors Mgmt For For For
12 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
13 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
14 Approve Omnibus Stock Plan Mgmt For For For
15 Amend Executive Incentive Bonus Plan Mgmt For For For
16 Provide Right to Act by Written Consent SH Against For For
17 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
INTERNATIONAL BUSINESS MACHINES CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
IBM 26-Apr-11 USA 459200101 Annual 25-Feb-11 45,000 45,000 45,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director A. J. P. Belda Mgmt For For For
2 Elect Director W. R. Brody Mgmt For For For
3 Elect Director K. I. Chenault Mgmt For For For
4 Elect Director M. L. Eskew Mgmt For For For
5 Elect Director S. A. Jackson Mgmt For For For
6 Elect Director A. N. Liveris Mgmt For For For
7 Elect Director W. J. McNerney, Jr. Mgmt For For For
8 Elect Director J. W. Owens Mgmt For For For
9 Elect Director S. J. Palmisano Mgmt For For For
10 Elect Director J. E. Spero Mgmt For For For
11 Elect Director S. Taurel Mgmt For For For
12 Elect Director L. H. Zambrano Mgmt For For For
13 Ratify Auditors Mgmt For For For
Page 13
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
14 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
15 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
16 Provide for Cumulative Voting SH Against For For
17 Report on Political Contributions SH Against For For
18 Report on Lobbying Expenses SH Against For For
METLIFE, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MET 26-Apr-11 USA 59156R108 Annual 01-Mar-11 65,000 65,000 65,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Steven A. Kandarian Mgmt For For For
1.2 Elect Director Sylvia Mathews Burwell Mgmt For For For
1.3 Elect Director Eduardo Castro-Wright Mgmt For For For
1.4 Elect Director Cheryl W. Grise Mgmt For For For
1.5 Elect Director Lulu C. Wang Mgmt For For For
2 Declassify the Board of Directors Mgmt For For For
3 Ratify Auditors Mgmt For For For
4 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
5 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
AMERIPRISE FINANCIAL, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
AMP 27-Apr-11 USA 03076C106 Annual 28-Feb-11 26,300 26,300 26,300 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Siri S. Marshall Mgmt For For For
2 Elect Director W. Walker Lewis Mgmt For For For
3 Elect Director William H. Turner Mgmt For For For
4 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
5 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
6 Ratify Auditors Mgmt For For For
Page 14
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
E. I. DU PONT DE NEMOURS AND COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
DD 27-Apr-11 USA 263534109 Annual 02-Mar-11 90,000 90,000 90,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Richard H. Brown Mgmt For For For
2 Elect Director Robert A. Brown Mgmt For For For
3 Elect Director Bertrand P. Collomb Mgmt For For For
4 Elect Director Curtis J. Crawford Mgmt For For For
5 Elect Director Alexander M. Cutler Mgmt For For For
6 Elect Director Eleuthere I. du Pont Mgmt For For For
7 Elect Director Marillyn A. Hewson Mgmt For For For
8 Elect Director Lois D. Juliber Mgmt For For For
9 Elect Director Ellen J. Kullman Mgmt For For For
10 Elect Director William K. Reilly Mgmt For For For
11 Ratify Auditors Mgmt For For For
12 Amend Omnibus Stock Plan Mgmt For For For
13 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
14 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
15 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
16 Report on Genetically Engineered Seed SH Against Against Against
17 Report on Pay Disparity SH Against Against Against
GENERAL ELECTRIC COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
GE 27-Apr-11 USA 369604103 Annual 28-Feb-11 150,000 150,000 150,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director W. Geoffrey Beattie Mgmt For For For
2 Elect Director James I. Cash, Jr. Mgmt For For For
3 Elect Director Ann M. Fudge Mgmt For For For
Page 15
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
4 Elect Director Susan Hockfield Mgmt For For For
5 Elect Director Jeffrey R. Immelt Mgmt For For For
6 Elect Director Andrea Jung Mgmt For For For
7 Elect Director Alan G. Lafley Mgmt For For For
8 Elect Director Robert W. Lane Mgmt For For For
9 Elect Director Ralph S. Larsen Mgmt For For For
10 Elect Director Rochelle B. Lazarus Mgmt For For For
11 Elect Director James J. Mulva Mgmt For For For
12 Elect Director Sam Nunn Mgmt For For For
13 Elect Director Roger S. Penske Mgmt For For For
14 Elect Director Robert J. Swieringa Mgmt For For For
15 Elect Director James S. Tisch Mgmt For For For
16 Elect Director Douglas A. Warner III Mgmt For For For
17 Ratify Auditors Mgmt For For For
18 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
19 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
20 Provide for Cumulative Voting SH Against For For
21 Performance-Based Equity Awards SH Against For For
22 Withdraw Stock Options Granted to Executive SH Against Against Against
Officers
23 Report on Climate Change Business Risk SH Against Against Against
24 Report on Animal Testing and Plans for Reduction SH Against Against Against
MAGELLAN MIDSTREAM PARTNERS, L.P.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MMP 27-Apr-11 USA 559080106 Annual 28-Feb-11 60,000 60,000 60,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director James C. Kempner Mgmt For For For
1.2 Elect Director Michael N. Mears Mgmt For Withhold Withhold
1.3 Elect Director James R. Montague Mgmt For For For
2 Amend Restricted Stock Plan Mgmt For For For
3 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
4 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
Page 16
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
THE COCA-COLA COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
KO 27-Apr-11 USA 191216100 Annual 28-Feb-11 80,000 80,000 80,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Herbert A. Allen Mgmt For For For
2 Elect Director Ronald W. Allen Mgmt For For For
3 Elect Director Howard G. Buffett Mgmt For For For
4 Elect Director Barry Diller Mgmt For For For
5 Elect Director Evan G. Greenberg Mgmt For For For
6 Elect Director Alexis M. Herman Mgmt For For For
7 Elect Director Muhtar Kent Mgmt For For For
8 Elect Director Donald R. Keough Mgmt For For For
9 Elect Director Maria Elena Lagomasino Mgmt For For For
10 Elect Director Donald F. McHenry Mgmt For For For
11 Elect Director Sam Nunn Mgmt For For For
12 Elect Director James D. Robinson III Mgmt For For For
13 Elect Director Peter V. Ueberroth Mgmt For For For
14 Elect Director Jacob Wallenberg Mgmt For For For
15 Elect Director James B. Williams Mgmt For For For
16 Ratify Auditors Mgmt For For For
17 Amend Executive Incentive Bonus Plan Mgmt For For For
18 Amend Restricted Stock Plan Mgmt For For For
19 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
20 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
21 Publish Report on Chemical Bisphenol-A (BPA) SH Against For For
Page 17
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
NYSE EURONEXT
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
NYX 28-Apr-11 USA 629491101 Annual 01-Mar-11 80,000 80,000 80,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Andre Bergen Mgmt For For For
2 Elect Director Ellyn L. Brown Mgmt For For For
3 Elect Director Marshall N. Carter Mgmt For For For
4 Elect Director Dominique Cerutti Mgmt For For For
5 Elect Director Patricia M. Cloherty Mgmt For For For
6 Elect Director Sir George Cox Mgmt For For For
7 Elect Director Sylvain Hefes Mgmt For For For
8 Elect Director Jan-michiel Hessels Mgmt For For For
9 Elect Director Duncan M. McFarland Mgmt For For For
10 Elect Director James J. McNulty Mgmt For For For
11 Elect Director Duncan L. Niederauer Mgmt For For For
12 Elect Director Ricardo Salgado Mgmt For For For
13 Elect Director Robert G. Scott Mgmt For For For
14 Elect Director Jackson P. Tai Mgmt For For For
15 Elect Director Rijnhard Van Tets Mgmt For For For
16 Elect Director Sir Brian Williamson Mgmt For For For
17 Ratify Auditors Mgmt For For For
18 Reduce Supermajority Vote Requirement Mgmt For For For
19 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
20 Advisory Vote on Say on Pay Frequency Mgmt None One Year One Year
21 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
22 Provide Right to Act by Written Consent SH Against For For
PFIZER INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
PFE 28-Apr-11 USA 717081103 Annual 01-Mar-11 350,000 350,000 350,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Dennis A. Ausiello Mgmt For For For
2 Elect Director Michael S. Brown Mgmt For For For
3 Elect Director M. Anthony Burns Mgmt For For For
4 Elect Director W. Don Cornwell Mgmt For For For
5 Elect Director Frances D. Fergusson Mgmt For For For
6 Elect Director William H. Gray III Mgmt For For For
Page 18
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
7 Elect Director Constance J. Horner Mgmt For For For
8 Elect Director James M. Kilts Mgmt For For For
9 Elect Director George A. Lorch Mgmt For For For
10 Elect Director John P. Mascotte Mgmt For For For
11 Elect Director Suzanne Nora Johnson Mgmt For For For
12 Elect Director Ian C. Read Mgmt For For For
13 Elect Director Stephen W. Sanger Mgmt For For For
14 Ratify Auditors Mgmt For For For
15 Advisory Vote to Ratify Named Executive Officers' Mgmt For Against Against
Compensation
16 Advisory Vote on Say on Pay Frequency Mgmt Two Years One Year One Year
17 Publish Political Contributions SH Against Against Against
18 Report on Public Policy Advocacy Process SH Against Against Against
19 Adopt Policy to Restrain Pharmaceutical Price SH Against Against Against
Increases
20 Provide Right to Act by Written Consent SH Against For For
21 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
22 Report on Animal Testing and Plans for Reduction SH Against Against Against
AT&T INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
T 29-Apr-11 USA 00206R102 Annual 01-Mar-11 62,100 62,100 62,100 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Randall L. Stephenson Mgmt For For For
2 Elect Director Gilbert F. Amelio Mgmt For For For
3 Elect Director Reuben V. Anderson Mgmt For For For
4 Elect Director James H. Blanchard Mgmt For For For
5 Elect Director Jaime Chico Pardo Mgmt For For For
6 Elect Director James P. Kelly Mgmt For For For
7 Elect Director Jon C. Madonna Mgmt For For For
8 Elect Director Lynn M. Martin Mgmt For For For
9 Elect Director John B. McCoy Mgmt For For For
10 Elect Director Joyce M. Roche Mgmt For For For
11 Elect Director Matthew K. Rose Mgmt For For For
12 Elect Director Laura D Andrea Tyson Mgmt For For For
Page 19
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
13 Ratify Auditors Mgmt For For For
14 Approve Omnibus Stock Plan Mgmt For For For
15 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
16 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
17 Report on Political Contributions SH Against For For
18 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
19 Provide Right to Act by Written Consent SH Against For For
KELLOGG COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
K 29-Apr-11 USA 487836108 Annual 01-Mar-11 40,000 40,000 40,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director John Bryant Mgmt For For For
1.2 Elect Director Rogelio Rebolledo Mgmt For For For
1.3 Elect Director Sterling Speirn Mgmt For For For
1.4 Elect Director John Zabriskie Mgmt For For For
2 Approve Executive Incentive Bonus Plan Mgmt For For For
3 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
4 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
5 Ratify Auditors Mgmt For For For
6 Reduce Supermajority Vote Requirement SH Against For For
7 Require a Majority Vote for the Election of SH Against For For
Directors
SEASPAN CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
SSW 30-Apr-11 Marshall Isl Y75638109 Annual 04-Mar-11 150,000 150,000 150,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1a Elect Peter Shaerf as Director Mgmt For For For
1b Elect John C. Hsu as Director Mgmt For For For
2 Approve KPMG LLP Chartered Accountants as Auditors Mgmt For For For
Page 20
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
BRISTOL-MYERS SQUIBB COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
BMY 03-May-11 USA 110122108 Annual 10-Mar-11 260,000 260,000 260,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director L. Andreotti Mgmt For For For
2 Elect Director L.B. Campbell Mgmt For For For
3 Elect Director J.M. Cornelius Mgmt For For For
4 Elect Director L.J. Freeh Mgmt For For For
5 Elect Director L.H. Glimcher Mgmt For For For
6 Elect Director M. Grobstein Mgmt For For For
7 Elect Director L. Johansson Mgmt For For For
8 Elect Director A.J. Lacy Mgmt For For For
9 Elect Director V.L. Sato Mgmt For For For
10 Elect Director E. Sigal Mgmt For For For
11 Elect Director T.D. West, Jr. Mgmt For For For
12 Elect Director R.S. Williams Mgmt For For For
13 Ratify Auditors Mgmt For For For
14 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
15 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
16 Increase Disclosure of Executive Compensation SH Against Against Against
17 Provide Right to Act by Written Consent SH Against For For
18 Adopt Policy to Restrain Pharmaceutical Price SH Against Against Against
Increases
PEPSICO, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
PEP 04-May-11 USA 713448108 Annual 04-Mar-11 80,000 80,000 80,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director S.L. Brown Mgmt For For For
2 Elect Director I.M. Cook Mgmt For For For
Page 21
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
3 Elect Director D. Dublon Mgmt For For For
4 Elect Director V.J. Dzau Mgmt For For For
5 Elect Director R.L. Hunt Mgmt For For For
6 Elect Director A. Ibarguen Mgmt For For For
7 Elect Director A.C. Martinez Mgmt For For For
8 Elect Director I.K. Nooyi Mgmt For For For
9 Elect Director S.P. Rockefeller Mgmt For For For
10 Elect Director J.J. Schiro Mgmt For For For
11 Elect Director L.G. Trotter Mgmt For For For
12 Elect Director D. Vasella Mgmt For For For
13 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
14 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
15 Ratify Auditors Mgmt For For For
16 Adopt Majority Voting for Uncontested Election Mgmt For For For
of Directors
17 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
18 Report on Political Contributions SH Against Against Against
REGAL ENTERTAINMENT GROUP
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
RGC 04-May-11 USA 758766109 Annual 09-Mar-11 200,000 200,000 200,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Stephen A. Kaplan Mgmt For For For
1.2 Elect Director Jack Tyrrell Mgmt For For For
1.3 Elect Director Nestor R. Weigand, Jr. Mgmt For For For
2 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
3 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
4 Ratify Auditors Mgmt For For For
Page 22
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
AVON PRODUCTS, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
AVP 05-May-11 USA 054303102 Annual 17-Mar-11 120,000 120,000 120,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director W. Don Cornwell Mgmt For For For
1.2 Elect Director V. Ann Hailey Mgmt For For For
1.3 Elect Director Fred Hassan Mgmt For For For
1.4 Elect Director Andrea Jung Mgmt For For For
1.5 Elect Director Maria Elena Lagomasino Mgmt For For For
1.6 Elect Director Ann S. Moore Mgmt For For For
1.7 Elect Director Paul S. Pressler Mgmt For For For
1.8 Elect Director Gary M. Rodkin Mgmt For For For
1.9 Elect Director Paula Stern Mgmt For For For
1.10 Elect Director Lawrence A. Weinbach Mgmt For For For
2 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
3 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
4 Ratify Auditors Mgmt For For For
5 Reduce Supermajority Vote Requirement Mgmt For For For
HORIZON TECHNOLOGY FINANCE CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
HRZN 05-May-11 USA 44045A102 Annual 18-Mar-11 80,000 80,000 80,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director David P. Swanson Mgmt For For For
1.2 Elect Director James J. Bottiglieri Mgmt For For For
2 Ratify Auditors Mgmt For For For
3 Approve Issuance of Shares for a Private Placement Mgmt For For For
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
HOT 05-May-11 USA 85590A401 Annual 10-Mar-11 43,000 43,000 43,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Adam M. Aron Mgmt For For For
1.2 Elect Director Charlene Barshefsky Mgmt For For For
Page 23
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
1.3 Elect Director Thomas E. Clarke Mgmt For For For
1.4 Elect Director Clayton C. Daley, Jr. Mgmt For For For
1.5 Elect Director Bruce W. Duncan Mgmt For For For
1.6 Elect Director Lizanne Galbreath Mgmt For For For
1.7 Elect Director Eric Hippeau Mgmt For For For
1.8 Elect Director Stephen R. Quazzo Mgmt For For For
1.9 Elect Director Thomas O. Ryder Mgmt For For For
1.10 Elect Director Frits van Paasschen Mgmt For For For
1.11 Elect Director Kneeland C. Youngblood Mgmt For For For
2 Ratify Auditors Mgmt For For For
3 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
4 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
UNITED PARCEL SERVICE, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
UPS 05-May-11 USA 911312106 Annual 07-Mar-11 50,000 50,000 50,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director F. Duane Ackerman Mgmt For For For
2 Elect Director Michael J. Burns Mgmt For For For
3 Elect Director D. Scott Davis Mgmt For For For
4 Elect Director Stuart E. Eizenstat Mgmt For For For
5 Elect Director Michael L. Eskew Mgmt For For For
6 Elect Director William R. Johnson Mgmt For For For
7 Elect Director Ann M. Livermore Mgmt For For For
8 Elect Director Rudy H.P. Markham Mgmt For For For
9 Elect Director Clark T. Randt, Jr. Mgmt For For For
10 Elect Director John W. Thompson Mgmt For For For
11 Elect Director Carol B. Tome Mgmt For For For
12 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
13 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
14 Ratify Auditors Mgmt For For For
15 Other Business Mgmt For Against Against
Page 24
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
VERIZON COMMUNICATIONS INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
VZ 05-May-11 USA 92343V104 Annual 07-Mar-11 130,000 130,000 130,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Richard L. Carrion Mgmt For For For
2 Elect Director M. Frances Keeth Mgmt For For For
3 Elect Director Robert W. Lane Mgmt For For For
4 Elect Director Lowell C. Mcadam Mgmt For For For
5 Elect Director Sandra O. Moose Mgmt For For For
6 Elect Director Joseph Neubauer Mgmt For For For
7 Elect Director Donald T. Nicolaisen Mgmt For For For
8 Elect Director Clarence Otis, Jr. Mgmt For For For
9 Elect Director Hugh B. Price Mgmt For For For
10 Elect Director Ivan G. Seidenberg Mgmt For For For
11 Elect Director Rodney E. Slater Mgmt For For For
12 Elect Director John W. Snow Mgmt For For For
13 Ratify Auditors Mgmt For For For
14 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
15 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
16 Disclose Prior Government Service SH Against Against Against
17 Performance-Based Equity Awards SH Against For For
18 Restore or Provide for Cumulative Voting SH Against For For
19 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
AMERICAN WATER WORKS COMPANY, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
AWK 06-May-11 USA 030420103 Annual 14-Mar-11 74,200 74,200 74,200 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Stephen P. Adik Mgmt For For For
2 Elect Director Martha Clark Goss Mgmt For For For
Page 25
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
3 Elect Director Julie A. Dobson Mgmt For For For
4 Elect Director Richard R. Grigg Mgmt For For For
5 Elect Director Julia L. Johnson Mgmt For For For
6 Elect Director George Mackenzie Mgmt For For For
7 Elect Director William J. Marrazzo Mgmt For For For
8 Election Of Director: Jeffry E. Sterba Mgmt For For For
9 Ratify Auditors Mgmt For For For
10 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
11 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
OCCIDENTAL PETROLEUM CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
OXY 06-May-11 USA 674599105 Annual 15-Mar-11 66,600 66,600 66,600 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Spencer Abraham Mgmt For For For
2 Elect Director Howard I. Atkins Mgmt For For For
3 Elect Director Stephen I. Chazen Mgmt For For For
4 Elect Director Edward P. Djerejian Mgmt For Against Against
5 Elect Director John E. Feick Mgmt For For For
6 Elect Director Margaret M. Foran Mgmt For For For
7 Elect Director Carlos M. Gutierrez Mgmt For For For
8 Elect Director Ray R. Irani Mgmt For Against Against
9 Elect Director Avedick B. Poladian Mgmt For For For
10 Elect Director Rodolfo Segovia Mgmt For Against Against
11 Elect Director Aziz D. Syriani Mgmt For Against Against
12 Elect Director Rosemary Tomich Mgmt For Against Against
13 Elect Director Walter L. Weisman Mgmt For Against Against
14 Ratify Auditors Mgmt For For For
15 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
16 Advisory Vote on Say on Pay Frequency Mgmt None One Year One Year
17 Review Political Expenditures and Processes SH Against For For
18 Request Director Nominee with Environmental SH Against Against Against
Qualifications
Page 26
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
INTERNATIONAL PAPER COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
IP 09-May-11 USA 460146103 Annual 15-Mar-11 100,000 100,000 100,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Directors David J. Bronczek Mgmt For For For
2 Elect Director Ahmet C. Dorduncu Mgmt For For For
3 Elect Directors Lynn Laverty Elsenhans Mgmt For For For
4 Elect Directors John V. Faraci Mgmt For For For
5 Elect Director Samir G. Gibara Mgmt For For For
6 Elect Directors Stacey J. Mobley Mgmt For For For
7 Elect Directors John L. Townsend, III Mgmt For For For
8 Elect Director John F. Turner Mgmt For For For
9 Elect Directors William G. Walter Mgmt For For For
10 Elect Directors Alberto Weisser Mgmt For For For
11 Elect Directors J. Steven Whisler Mgmt For For For
12 Ratify Auditors Mgmt For For For
13 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
14 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
15 Provide Right to Act by Written Consent SH Against For For
3M COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MMM 10-May-11 USA 88579Y101 Annual 11-Mar-11 40,000 40,000 40,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Linda G. Alvarado Mgmt For For For
2 Elect Director George W. Buckley Mgmt For For For
3 Elect Director Vance D. Coffman Mgmt For For For
4 Elect Director Michael L. Eskew Mgmt For For For
5 Elect Director W. James Farrell Mgmt For For For
Page 27
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
6 Elect Director Herbert L. Henkel Mgmt For For For
7 Elect Director Edward M. Liddy Mgmt For For For
8 Elect Director Robert S. Morrison Mgmt For For For
9 Elect Director Aulana L. Peters Mgmt For For For
10 Elect Director Robert J. Ulrich Mgmt For For For
11 Ratify Auditors Mgmt For For For
12 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
13 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
14 Report on Political Contributions SH Against For For
PRUDENTIAL FINANCIAL, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
PRU 10-May-11 USA 744320102 Annual 11-Mar-11 45,000 45,000 45,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Thomas J. Baltimore, Jr. Mgmt For For For
2 Elect Director Gordon M. Bethune Mgmt For For For
3 Elect Director Gaston Caperton Mgmt For For For
4 Elect Director Gilbert F. Casellas Mgmt For For For
5 Elect Director James G. Cullen Mgmt For For For
6 Elect Director William H. Gray, III Mgmt For For For
7 Elect Director Mark B. Grier Mgmt For For For
8 Elect Director Constance J. Horner Mgmt For For For
9 Elect Director Martina Hund-Mejean Mgmt For For For
10 Elect Director Karl J. Krapek Mgmt For For For
11 Elect Director Christine A. Poon Mgmt For For For
12 Elect Director John R. Strangfield Mgmt For For For
13 Elect Director James A. Unruh Mgmt For For For
14 Ratify Auditors Mgmt For For For
15 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
16 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
17 Reduce Supermajority Vote Requirement SH For For For
18 Report on Lobbying Contributions and Expenses SH Against Against Against
Page 28
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
PHILIP MORRIS INTERNATIONAL INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
PM 11-May-11 USA 718172109 Annual 15-Mar-11 70,000 70,000 70,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Harold Brown Mgmt For For For
2 Elect Director Mathis Cabiallavetta Mgmt For For For
3 Elect Director Louis C. Camilleri Mgmt For For For
4 Elect Director J. Dudley Fishburn Mgmt For For For
5 Elect Director Jennifer Li Mgmt For For For
6 Elect Director Graham Mackay Mgmt For For For
7 Elect Director Sergio Marchionne Mgmt For Against Against
8 Elect Director Lucio A. Noto Mgmt For For For
9 Elect Director Carlos Slim Helu Mgmt For For For
10 Elect Director Stephen M. Wolf Mgmt For For For
11 Ratify Auditors Mgmt For For For
12 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
13 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
14 Report on Effect of Marketing Practices on the Poor SH Against Against Against
15 Require Independent Board Chairman SH Against Against Against
FRONTIER COMMUNICATIONS CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
FTR 12-May-11 USA 35906A108 Annual 16-Mar-11 190,005 190,005 190,005 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Leroy T. Barnes, Jr. Mgmt For For For
1.2 Elect Director Peter C.B. Bynoe Mgmt For For For
1.3 Elect Director Jeri B. Finard Mgmt For For For
1.4 Elect Director Edward Fraioli Mgmt For For For
1.5 Elect Director James S. Kahan Mgmt For For For
1.6 Elect Director Pamela D.A. Reeve Mgmt For For For
Page 29
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
1.7 Elect Director Howard L. Schrott Mgmt For For For
1.8 Elect Director Larraine D. Segil Mgmt For For For
1.9 Elect Director Mark Shapiro Mgmt For For For
1.10 Elect Director Myron A. Wick, III Mgmt For For For
1.11 Elect Director Mary Agnes Wilderotter Mgmt For For For
2 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
3 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
4 Require Independent Board Chairman SH Against Against Against
5 Ratify Auditors Mgmt For For For
THE DOW CHEMICAL COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
DOW 12-May-11 USA 260543103 Annual 14-Mar-11 75,000 75,000 75,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Arnold A. Allemang Mgmt For For For
2 Elect Director Jacqueline K. Barton Mgmt For For For
3 Elect Director James A. Bell Mgmt For For For
4 Elect Director Jeff M. Fettig Mgmt For For For
5 Elect Director Barbara H. Franklin Mgmt For For For
6 Elect Director Jennifer M. Granholm Mgmt For For For
7 Elect Director John B. Hess Mgmt For For For
8 Elect Director Andrew N. Liveris Mgmt For For For
9 Elect Director Paul Polman Mgmt For For For
10 Elect Director Dennis H. Reilley Mgmt For For For
11 Elect Director James M. Ringler Mgmt For For For
12 Elect Director Ruth G. Shaw Mgmt For For For
13 Elect Director Paul G. Stern Mgmt For For For
14 Ratify Auditors Mgmt For For For
15 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
16 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
17 Provide Right to Act by Written Consent SH Against For For
Page 30
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
MATTEL, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MAT 13-May-11 USA 577081102 Annual 18-Mar-11 110,000 110,000 110,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Michael J. Dolan Mgmt For For For
2 Elect Director Robert A. Eckert Mgmt For For For
3 Elect Director Frances D. Fergusson Mgmt For For For
4 Elect Director Tully M. Friedman Mgmt For For For
5 Elect Director Dominic Ng Mgmt For For For
6 Elect Director Vasant M. Prabhu Mgmt For For For
7 Elect Director Andrea L. Rich Mgmt For For For
8 Elect Director Dean A. Scarborough Mgmt For For For
9 Elect Director Christopher A. Sinclair Mgmt For For For
10 Elect Director G. Craig Sullivan Mgmt For For For
11 Elect Director Kathy Brittain White Mgmt For For For
12 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
13 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
14 Provide Right to Call Special Meeting Mgmt For Against Against
15 Ratify Auditors Mgmt For For For
WASTE MANAGEMENT, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
WM 13-May-11 USA 94106L109 Annual 16-Mar-11 55,000 55,000 55,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Pastora San Juan Cafferty Mgmt For For For
2 Elect Director Frank M. Clark, Jr. Mgmt For For For
3 Elect Director Patrick W. Gross Mgmt For For For
4 Elect Director John C. Pope Mgmt For For For
5 Elect Director W. Robert Reum Mgmt For For For
6 Elect Director Steven G. Rothmeier Mgmt For For For
7 Elect Director David P. Steiner Mgmt For For For
Page 31
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
8 Elect Director Thomas H. Weidemeyer Mgmt For For For
9 Ratify Auditors Mgmt For For For
10 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
11 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
12 Provide Right to Call Special Meeting Mgmt For For For
JPMORGAN CHASE & CO.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
JPM 17-May-11 USA 46625h100 Annual 18-Mar-11 147,000 147,000 147,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Crandall C. Bowles Mgmt For For For
2 Elect Director Stephen B. Burke Mgmt For For For
3 Elect Director David M. Cote Mgmt For For For
4 Elect Director James S. Crown Mgmt For For For
5 Elect Director James Dimon Mgmt For For For
6 Elect Director Ellen V. Futter Mgmt For For For
7 Elect Director William H. Gray, III Mgmt For For For
8 Elect Director Laban P. Jackson, Jr. Mgmt For For For
9 Elect Director David C. Novak Mgmt For For For
10 Elect Director Lee R. Raymond Mgmt For For For
11 Elect Director William C. Weldon Mgmt For For For
12 Ratify Auditors Mgmt For For For
13 Advisory Vote to Ratify Named Executive Officers' Mgmt For Against Against
Compensation
14 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
15 Amend Omnibus Stock Plan Mgmt For Against Against
16 Affirm Political Non-Partisanship SH Against Against Against
17 Provide Right to Act by Written Consent SH Against For For
18 Report on Loan Modifications SH Against Against For
19 Report on Political Contributions SH Against For For
20 Institute Procedures to Prevent Investments SH Against Against Against
in Companies that Contribute to Genocide or
Crimes Against Humanity
21 Require Independent Board Chairman SH Against Against Against
Page 32
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
COPANO ENERGY, L.L.C.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
CPNO 18-May-11 USA 217202100 Annual 31-Mar-11 80,000 80,000 80,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director James G. Crump Mgmt For For For
1.2 Elect Director Ernie L. Danner Mgmt For For For
1.3 Elect Director Scott A. Griffiths Mgmt For For For
1.4 Elect Director Michael L. Johnson Mgmt For For For
1.5 Elect Director Michael G. MacDougall Mgmt For Withhold Withhold
1.6 Elect Director R. Bruce Northcutt Mgmt For For For
1.7 Elect Director T. William Porter Mgmt For For For
1.8 Elect Director William L. Thacker Mgmt For For For
2 Ratify Auditors Mgmt For For For
3 Amend Omnibus Stock Plan Mgmt For Against Against
4 Amend Omnibus Stock Plan Mgmt For Against Against
5 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
6 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
ALTRIA GROUP, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MO 19-May-11 USA 02209S103 Annual 28-Mar-11 160,000 160,000 160,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Elizabeth E. Bailey Mgmt For For For
2 Elect Director Gerald L. Baliles Mgmt For For For
3 Elect Director John T. Casteen III Mgmt For For For
4 Elect Director Dinyar S. Devitre Mgmt For For For
5 Elect Director Thomas F. Farrell II Mgmt For For For
6 Elect Director Thomas W. Jones Mgmt For For For
7 Elect Director George Munoz Mgmt For For For
Page 33
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
8 Elect Director Nabil Y. Sakkab Mgmt For For For
9 Elect Director Michael E. Szymanczyk Mgmt For For For
10 Ratify Auditors Mgmt For For For
11 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
12 Advisory Vote on Say on Pay Frequency Mgmt None One Year One Year
13 Cease Production of Flavored Tobacco Products SH Against Against Against
INTEL CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
INTC 19-May-11 USA 458140100 Annual 21-Mar-11 270,000 270,000 270,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Charlene Barshefsky Mgmt For For For
2 Elect Director Susan L. Decker Mgmt For For For
3 Elect Director John J. Donahoe Mgmt For For For
4 Elect Director Reed E. Hundt Mgmt For For For
5 Elect Director Paul S. Otellini Mgmt For For For
6 Elect Director James D. Plummer Mgmt For For For
7 Elect Director David S. Pottruck Mgmt For For For
8 Elect Director Jane E. Shaw Mgmt For For For
9 Elect Director Frank D. Yeary Mgmt For For For
10 Elect Director David B. Yoffie Mgmt For For For
11 Ratify Auditors Mgmt For For For
12 Amend Omnibus Stock Plan Mgmt For For For
13 Amend Qualified Employee Stock Purchase Plan Mgmt For For For
14 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
15 Advisory Vote on Say on Pay Frequency Mgmt None One Year One Year
Page 34
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
MCDONALD'S CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MCD 19-May-11 USA 580135101 Annual 22-Mar-11 35,000 35,000 35,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Susan E. Arnold Mgmt For For For
2 Elect Director Richard H. Lenny Mgmt For For For
3 Elect Director Cary D. McMillan Mgmt For For For
4 Elect Director Sheila A. Penrose Mgmt For For For
5 Elect Director James A. Skinner Mgmt For For For
6 Ratify Auditors Mgmt For For For
7 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
8 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
9 Reduce Supermajority Vote Requirement for Mgmt For For For
Transactions With Interested Shareholders
10 Reduce Supermajority Vote Requirement Relating Mgmt For For For
to the Board of Directors
11 Reduce Supermajority Vote Requirement for Mgmt For For For
Shareholder Action
12 Declassify the Board of Directors SH Against For For
13 Require Suppliers to Adopt CAK SH Against Against Against
14 Report on Policy Responses to Children's SH Against Against Against
Health Concerns and Fast Food
15 Report on Beverage Container Environmental Strategy SH Against For For
J. C. PENNEY COMPANY, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
JCP 20-May-11 USA 708160106 Annual 21-Mar-11 100,000 100,000 100,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director William A. Ackman Mgmt For For For
2 Elect Director Colleen C. Barrett Mgmt For For For
3 Elect Director Thomas J. Engibous Mgmt For For For
4 Elect Director Kent B. Foster Mgmt For For For
5 Elect Director G.B. Laybourne Mgmt For For For
6 Elect Director Burl Osborne Mgmt For For For
7 Elect Director Leonard H. Roberts Mgmt For For For
8 Elect Director Steven Roth Mgmt For For For
9 Elect Director Javier G. Teruel Mgmt For For For
10 Elect Director R. Gerald Turner Mgmt For For For
Page 35
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
11 Elect Director Mary Beth West Mgmt For For For
12 Elect Director Myron E. Ullman, III Mgmt For For For
13 Ratify Auditors Mgmt For For For
14 Reduce Supermajority Vote Requirement Mgmt For For For
15 Advisory Vote to Ratify Named Executive Officers' Mgmt For Against Against
Compensation
16 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
KRAFT FOODS INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
KFT 24-May-11 USA 50075N104 Annual 16-Mar-11 50,000 50,000 50,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Ajaypal S. Banga Mgmt For For For
2 Elect Director Myra M. Hart Mgmt For For For
3 Elect Director Peter B. Henry Mgmt For For For
4 Elect Director Lois D. Juliber Mgmt For For For
5 Elect Director Mark D. Ketchum Mgmt For For For
6 Elect Director Richard A. Lerner Mgmt For For For
7 Elect Director Mackey J. McDonald Mgmt For For For
8 Elect Director John C. Pope Mgmt For For For
9 Elect Director Fredric G. Reynolds Mgmt For For For
10 Elect Director Irene B. Rosenfeld Mgmt For For For
11 Elect Director J.F. Van Boxmeer Mgmt For For For
12 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
13 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
14 Amend Non-Employee Director Omnibus Stock Plan Mgmt For For For
15 Ratify Auditors Mgmt For For For
Page 36
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
MERCK & CO., INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MRK 24-May-11 USA 58933Y105 Annual 25-Mar-11 63,000 63,000 63,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Leslie A. Brun Mgmt For For For
2 Elect Director Thomas R. Cech Mgmt For For For
3 Elect Director Richard T. Clark Mgmt For For For
4 Elect Director Kenneth C. Frazier Mgmt For For For
5 Elect Director Thomas H. Glocer Mgmt For For For
6 Elect Director Steven F. Goldstone Mgmt For For For
7 Elect Director William B. Harrison. Jr. Mgmt For For For
8 Elect Director Harry R. Jacobson Mgmt For For For
9 Elect Director William N. Kelley Mgmt For For For
10 Elect Director C. Robert Kidder Mgmt For For For
11 Elect Director Rochelle B. Lazarus Mgmt For For For
12 Elect Director Carlos E. Represas Mgmt For For For
13 Elect Director Patricia F. Russo Mgmt For For For
14 Elect Director Thomas E. Shenk Mgmt For For For
15 Elect Director Anne M. Tatlock Mgmt For For For
16 Elect Director Craig B. Thompson Mgmt For For For
17 Elect Director Wendell P. Weeks Mgmt For For For
18 Elect Director Peter C. Wendell Mgmt For For For
19 Ratify Auditors Mgmt For For For
20 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
21 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
MFA FINANCIAL, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
MFA 24-May-11 USA 55272X102 Annual 22-Mar-11 250,000 250,000 250,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Stephen R. Blank Mgmt For For For
1.2 Elect Director William S. Gorin Mgmt For For For
2 Increase Authorized Capital Stock Mgmt For For For
3 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
4 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
5 Ratify Auditors Mgmt For For For
Page 37
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
BLACKROCK, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
BLK 25-May-11 USA 09247X101 Annual 07-Apr-11 19,000 19,000 19,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Murry S. Gerber Mgmt For For For
1.2 Elect Director James Grosfeld Mgmt For For For
1.3 Elect Director Deryck Maughan Mgmt For For For
1.4 Elect Director Thomas K. Montag Mgmt For For For
1.5 Elect Director Linda Gosden Robinson Mgmt For Withhold Withhold
1.6 Elect Director John S. Varley Mgmt For Withhold Withhold
2 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
3 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
4 Ratify Auditors Mgmt For For For
CHEVRON CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
CVX 25-May-11 USA 166764100 Annual 01-Apr-11 40,000 40,000 40,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director L.F. Deily Mgmt For For For
2 Elect Director R.E. Denham Mgmt For For For
3 Elect Director R.J. Eaton Mgmt For For For
4 Elect Director C. Hagel Mgmt For For For
5 Elect Director E. Hernandez Mgmt For For For
6 Elect Director G.L. Kirkland Mgmt For For For
7 Elect Director D.B. Rice Mgmt For For For
8 Elect Director K.W. Sharer Mgmt For For For
9 Elect Director C.R. Shoemate Mgmt For For For
10 Elect Director J.G. Stumpf Mgmt For For For
11 Elect Director R.D. Sugar Mgmt For For For
Page 38
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
12 Elect Director C. Ware Mgmt For For For
13 Elect Director J.S. Watson Mgmt For For For
14 Ratify Auditors Mgmt For For For
15 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
16 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
17 Request Director Nominee with Environmental SH Against For For
Qualifications
18 Amend Bylaws to Establish a Board Committee SH Against Against Against
on Human Rights
19 Include Sustainability as a Performance Measure SH Against Against Against
for Senior Executive Compensation
20 Adopt Guidelines for Country Selection SH Against For For
21 Report on Financial Risks of Climate Change SH Against Against Against
22 Report on Environmental Impacts of Natural SH Against For For
Gas Fracturing
23 Report on Offshore Oil Wells and Spill SH Against Against Against
Mitigation Measures
EXXON MOBIL CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
XOM 25-May-11 USA 30231G102 Annual 06-Apr-11 120,000 120,000 120,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director M.J. Boskin Mgmt For For For
1.2 Elect Director P. Brabeck-Letmathe Mgmt For For For
1.3 Elect Director L.R. Faulkner Mgmt For For For
1.4 Elect Director J.S. Fishman Mgmt For For For
1.5 Elect Director K.C. Frazier Mgmt For For For
1.6 Elect Director W.W. George Mgmt For For For
1.7 Elect Director M.C. Nelson Mgmt For For For
1.8 Elect Director S.J. Palmisano Mgmt For For For
1.9 Elect Director S.S. Reinemund Mgmt For For For
1.10 Elect Director R.W. Tillerson Mgmt For For For
1.11 Elect Director E.E. Whitacre, Jr. Mgmt For For For
2 Ratify Auditors Mgmt For For For
3 Advisory Vote to Ratify Named Executive Officers' Mgmt For Against Against
Compensation
4 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
Page 39
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
5 Require Independent Board Chairman SH Against For For
6 Report on Political Contributions SH Against For For
7 Amend EEO Policy to Prohibit Discrimination based SH Against Against Against
on Sexual Orientation and Gender Identity
8 Adopt Policy on Human Right to Water SH Against Against Against
9 Report on Environmental Impact of Oil Sands SH Against For For
Operations in Canada
10 Report on Environmental Impacts of Natural SH Against For For
Gas Fracturing
11 Report on Energy Technologies Development SH Against Against Against
12 Adopt Quantitative GHG Goals for Products SH Against For For
and Operations
THE SOUTHERN COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
SO 25-May-11 USA 842587107 Annual 28-Mar-11 100,000 100,000 100,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director J. P. Baranco Mgmt For For For
1.2 Elect Director J. A. Boscia Mgmt For For For
1.3 Elect Director H. A. Clark, III Mgmt For For For
1.4 Elect Director T. A. Fanning Mgmt For For For
1.5 Elect Director H.W. Habermeyer, Jr. Mgmt For For For
1.6 Elect Director V.M Hagen Mgmt For For For
1.7 Elect Director W. A. Hood, Jr. Mgmt For For For
1.8 Elect Director D. M. James Mgmt For For For
1.9 Elect Director D. E. Klein Mgmt For For For
1.10 Elect Director J. N. Purcell Mgmt For For For
1.11 Elect Director W. G. Smith, Jr. Mgmt For For For
1.12 Elect Director S. R. Specker Mgmt For For For
1.13 Elect Director L.D. Thompson Mgmt For For For
2 Ratify Auditors Mgmt For For For
3 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
4 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
5 Approve Omnibus Stock Plan Mgmt For For For
6 Report on Coal Combustion Waste Hazard and Risk SH Against For For
Mitigation Efforts
Page 40
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
INVESCO LTD.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
IVZ 26-May-11 Bermuda G491BT108 Annual 28-Mar-11 140,000 140,000 140,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Rex D. Adams Mgmt For For For
1.2 Elect Director John Banham Mgmt For For For
1.3 Elect Director Denis Kessler Mgmt For Against Against
2 Advisory Vote to Ratify Named Executive Officers' Mgmt For Against Against
Compensation
3 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
4 Approve Omnibus Stock Plan Mgmt For For For
5 Ratify Ernst & Young LLP as Auditors Mgmt For For For
LIMITED BRANDS, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
LTD 26-May-11 USA 532716107 Annual 28-Mar-11 100,000 100,000 100,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Donna A. James Mgmt For For For
2 Elect Director Jeffrey H. Miro Mgmt For For For
3 Elect Director Raymond Zimmerman Mgmt For For For
4 Ratify Auditors Mgmt For For For
5 Approve Omnibus Stock Plan Mgmt For For For
6 Approve Executive Incentive Bonus Plan Mgmt For For For
7 Advisory Vote to Ratify Named Executive Officers' Mgmt For Against Against
Compensation
8 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
9 Reduce Supermajority Vote Requirement SH Against For For
Page 41
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
LINCOLN NATIONAL CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
LNC 26-May-11 USA 534187109 Annual 21-Mar-11 120,000 120,000 120,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Dennis R. Glass Mgmt For For For
2 Elect Director Gary C. Kelly Mgmt For For For
3 Elect Director Michael F. Mee Mgmt For For For
4 Ratify Auditors Mgmt For For For
5 Amend Articles of Incorporation Allowing Mgmt For For For
Shareholders to Amend the Bylaws
6 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
7 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
RAYTHEON COMPANY
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
RTN 26-May-11 USA 755111507 Annual 01-Apr-11 40,000 40,000 40,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Vernon E. Clark Mgmt For For For
2 Elect Director John M. Deutch Mgmt For For For
3 Elect Director Stephen J. Hadley Mgmt For For For
4 Elect Director Frederic M. Poses Mgmt For For For
5 Elect Director Michael C. Ruettgers Mgmt For For For
6 Elect Director Ronald L. Skates Mgmt For For For
7 Elect Director William R. Spivey Mgmt For For For
8 Elect Director Linda G. Stuntz Mgmt For Against Against
9 Elect Director William H. Swanson Mgmt For For For
10 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
11 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
12 Ratify Auditors Mgmt For For For
13 Provide Right to Act by Written Consent SH Against For For
14 Stock Retention/Holding Period SH Against For For
15 Report on Lobbying Contributions and Expenses SH Against For For
16 Submit SERP to Shareholder Vote SH Against For For
Page 42
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
NORDIC AMERICAN TANKER SHIPPING LTD.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
NAT 01-Jun-11 Bermuda G65773106 Annual 25-Apr-11 50,000 50,000 50,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Herbjorn Hansson as Director Mgmt For Withhold Withhold
1.2 Elect Sir David Giibbons as Director Mgmt For For For
1.3 Elect Adreas Ove Ugland as Director Mgmt For For For
1.4 Elect Jim Kelly as Director Mgmt For For For
1.5 Elect Jan Erik Langangen as Director Mgmt For Withhold Withhold
1.6 Elect Paul J. Hopkins as Director Mgmt For For For
1.7 Elect Richard H. K. Vietor as Director Mgmt For For For
2 Ratify Deloitte AS as Auditors Mgmt For For For
3 Reduce Supermajority Vote Requirement Mgmt For For For
4 Increase Authorized Common Stock Mgmt For For For
5 Change Company Name to Nordic American Mgmt For For For
Tankers Limited
6 Receive Financial Statements and Statutory Mgmt
Reports (Non-Voting)
7 Transact Other Business (Non-Voting) Mgmt
THE HOME DEPOT, INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
HD 02-Jun-11 USA 437076102 Annual 04-Apr-11 75,000 75,000 75,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director F. Duane Ackerman Mgmt For For For
2 Elect Director Francis S. Blake Mgmt For For For
3 Elect Director Ari Bousbib Mgmt For For For
4 Elect Director Gregory D. Brenneman Mgmt For For For
5 Elect Director J. Frank Brown Mgmt For For For
6 Elect Director Albert P. Carey Mgmt For For For
7 Elect Director Armando Codina Mgmt For For For
8 Elect Director Bonnie G. Hill Mgmt For For For
9 Elect Director Karen L. Katen Mgmt For For For
Page 43
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
10 Elect Director Ronald L. Sargent Mgmt For For For
11 Ratify Auditors Mgmt For For For
12 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
13 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
14 Provide Right to Act by Written Consent Mgmt For For For
15 Restore or Provide for Cumulative Voting SH Against For For
16 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
17 Prepare Employment Diversity Report SH Against For For
18 Adopt Proxy Statement Reporting on Political SH Against Against Against
Contributions and Advisory Vote
CATERPILLAR INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
CAT 08-Jun-11 USA 149123101 Annual 11-Apr-11 40,000 40,000 40,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director David L. Calhoun Mgmt For Withhold Withhold
1.2 Elect Director Daniel M. Dickinson Mgmt For For For
1.3 Elect Director Eugene V. Fife Mgmt For For For
1.4 Elect Director Juan Gallardo Mgmt For For For
1.5 Elect Director David R. Goode Mgmt For For For
1.6 Elect Director Jesse J. Greene, Jr. Mgmt For For For
1.7 Elect Director Peter A. Magowan Mgmt For For For
1.8 Elect Director Dennis A. Muilenburg Mgmt For For For
1.9 Elect Director Douglas R. Oberhelman Mgmt For For For
1.10 Elect Director William A. Osborn Mgmt For For For
1.11 Elect Director Charles D. Powell Mgmt For For For
1.12 Elect Director Edward B. Rust, Jr. Mgmt For For For
1.13 Elect Director Susan C. Schwab Mgmt For For For
1.14 Elect Director Joshua I. Smith Mgmt For For For
1.15 Elect Director Miles D. White Mgmt For For For
2 Ratify Auditors Mgmt For For For
3 Amend Executive Incentive Bonus Plan Mgmt For For For
4 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
Page 44
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
5 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
6 Report on Political Contributions SH Against For For
7 Stock Retention/Holding Period SH Against For For
8 Require a Majority Vote for the Election SH Against For For
of Directors
9 Amend Articles/Bylaws/Charter -- Call SH Against For For
Special Meetings
10 Require Independent Board Chairman SH Against Against Against
11 Review and Assess Human Rights Policies SH Against For For
12 Adopt a Policy in which the Company will SH Against Against Against
not Make or Promise to Make Any Death Benefit
Payments to Senior Executives
TARGET CORPORATION
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
TGT 08-Jun-11 USA 87612E106 Annual 11-Apr-11 70,000 70,000 70,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Roxanne S. Austin Mgmt For For For
2 Elect Director Calvin Darden Mgmt For For For
3 Elect Director Mary N. Dillon Mgmt For For For
4 Elect Director James A. Johnson Mgmt For For For
5 Elect Director Mary E. Minnick Mgmt For For For
6 Elect Director Anne M. Mulcahy Mgmt For For For
7 Elect Director Derica W. Rice Mgmt For For For
8 Elect Director Stephen W. Sanger Mgmt For For For
9 Elect Director Gregg W. Steinhafel Mgmt For For For
10 Elect Director John G. Stumpf Mgmt For For For
11 Elect Director Solomon D. Trujillo Mgmt For For For
12 Ratify Auditors Mgmt For For For
13 Approve Omnibus Stock Plan Mgmt For For For
14 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
15 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year One Year
16 Adopt Compensation Benchmarking Policy SH Against For For
17 Report on Electronics Recycling and Preventing SH Against For For
E-Waste Export
Page 45
VOTE SUMMARY REPORT
Report was run from: 7/1/10 to 6/30/11
SOLAR CAPITAL LTD.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
SLRC 09-Jun-11 USA 83413U100 Annual 14-Apr-11 110,000 110,000 110,000 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1.1 Elect Director Bruce Spohler Mgmt For For For
1.2 Elect Director Steven Hochberg Mgmt For For For
2 Ratify Auditors Mgmt For For For
3 Approve Issuance of Shares for a Private Placement Mgmt For For For
4 Approve Issuance of Warrants/Convertible Debentures Mgmt For Against Against
ANNALY CAPITAL MANAGEMENT INC.
MEETING RECORD SHARES SHARES SHARES SHARES
TICKER MEETING DATE COUNTRY SECURITY ID TYPE DATE VOTED INSTRUCTED AVAILABLE ON LOAN
NLY 23-Jun-11 USA 035710409 Annual 30-Mar-11 103,400 103,400 103,400 0
Vote
Proponent Mgmt Rec ISS Rec Instruction
1 Elect Director Michael A. J. Farrell Mgmt For For For
2 Elect Director Jonathan D. Green Mgmt For Against Against
3 Elect Director John A. Lambiase Mgmt For For For
4 Increase Authorized Capital Stock Mgmt For For For
5 Advisory Vote to Ratify Named Executive Officers' Mgmt For For For
Compensation
6 Advisory Vote on Say on Pay Frequency Mgmt Three Years One Year One Year
7 Ratify Auditors Mgmt For For For
Page 46
SIGNATURES
[See General Instruction F]
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.
(Registrant) FIRST TRUST ENHANCED EQUITY INCOME FUND
---------------------------------------
By (Signature and Title)* /s/ James A. Bowen
-----------------------------------
James A. Bowen, President
Date August 31, 2011
-------------------------
* Print the name and title of each signing officer under his or her signature.