UNITED STATES
SECURTITIES 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: 811-00041
GENERAL AMERICAN INVESTORS COMPANY, INC.
(Exact name of Registrant as specified in charter)
530 Fifth Avenue, 26th Floor
New York, New York 10036
(Address of principal executive offices)
Registrant’s telephone number: 212-916-8400
Date of fiscal year end: December 31
Date of reporting period: July 1, 2017 - June 30, 2018
Proxy Voting Record
Meeting Date Range: 01-Jul-2017 To 30-Jun-2018
All Accounts
Investment Company Report
VODAFONE GROUP PLC | |||
Security | 92857W308 | Meeting Type | Annual |
Ticker Symbol | VOD | Meeting Date | 28-Jul-2017 |
ISIN | US92857W3088 | Agenda | 934649065 - Management |
Item | Proposal | Proposed
by |
Vote | For/Against
Management |
|
1. | TO RECEIVE THE COMPANY’S ACCOUNTS, THE STRATEGIC REPORT AND REPORTS OF THE DIRECTORS AND THE AUDITOR FOR THE YEAR ENDED 31 MARCH 2017 | Management | For | For | |
2. | TO RE-ELECT GERARD KLEISTERLEE AS A DIRECTOR | Management | For | For | |
3. | TO RE-ELECT VITTORIO COLAO AS A DIRECTOR | Management | For | For | |
4. | TO RE-ELECT NICK READ AS A DIRECTOR | Management | For | For | |
5. | TO RE-ELECT SIR CRISPIN DAVIS AS A DIRECTOR | Management | For | For | |
6. | TO RE-ELECT DR MATHIAS DOPFNER AS A DIRECTOR | Management | For | For | |
7. | TO RE-ELECT DAME CLARA FURSE AS A DIRECTOR | Management | For | For | |
8. | TO RE-ELECT VALERIE GOODING AS A DIRECTOR | Management | For | For | |
9. | TO RE-ELECT RENEE JAMES AS A DIRECTOR | Management | For | For | |
10. | TO RE-ELECT SAMUEL JONAH AS A DIRECTOR | Management | For | For | |
11. | TO ELECT MARIA AMPARO MORALEDA MARTINEZ AS A DIRECTOR IN ACCORDANCE WITH THE COMPANY’S ARTICLES | Management | For | For | |
12. | TO RE-ELECT DAVID NISH AS A DIRECTOR | Management | For | For | |
13. | TO DECLARE A FINAL DIVIDEND OF 10.03 EUROCENTS PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2017 | Management | For | For | |
14. | TO APPROVE THE DIRECTORS’ REMUNERATION POLICY CONTAINED IN THE REMUNERATION REPORT OF THE BOARD FOR THE YEAR ENDED 31 MARCH 2017 | Management | For | For | |
15. | TO APPROVE THE ANNUAL REPORT ON REMUNERATION CONTAINED IN THE REMUNERATION REPORT OF THE BOARD FOR THE YEAR ENDED 31 MARCH 2017 | Management | For | For | |
16. | TO REAPPOINT PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S AUDITOR UNTIL THE END OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY | Management | For | For | |
17. | TO AUTHORISE THE AUDIT AND RISK COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITOR | Management | For | For | |
18. | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES | Management | For | For |
Page 1 of 74 | 30-Jun-2018 |
Investment Company Report
19. | TO AUTHORISE THE DIRECTORS TO DIS-APPLY PRE-EMPTION RIGHTS (SPECIAL RESOLUTION) | Management | For | For | |
20. | TO AUTHORISE THE DIRECTORS TO DIS-APPLY PRE-EMPTION RIGHTS UP TO A FURTHER 5 PER CENT FOR THE PURPOSES OF FINANCING AN ACQUISITION OR OTHER CAPITAL INVESTMENT (SPECIAL RESOLUTION) | Management | For | For | |
21. | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN SHARES (SPECIAL RESOLUTION) | Management | For | For | |
22. | TO AUTHORISE POLITICAL DONATIONS AND EXPENDITURE | Management | Against | Against | |
23. | TO AUTHORISE THE COMPANY TO CALL GENERAL MEETINGS (OTHER THAN AGMS) ON 14 CLEAR DAYS’ NOTICE (SPECIAL RESOLUTION) | Management | For | For |
Page 2 of 74 | 30-Jun-2018 |
Investment Company Report
REPROS THERAPEUTICS INC. | |||
Security | 76028H209 | Meeting Type | Annual |
Ticker Symbol | RPRX | Meeting Date | 13-Sep-2017 |
ISIN | US76028H2094 | Agenda | 934667556 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
1. | DIRECTOR | Management | ||||
1 | LARRY M. DILLAHA, M.D. | For | For | |||
2 | DANIEL F. CAIN | For | For | |||
3 | PATRICK FOURTEAU | For | For | |||
4 | NOLA MASTERSON, M.S. | For | For | |||
5 | SAIRA RAMASASTRY | For | For | |||
6 | M.G. WYLLIE, PH.D., DSC | For | For | |||
2. | TO RATIFY AND APPROVE THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR REGISTERED INDEPENDENT PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2017. | Management | For | For | ||
3. |
TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. |
Management | For | For |
Page 3 of 74 | 30-Jun-2018 |
Investment Company Report
DIAGEO PLC | |||
Security | 25243Q205 | Meeting Type | Annual |
Ticker Symbol | DEO | Meeting Date | 20-Sep-2017 |
ISIN | US25243Q2057 | Agenda | 934668382 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | |
1. | REPORT AND ACCOUNTS 2017. | Management | For | For | |
2. | DIRECTORS’ REMUNERATION REPORT 2017. | Management | For | For | |
3. | DIRECTORS’ REMUNERATION POLICY 2017. | Management | For | For | |
4. | DECLARATION OF FINAL DIVIDEND. | Management | For | For | |
5. | RE-ELECTION OF PB BRUZELIUS AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION) | Management | For | For | |
6. | RE-ELECTION OF LORD DAVIES AS A DIRECTOR. (AUDIT, NOMINATION, REMUNERATION & CHAIRMAN OF COMMITTEE) | Management | For | For | |
7. | RE-ELECTION OF J FERRAN AS A DIRECTOR. (NOMINATION & CHAIRMAN OF COMMITTEE) | Management | For | For | |
8. | RE-ELECTION OF HO KWONPING AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION) | Management | For | For | |
9. | RE-ELECTION OF BD HOLDEN AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION) | Management | For | For | |
10. | RE-ELECTION OF NS MENDELSOHN AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION) | Management | For | For | |
11. | RE-ELECTION OF IM MENEZES AS A DIRECTOR. (EXECUTIVE & CHAIRMAN OF COMMITTEE) | Management | For | For | |
12. | RE-ELECTION OF KA MIKELLS AS A DIRECTOR. (EXECUTIVE) | Management | For | For | |
13. | RE-ELECTION OF AJH STEWART AS A DIRECTOR. (AUDIT, CHAIRMAN OF COMMITTEE, NOMINATION & REMUNERATION) | Management | For | For | |
14. | RE-APPOINTMENT OF AUDITOR. | Management | For | For | |
15. | REMUNERATION OF AUDITOR. | Management | For | For | |
16. | AUTHORITY TO ALLOT SHARES. | Management | For | For | |
17. | DISAPPLICATION OF PRE-EMPTION RIGHTS. | Management | For | For | |
18. | AUTHORITY TO PURCHASE OWN ORDINARY SHARES. | Management | For | For | |
19. | AUTHORITY TO MAKE POLITICAL DONATIONS AND/OR TO INCUR POLITICAL EXPENDITURE IN THE EU. | Management | For | For | |
20. | ADOPTION OF THE DIAGEO PLC 2017 SHARE VALUE PLAN. | Management | For | For |
Page 4 of 74 | 30-Jun-2018 |
Investment Company Report
ENSCO PLC | |||
Security | G3157S106 | Meeting Type | Special |
Ticker Symbol | ESV | Meeting Date | 05-Oct-2017 |
ISIN | GB00B4VLR192 | Agenda | 934671303 - Management |
Item | Proposal | Proposed by |
Vote | For/Against
Management |
|
1. | ENSCO MERGER CONSIDERATION PROPOSAL: TO AUTHORIZE, IN ADDITION TO ALL SUBSISTING AUTHORITIES, THE ALLOTMENT AND ISSUANCE OF ENSCO CLASS A ORDINARY SHARES, TO SHAREHOLDERS OF ATWOOD OCEANICS, INC. (“ATWOOD”), PURSUANT TO THE AGREEMENT AND PLAN OF MERGER, DATED AS OF MAY 29, 2017, BY AND AMONG ENSCO, ECHO MERGER SUB LLC, A WHOLLY OWNED SUBSIDIARY OF ENSCO (“MERGER SUB”), AND ATWOOD, AS SUCH AGREEMENT MAY BE AMENDED FROM TIME TO TIME, WHICH PROVIDES FOR, AMONG OTHER THINGS, THE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | Management | For | For | |
2. | ENSCO GENERAL ALLOTMENT AUTHORITY INCREASE PROPOSAL: TO AUTHORIZE, IN ADDITION TO ALL SUBSISTING AUTHORITIES, THE ALLOTMENT AND ISSUANCE UP TO A NOMINAL AMOUNT OF ENSCO CLASS A ORDINARY SHARES, WHICH, TOGETHER WITH THE NOMINAL AMOUNT OF SHARES OF ENSCO AUTHORIZED TO BE ALLOTTED AND ISSUED PURSUANT TO PARAGRAPH (A) OF RESOLUTION 11 PASSED AT THE ANNUAL GENERAL MEETING OF ENSCO SHAREHOLDERS HELD ON MAY 22, 2017 (THE “ENSCO 2017 ANNUAL GENERAL MEETING”) AND UNUSED AS OF THE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | Management | For | For | |
3. | ENSCO GENERAL DISAPPLICATION OF PRE-EMPTIVE RIGHTS PROPOSAL: TO AUTHORIZE, IN ADDITION TO ALL SUBSISTING AUTHORITIES, THE ALLOTMENT AND ISSUANCE UP TO A NOMINAL AMOUNT OF ENSCO CLASS A ORDINARY SHARES FOR CASH ON A NON-PRE-EMPTIVE BASIS, WHICH, TOGETHER WITH THE NOMINAL AMOUNT OF SHARES IN ENSCO AUTHORIZED TO BE ALLOTTED AND ISSUED FOR CASH ON A NON-PRE-EMPTIVE BASIS PURSUANT TO RESOLUTION 12 PASSED AT THE ENSCO 2017 ANNUAL GENERAL MEETING AND UNUSED AS OF THE DATE OF THE PROXY ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | Management | For | For |
Page 5 of 74 | 30-Jun-2018 |
Investment Company Report
4. | ENSCO SPECIFIED DISAPPLICATION OF PRE-EMPTIVE RIGHTS PROPOSAL: TO AUTHORIZE, IN ADDITION TO ALL SUBSISTING AUTHORITIES, THE ALLOTMENT AND ISSUANCE UP TO A NOMINAL AMOUNT OF ENSCO CLASS A ORDINARY SHARES FOR CASH ON A NON-PRE-EMPTIVE BASIS, WHICH, TOGETHER WITH THE NOMINAL AMOUNT OF SHARES IN ENSCO AUTHORIZED TO BE ALLOTTED AND ISSUED FOR CASH ON A NON-PRE-EMPTIVE BASIS PURSUANT TO RESOLUTION 13 PASSED AT THE ENSCO 2017 ANNUAL GENERAL MEETING AND UNUSED AS OF THE DATE OF THE PROXY ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | Management | For | For |
Page 6 of 74 | 30-Jun-2018 |
Investment Company Report
METLIFE, INC. | |||
Security | 59156R108 | Meeting Type | Special |
Ticker Symbol | MET | Meeting Date | 19-Oct-2017 |
ISIN | US59156R1086 | Agenda | 934679602 - Management |
Item | Proposal | Proposed by |
Vote | For/Against
Management |
|
1. | AMEND THE PREFERRED STOCK DIVIDEND PAYMENT TESTS IN THE COMPANY’S CERTIFICATE OF INCORPORATION. | Management | For | For | |
2. | ADJOURN THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES. | Management | For | For |
Page 7 of 74 | 30-Jun-2018 |
Investment Company Report
ORACLE CORPORATION | |||
Security | 68389X105 | Meeting Type | Annual |
Ticker Symbol | ORCL | Meeting Date | 15-Nov-2017 |
ISIN | US68389X1054 | Agenda | 934681671 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | ||
1. | DIRECTOR | Management | ||||
1 | JEFFREY S. BERG | For | For | |||
2 | MICHAEL J. BOSKIN | For | For | |||
3 | SAFRA A. CATZ | For | For | |||
4 | BRUCE R. CHIZEN | For | For | |||
5 | GEORGE H. CONRADES | For | For | |||
6 | LAWRENCE J. ELLISON | For | For | |||
7 | HECTOR GARCIA-MOLINA | For | For | |||
8 | JEFFREY O. HENLEY | For | For | |||
9 | MARK V. HURD | For | For | |||
10 | RENEE J. JAMES | For | For | |||
11 | LEON E. PANETTA | For | For | |||
12 | NAOMI O. SELIGMAN | For | For | |||
2. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | Management | For | For | ||
3. | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF NAMED EXECUTIVE OFFICERS. | Management | 1 Year | For | ||
4. | APPROVAL OF THE ORACLE CORPORATION AMENDED AND RESTATED 2000 LONG- TERM EQUITY INCENTIVE PLAN. | Management | For | For | ||
5. | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2018. | Management | For | For | ||
6. | STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS REPORT. | Shareholder | Against | For | ||
7. | STOCKHOLDER PROPOSAL REGARDING PAY EQUITY REPORT. | Shareholder | Against | For | ||
8. | STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS REFORM. | Shareholder | Against | For |
Page 8 of 74 | 30-Jun-2018 |
Investment Company Report
MICROSOFT CORPORATION | |||
Security | 594918104 | Meeting Type | Annual |
Ticker Symbol | MSFT | Meeting Date | 29-Nov-2017 |
ISIN | US5949181045 | Agenda | 934689514 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | |
1A. | ELECTION OF DIRECTOR: WILLIAM H. GATES III | Management | For | For | |
1B. | ELECTION OF DIRECTOR: REID G. HOFFMAN | Management | For | For | |
1C. | ELECTION OF DIRECTOR: HUGH F. JOHNSTON | Management | For | For | |
1D. | ELECTION OF DIRECTOR: TERI L. LIST-STOLL | Management | For | For | |
1E. | ELECTION OF DIRECTOR: SATYA NADELLA | Management | For | For | |
1F. | ELECTION OF DIRECTOR: CHARLES H. NOSKI | Management | For | For | |
1G. | ELECTION OF DIRECTOR: HELMUT PANKE | Management | For | For | |
1H. | ELECTION OF DIRECTOR: SANDRA E. PETERSON | Management | For | For | |
1I. | ELECTION OF DIRECTOR: PENNY S. PRITZKER | Management | For | For | |
1J. | ELECTION OF DIRECTOR: CHARLES W. SCHARF | Management | For | For | |
1K. | ELECTION OF DIRECTOR: ARNE M. SORENSON | Management | For | For | |
1L. | ELECTION OF DIRECTOR: JOHN W. STANTON | Management | For | For | |
1M. | ELECTION OF DIRECTOR: JOHN W. THOMPSON | Management | For | For | |
1N. | ELECTION OF DIRECTOR: PADMASREE WARRIOR | Management | For | For | |
2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | |
3. | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES TO APPROVE EXECUTIVE COMPENSATION | Management | 1 Year | For | |
4. | RATIFICATION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT AUDITOR FOR FISCAL YEAR 2018 | Management | For | For | |
5. | APPROVAL OF MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE EXECUTIVE INCENTIVE PLAN | Management | For | For | |
6. | APPROVAL OF THE MICROSOFT CORPORATION 2017 STOCK PLAN | Management | For | For |
Page 9 of 74 | 30-Jun-2018 |
Investment Company Report
CISCO SYSTEMS, INC. | |||
Security | 17275R102 | Meeting Type | Annual |
Ticker Symbol | CSCO | Meeting Date | 11-Dec-2017 |
ISIN | US17275R1023 | Agenda | 934694147 - Management |
Item | Proposal | Proposed by | Vote | For/Against Management | |
1A. | ELECTION OF DIRECTOR: CAROL A. BARTZ | Management | For | For | |
1B. | ELECTION OF DIRECTOR: M. MICHELE BURNS | Management | For | For | |
1C. | ELECTION OF DIRECTOR: MICHAEL D. CAPELLAS | Management | For | For | |
1D. | ELECTION OF DIRECTOR: AMY L. CHANG | Management | For | For | |
1E. | ELECTION OF DIRECTOR: DR. JOHN L. HENNESSY | Management | For | For | |
1F. | ELECTION OF DIRECTOR: DR. KRISTINA M. JOHNSON | Management | For | For | |
1G. | ELECTION OF DIRECTOR: RODERICK C. MCGEARY | Management | For | For | |
1H. | ELECTION OF DIRECTOR: CHARLES H. ROBBINS | Management | For | For | |
1I. | ELECTION OF DIRECTOR: ARUN SARIN | Management | For | For | |
1J. | ELECTION OF DIRECTOR: BRENTON L. SAUNDERS | Management | For | For | |
1K. | ELECTION OF DIRECTOR: STEVEN M. WEST | Management | For | For | |
2. | APPROVAL OF AMENDMENT AND RESTATEMENT OF THE 2005 STOCK INCENTIVE PLAN. | Management | For | For | |
3. | APPROVAL OF AMENDMENT AND RESTATEMENT OF THE EXECUTIVE INCENTIVE PLAN. | Management | For | For | |
4. | APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION. | Management | For | For | |
5. | RECOMMENDATION, ON AN ADVISORY BASIS, ON THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. | Management | 1 Year | For | |
6. | RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS CISCO’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2018. | Management | For | For | |
7. | APPROVAL TO REQUEST AN ANNUAL REPORT RELATING TO CISCO’S LOBBYING POLICIES, PROCEDURES AND ACTIVITIES. | Shareholder | Against | For |
Page 10 of 74 | 30-Jun-2018 |
Investment Company Report
COSTCO WHOLESALE CORPORATION | |||
Security | 22160K105 | Meeting Type | Annual |
Ticker Symbol | COST | Meeting Date | 30-Jan-2018 |
ISIN | US22160K1051 | Agenda | 934711448 - Management |
Item | Proposal | Proposed by | Vote | For/Against Management | ||
1. | DIRECTOR | Management | ||||
1 | KENNETH D. DENMAN | For | For | |||
2 | W. CRAIG JELINEK | For | For | |||
3 | JEFFREY S. RAIKES | For | For | |||
2. | RATIFICATION OF SELECTION OF INDEPENDENT AUDITORS. | Management | For | For | ||
3. | APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION. | Management | For | For | ||
4. | SHAREHOLDER PROPOSAL REGARDING SIMPLE MAJORITY VOTE. | Shareholder | Against | For | ||
5. | SHAREHOLDER PROPOSAL REGARDING PRISON LABOR. | Shareholder | Against | For |
Page 11 of 74 | 30-Jun-2018 |
Investment Company Report
QURATE RETAIL, INC. | |||
Security | 53071M856 | Meeting Type | Special |
Ticker Symbol | LVNTA | Meeting Date | 02-Feb-2018 |
ISIN | US53071M8560 | Agenda | 934717286 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | |
1. | A proposal to approve the redemption by Liberty Interactive Corporation of each share of Series A Liberty Ventures common stock and Series B Liberty Ventures common stock in exchange for one share of GCI Liberty, Inc. Class A Common Stock and GCI Liberty, Inc. Class B Common Stock, respectively, following the ...(due to space limits, see proxy statement for full proposal). | Management | For | For | |
2. | A proposal to authorize the adjournment of the special meeting by Liberty Interactive Corporation to permit further solicitation of proxies, if necessary or appropriate, if sufficient votes are not represented at the special meeting to approve the other proposal to be presented at the special meeting. | Management | For | For |
Page 12 of 74 | 30-Jun-2018 |
Investment Company Report
APPLE INC. | |||
Security | 037833100 | Meeting Type | Annual |
Ticker Symbol | AAPL | Meeting Date | 13-Feb-2018 |
ISIN | US0378331005 | Agenda | 934716068 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | |
1a. | Election of director: James Bell | Management | For | For | |
1b. | Election of director: Tim Cook | Management | For | For | |
1c. | Election of director: Al Gore | Management | For | For | |
1d. | Election of director: Bob Iger | Management | For | For | |
1e. | Election of director: Andrea Jung | Management | For | For | |
1f. | Election of director: Art Levinson | Management | For | For | |
1g. | Election of director: Ron Sugar | Management | For | For | |
1h. | Election of director: Sue Wagner | Management | For | For | |
2. | Ratification of the appointment of Ernst & Young LLP as Apple’s independent registered public accounting firm for 2018 | Management | For | For | |
3. | Advisory vote to approve executive compensation | Management | For | For | |
4. | Approval of the amended and restated Apple Inc. Non-Employee Director Stock Plan | Management | For | For | |
5. | A shareholder proposal entitled “Shareholder Proxy Access Amendments” | Shareholder | Against | For | |
6. | A shareholder proposal entitled “Human Rights Committee” | Shareholder | Against | For |
Page 13 of 74 | 30-Jun-2018 |
Investment Company Report
JOHNSON CONTROLS INTERNATIONAL PLC | |||
Security | G51502105 | Meeting Type | Annual |
Ticker Symbol | JCI | Meeting Date | 07-Mar-2018 |
ISIN | IE00BY7QL619 | Agenda | 934721211 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | |
1A. | Election of director: Michael E. Daniels | Management | For | For | |
1B. | Election of director: W. Roy Dunbar | Management | For | For | |
1C. | Election of director: Brian Duperreault | Management | For | For | |
1D. | Election of director: Gretchen R. Haggerty | Management | For | For | |
1E. | Election of director: Simone Menne | Management | For | For | |
1F. | Election of director: George R. Oliver | Management | For | For | |
1G. | Election of director: Juan Pablo del Valle Perochena | Management | For | For | |
1H. | Election of director: Jurgen Tinggren | Management | For | For | |
1I. | Election of director: Mark Vergnano | Management | For | For | |
1J. | Election of director: R. David Yost | Management | For | For | |
1K. | Election of director: John D. Young | Management | For | For | |
2.A | To ratify the appointment of PricewaterhouseCoopers LLP as the independent auditors of the Company. | Management | For | For | |
2.B | To authorize the Audit Committee of the Board of Directors to set the auditors’ remuneration. | Management | For | For | |
3. | To authorize the Company and/or any subsidiary of the Company to make market purchases of Company shares. | Management | For | For | |
4. | To determine the price range at which the Company can re-allot shares that it holds as treasury shares (Special Resolution). | Management | For | For | |
5. | To approve, in a non-binding advisory vote, the compensation of the named executive officers. | Management | For | For | |
6. | To approve the Directors’ authority to allot shares up to approximately 33% of issued share capital. | Management | For | For | |
7. | To approve the waiver of statutory pre-emption rights with respect to up to 5% of issued share capital (Special Resolution). | Management | For | For | |
8.A | To approve the reduction of Company capital (Special Resolution). | Management | For | For | |
8.B | To approve a clarifying amendment to the Company’s Articles of Association to facilitate the capital reduction (Special Resolution). | Management | For | For |
Page 14 of 74 | 30-Jun-2018 |
Investment Company Report
APPLIED MATERIALS, INC. | |||
Security | 038222105 | Meeting Type | Annual |
Ticker Symbol | AMAT | Meeting Date | 08-Mar-2018 |
ISIN | US0382221051 | Agenda | 934722302 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | |
1A. | Election of Director: Judy Bruner | Management | For | For | |
1B. | Election of Director: Xun (Eric) Chen | Management | For | For | |
1C. | Election of Director: Aart J. de Geus | Management | For | For | |
1D. | Election of Director: Gary E. Dickerson | Management | For | For | |
1E. | Election of Director: Stephen R. Forrest | Management | For | For | |
1F. | Election of Director: Thomas J. Iannotti | Management | For | For | |
1G. | Election of Director: Alexander A. Karsner | Management | For | For | |
1H. | Election of Director: Adrianna C. Ma | Management | For | For | |
1I. | Election of Director: Scott A. McGregor | Management | For | For | |
1J. | Election of Director: Dennis D. Powell | Management | For | For | |
2. | Approval, on an advisory basis, of the compensation of Applied Materials’ named executive officers for fiscal year 2017. | Management | For | For | |
3. | Ratification of the appointment of KPMG LLP as independent registered public accounting firm for fiscal year 2018. | Management | For | For | |
4. | Shareholder proposal to provide for right to act by written consent. | Shareholder | Against | For | |
5 | Shareholder proposal for annual disclosure of EEO-1 data. | Shareholder | Against | For |
Page 15 of 74 | 30-Jun-2018 |
Investment Company Report
KEYSIGHT TECHNOLOGIES, INC. | |||
Security | 49338L103 | Meeting Type | Annual |
Ticker Symbol | KEYS | Meeting Date | 22-Mar-2018 |
ISIN | US49338L1035 | Agenda | 934725574 - Management |
Item | Proposal | Proposed by |
Vote | For/Against
Management |
|
1.1 | Election of Director: Ronald S. Nersesian | Management | For | For | |
1.2 | Election of Director: Charles J. Dockendorff | Management | For | For | |
1.3 | Election of Director: Robert A. Rango | Management | For | For | |
2. | To approve the Amendment and Restatement of the 2014 Equity and Incentive Compensation Plan. | Management | For | For | |
3. | To ratify the Audit and Finance Committee’s appointment of PricewaterhouseCoopers LLP as Keysight’s independent public accounting firm. | Management | For | For | |
4. | To approve, on an advisory basis, the compensation of Keysight’s named executive officers. | Management | For | For |
Page 16 of 74 | 30-Jun-2018 |
Investment Company Report
BROADCOM LIMITED | |||
Security | Y09827109 | Meeting Type | Special |
Ticker Symbol | AVGO | Meeting Date | 23-Mar-2018 |
ISIN | SG9999014823 | Agenda | 934741148 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | |
1. | To approve the scheme of arrangement under Singapore law among Broadcom, the shareholders of Broadcom and Broadcom Limited, a Delaware corporation, subject to approval of the High Court of the Republic of Singapore, as set forth in Broadcom’s notice of, and proxy statement relating to, its Special Meeting. | Management | For | For |
Page 17 of 74 | 30-Jun-2018 |
Investment Company Report
QUALCOMM INCORPORATED | |||
Security | 747525103 | Meeting Type | Contested-Annual |
Ticker Symbol | QCOM | Meeting Date | 23-Mar-2018 |
ISIN | US7475251036 | Agenda | 934718632 - Opposition |
Item | Proposal | Proposed by |
Vote | For/Against Management | ||
1. | DIRECTOR | Management | ||||
1 | Samih Elhage | For | For | |||
2 | Raul J. Fernandez | For | For | |||
3 | Michael S. Geltzeiler | For | For | |||
4 | Stephen J. Girsky | For | For | |||
5 | David G. Golden | For | For | |||
6 | Veronica M. Hagen | For | For | |||
7 | Julie A. Hill | For | For | |||
8 | John H. Kispert | For | For | |||
9 | Gregorio Reyes | For | For | |||
10 | Thomas S. Volpe | For | For | |||
11 | Harry L. You | For | For | |||
2. | To approve Broadcom’s proposal to amend Qualcomm’s Bylaws to undo any amendment to the Bylaws adopted without stockholder approval up to and including the date of the Annual Meeting that changes the Bylaws in any way from the version that was publicly filed with the Securities and Exchange Commission on July 15, 2016. | Management | Against | Against | ||
3. | To ratify the selection of PricewaterhouseCoopers LLP as Qualcomm’s independent public accountants for the fiscal year ending September 30, 2018 | Management | For | For | ||
4. | To approve, on a advisory basis, compensation paid to Qualcomm’s named executive officers. | Management | For | |||
5. | To approve an amendment to Qualcomm’s 2001 Employee Stock Purchase Plan. | Management | For | |||
6. | To approve an amendment to Qualcomm’s Restated Certificate of Incorporation, as amended (the “Certificate of Incorporation”) to eliminate certain supermajority provisions relating to removal of directors | Management | For | For | ||
7. | To approve an amendment to the Certificate of Incorporation to eliminate certain Supermajority provisions relating to amendments and obsolete provisions. | Management | For | For | ||
8. | To approve an amendment to the certificate of incorporation to eliminate provisions requiring a supermajority vote for certain transactions with interested stockholders. | Management | For | For |
Page 18 of 74 | 30-Jun-2018 |
Investment Company Report
QUALCOMM INCORPORATED | |||
Security | 747525103 | Meeting Type | Contested-Annual |
Ticker Symbol | QCOM | Meeting Date | 23-Mar-2018 |
ISIN | US7475251036 | Agenda | 934719329 - Management |
Item | Proposal | Proposed
by |
Vote | For/Against Management | ||
1 | DIRECTOR | Management | ||||
1 | Barbara T. Alexander | Withheld | Against | |||
2 | Jeffrey W. Henderson | Withheld | Against | |||
3 | Thomas W. Horton | Withheld | Against | |||
4 | Paul E. Jacobs | Withheld | Against | |||
5 | Ann M. Livermore | Withheld | Against | |||
6 | Harish Manwani | Withheld | Against | |||
7 | Mark D. McLaughlin | Withheld | Against | |||
8 | Steve Mollenkopf | Withheld | Against | |||
9 | Clark T. Randt, Jr. | Withheld | Against | |||
10 | Francisco Ros | Withheld | Against | |||
11 | Anthony J. Vinciquerra | Withheld | Against | |||
2 | To ratify the selection of PricewaterhouseCoopers LLP as our independent public accountants. | Management | Against | Against | ||
3 | To approve, on an advisory basis, our executive compensation. | Management | Against | Against | ||
4 | To approve an amendment to the Amended and Restated QUALCOMM Incorporated 2001 Employee Stock Purchase Plan, as amended, to increase the share reserve by 30,000,000 shares. | Management | Against | Against | ||
5 | To approve an amendment to the Company’s Restated Certificate of Incorporation, as amended, to eliminate certain supermajority voting provisions relating to removal of directors. | Management | Against | Against | ||
6 | To approve an amendment to the Company’s Restated Certificate of Incorporation, as amended, to eliminate certain supermajority voting provisions relating to amendments and obsolete provisions. | Management | Against | Against | ||
7 | To approve an amendment to the Company’s Restated Certificate of Incorporation, as amended, to eliminate provisions requiring a supermajority vote for certain transactions with interested stockholders. | Management | Against | Against | ||
8 | To vote on a stockholder proposal to undo amendments to the Company’s Amended and Restated Bylaws adopted without stockholder approval. | Shareholder | For | Against |
Page 19 of 74 | 30-Jun-2018 |
Investment Company Report
QUALCOMM INCORPORATED | |||
Security | 747525103 | Meeting Type | Contested-Annual |
Ticker Symbol | QCOM | Meeting Date | 23-Mar-2018 |
ISIN | US7475251036 | Agenda | 934728188 - Opposition |
Item | Proposal | Proposed
by |
Vote | For/Against Management | ||
1 | DIRECTOR | Management | ||||
1 | Samih Elhage | For | For | |||
2 | David G. Golden | For | For | |||
3 | Veronica M. Hagen | For | For | |||
4 | Julie A. Hill | For | For | |||
5 | John H. Kispert | For | For | |||
6 | Harry L. You | For | For | |||
2 | To approve Broadcom’s proposal to amend Qualcomm’s Bylaws to undo any amendment to the Bylaws adopted without stockholder approval up to and including the date of the Annual Meeting that changes the Bylaws in any way from the version that was publicly filed with the Securities and Exchange Commission on July 15, 2016. | Management | For | For | ||
3 | To ratify the selection of PricewaterhouseCoopers LLP as Qualcomm’s independent public accountants for the fiscal year ending September 30, 2018 | Management | For | For | ||
4 | To approve, on a advisory basis, compensation paid to Qualcomm’s named executive officers. | Management | Abstain | |||
5 | To approve an amendment to Qualcomm’s 2001 Employee Stock Purchase Plan. | Management | Abstain | |||
6 | To approve an amendment to Qualcomm’s Restated Certificate of Incorporation, as amended (the “Certificate of Incorporation”) to eliminate certain supermajority provisions relating to removal of directors | Management | For | For | ||
7 | To approve an amendment to the Certificate of Incorporation to eliminate certain Supermajority provisions relating to amendments and obsolete provisions. | Management | For | For | ||
8 | To approve an amendment to the Certificate of Incorporation to eliminate provisions requiring a supermajority vote for certain transactions with interested stockholders. | Management | For | For |
Page 20 of 74 | 30-Jun-2018 |
Investment Company Report
BROADCOM LIMITED | |||
Security | Y09827109 | Meeting Type | Annual |
Ticker Symbol | AVGO | Meeting Date | 04-Apr-2018 |
ISIN | SG9999014823 | Agenda | 934729370 - Management |
Item | Proposal | Proposed by | Vote | For/Against Management | |
1A. | Election of Director: Mr. Hock E. Tan | Management | For | For | |
1B. | Election of Director: Mr. James V. Diller | Management | For | For | |
1C. | Election of Director: Ms. Gayla J. Delly | Management | For | For | |
1D. | Election of Director: Mr. Lewis C. Eggebrecht | Management | For | For | |
1E. | Election of Director: Mr. Kenneth Y. Hao | Management | For | For | |
1F. | Election of Director: Mr. Eddy W. Hartenstein | Management | For | For | |
1G. | Election of Director: Mr. Check Kian Low | Management | For | For | |
1H. | Election of Director: Mr. Donald Macleod | Management | For | For | |
1I. | Election of Director: Mr. Peter J. Marks | Management | For | For | |
1J. | Election of Director: Dr. Henry Samueli | Management | For | For | |
2. | To approve the re-appointment of PricewaterhouseCoopers LLP as Broadcom’s independent registered public accounting firm and independent Singapore auditor for the fiscal year ending November 4, 2018 and to authorize the Audit Committee to fix its remuneration, as set forth in Broadcom’s notice of, and proxy statement relating to, its 2018 Annual General Meeting. | Management | For | For | |
3. | To approve the general authorization for the directors of Broadcom to allot and issue shares in its capital, as set forth in Broadcom’s notice of, and proxy statement relating to, its 2018 Annual General Meeting. | Management | For | For | |
4. | NON-BINDING, ADVISORY VOTE To approve the compensation of Broadcom’s named executive officers, as disclosed in “Compensation Discussion and Analysis” and in the compensation tables and accompanying narrative disclosure under “Executive Compensation” in Broadcom’s proxy statement relating to its 2018 Annual General Meeting. | Management | For | For |
Page 21 of 74 | 30-Jun-2018 |
Investment Company Report
THE GOODYEAR TIRE & RUBBER COMPANY | |||
Security | 382550101 | Meeting Type | Annual |
Ticker Symbol | GT | Meeting Date | 09-Apr-2018 |
ISIN | US3825501014 | Agenda | 934737769 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management | |
1a) | Election of Director: James A. Firestone | Management | For | For | |
1b) | Election of Director: Werner Geissler | Management | For | For | |
1c) | Election of Director: Peter S. Hellman | Management | For | For | |
1d) | Election of Director: Laurette T. Koellner | Management | For | For | |
1e) | Election of Director: Richard J. Kramer | Management | For | For | |
1f) | Election of Director: W. Alan McCollough | Management | For | For | |
1g) | Election of Director: John E. McGlade | Management | For | For | |
1h) | Election of Director: Michael J. Morell | Management | For | For | |
1i) | Election of Director: Roderick A. Palmore | Management | For | For | |
1j) | Election of Director: Stephanie A. Streeter | Management | For | For | |
1k) | Election of Director: Thomas H. Weidemeyer | Management | For | For | |
1l) | Election of Director: Michael R. Wessel | Management | For | For | |
2. | Advisory vote to approve executive compensation. | Management | For | For | |
3. | Ratification of appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm. | Management | For | For |
Page 22 of 74 | 30-Jun-2018 |
Investment Company Report
M&T BANK CORPORATION | |||
Security | 55261F104 | Meeting Type | Annual |
Ticker Symbol | MTB | Meeting Date | 17-Apr-2018 |
ISIN | US55261F1049 | Agenda | 934739270 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
1. | DIRECTOR | Management | ||||
1 | Brent D. Baird | For | For | |||
2 | C. Angela Bontempo | For | For | |||
3 | Robert T. Brady | For | For | |||
4 | T.J. Cunningham III | For | For | |||
5 | Gary N. Geisel | For | For | |||
6 | Richard S. Gold | For | For | |||
7 | Richard A. Grossi | For | For | |||
8 | John D. Hawke, Jr. | For | For | |||
9 | Rene F. Jones | For | For | |||
10 | Richard H. Ledgett, Jr. | For | For | |||
11 | Newton P.S. Merrill | For | For | |||
12 | Melinda R. Rich | For | For | |||
13 | Robert E. Sadler, Jr. | For | For | |||
14 | Denis J. Salamone | For | For | |||
15 | John R. Scannell | For | For | |||
16 | David S. Scharfstein | For | For | |||
17 | Herbert L. Washington | For | For | |||
2. | TO APPROVE THE COMPENSATION OF M&T BANK CORPORATION’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||
3. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF M&T BANK CORPORATION FOR THE YEAR ENDING DECEMBER 31, 2018. | Management | For | For |
Page 23 of 74 | 30-Jul-2018 |
Investment Company Report
ASML HOLDINGS N.V. | |||
Security | N07059210 | Meeting Type | Annual |
Ticker Symbol | ASML | Meeting Date | 25-Apr-2018 |
ISIN | USN070592100 | Agenda | 934746655 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
4b | Proposal to adopt the financial statements of the Company for the financial year 2017, as prepared in accordance with Dutch law | Management | For | For | |
4d | Proposal to adopt a dividend of EUR 1.40 per ordinary share | Management | For | For | |
5a | Proposal to discharge the members of the Board of Management from liability for their responsibilities in the financial year 2017 | Management | For | For | |
5b | Proposal to discharge the members of the Supervisory Board from liability for their responsibilities in the financial year 2017 | Management | For | For | |
6 | Proposal to approve the number of shares for the Board of Management | Management | For | For | |
8a | Proposal to reappoint Mr. J.M.C. (Hans) Stork as member of the Supervisory Board | Management | For | For | |
8b | Proposal to appoint Ms. T.L. (Terri) Kelly as member of the Supervisory Board | Management | For | For | |
9 | Proposal to appoint KPMG Accountants N.V. as external auditor for the reporting year 2019 | Management | For | For | |
10a | Authorization to issue ordinary shares or grant rights to subscribe for ordinary shares up to 5% for general purposes | Management | For | For | |
10b | Authorization of the Board of Management to restrict or exclude pre-emption rights in connection with agenda item 10a. | Management | For | For | |
10c | Authorization to issue ordinary shares or grant rights to subscribe for ordinary shares up to 5% in connection with or on the occasion of mergers, acquisitions and/or (strategic) alliances | Management | For | For | |
10d | Authorization of the Board of Management to restrict or exclude pre-emption rights in connection with agenda item 10c. | Management | For | For | |
11a | Authorization to repurchase ordinary shares up to 10% of the issued share capital | Management | For | For | |
11b | Authorization to repurchase additional ordinary shares up to 10% of the issued share capital | Management | For | For | |
12 | Proposal to cancel ordinary shares | Management | For | For |
Page 24 of 74 | 30-Jul-2018 |
Investment Company Report
ASML HOLDINGS N.V. | |||
Security | N07059210 | Meeting Type | Annual |
Ticker Symbol | ASML | Meeting Date | 25-Apr-2018 |
ISIN | USN070592100 | Agenda | 934770783 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
4b | Proposal to adopt the financial statements of the Company for the financial year 2017, as prepared in accordance with Dutch law | Management | For | For | |
4d | Proposal to adopt a dividend of EUR 1.40 per ordinary share | Management | For | For | |
5a | Proposal to discharge the members of the Board of Management from liability for their responsibilities in the financial year 2017 | Management | For | For | |
5b | Proposal to discharge the members of the Supervisory Board from liability for their responsibilities in the financial year 2017 | Management | For | For | |
6 | Proposal to approve the number of shares for the Board of Management | Management | For | For | |
8a | Proposal to reappoint Mr. J.M.C. (Hans) Stork as member of the Supervisory Board | Management | For | For | |
8b | Proposal to appoint Ms. T.L. (Terri) Kelly as member of the Supervisory Board | Management | For | For | |
9 | Proposal to appoint KPMG Accountants N.V. as external auditor for the reporting year 2019 | Management | For | For | |
10a | Authorization to issue ordinary shares or grant rights to subscribe for ordinary shares up to 5% for general purposes | Management | For | For | |
10b | Authorization of the Board of Management to restrict or exclude pre-emption rights in connection with agenda item 10a. | Management | For | For | |
10c | Authorization to issue ordinary shares or grant rights to subscribe for ordinary shares up to 5% in connection with or on the occasion of mergers, acquisitions and/or (strategic) alliances | Management | For | For | |
10d | Authorization of the Board of Management to restrict or exclude pre-emption rights in connection with agenda item 10c. | Management | For | For | |
11a | Authorization to repurchase ordinary shares up to 10% of the issued share capital | Management | For | For | |
11b | Authorization to repurchase additional ordinary shares up to 10% of the issued share capital | Management | For | For | |
12 | Proposal to cancel ordinary shares | Management | For | For |
Page 25 of 74 | 30-Jul-2018 |
Investment Company Report
CHARTER COMMUNICATIONS, INC. | |||
Security | 16119P108 | Meeting Type | Annual |
Ticker Symbol | CHTR | Meeting Date | 25-Apr-2018 |
ISIN | US16119P1084 | Agenda | 934740843 - Management |
Item | Proposal | Proposed
by |
Vote | For/Against
Management |
|
1a. | Election of Director: W. Lance Conn | Management | For | For | |
1b. | Election of Director: Kim C. Goodman | Management | For | For | |
1c. | Election of Director: Craig A. Jacobson | Management | For | For | |
1d. | Election of Director: Gregory B. Maffei | Management | For | For | |
1e. | Election of Director: John C. Malone | Management | For | For | |
1f. | Election of Director: John D. Markley, Jr. | Management | For | For | |
1g. | Election of Director: David C. Merritt | Management | For | For | |
1h. | Election of Director: Steven A. Miron | Management | For | For | |
1i. | Election of Director: Balan Nair | Management | For | For | |
1j. | Election of Director: Michael A. Newhouse | Management | For | For | |
1k. | Election of Director: Mauricio Ramos | Management | For | For | |
1l. | Election of Director: Thomas M. Rutledge | Management | For | For | |
1m. | Election of Director: Eric L. Zinterhofer | Management | For | For | |
2. | The ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the year ended December 31, 2018 | Management | For | For | |
3. | Stockholder proposal regarding proxy access | Shareholder | Against | For | |
4. | Stockholder proposal regarding lobbying activities | Shareholder | Against | For | |
5. | Stockholder proposal regarding vesting of equity awards | Shareholder | Against | For | |
6. | Stockholder proposal regarding our Chairman of the Board and CEO roles | Shareholder | Against | For |
Page 26 of 74 | 30-Jul-2018 |
Investment Company Report
EATON CORPORATION PLC | |||
Security | G29183103 | Meeting Type | Annual |
Ticker Symbol | ETN | Meeting Date | 25-Apr-2018 |
ISIN | IE00B8KQN827 | Agenda | 934739080 - Management |
Item | Proposal | Proposed
by |
Vote | For/Against
Management |
|
1a. | Election of Director: Craig Arnold | Management | For | For | |
1b. | Election of Director: Todd M. Bluedorn | Management | For | For | |
1c. | Election of Director: Christopher M. Connor | Management | For | For | |
1d. | Election of Director: Michael J. Critelli | Management | For | For | |
1e. | Election of Director: Richard H. Fearon | Management | For | For | |
1f. | Election of Director: Charles E. Golden | Management | For | For | |
1g. | Election of Director: Arthur E. Johnson | Management | For | For | |
1h. | Election of Director: Deborah L. McCoy | Management | For | For | |
1i. | Election of Director: Gregory R. Page | Management | For | For | |
1j. | Election of Director: Sandra Pianalto | Management | For | For | |
1k. | Election of Director: Gerald B. Smith | Management | For | For | |
1l. | Election of Director: Dorothy C. Thompson | Management | For | For | |
2. | Approving the appointment of Ernst & Young LLP as independent auditor for 2018 and authorizing the Audit Committee of the Board of Directors to set its remuneration. | Management | For | For | |
3. | Advisory approval of the Company’s executive compensation. | Management | For | For | |
4. | Approving a proposal to grant the Board authority to issue shares. | Management | For | For | |
5. | Approving a proposal to grant the Board authority to opt out of pre-emption rights. | Management | For | For | |
6. | Authorizing the Company and any subsidiary of the Company to make overseas market purchases of Company shares. | Management | For | For |
Page 27 of 74 | 30-Jul-2018 |
Investment Company Report
GENERAL ELECTRIC COMPANY | |||
Security | 369604103 | Meeting Type | Annual |
Ticker Symbol | GE | Meeting Date | 25-Apr-2018 |
ISIN | US3696041033 | Agenda | 934737707 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
A1 | Election of Director: Sebastien M. Bazin | Management | For | For | |
A2 | Election of Director: W. Geoffrey Beattie | Management | For | For | |
A3 | Election of Director: John J. Brennan | Management | For | For | |
A4 | Election of Director: H. Lawrence Culp, Jr. | Management | For | For | |
A5 | Election of Director: Francisco D’Souza | Management | For | For | |
A6 | Election of Director: John L. Flannery | Management | For | For | |
A7 | Election of Director: Edward P. Garden | Management | For | For | |
A8 | Election of Director: Thomas W. Horton | Management | For | For | |
A9 | Election of Director: Risa Lavizzo-Mourey | Management | For | For | |
A10 | Election of Director: James J. Mulva | Management | For | For | |
A11 | Election of Director: Leslie F. Seidman | Management | For | For | |
A12 | Election of Director: James S. Tisch | Management | For | For | |
B1 | Advisory Approval of Our Named Executives’ Compensation | Management | For | For | |
B2 | Approval of the GE International Employee Stock Purchase Plan | Management | For | For | |
B3 | Ratification of KPMG as Independent Auditor for 2018 | Management | For | For | |
C1 | Require the Chairman of the Board to be Independent | Shareholder | Against | For | |
C2 | Adopt Cumulative Voting for Director Elections | Shareholder | Against | For | |
C3 | Deduct Impact of Stock Buybacks from Executive Pay | Shareholder | Against | For | |
C4 | Issue Report on Political Lobbying and Contributions | Shareholder | Against | For | |
C5 | Issue Report on Stock Buybacks | Shareholder | Against | For | |
C6 | Permit Shareholder Action by Written Consent | Shareholder | Against | For |
Page 28 of 74 | 30-Jul-2018 |
Investment Company Report
PFIZER INC. | |||
Security | 717081103 | Meeting Type | Annual |
Ticker Symbol | PFE | Meeting Date | 26-Apr-2018 |
ISIN | US7170811035 | Agenda | 934739256 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Dennis A. Ausiello | Management | For | For | |
1b. | Election of Director: Ronald E. Blaylock | Management | For | For | |
1c. | Election of Director: Albert Bourla | Management | For | For | |
1d. | Election of Director: W. Don Cornwell | Management | For | For | |
1e. | Election of Director: Joseph J. Echevarria | Management | For | For | |
1f. | Election of Director: Helen H. Hobbs | Management | For | For | |
1g. | Election of Director: James M. Kilts | Management | For | For | |
1h. | Election of Director: Dan R. Littman | Management | For | For | |
1i. | Election of Director: Shantanu Narayen | Management | For | For | |
1j. | Election of Director: Suzanne Nora Johnson | Management | For | For | |
1k. | Election of Director: Ian C. Read | Management | For | For | |
1l. | Election of Director: James C. Smith | Management | For | For | |
2. | Ratify the selection of KPMG LLP as independent registered public accounting firm for 2018 | Management | For | For | |
3. | 2018 Advisory approval of executive compensation | Management | For | For | |
4. | Approval of the Pfizer Inc. French Sub-Plan under the 2014 Stock Plan | Management | For | For | |
5. | Shareholder proposal regarding right to act by written consent | Shareholder | Against | For | |
6. | Shareholder proposal regarding independent chair policy | Shareholder | Against | For | |
7. | Shareholder proposal regarding report on lobbying activities | Shareholder | Against | For |
Page 29 of 74 | 30-Jul-2018 |
Investment Company Report
UNITED TECHNOLOGIES CORPORATION | |||
Security | 913017109 | Meeting Type | Annual |
Ticker Symbol | UTX | Meeting Date | 30-Apr-2018 |
ISIN | US9130171096 | Agenda | 934741605 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Lloyd J. Austin III | Management | For | For | |
1b. | Election of Director: Diane M. Bryant | Management | For | For | |
1c. | Election of Director: John V. Faraci | Management | For | For | |
1d. | Election of Director: Jean-Pierre Garnier | Management | For | For | |
1e. | Election of Director: Gregory J. Hayes | Management | For | For | |
1f. | Election of Director: Ellen J. Kullman | Management | For | For | |
1g. | Election of Director: Marshall O. Larsen | Management | For | For | |
1h. | Election of Director: Harold W. McGraw III | Management | For | For | |
1i. | Election of Director: Margaret L. O’Sullivan | Management | For | For | |
1j. | Election of Director: Fredric G. Reynolds | Management | For | For | |
1k. | Election of Director: Brian C. Rogers | Management | For | For | |
1l. | Election of Director: Christine Todd Whitman | Management | For | For | |
2. | Advisory Vote to Approve Executive Compensation. | Management | For | For | |
3. | Approve the UTC 2018 Long-Term Incentive Plan. | Management | For | For | |
4. | Appoint PricewaterhouseCoopers LLP to Serve as Independent Auditor for 2018. | Management | For | For | |
5. | Approve an Amendment to the Restated Certificate of Incorporation to Eliminate Supermajority Voting for Certain Business Combinations. | Management | For | For | |
6. | Shareowner Proposal: Reduce Threshold to Call Special Meetings from 25% to 10%. | Shareholder | Against | For |
Page 30 of 74 | 30-Jul-2018 |
Investment Company Report
AXIS CAPITAL HOLDINGS LIMITED | |||
Security | G0692U109 | Meeting Type | Annual |
Ticker Symbol | AXS | Meeting Date | 02-May-2018 |
ISIN | BMG0692U1099 | Agenda | 934758092 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
1. | DIRECTOR | Management | ||||
1 | Michael A. Butt | For | For | |||
2 | Charles A. Davis | For | For | |||
2. | To approve, by non-binding vote, the compensation paid to our named executive officers. | Management | For | For | ||
3. | To appoint Deloitte Ltd., Hamilton, Bermuda, to act as the independent registered public accounting firm of AXIS Capital Holdings Limited for the fiscal year ending December 31, 2018 and to authorize the Board, acting through the Audit Committee, to set the fees for the independent registered public accounting firm. | Management | For | For |
Page 31 of 74 | 30-Jul-2018 |
Investment Company Report
PEPSICO, INC. | |||
Security | 713448108 | Meeting Type | Annual |
Ticker Symbol | PEP | Meeting Date | 02-May-2018 |
ISIN | US7134481081 | Agenda | 934743041 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Shona L. Brown | Management | For | For | |
1b. | Election of Director: George W. Buckley | Management | For | For | |
1c. | Election of Director: Cesar Conde | Management | For | For | |
1d. | Election of Director: Ian M. Cook | Management | For | For | |
1e. | Election of Director: Dina Dublon | Management | For | For | |
1f. | Election of Director: Richard W. Fisher | Management | For | For | |
1g. | Election of Director: William R. Johnson | Management | For | For | |
1h. | Election of Director: Indra K. Nooyi | Management | For | For | |
1i. | Election of Director: David C. Page | Management | For | For | |
1j. | Election of Director: Robert C. Pohlad | Management | For | For | |
1k. | Election of Director: Daniel Vasella | Management | For | For | |
1l. | Election of Director: Darren Walker | Management | For | For | |
1m. | Election of Director: Alberto Weisser | Management | For | For | |
2. | Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for fiscal year 2018. | Management | For | For | |
3. | Advisory approval of the Company’s executive compensation. | Management | For | For | |
4. | Special shareowner meeting improvement. | Shareholder | Against | For |
Page 32 of 74 | 30-Jul-2018 |
Investment Company Report
BERKSHIRE HATHAWAY INC. | |||
Security | 084670108 | Meeting Type | Annual |
Ticker Symbol | BRKA | Meeting Date | 05-May-2018 |
ISIN | US0846701086 | Agenda | 934745641 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
1. | DIRECTOR | Management | ||||
1 | Warren E. Buffett | For | For | |||
2 | Charles T. Munger | For | For | |||
3 | Gregory E. Abel | For | For | |||
4 | Howard G. Buffett | For | For | |||
5 | Stephen B. Burke | For | For | |||
6 | Susan L. Decker | For | For | |||
7 | William H. Gates III | For | For | |||
8 | David S. Gottesman | For | For | |||
9 | Charlotte Guyman | For | For | |||
10 | Ajit Jain | For | For | |||
11 | Thomas S. Murphy | For | For | |||
12 | Ronald L. Olson | For | For | |||
13 | Walter Scott, Jr. | For | For | |||
14 | Meryl B. Witmer | For | For | |||
2. | Shareholder proposal regarding methane gas emissions. | Shareholder | Against | For | ||
3. | Shareholder proposal regarding adoption of a policy to encourage Berkshire subsidiaries to issue annual sustainability reports. | Shareholder | Against | For |
Page 33 of 74 | 30-Jul-2018 |
Investment Company Report
AMERICAN EXPRESS COMPANY | |||
Security | 025816109 | Meeting Type | Annual |
Ticker Symbol | AXP | Meeting Date | 07-May-2018 |
ISIN | US0258161092 | Agenda | 934753256 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Charlene Barshefsky | Management | For | For | |
1b. | Election of Director: John J. Brennan | Management | For | For | |
1c. | Election of Director: Peter Chernin | Management | For | For | |
1d. | Election of Director: Ralph de la Vega | Management | For | For | |
1e. | Election of Director: Anne L. Lauvergeon | Management | For | For | |
1f. | Election of Director: Michael O. Leavitt | Management | For | For | |
1g. | Election of Director: Theodore J. Leonsis | Management | For | For | |
1h. | Election of Director: Richard C. Levin | Management | For | For | |
1i. | Election of Director: Samuel J. Palmisano | Management | For | For | |
1j. | Election of Director: Stephen J. Squeri | Management | For | For | |
1k. | Election of Director: Daniel L. Vasella | Management | For | For | |
1l. | Election of Director: Ronald A. Williams | Management | For | For | |
1m. | Election of Director: Christopher D. Young | Management | For | For | |
2. | Ratification of appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for 2018. | Management | For | For | |
3. | Approval, on an advisory basis, of the Company’s executive compensation. | Management | For | For | |
4. | Shareholder proposal relating to action by written consent. | Shareholder | Against | For | |
5. | Shareholder proposal relating to independent board chairman. | Shareholder | Against | For |
Page 34 of 74 | 30-Jul-2018 |
Investment Company Report
GCI LIBERTY, INC. | |||
Security | 36164V305 | Meeting Type | Special |
Ticker Symbol | GLIBA | Meeting Date | 07-May-2018 |
ISIN | US36164V3050 | Agenda | 934771278 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1. | Approve the Agreement and Plan of Merger by and between GCI Liberty, Inc. and GCI Merger Sub, Inc., pursuant to which GCI Liberty, Inc. will merge with and into GCI Merger Sub, Inc., with GCI Merger Sub, Inc. (which shall be renamed GCI Liberty, Inc.) continuing as the surviving corporation and existing under the laws of the State of Delaware. | Management | For | For | |
2. | A proposal to authorize the adjournment of the special meeting by GCI liberty, inc. to permit further solicitation of proxies, if necessary or appropriate, if sufficient votes are not represented at the special meeting to approve the other proposal to be presented at the special meeting. | Management | For | For |
Page 35 of 74 | 30-Jul-2018 |
Investment Company Report
ARCH CAPITAL GROUP LTD. | |||
Security | G0450A105 | Meeting Type | Annual |
Ticker Symbol | ACGL | Meeting Date | 09-May-2018 |
ISIN | BMG0450A1053 | Agenda | 934754450 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a | To elect the nominees listed as Class II Directors of the Company for a term of three years: Eric W. Doppstadt | Management | For | For | |
1b | To elect the nominees listed as Class II Directors of the Company for a term of three years: Laurie S. Goodman | Management | For | For | |
1c | To elect the nominees listed as Class II Directors of the Company for a term of three years: Constantine Iordanou | Management | For | For | |
1d | To elect the nominees listed as Class II Directors of the Company for a term of three years: John M. Pasquesi | Management | For | For | |
2 | Advisory vote to approve named executive officer compensation. | Management | For | For | |
3 | To appoint PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2018. | Management | For | For | |
4 | Approve the Arch Capital Group Ltd. 2018 Long-Term Incentive and Share Award Plan. | Management | For | For | |
5 | Approve a three-for-one common share split. | Management | For | For | |
6a | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Robert Appleby | Management | For | For | |
6b | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Anthony Asquith | Management | For | For | |
6c | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Stephen Bashford | Management | For | For | |
6d | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Dennis R. Brand | Management | For | For | |
6e | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Ian Britchfield | Management | For | For | |
6f | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Pierre-Andre Camps | Management | For | For | |
6g | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Chung Foo Choy | Management | For | For | |
6h | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Paul Cole | Management | For | For |
Page 36 of 74 | 30-Jul-2018 |
Investment Company Report
6i | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Graham B.R. Collis | Management | For | For | |
6j | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Michael Constantinides | Management | For | For | |
6k | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Stephen J. Curley | Management | For | For | |
6l | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Nick Denniston | Management | For | For | |
6m | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Christopher A. Edwards | Management | For | For | |
6n | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Seamus Fearon | Management | For | For | |
6o | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Michael Feetham | Management | For | For | |
6p | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Beau H. Franklin | Management | For | For | |
6q | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Giuliano Giovannetti | Management | For | For | |
6r | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Michael Hammer | Management | For | For | |
6s | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: W. Preston Hutchings | Management | For | For | |
6t | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Constantine Iordanou | Management | For | For | |
6u | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Jason Kittinger | Management | For | For | |
6v | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Gerald Konig | Management | For | For | |
6w | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Jean-Philippe Latour | Management | For | For | |
6x | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Lino Leoni | Management | For | For |
Page 37 of 74 | 30-Jul-2018 |
Investment Company Report
6y | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Mark D. Lyons | Management | For | For | |
6z | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Patrick Mailloux | Management | For | For | |
6aa | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Paul Martin | Management | For | For | |
6ab | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Robert McDowell | Management | For | For | |
6ac | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: David H. McElroy | Management | For | For | |
6ad | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Francois Morin | Management | For | For | |
6ae | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: David J. Mulholland | Management | For | For | |
6af | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Mark Nolan | Management | For | For | |
6ag | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Nicolas Papadopoulo | Management | For | For | |
6ah | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Michael Price | Management | For | For | |
6ai | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Elisabeth Quinn | Management | For | For | |
6aj | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Maamoun Rajeh | Management | For | For | |
6ak | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Andrew T. Rippert | Management | For | For | |
6al | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Arthur Scace | Management | For | For | |
6am | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Soren Scheuer | Management | For | For | |
6an | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Matthew Shulman | Management | For | For |
Page 38 of 74 | 30-Jul-2018 |
Investment Company Report
6ao | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: William A. Soares | Management | For | For | |
6ap | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Patrick Storey | Management | For | For | |
6aq | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Hugh Sturgess | Management | For | For | |
6ar | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Ross Totten | Management | For | For | |
6as | To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Gerald Wolfe | Management | For | For |
Page 39 of 74 | 30-Jul-2018 |
Investment Company Report
GILEAD SCIENCES, INC. | |||
Security | 375558103 | Meeting Type | Annual |
Ticker Symbol | GILD | Meeting Date | 09-May-2018 |
ISIN | US3755581036 | Agenda | 934752925 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: John F. Cogan, Ph.D. | Management | For | For | |
1b. | Election of Director: Jacqueline K. Barton, Ph.D. | Management | For | For | |
1c. | Election of Director: Kelly A. Kramer | Management | For | For | |
1d. | Election of Director: Kevin E. Lofton | Management | For | For | |
1e. | Election of Director: John C. Martin, Ph.D. | Management | For | For | |
1f. | Election of Director: John F. Milligan, Ph.D. | Management | For | For | |
1g. | Election of Director: Richard J. Whitley, M.D. | Management | For | For | |
1h. | Election of Director: Gayle E. Wilson | Management | For | For | |
1i. | Election of Director: Per Wold-Olsen | Management | For | For | |
2. | To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2018. | Management | For | For | |
3. | To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement. | Management | For | For | |
4. | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairman of the Board of Directors be an independent director. | Shareholder | Against | For | |
5. | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board take steps to permit stockholder action by written consent. | Shareholder | Against | For |
Page 40 of 74 | 30-Jul-2018 |
Investment Company Report
PHILLIPS 66 | |||
Security | 718546104 | Meeting Type | Annual |
Ticker Symbol | PSX | Meeting Date | 09-May-2018 |
ISIN | US7185461040 | Agenda | 934744067 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of director: J. Brian Ferguson | Management | For | For | |
1b. | Election of director: Harold W. McGraw III | Management | For | For | |
1c. | Election of director: Victoria J. Tschinkel | Management | For | For | |
2. | To ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for fiscal year 2018. | Management | For | For | |
3. | To consider and vote on a proposal to approve, on an advisory (non-binding) basis, the compensation of our Named Executive Officers. | Management | For | For | |
4. | To consider and vote on a proposal to amend the Certificate of Incorporation to declassify the Board of Directors over the next three years. | Management | For | For |
Page 41 of 74 | 30-Jul-2018 |
Investment Company Report
DISCOVERY, INC. | |||
Security | 25470F104 | Meeting Type | Annual |
Ticker Symbol | DISCA | Meeting Date | 10-May-2018 |
ISIN | US25470F1049 | Agenda | 934756822 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
1. | DIRECTOR | Management | ||||
1 | Robert R. Beck | For | For | |||
2 | Susan M. Swain | For | For | |||
3 | J. David Wargo | For | For | |||
2. | Ratification of the appointment of PricewaterhouseCoopers LLP as Discovery, Inc.’s independent registered public accounting firm for the fiscal year ending December 31, 2018. | Management | For | For | ||
3. | To approve certain amendments to the Discovery Communications, Inc. 2013 Incentive Plan adopted by the Board of Directors on February 22, 2018. | Management | For | For | ||
4. | To vote on a stockholder proposal requesting the Board of Directors to adopt a policy that the initial list of candidates from which new management-supported director nominees are chosen shall include qualified women and minority candidates. | Shareholder | Against | For |
Page 42 of 74 | 30-Jul-2018 |
Investment Company Report
FORD MOTOR COMPANY | |||
Security | 345370860 | Meeting Type | Annual |
Ticker Symbol | F | Meeting Date | 10-May-2018 |
ISIN | US3453708600 | Agenda | 934753028 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Stephen G. Butler | Management | For | For | |
1b. | Election of Director: Kimberly A. Casiano | Management | For | For | |
1c. | Election of Director: Anthony F. Earley, Jr. | Management | For | For | |
1d. | Election of Director: Edsel B. Ford II | Management | For | For | |
1e. | Election of Director: William Clay Ford, Jr. | Management | For | For | |
1f. | Election of Director: James P. Hackett | Management | For | For | |
1g. | Election of Director: William W. Helman IV | Management | For | For | |
1h. | Election of Director: William E. Kennard | Management | For | For | |
1i. | Election of Director: John C. Lechleiter | Management | For | For | |
1j. | Election of Director: Ellen R. Marram | Management | For | For | |
1k. | Election of Director: John L. Thornton | Management | For | For | |
1l. | Election of Director: John B. Veihmeyer | Management | For | For | |
1m. | Election of Director: Lynn M. Vojvodich | Management | For | For | |
1n. | Election of Director: John S. Weinberg | Management | For | For | |
2. | Ratification of Independent Registered Public Accounting Firm. | Management | For | For | |
3. | Say-on-Pay - An Advisory Vote to Approve the Compensation of the Named Executives. | Management | For | For | |
4. | Approval of the 2018 Long-Term Incentive Plan. | Management | For | For | |
5. | Relating to Consideration of a Recapitalization Plan to Provide That All of the Company’s Outstanding Stock Have One Vote Per Share. | Management | Against | For | |
6. | Relating to Disclosure of the Company’s Lobbying Activities and Expenditures. | Shareholder | Against | For | |
7. | Relating to Report on CAFE Standards. | Shareholder | Against | For | |
8. | Relating to Disclosure of the Company’s Political Activities and Expenditures. | Shareholder | Against | For |
Page 43 of 74 | 30-Jul-2018 |
Investment Company Report
HELIX ENERGY SOLUTIONS GROUP, INC. | |||
Security | 42330P107 | Meeting Type | Annual |
Ticker Symbol | HLX | Meeting Date | 10-May-2018 |
ISIN | US42330P1075 | Agenda | 934750818 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
1. | DIRECTOR | Management | ||||
1 | Owen Kratz | For | For | |||
2 | James A. Watt | For | For | |||
2. | Ratification of the selection of KPMG LLP as our independent registered public accounting firm for the fiscal year 2018. | Management | For | For | ||
3. | Approval, on a non-binding advisory basis, of the 2017 compensation of our named executive officers. | Management | For | For |
Page 44 of 74 | 30-Jul-2018 |
Investment Company Report
REPUBLIC SERVICES, INC. | |||
Security | 760759100 | Meeting Type | Annual |
Ticker Symbol | RSG | Meeting Date | 11-May-2018 |
ISIN | US7607591002 | Agenda | 934752127 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Manuel Kadre | Management | For | For | |
1b. | Election of Director: Tomago Collins | Management | For | For | |
1c. | Election of Director: Thomas W. Handley | Management | For | For | |
1d. | Election of Director: Jennifer M. Kirk | Management | For | For | |
1e. | Election of Director: Michael Larson | Management | For | For | |
1f. | Election of Director: Kim S. Pegula | Management | For | For | |
1g. | Election of Director: Ramon A. Rodriguez | Management | For | For | |
1h. | Election of Director: Donald W. Slager | Management | For | For | |
1i. | Election of Director: John M. Trani | Management | For | For | |
1j. | Election of Director: Sandra M. Volpe | Management | For | For | |
2. | Advisory vote to approve our named executive officer compensation. | Management | For | For | |
3. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2018. | Management | For | For | |
4. | Approve the Republic Services, Inc. 2018 Employee Stock Purchase Plan. | Management | For | For | |
5. | Shareholder proposal regarding political contributions and expenditures. | Shareholder | Against | For |
Page 45 of 74 | 30-Jul-2018 |
Investment Company Report
ANADARKO PETROLEUM CORPORATION | |||
Security | 032511107 | Meeting Type | Annual |
Ticker Symbol | APC | Meeting Date | 15-May-2018 |
ISIN | US0325111070 | Agenda | 934763055 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Anthony R. Chase | Management | For | For | |
1b. | Election of Director: David E. Constable | Management | For | For | |
1c. | Election of Director: H. Paulett Eberhart | Management | For | For | |
1d. | Election of Director: Claire S. Farley | Management | For | For | |
1e. | Election of Director: Peter J. Fluor | Management | For | For | |
1f. | Election of Director: Joseph W. Gorder | Management | For | For | |
1g. | Election of Director: John R. Gordon | Management | For | For | |
1h. | Election of Director: Sean Gourley | Management | For | For | |
1i. | Election of Director: Mark C. McKinley | Management | For | For | |
1j. | Election of Director: Eric D. Mullins | Management | For | For | |
1k. | Election of Director: R.A. Walker | Management | For | For | |
2. | Ratification of Appointment of KPMG LLP as Independent Auditor. | Management | For | For | |
3. | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | |
4. | Stockholder proposal - Climate Change Risk Analysis. | Shareholder | Against | For |
Page 46 of 74 | 30-Jul-2018 |
Investment Company Report
JPMORGAN CHASE & CO. | |||
Security | 46625H100 | Meeting Type | Annual |
Ticker Symbol | JPM | Meeting Date | 15-May-2018 |
ISIN | US46625H1005 | Agenda | 934764463 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Linda B. Bammann | Management | For | For | |
1b. | Election of Director: James A. Bell | Management | For | For | |
1c. | Election of Director: Stephen B. Burke | Management | For | For | |
1d. | Election of Director: Todd A. Combs | Management | For | For | |
1e. | Election of Director: James S. Crown | Management | For | For | |
1f. | Election of Director: James Dimon | Management | For | For | |
1g. | Election of Director: Timothy P. Flynn | Management | For | For | |
1h. | Election of Director: Mellody Hobson | Management | For | For | |
1i. | Election of Director: Laban P. Jackson Jr. | Management | For | For | |
1j. | Election of Director: Michael A. Neal | Management | For | For | |
1k. | Election of Director: Lee R. Raymond | Management | For | For | |
1l. | Election of Director: William C. Weldon | Management | For | For | |
2. | Ratification of special meeting provisions in the Firm’s By- Laws | Management | For | For | |
3. | Advisory resolution to approve executive compensation | Management | For | For | |
4. | Approval of Amended and Restated Long-Term Incentive Plan effective May 15, 2018 | Management | For | For | |
5. | Ratification of independent registered public accounting firm | Management | For | For | |
6. | Independent Board chairman | Shareholder | Against | For | |
7. | Vesting for government service | Shareholder | Against | For | |
8. | Proposal to report on investments tied to genocide | Shareholder | Against | For | |
9. | Cumulative Voting | Shareholder | Against | For |
Page 47 of 74 | 30-Jul-2018 |
Investment Company Report
CAMECO CORPORATION | |||
Security | 13321L108 | Meeting Type | Annual |
Ticker Symbol | CCJ | Meeting Date | 16-May-2018 |
ISIN | CA13321L1085 | Agenda | 934769665 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
A | DIRECTOR | Management | ||||
1 | IAN BRUCE | For | For | |||
2 | DANIEL CAMUS | For | For | |||
3 | JOHN CLAPPISON | For | For | |||
4 | DONALD DERANGER | For | For | |||
5 | CATHERINE GIGNAC | For | For | |||
6 | TIM GITZEL | For | For | |||
7 | JIM GOWANS | For | For | |||
8 | KATHRYN JACKSON | For | For | |||
9 | DON KAYNE | For | For | |||
10 | ANNE MCLELLAN | For | For | |||
B | APPOINT KPMG LLP AS AUDITORS | Management | For | For | ||
C | BE IT RESOLVED THAT, ON AN ADVISORY BASIS AND NOT TO DIMINISH THE ROLE AND RESPONSIBILITIES OF THE BOARD OF DIRECTORS FOR EXECUTIVE COMPENSATION, THE SHAREHOLDERS ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION DISCLOSED IN CAMECO’S MANAGEMENT PROXY CIRCULAR DELIVERED IN ADVANCE OF THE 2018 ANNUAL MEETING OF SHAREHOLDERS. | Management | For | For | ||
D | YOU DECLARE THAT THE SHARES REPRESENTED BY THIS VOTING INSTRUCTION FORM ARE HELD, BENEFICIALLY OWNED OR CONTROLLED, EITHER DIRECTLY OR INDIRECTLY, BY A RESIDENT OF CANADA AS DEFINED BELOW. IF THE SHARES ARE HELD IN THE NAMES OF TWO OR MORE PEOPLE, YOU DECLARE THAT ALL OF THESE PEOPLE ARE RESIDENTS OF CANADA. NOTE: “FOR” = YES, “ABSTAIN” = NO “AGAINST” WILL BE TREATED AS NOT MARKED | Management | Against |
Page 48 of 74 | 30-Jul-2018 |
Investment Company Report
EVEREST RE GROUP, LTD. | |||
Security | G3223R108 | Meeting Type | Annual |
Ticker Symbol | RE | Meeting Date | 16-May-2018 |
ISIN | BMG3223R1088 | Agenda | 934785152 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1.1 | Election of Director: Dominic J. Addesso | Management | For | For | |
1.2 | Election of Director: John J. Amore | Management | For | For | |
1.3 | Election of Director: William F. Galtney, Jr. | Management | For | For | |
1.4 | Election of Director: John A. Graf | Management | For | For | |
1.5 | Election of Director: Gerri Losquadro | Management | For | For | |
1.6 | Election of Director: Roger M. Singer | Management | For | For | |
1.7 | Election of Director: Joseph V. Taranto | Management | For | For | |
1.8 | Election of Director: John A. Weber | Management | For | For | |
2. | To appoint PricewaterhouseCoopers LLP as the Company’s registered public accounting firm to act as the Company’s auditor for the year ending December 31, 2018 and authorize the Board of Directors, acting by the Audit Committee, to set the fees for the registered public accounting firm. | Management | For | For | |
3. | Advisory vote to approve 2017 executive compensation. | Management | For | For |
Page 49 of 74 | 30-Jul-2018 |
Investment Company Report
HALLIBURTON COMPANY | |||
Security | 406216101 | Meeting Type | Annual |
Ticker Symbol | HAL | Meeting Date | 16-May-2018 |
ISIN | US4062161017 | Agenda | 934760871 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Abdulaziz F. Al Khayyal | Management | For | For | |
1b. | Election of Director: William E. Albrecht | Management | For | For | |
1c. | Election of Director: Alan M. Bennett | Management | For | For | |
1d. | Election of Director: James R. Boyd | Management | For | For | |
1e. | Election of Director: Milton Carroll | Management | For | For | |
1f. | Election of Director: Nance K. Dicciani | Management | For | For | |
1g. | Election of Director: Murry S. Gerber | Management | For | For | |
1h. | Election of Director: Jose C. Grubisich | Management | For | For | |
1i. | Election of Director: David J. Lesar | Management | For | For | |
1j. | Election of Director: Robert A. Malone | Management | For | For | |
1k. | Election of Director: Jeffrey A. Miller | Management | For | For | |
1l. | Election of Director: Debra L. Reed | Management | For | For | |
2. | Ratification of Selection of Principal Independent Public Accountants. | Management | For | For | |
3. | Advisory Approval of Executive Compensation. | Management | For | For |
Page 50 of 74 | 30-Jul-2018 |
Investment Company Report
PIONEER NATURAL RESOURCES COMPANY | |||
Security | 723787107 | Meeting Type | Annual |
Ticker Symbol | PXD | Meeting Date | 17-May-2018 |
ISIN | US7237871071 | Agenda | 934765249 - Management |
Item | Proposal | Proposed
by |
Vote | For/Against Management |
|
1A | Election of Director: Edison C. Buchanan | Management | For | For | |
1B | Election of Director: Andrew F. Cates | Management | For | For | |
1C | Election of Director: Timothy L. Dove | Management | For | For | |
1D | Election of Director: Phillip A. Gobe | Management | For | For | |
1E | Election of Director: Larry R. Grillot | Management | For | For | |
1F | Election of Director: Stacy P. Methvin | Management | For | For | |
1G | Election of Director: Royce W. Mitchell | Management | For | For | |
1H | Election of Director: Frank A. Risch | Management | For | For | |
1I | Election of Director: Scott D. Sheffield | Management | For | For | |
1J | Election of Director: Mona K. Sutphen | Management | For | For | |
1K | Election of Director: J. Kenneth Thompson | Management | For | For | |
1L | Election of Director: Phoebe A. Wood | Management | For | For | |
1M | Election of Director: Michael D. Wortley | Management | For | For | |
2 | RATIFICATION OF SELECTION OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2018 | Management | For | For | |
3 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For |
Page 51 of 74 | 30-Jul-2018 |
Investment Company Report
MACY’S INC. | |||
Security | 55616P104 | Meeting Type | Annual |
Ticker Symbol | M | Meeting Date | 18-May-2018 |
ISIN | US55616P1049 | Agenda | 934770149 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Francis S. Blake | Management | For | For | |
1b. | Election of Director: John A. Bryant | Management | For | For | |
1c. | Election of Director: Deirdre P. Connelly | Management | For | For | |
1d. | Election of Director: Jeff Gennette | Management | For | For | |
1e. | Election of Director: Leslie D. Hale | Management | For | For | |
1f. | Election of Director: William H. Lenehan | Management | For | For | |
1g. | Election of Director: Sara Levinson | Management | For | For | |
1h. | Election of Director: Joyce M. Roche | Management | For | For | |
1i. | Election of Director: Paul C. Varga | Management | For | For | |
1j. | Election of Director: Marna C. Whittington | Management | For | For | |
2. | Ratification of the appointment of KPMG LLP as Macy’s independent registered public accounting firm for the fiscal year ending February 2, 2019. | Management | For | For | |
3. | Advisory vote to approve named executive officer compensation. | Management | For | For | |
4. | Approval of the 2018 Equity and Incentive Compensation Plan. | Management | For | For |
Page 52 of 74 | 30-Jul-2018 |
Investment Company Report
ENSCO PLC | |||
Security | G3157S106 | Meeting Type | Annual |
Ticker Symbol | ESV | Meeting Date | 21-May-2018 |
ISIN | GB00B4VLR192 | Agenda | 934772446 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: J. Roderick Clark | Management | For | For | |
1b. | Election of Director: Roxanne J. Decyk | Management | For | For | |
1c. | Election of Director: Mary E. Francis CBE | Management | For | For | |
1d. | Election of Director: C. Christopher Gaut | Management | For | For | |
1e. | Election of Director: Jack E. Golden | Management | For | For | |
1f. | Election of Director: Gerald W. Haddock | Management | For | For | |
1g. | Election of Director: Francis S. Kalman | Management | For | For | |
1h. | Election of Director: Keith O. Rattie | Management | For | For | |
1i. | Election of Director: Paul E. Rowsey, III | Management | For | For | |
1j. | Election of Director: Carl G. Trowell | Management | For | For | |
1k. | Election of Director: Phil D. Wedemeyer | Management | For | For | |
2. | To ratify the Audit Committee’s appointment of KPMG LLP (U.S.) as our U.S. independent registered public accounting firm for the year ending 31 December 2018. | Management | For | For | |
3. | To appoint KPMG LLP (U.K.) as our U.K. statutory auditors under the U.K. Companies Act 2006 (to hold office from the conclusion of the Annual General Meeting of Shareholders until the conclusion of the next Annual General Meeting of Shareholders at which accounts are laid before the Company). | Management | For | For | |
4. | To authorise the Audit Committee to determine our U.K. statutory auditors’ remuneration. | Management | For | For | |
5. | To approve the Ensco plc 2018 Long-Term Incentive Plan. | Management | For | For | |
6. | A non-binding advisory vote to approve the Directors’ Remuneration Report for the year ended 31 December 2017 (excluding the Directors’ Remuneration Policy). | Management | For | For | |
7. | A non-binding advisory vote to approve the compensation of our named executive officers. | Management | For | For | |
8. | A non-binding advisory vote to approve the reports of the auditors and the directors and the U.K. statutory accounts for the year ended 31 December 2017. | Management | For | For |
Page 53 of 74 | 30-Jul-2018 |
Investment Company Report
9. | To (i) approve the terms of one or more agreements providing for the purchase by the Company of up to 65.0 million shares for up to a maximum of $500 million in aggregate from one or more financial intermediaries and (ii) authorise the Company to make off-market purchases of shares pursuant to such agreements, the full text of which can be found in “Resolution 9” of the accompanying proxy statement. | Management | For | For | |
10. | To authorise the Board of Directors to allot shares, the full text of which can be found in “Resolution 10” of the accompanying proxy statement. | Management | For | For | |
11. | To approve the general disapplication of pre-emption rights, the full text of which can be found in “Resolution 11” of the accompanying proxy statement. | Management | For | For | |
12. | To approve the disapplication of pre-emption rights in connection with an acquisition or specified capital investment, the full text of which can be found in “Resolution 12” of the accompanying proxy statement. | Management | For | For |
Page 54 of 74 | 30-Jul-2018 |
Investment Company Report
MERCK & CO., INC. | |||
Security | 58933Y105 | Meeting Type | Annual |
Ticker Symbol | MRK | Meeting Date | 22-May-2018 |
ISIN | US58933Y1055 | Agenda | 934774262 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Leslie A. Brun | Management | For | For | |
1b. | Election of Director: Thomas R. Cech | Management | For | For | |
1c. | Election of Director: Pamela J. Craig | Management | For | For | |
1d. | Election of Director: Kenneth C. Frazier | Management | For | For | |
1e. | Election of Director: Thomas H. Glocer | Management | For | For | |
1f. | Election of Director: Rochelle B. Lazarus | Management | For | For | |
1g. | Election of Director: John H. Noseworthy | Management | For | For | |
1h. | Election of Director: Paul B. Rothman | Management | For | For | |
1i. | Election of Director: Patricia F. Russo | Management | For | For | |
1j. | Election of Director: Craig B. Thompson | Management | For | For | |
1k. | Election of Director: Inge G. Thulin | Management | For | For | |
1l. | Election of Director: Wendell P. Weeks | Management | For | For | |
1m. | Election of Director: Peter C. Wendell | Management | For | For | |
2. | Non-binding advisory vote to approve the compensation of our named executive officers. | Management | For | For | |
3. | Ratification of the appointment of the Company’s independent registered public accounting firm for 2018. | Management | For | For | |
4. | Shareholder proposal concerning shareholders’ right to act by written consent. | Shareholder | Against | For |
Page 55 of 74 | 30-Jul-2018 |
Investment Company Report
NOW INC. | |||
Security | 67011P100 | Meeting Type | Annual |
Ticker Symbol | DNOW | Meeting Date | 23-May-2018 |
ISIN | US67011P1003 | Agenda | 934789388 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1A. | Election of Director: Terry Bonno | Management | For | For | |
1B. | Election of Director: Galen Cobb | Management | For | For | |
1C. | Election of Director: James Crandell | Management | For | For | |
2. |
Ratification of Appointment of Ernst & Young LLP as Independent Auditors for 2018. |
Management | For | For | |
3. |
Approval of Compensation of our Named Executive Officers. |
Management | For | For |
Page 56 of 74 | 30-Jul-2018 |
Investment Company Report
NELNET, INC. | |||
Security | 64031N108 | Meeting Type | Annual |
Ticker Symbol | NNI | Meeting Date | 24-May-2018 |
ISIN | US64031N1081 | Agenda | 934782714 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Class I Director: Michael S. Dunlap | Management | For | For | |
1b. | Nominee Removed | Management | For | For | |
1c. | Election of Class I Director: Michael D. Reardon | Management | For | For | |
2. | Ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm for 2018. | Management | For | For | |
3. | Advisory approval of the Company’s executive compensation. | Management | For | For | |
4. | Approval of an amendment to the Directors Stock Compensation Plan to increase the authorized number of shares of Class A common stock that may be issued under the plan from a total of 400,000 shares to a total of 500,000 shares, subject to an annual per-director limit. | Management | For | For | |
5a. | Amend and Restate the Company’s Articles of Incorporation: Update the limitation on liability provisions for directors to conform to the provisions of the new Nebraska Model Business Corporation Act. | Management | For | For | |
5b. | Amend and Restate the Company’s Articles of Incorporation: Update the indemnification provisions for directors, officers, and others to conform to the provisions of the new Nebraska Model Business Corporation Act. | Management | For | For | |
5c. | Amend and Restate the Company’s Articles of Incorporation: Increase the percentage of votes required to be held by shareholders in order to demand a special meeting of shareholders under the new Nebraska Model Business Corporation Act. | Management | For | For | |
5d. | Amend and Restate the Company’s Articles of Incorporation: Make certain non-substantive updates and revisions to reflect the new Nebraska Model Business Corporation Act, eliminate provisions that are no longer necessary or are outdated, and to provide additional clarity and/or address minor matters. | Management | For | For |
Page 57 of 74 | 30-Jul-2018 |
Investment Company Report
VBI VACCINES INC. | |||
Security | 91822J103 | Meeting Type | Annual |
Ticker Symbol | VBIV | Meeting Date | 24-May-2018 |
ISIN | CA91822J1030 | Agenda | 934793642 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
1 | To set the number of Directors at seven (7). | Management | For | For | ||
2 | DIRECTOR | Management | ||||
1 | Jeff R. Baxter | For | For | |||
2 | Steven Gillis | For | For | |||
3 | Michel De Wilde | For | For | |||
4 | Adam Logal | For | For | |||
5 | Tomer Kariv | For | For | |||
6 | Scott Requadt | For | For | |||
7 | Steven D. Rubin | For | For | |||
3 | Appointment of EisnerAmper LLP as the independent registered public accounting firm of the Company for the ensuing year and authorizing the audit committee of the board of directors to fix its remuneration. | Management | For | For |
Page 58 of 74 | 30-Jul-2018 |
Investment Company Report
AMAZON.COM, INC. | |||
Security | 023135106 | Meeting Type | Annual |
Ticker Symbol | AMZN | Meeting Date | 30-May-2018 |
ISIN | US0231351067 | Agenda | 934793224 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Jeffrey P. Bezos | Management | For | For | |
1b. | Election of Director: Tom A. Alberg | Management | For | For | |
1c. | Election of Director: Jamie S. Gorelick | Management | For | For | |
1d. | Election of Director: Daniel P. Huttenlocher | Management | For | For | |
1e. | Election of Director: Judith A. McGrath | Management | For | For | |
1f. | Election of Director: Jonathan J. Rubinstein | Management | For | For | |
1g. | Election of Director: Thomas O. Ryder | Management | For | For | |
1h. | Election of Director: Patricia Q. Stonesifer | Management | For | For | |
1i. | Election of Director: Wendell P. Weeks | Management | For | For | |
2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS | Management | For | For | |
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | |
4. | SHAREHOLDER PROPOSAL REGARDING DIVERSE BOARD CANDIDATES | Shareholder | Against | For | |
5. | SHAREHOLDER PROPOSAL REGARDING A POLICY TO REQUIRE AN INDEPENDENT BOARD CHAIR | Shareholder | Against | For | |
6. | SHAREHOLDER PROPOSAL REGARDING VOTE- COUNTING PRACTICES FOR SHAREHOLDER PROPOSALS | Shareholder | Against | For |
Page 59 of 74 | 30-Jul-2018 |
Investment Company Report
EBAY INC. | |||
Security | 278642103 | Meeting Type | Annual |
Ticker Symbol | EBAY | Meeting Date | 30-May-2018 |
ISIN | US2786421030 | Agenda | 934791573 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Fred D. Anderson Jr. | Management | For | For | |
1b. | Election of Director: Anthony J. Bates | Management | For | For | |
1c. | Election of Director: Adriane M. Brown | Management | For | For | |
1d. | Election of Director: Diana Farrell | Management | For | For | |
1e. | Election of Director: Logan D. Green | Management | For | For | |
1f. | Election of Director: Bonnie S. Hammer | Management | For | For | |
1g. | Election of Director: Kathleen C. Mitic | Management | For | For | |
1h. | Election of Director: Pierre M. Omidyar | Management | For | For | |
1i. | Election of Director: Paul S. Pressler | Management | For | For | |
1j. | Election of Director: Robert H. Swan | Management | For | For | |
1k. | Election of Director: Thomas J. Tierney | Management | For | For | |
1l. | Election of Director: Perry M. Traquina | Management | For | For | |
1m. | Election of Director: Devin N. Wenig | Management | For | For | |
2. | Advisory vote to approve named executive officer compensation. | Management | For | For | |
3. | Ratification of appointment of independent auditors. | Management | For | For | |
4. | Ratification of Special Meeting Provisions. | Management | For | For |
Page 60 of 74 | 30-Jul-2018 |
Investment Company Report
WALMART INC. | |||
Security | 931142103 | Meeting Type | Annual |
Ticker Symbol | WMT | Meeting Date | 30-May-2018 |
ISIN | US9311421039 | Agenda | 934793072 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Stephen J. Easterbrook | Management | For | For | |
1b. | Election of Director: Timothy P. Flynn | Management | For | For | |
1c. | Election of Director: Sarah J. Friar | Management | For | For | |
1d. | Election of Director: Carla A. Harris | Management | For | For | |
1e. | Election of Director: Thomas W. Horton | Management | For | For | |
1f. | Election of Director: Marissa A. Mayer | Management | For | For | |
1g. | Election of Director: C. Douglas McMillon | Management | For | For | |
1h. | Election of Director: Gregory B. Penner | Management | For | For | |
1i. | Election of Director: Steven S Reinemund | Management | For | For | |
1j. | Election of Director: S. Robson Walton | Management | For | For | |
1k. | Election of Director: Steuart L. Walton | Management | For | For | |
2. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | |
3. | Ratification of Ernst & Young LLP as Independent Accountants | Management | For | For | |
4. | Request to Adopt an Independent Chair Policy | Shareholder | Against | For | |
5. | Request for Report on Racial or Ethnic Pay Gaps | Shareholder | Against | For |
Page 61 of 74 | 30-Jul-2018 |
Investment Company Report
FACEBOOK, INC. | |||
Security | 30303M102 | Meeting Type | Annual |
Ticker Symbol | FB | Meeting Date | 31-May-2018 |
ISIN | US30303M1027 | Agenda | 934793034 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
||
1. | DIRECTOR | Management | ||||
1 | Marc L. Andreessen | For | For | |||
2 | Erskine B. Bowles | For | For | |||
3 | Kenneth I. Chenault | For | For | |||
4 | S. D. Desmond-Hellmann | For | For | |||
5 | Reed Hastings | For | For | |||
6 | Jan Koum | For | For | |||
7 | Sheryl K. Sandberg | For | For | |||
8 | Peter A. Thiel | For | For | |||
9 | Mark Zuckerberg | For | For | |||
2. |
To ratify the appointment of Ernst & Young LLP as Facebook, Inc.’s independent registered public accounting firm for the fiscal year ending December 31, 2018. |
Management | For | For | ||
3. |
A stockholder proposal regarding change in stockholder voting. |
Shareholder | For | Against | ||
4. | A stockholder proposal regarding a risk oversight committee. | Shareholder | For | Against | ||
5. | A stockholder proposal regarding simple majority vote. | Shareholder | Against | For | ||
6. | A stockholder proposal regarding a content governance report. | Shareholder | For | Against | ||
7. | A stockholder proposal regarding median pay by gender. | Shareholder | Against | For | ||
8. | A stockholder proposal regarding tax principles. | Shareholder | Against | For |
Page 62 of 74 | 30-Jul-2018 |
Investment Company Report
INTERDIGITAL, INC. | |||
Security | 45867G101 | Meeting Type | Annual |
Ticker Symbol | IDCC | Meeting Date | 31-May-2018 |
ISIN | US45867G1013 | Agenda | 934785594 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Jeffrey K. Belk | Management | For | For | |
1b. | Election of Director: Joan H. Gillman | Management | For | For | |
1c. | Election of Director: S. Douglas Hutcheson | Management | For | For | |
1d. | Election of Director: John A. Kritzmacher | Management | For | For | |
1e. | Election of Director: John D. Markley, Jr. | Management | For | For | |
1f. | Election of Director: William J. Merritt | Management | For | For | |
1g. | Election of Director: Kai O. Oistamo | Management | For | For | |
1h. | Election of Director: Jean F. Rankin | Management | For | For | |
1i. | Election of Director: Philip P. Trahanas | Management | For | For | |
2. | Advisory resolution to approve executive compensation. | Management | For | For | |
3. | Ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm of InterDigital, Inc. for the year ending December 31, 2018. | Management | For | For |
Page 63 of 74 | 30-Jul-2018 |
Investment Company Report
THE TJX COMPANIES, INC. | |||
Security | 872540109 | Meeting Type | Annual |
Ticker Symbol | TJX | Meeting Date | 05-Jun-2018 |
ISIN | US8725401090 | Agenda | 934805752 - Management |
Item | Proposal | Proposed
by |
Vote | For/Against Management |
|
1a. | Election of Director: Zein Abdalla | Management | For | For | |
1b. | Election of Director: Alan M. Bennett | Management | For | For | |
1c. | Election of Director: David T. Ching | Management | For | For | |
1d. | Election of Director: Ernie Herrman | Management | For | For | |
1e. | Election of Director: Michael F. Hines | Management | For | For | |
1f. | Election of Director: Amy B. Lane | Management | For | For | |
1g. | Election of Director: Carol Meyrowitz | Management | For | For | |
1h. | Election of Director: Jackwyn L. Nemerov | Management | For | For | |
1i. | Election of Director: John F. O’Brien | Management | For | For | |
1j. | Election of Director: Willow B. Shire | Management | For | For | |
2. | Ratification of appointment of PricewaterhouseCoopers as TJX’s independent registered public accounting firm for fiscal 2019 | Management | For | For | |
3. | Advisory approval of TJX’s executive compensation (the say-on- pay vote) | Management | For | For | |
4. | Shareholder proposal for a report on compensation disparities based on race, gender, or ethnicity | Shareholder | Against | For | |
5. | Shareholder proposal for amending TJX’s clawback policy | Shareholder | Against | For | |
6. | Shareholder proposal for a supply chain policy on prison labor | Shareholder | Against | For |
Page 64 of 74 | 30-Jul-2018 |
Investment Company Report
SINCLAIR BROADCAST GROUP, INC. | |||
Security | 829226109 | Meeting Type | Annual |
Ticker Symbol | SBGI | Meeting Date | 07-Jun-2018 |
ISIN | US8292261091 | Agenda | 934798351 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|||
1. | DIRECTOR | Management | |||||
1 | David D. Smith | For | For | ||||
2 | Frederick G. Smith | For | For | ||||
3 | J. Duncan Smith | For | For | ||||
4 | Robert E. Smith | For | For | ||||
5 | Howard E. Friedman | For | For | ||||
6 | Lawrence E. McCanna | For | For | ||||
7 | Daniel C. Keith | For | For | ||||
8 | Martin R. Leader | For | For | ||||
2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for the year ending December 31, 2018. | Management | For | For |
Page 65 of 74 | 30-Jul-2018 |
Investment Company Report
METLIFE, INC. | |||
Security | 59156R108 | Meeting Type | Annual |
Ticker Symbol | MET | Meeting Date | 12-Jun-2018 |
ISIN | US59156R1086 | Agenda | 934799923 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Cheryl W. Grise | Management | For | For | |
1b. | Election of Director: Carlos M. Gutierrez | Management | For | For | |
1c. | Election of Director: Gerald L. Hassell | Management | For | For | |
1d. | Election of Director: David L. Herzog | Management | For | For | |
1e. | Election of Director: R. Glenn Hubbard, Ph.D. | Management | For | For | |
1f. | Election of Director: Steven A. Kandarian | Management | For | For | |
1g. | Election of Director: Edward J. Kelly, III | Management | For | For | |
1h. | Election of Director: William E. Kennard | Management | For | For | |
1i. | Election of Director: James M. Kilts | Management | For | For | |
1j. | Election of Director: Catherine R. Kinney | Management | For | For | |
1k. | Election of Director: Denise M. Morrison | Management | For | For | |
2. | Ratification of Appointment of Deloitte & Touche LLP as Independent Auditor for 2018 | Management | For | For | |
3. | Advisory Vote to Approve the Compensation Paid to the Company’s Named Executive Officers | Management | For | For | |
4. | Shareholder Proposal to Adopt a Policy that the Chairman of the Board be an Independent Director | Shareholder | Against | For |
Page 66 of 74 | 30-Jul-2018 |
Investment Company Report
CELGENE CORPORATION | |||
Security | 151020104 | Meeting Type | Annual |
Ticker Symbol | CELG | Meeting Date | 13-Jun-2018 |
ISIN | US1510201049 | Agenda | 934805637 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|||
1. | DIRECTOR | Management | |||||
1 | Mark J. Alles | For | For | ||||
2 | R W Barker, D.Phil, OBE | For | For | ||||
3 | Hans E. Bishop | For | For | ||||
4 | Michael W. Bonney | For | For | ||||
5 | Michael D. Casey | For | For | ||||
6 | Carrie S. Cox | For | For | ||||
7 | Michael A. Friedman, MD | For | For | ||||
8 | Julia A. Haller, M.D. | For | For | ||||
9 | P. A. Hemingway Hall | For | For | ||||
10 | James J. Loughlin | For | For | ||||
11 | Ernest Mario, Ph.D. | For | For | ||||
12 | John H. Weiland | For | For | ||||
2. | Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2018. | Management | For | For | |||
3. | Approval, by non-binding vote, of executive compensation of the Company’s named executive officers. | Management | For | For | |||
4. | Advisory vote on stockholder proposal to request the Company’s Board of Directors to amend the Company’s proxy access by-law provision to eliminate the limit on the number of stockholders that can aggregate their shares to achieve the holding requirement for nomination of directors, described in more detail in the proxy statement. | Shareholder | Against | For | |||
5. | Advisory vote on stockholder proposal to request the Company’s Board of Directors to adopt a policy and amend the Company’s governing documents to require that the Chairman of the Board be an independent member, described in more detail in the proxy statement. | Shareholder | Against | For |
Page 67 of 74 | 30-Jul-2018 |
Investment Company Report
PARATEK PHARMACEUTICALS, INC. | |||
Security | 699374302 | Meeting Type | Annual |
Ticker Symbol | PRTK | Meeting Date | 14-Jun-2018 |
ISIN | US6993743029 | Agenda | 934805459 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|||
1. | DIRECTOR | Management | |||||
1 | Rolf K. Hoffmann | For | For | ||||
2 | Kristine Peterson | For | For | ||||
3 | Jeffrey Stein, Ph.D. | For | For | ||||
2. | To consider and approve the Paratek Pharmaceuticals, Inc. Employee Stock Purchase Plan. | Management | For | For | |||
3. | To ratify the selection by the Audit Committee of the Board of Directors of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2018. | Management | For | For |
Page 68 of 74 | 30-Jul-2018 |
Investment Company Report
INTRA-CELLULAR THERAPIES INC | |||
Security | 46116X101 | Meeting Type | Annual |
Ticker Symbol | ITCI | Meeting Date | 18-Jun-2018 |
ISIN | US46116X1019 | Agenda | 934813379 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|||
1. | DIRECTOR | Management | |||||
1 | Christopher Alafi, Ph.D | For | For | ||||
2 | Joel S. Marcus | For | For | ||||
2. | To approve the Intra-Cellular Therapies, Inc. 2018 Equity Incentive Plan. | Management | For | For | |||
3. | To ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2018. | Management | For | For | |||
4. | To approve by an advisory vote the compensation of our named executive officers, as disclosed in the proxy statement. | Management | For | For |
Page 69 of 74 | 30-Jul-2018 |
Investment Company Report
LIBERTY EXPEDIA HOLDINGS, INC. | |||
Security | 53046P109 | Meeting Type | Annual |
Ticker Symbol | LEXEA | Meeting Date | 19-Jun-2018 |
ISIN | US53046P1093 | Agenda | 934812618 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|||
1. | A proposal to ratify the selection of KPMG LLP as our independent auditors for the fiscal year ending December 31, 2018. | Management | For | For | |||
2. | DIRECTOR | Management | |||||
1 | John C. Malone | For | For | ||||
2 | Stephen M. Brett | For | For | ||||
3 | Gregg L. Engles | For | For | ||||
4 | Scott W. Schoelzel | For | For | ||||
5 | Christopher W. Shean | For | For |
Page 70 of 74 | 30-Jul-2018 |
Investment Company Report
UNIVERSAL DISPLAY CORPORATION | |||
Security | 91347P105 | Meeting Type | Annual |
Ticker Symbol | OLED | Meeting Date | 21-Jun-2018 |
ISIN | US91347P1057 | Agenda | 934804534 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of director: Steven V. Abramson | Management | For | For | |
1b. | Election of director: Richard C. Elias | Management | For | For | |
1c. | Election of director: Elizabeth H. Gemmill | Management | For | For | |
1d. | Election of director: Rosemarie B. Greco | Management | For | For | |
1e. | Election of director: C. Keith Hartley | Management | For | For | |
1f. | Election of director: Lawrence Lacerte | Management | For | For | |
1g. | Election of director: Sidney D. Rosenblatt | Management | For | For | |
1h. | Election of director: Sherwin I. Seligsohn | Management | For | For | |
2. | Advisory resolution to approve compensation of the Company’s named executive officers. | Management | For | For | |
3. | Approval of an Amendment to the Company’s Amended and Restated Articles of Incorporation to increase the Company’s authorized shares of Capital Stock. | Management | For | For | |
4. | Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for 2018. | Management | For | For |
Page 71 of 74 | 30-Jul-2018 |
Investment Company Report
AON PLC | |||
Security | G0408V102 | Meeting Type | Annual |
Ticker Symbol | AON | Meeting Date | 22-Jun-2018 |
ISIN | GB00B5BT0K07 | Agenda | 934819624 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Re-election of Director: Lester B. Knight | Management | For | For | |
1b. | Re-election of Director: Gregory C. Case | Management | For | For | |
1c. | Re-election of Director: Jin-Yong Cai | Management | For | For | |
1d. | Re-election of Director: Jeffrey C. Campbell | Management | For | For | |
1e. | Re-election of Director: Fulvio Conti | Management | For | For | |
1f. | Re-election of Director: Cheryl A. Francis | Management | For | For | |
1g. | Re-election of Director: J. Michael Losh | Management | For | For | |
1h. | Re-election of Director: Richard B. Myers | Management | For | For | |
1i. | Re-election of Director: Richard C. Notebaert | Management | For | For | |
1j. | Re-election of Director: Gloria Santona | Management | For | For | |
1k. | Re-election of Director: Carolyn Y. Woo | Management | For | For | |
2. | Advisory vote to approve executive compensation. | Management | For | For | |
3. | Advisory vote to approve the directors’ remuneration report. | Management | For | For | |
4. | Receipt of Aon’s annual report and accounts, together with the reports of the directors and auditors, for the year ended December 31, 2017. | Management | For | For | |
5. | Ratification of the appointment of Ernst & Young LLP as Aon’s Independent Registered Public Accounting Firm. | Management | For | For | |
6. | Re-appointment of Ernst & Young LLP as Aon’s U.K. statutory auditor under the Companies Act of 2006. | Management | For | For | |
7. | Authorization of the Board of Directors to determine the remuneration of Aon’s U.K. statutory auditor. | Management | For | For | |
8. | Approval of forms of share repurchase contracts and repurchase counterparties. | Management | For | For | |
9. | Authorize the Board of Directors to exercise all powers of Aon to allot shares. | Management | For | For | |
10. | Authorize the Board of Directors to allot equity securities for cash without rights of preemption. | Management | For | For | |
11. | Authorize Aon and its subsidiaries to make political donations or expenditures. | Management | For | For |
Page 72 of 74 | 30-Jul-2018 |
Investment Company Report
KINDRED BIOSCIENCES, INC. | |||
Security | 494577109 | Meeting Type | Annual |
Ticker Symbol | KIN | Meeting Date | 22-Jun-2018 |
ISIN | US4945771099 | Agenda | 934810474 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|
1a. | Election of Director: Raymond Townsend, Pharm.D. | Management | For | For | |
1b. | Election of Director: Ervin Veszpremi | Management | For | For | |
2. | To approve the Kindred Biosciences, Inc. 2018 Equity Incentive Plan. | Management | For | For | |
3. | To approve an amendment to the Kindred Biosciences, Inc. 2014 Employee Stock Purchase Plan to increase the number of shares authorized for issuance by 300,000 shares. | Management | For | For | |
4. | To ratify the appointment of KMJ Corbin & Company LLP as our independent registered public accounting firm for the year ending December 31, 2018. | Management | For | For |
Page 73 of 74 | 30-Jul-2018 |
Investment Company Report
GCI LIBERTY, INC. | |||
Security | 36164V305 | Meeting Type | Annual |
Ticker Symbol | GLIBA | Meeting Date | 25-Jun-2018 |
ISIN | US36164V3050 | Agenda | 934834551 - Management |
Item | Proposal | Proposed by |
Vote | For/Against Management |
|||
1. | DIRECTOR | Management | |||||
1 | John C. Malone | For | For | ||||
2 | Gregory B. Maffei | For | For | ||||
3 | Ronald A. Duncan | For | For | ||||
4 | Gregg L. Engles | For | For | ||||
5 | Donne F. Fisher | For | For | ||||
6 | Richard R. Green | For | For | ||||
7 | Sue Ann Hamilton | For | For | ||||
2. | A proposal to ratify the selection of KPMG LLP as our independent auditors for the fiscal year ending December 31, 2018. | Management | For | For | |||
3. | A proposal to adopt the GCI Liberty, Inc. 2018 Omnibus Incentive Plan. | Management | For | For |
Page 74 of 74 | 30-Jul-2018 |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) General American Investors Company, Inc.
By (Signature and Title) | /s/ Jeffrey W. Priest |
Jeffrey W. Priest | |
President and Chief Executive Officer |
Date: August 2, 2018