npxfofi2014.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number: 811-04605

FIRST OPPORTUNITY FUND, INC.
 (Exact name of registrant as specified in charter)

Fund Administrative Services, LLC
 2344 Spruce Street, Suite A, Boulder, CO 80302
(Address of principal executive offices) (Zip code)

Fund Administrative Services, LLC
2344 Spruce Street, Suite A, Boulder, CO 80302
(Name and address of agent for service)

Registrant’s Telephone Number, including Area Code: (303) 444-5483

Date of fiscal year end: March 31

Date of reporting period: July 1, 2013 – June 30, 2014


Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 
 

 


Item 1. Proxy Voting Record

For Period July 1, 2013 to June 30, 2014
 
               
Matter
     
     
Shareholder
       
Proposed
   
For or
 
Ticker
 
Meeting
Record
Meeting
Proposal
 
by Issuer
Vote Cast
Vote
Against
Name of Issuer
Symbol
CUSIP
Date
Date
Type
Number
Description of Matter to be Voted On
or Holder
(Yes or Abstain)
(For or Against)
Management
                       
FREEPORT-MCMORAN COPPER & GOLD INC.
FCX
35671D857
7/16/2013
5/24/2013
Annual
1
Election of directors. Nominees:
       
             
1) RICHARD C. ADKERSON
Issuer
Yes
For
For
             
2) ROBERT J. ALLISON, JR.
Issuer
Yes
For
For
             
3) ALAN R. BUCKWALTER, III
Issuer
Yes
For
For
             
4) ROBERT A. DAY
Issuer
Yes
For
For
             
5) JAMES C. FLORES
Issuer
Yes
For
For
             
6) GERALD J. FORD
Issuer
Yes
For
For
             
7) THOMAS A. FRY, III
Issuer
Yes
For
For
             
8) H. DEVON GRAHAM, JR.
Issuer
Yes
For
For
             
9) CHARLES C. KRULAK
Issuer
Yes
For
For
             
10) BOBBY LEE LACKEY
Issuer
Yes
For
For
             
11) JON C. MADONNA
Issuer
Yes
For
For
             
12) DUSTAN E. MCCOY
Issuer
Yes
For
For
             
13) JAMES R. MOFFETT
Issuer
Yes
For
For
             
14) B.M. RANKIN, JR.
Issuer
Yes
For
For
             
15) STEPHEN H. SIEGELE
Issuer
Yes
For
For
           
2
APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
           
3
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
Issuer
Yes
For
For
           
4
STOCKHOLDER PROPOSAL REGARDING THE SELECTION OF A CANDIDATE WITH ENVIRONMENTAL EXPERTISE TO BE RECOMMENDED FOR ELECTION TO THE BOARD OF DIRECTORS.
Holder
Yes
Against
For
           
5
STOCKHOLDER PROPOSAL REGARDING THE REQUIREMENT THAT OUR CHAIRMAN OF THE BOARD OF DIRECTORS BE AN INDEPENDENT MEMBER OF THE BOARD OF DIRECTORS.
Holder
Yes
Against
For
           
6
STOCKHOLDER PROPOSAL REGARDING THE ADOPTION BY THE BOARD OF DIRECTORS OF A POLICY ON BOARD DIVERSITY.
Holder
Yes
Against
For
           
7
STOCKHOLDER PROPOSAL REGARDING THE AMENDMENT OF OUR BYLAWS TO PERMIT STOCKHOLDERS HOLDING 15% OF OUR OUTSTANDING COMMON STOCK TO CALL A SPECIAL MEETING OF STOCKHOLDERS.
Holder
Yes
For
Against
                       
INDEPENDENCE BANK
 
453838609
7/18/2013
 
Annual
1
Election of directors. Nominees:
       
             
1) CHARLES W. THOMAS
Issuer
Yes
For
For
             
2) DAN T. DANIELS
Issuer
Yes
For
For
             
3) ROGER A. DE YOUNG JR.
Issuer
Yes
For
For
             
4) ROGER K. DUERR
Issuer
Yes
For
For
             
5) DENNIS D. SLATTERY
Issuer
Yes
For
For
             
6) KENT G. SNYDER
Issuer
Yes
For
For
             
7) JAMES R. WILBURN
Issuer
Yes
For
For
           
2
TO RATIFY THE APPOINTMENT BY THE BOARD OF DIRECTORS OF VAVRINEK, TRINE, DAY & CO., LLP AS THE BANK'S INDEPENDENT PUBLIC ACCOUNTANT AND AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
Issuer
Yes
For
For
                       
FORETHOUGHT FINANCIAL GROUP, INC.
 
99Z011U3
7/25/2013
 
Annual
1
Election of directors. Nominees:
       
             
1) JANE BOISSEAU
Issuer
Yes
For
For
             
2) CHRISTINE DETRICK
Issuer
Yes
For
For
             
3) MICHAEL DELVIN II
Issuer
Yes
For
For
             
4) DAVIS FULKERSON
Issuer
Yes
For
For
             
5) JOHN GRAF
Issuer
Yes
For
For
             
6) KIRK HACHIGAN
Issuer
Yes
For
For
             
7) NICHOLAS RASMUSSEN
Issuer
Yes
For
For
           
2
TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT ACCOUNTING FIRM FOR 2013
Issuer
Yes
For
For
                       
OLD LINE BANCSHARES, INC.
  OLBK
67984M100
8/15/2013
6/25/2013
Annual
1
Election of directors. Nominees:
       
             
1) JAMES W. CORNELSEN*
Issuer
Yes
For
For
             
2) JAMES F. DENT*
Issuer
Yes
For
For
             
3) JEFFREY A. RIVEST*
Issuer
Yes
For
For
             
4) CARLA HARGROVE MCGILL*
Issuer
Yes
For
For
             
5) WILLIAM J. HARNETT#
Issuer
Yes
For
For
             
6) MICHAEL J. SULLIVAN#
Issuer
Yes
For
For
           
2
TO RATIFY THE APPOINTMENT OF DIXON HUGHES GOODMAN, LLP AS INDEPENDENT PUBLIC ACCOUNTANTS TO AUDIT THE FINANCIAL STATEMENTS OF OLD LINE BANCSHARES, INC. FOR 2013.
Issuer
Yes
For
For
           
3
TO APPROVE ARTICLES OF AMENDMENT TO OLD LINE BANCSHARES, INC.'S ARTICLES OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK, PAR VALUE $0.01 PER SHARE, FROM 15,000,000 SHARES TO 25,000,000 SHARES.
Issuer
Yes
For
For
           
4
TO APPROVE AN AMENDMENT TO THE OLD LINE BANCSHARES, INC. 2010 EQUITY INCENTIVE PLAN TO INCREASE BY 450,000 THE NUMBER OF SHARES OF COMMON STOCK ISSUABLE UNDER THE PLAN.
Issuer
Yes
For
For
           
5
TO APPROVE A NON-BINDING ADVISORY PROPOSAL TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
           
6
TO APPROVE A NON-BINDING ADVISORY PROPOSAL REGARDING THE FREQUENCY WITH WHICH STOCKHOLDERS SHOULD VOTE ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
Issuer
Yes
1 Year
For
                       
SI FINANCIAL GROUP, INC
  SIFI
78425V104
8/15/2013
5/31/2013
Annual
1
THE PROPOSAL TO APPROVE AND ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF MARCH 5, 2013, BY AND BETWEEN SI FINANCIAL GROUP, INC. AND NEWPORT BANCORP, INC., AND THE MERGER CONTEMPLATED THEREIN.
Issuer
Yes
For
For
           
2
THE PROPOSAL TO ADJOURN THE ANNUAL MEETING TO PERMIT THE FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE ANNUAL MEETING TO APPROVE THE AGREEMENT AND PLAN OF MERGER.
Issuer
Abstain
Abstain
Abstain
           
3
Election of directors. Nominees:
       
             
1) RHEO A. BROUILLARD
Issuer
Yes
For
For
             
2) ROGER ENGLE
Issuer
Yes
For
For
           
4
THE RATIFICATION OF THE APPOINTMENT OF WOLF & COMPANY, P.C. AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF SI FINANCIAL GROUP, INC. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
Issuer
Yes
For
For
           
5
THE APPROVAL OF A NON-BINDING RESOLUTION TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
                       
NEWPORT BANCORP, INC.
  NFSB
651754103
8/15/2013
6/7/2013
Annual
1
THE PROPOSAL TO APPROVE AND ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF MARCH 5, 2013, BY AND BETWEEN SI FINANCIAL GROUP, INC. AND NEWPORT BANCORP, INC., AND THE MERGER CONTEMPLATED THEREIN.
Issuer
Yes
For
For
           
2
THE PROPOSAL TO ADJOURN THE ANNUAL MEETING TO PERMIT THE FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE ANNUAL MEETING TO APPROVE THE AGREEMENT AND PLAN OF MERGER.
Issuer
Abstain
Abstain
Abstain
           
3
THE PROPOSAL TO APPROVE THE NON-BINDING, ADVISORY RESOLUTION APPROVING THE COMPENSATION PAYABLE TO THE NAMED EXECUTIVE OFFICERS OF THE COMPANY IN CONNECTION WITH THE MERGER.
Issuer
Yes
For
For
           
4
Election of directors. Nominees:
       
             
1) WILLIAM R. HARVEY
Issuer
Yes
For
For
             
2) KEVIN M. MCCARTHY
Issuer
Yes
For
For
           
5
THE RATIFICATION OF THE APPOINTMENT OF WOLF & COMPANY, P.C. AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF NEWPORT BANCORP, INC. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
Issuer
Yes
For
For
           
6
A NON-BINDING, ADVISORY RESOLUTION TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
           
7
AN ADVISORY, NON-BINDING VOTE REGARDING THE FREQUENCY OF VOTING ON OUR EXECUTIVE COMPENSATION.
Issuer
Yes
1 Year
For
                       
ENTERPRISE PRODUCTS PARTNERS L.P.
EPD
293792107
9/30/2013
8/19/2013
Special
1
PROPOSAL TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE 2008 ENTERPRISE PRODUCTS LONG-TERM INCENTIVE PLAN.
Issuer
No
NA
NA
           
2
PROPOSAL TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE EPD UNIT PURCHASE PLAN.
Issuer
No
NA
NA
                       
EAGLE BANCORP MONTANA, INC.
EBMT
26942G100
10/24/2013
9/6/2013
Annual
1
Election of directors. Nominees:
       
             
1) RICK F. HAYS
Issuer
Yes
For
For
             
2) PETER J. JOHNSON
Issuer
Yes
For
For
             
3) MAUREEN J. RUDE
Issuer
Yes
For
For
           
2
ADVISORY VOTE ON NAMED EXECUTIVE OFFICER COMPENSATION AS DISCLOSED IN THE PROXY STATEMENT.
Issuer
Yes
For
For
           
3
ADVISORY VOTE ON THE FREQUENCY OF ADVISORY VOTE ON NAMED EXECUTIVE OFFICER COMPENSATION.
Issuer
Yes
1 Year
Against
           
4
RATIFICATION OF THE APPOINTMENT OF DAVIS, KINARD & CO., P.C. AS EAGLE BANCORP MONTANA, INC.'S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JUNE 30, 2014.
Issuer
Yes
For
For
                       
HARRIS CORPORATION
HRS
413875105
10/25/2013
8/30/2013
Annual
1
Election of directors. Nominees:
       
             
1) WILLIAM M. BROWN
Issuer
Yes
For
For
             
2) PETER W. CHIARELLI
Issuer
Yes
For
For
             
3) THOMAS A. DATTILO
Issuer
Yes
For
For
             
4) TERRY D. GROWCOCK
Issuer
Yes
For
For
             
5) LEWIS HAY III
Issuer
Yes
For
For
             
6) VYOMESH I. JOSHI
Issuer
Yes
For
For
             
7) KAREN KATEN
Issuer
Yes
For
For
             
8) STEPHEN P. KAUFMAN
Issuer
Yes
For
For
             
9) LESLIE F. KENNE
Issuer
Yes
For
For
             
10) DAVID B. RICKARD
Issuer
Yes
For
For
             
11) DR. JAMES C. STOFFEL
Issuer
Yes
For
For
             
12) GREGORY T. SWIENTON
Issuer
Yes
For
For
             
13) HANSEL E. TOOKES II
Issuer
Yes
For
For
           
2
ADVISORY VOTE TO APPROVE THE COMPENSATION OF NAMED EXECUTIVE OFFICERS AS DISCLOSED IN PROXY STATEMENT.
Issuer
Yes
For
For
           
3
RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014.
Issuer
Yes
For
For
                       
CFS BANCORP, INC.
CITZ
12525D102
10/29/2013
9/20/2013
Special
1
TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE THE AGREEMENT OF REORGANIZATION AND MERGER DATED MAY 13, 2013 BETWEEN FIRST MERCHANTS CORPORATION AND CFS, AND TO APPROVE THE TRANSACTIONS CONTEMPLATED THEREBY (THE "CFS MERGER PROPOSAL").
Issuer
Yes
For
For
           
2
TO APPROVE ONE OR MORE ADJOURNMENTS OF THE CFS SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE CFS MERGER PROPOSAL.
Issuer
Abstain
Abstain
Abstain
           
3
TO APPROVE, IN A NON-BINDING ADVISORY VOTE, THE COMPENSATION PAYABLE TO CFS' NAMED EXECUTIVE OFFICERS IN CONNECTION WITH THE CFS MERGER PROPOSAL.
Issuer
Yes
For
For
                       
ROYAL FINANCIAL, INC.
RYFL
78027P109
10/29/2013
8/30/2013
Annual
1
Election of directors. Nominees:
       
             
1) JOHN T. DEMPSEY
Issuer
Yes
For
For
             
2) LEONARD SZWAJKOWSKI
Issuer
Yes
For
For
           
2
PROPOSAL TO RATIFY THE APPOINTMENT OF CROWE HORWATH LLP AS THE COMPANY'S INDEPENDENT ACCOUNTANTS FOR THE FISCAL YEAR ENDING JUNE 30, 2014.
Issuer
Yes
For
For
                       
ORACLE CORPORATION
ORCL
68389X105
10/31/2013
9/3/2013
Annual
1
Election of directors. Nominees:
       
             
1) JEFFREY S. BERG
Issuer
Yes
For
For
             
2) H. RAYMOND BINGHAM
Issuer
Yes
For
For
             
3) MICHAEL J. BOSKIN
Issuer
Yes
For
For
             
4) SAFRA A. CATZ
Issuer
Yes
For
For
             
5) BRUCE R. CHIZEN
Issuer
Yes
For
For
             
6) GEORGE H. CONRADES
Issuer
Yes
For
For
             
7) LAWRENCE J. ELLISON
Issuer
Yes
For
For
             
8) HECTOR GARCIA-MOLINA
Issuer
Yes
For
For
             
9) JEFFREY O. HENLEY
Issuer
Yes
For
For
             
10) MARK V. HURD
Issuer
Yes
For
For
             
11) NAOMI O. SELIGMAN
Issuer
Yes
For
For
           
2
ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.
Issuer
Yes
For
For
           
3
APPROVAL OF AMENDMENT TO THE LONG-TERM EQUITY INCENTIVE PLAN.
Issuer
Yes
For
For
           
4
RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014.
Issuer
Yes
For
For
           
5
STOCKHOLDER PROPOSAL REGARDING ESTABLISHING A BOARD COMMITTEE ON HUMAN RIGHTS.
Holder
Yes
Against
For
           
6
STOCKHOLDER PROPOSAL REGARDING INDEPENDENT BOARD CHAIRMAN.
Holder
Yes
Against
For
           
7
STOCKHOLDER PROPOSAL REGARDING VOTE TABULATION.
Holder
Yes
Against
For
           
8
STOCKHOLDER PROPOSAL REGARDING MULTIPLE PERFORMANCE METRICS.
Holder
Yes
Against
For
           
9
STOCKHOLDER PROPOSAL REGARDING QUANTIFIABLE PERFORMANCE METRICS.
Holder
Yes
Against
For
                       
HAMPDEN BANCORP, INC.
HBNK
40867E107
11/5/2013
9/16/2013
Annual
1
Election of directors. Nominees:
       
             
1) THOMAS R. BURTON
Issuer
Yes
For
For
             
2) ARLENE PUTNAM
Issuer
Yes
For
For
             
3) RICHARD D. SUSKI
Issuer
Yes
For
For
             
4) LINDA SILVA THOMPSON
Issuer
Yes
For
For
           
2
TO RATIFY THE APPOINTMENT OF WOLF & COMPANY, P.C. AS THE COMPANY'S INDEPENDENT AUDITORS FOR THE YEAR ENDING JUNE 30, 2014.
Issuer
Yes
For
For
           
3
TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED PURSUANT TO THE COMPENSATION DISCLOSURE RULES OF THE SECURITIES AND EXCHANGE COMMISSION.
Issuer
Yes
For
For
           
4
TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY OF HOLDING A VOTE ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
Issuer
Yes
1 Yr
For
           
5
IF PROPERLY PRESENTED AT ANNUAL MEETING, TO VOTE UPON A PROPOSAL SUBMITTED BY A SHAREHOLDER OF COMPANY REQUESTING THAT THE BOARD EXPLORE AVENUES TO ENHANCE SHAREHOLDER VALUE THROUGH AN EXTRA-ORDINARY TRANSACTION (DEFINED HERE AS A TRANSACTION NOT IN ORDINARY COURSE OF BUSINESS OPERATIONS) INCLUDING, BUT NOT LIMITED TO, SELLING OR MERGING COMPANY WITH ANOTHER INSTITUTION.
Holder
Yes
For
Against
                       
CISCO SYSTEMS, INC.
CSCO
17275R102
11/19/2013
9/20/2013
Annual
1
Election of directors. Nominees:
       
             
1) CAROL A. BARTZ
Issuer
Yes
For
For
             
2) MARC BENIOFF
Issuer
Yes
For
For
             
3) GREGORY Q. BROWN
Issuer
Yes
For
For
             
4) M. MICHELE BURNS
Issuer
Yes
For
For
             
5) MICHAEL D. CAPELLAS
Issuer
Yes
For
For
             
6) JOHN T. CHAMBERS
Issuer
Yes
For
For
             
7) BRIAN L. HALLA
Issuer
Yes
For
For
             
8) DR. JOHN L. HENNESSY
Issuer
Yes
For
For
             
9) DR. KRISTINA M. JOHNSON
Issuer
Yes
For
For
             
10) RODERICK C. MCGEARY
Issuer
Yes
For
For
             
11) ARUN SARIN
Issuer
Yes
For
For
             
12) STEVEN M. WEST
Issuer
Yes
For
For
           
2
APPROVAL OF AMENDMENT AND RESTATEMENT OF THE 2005 STOCK INCENTIVE PLAN.
Issuer
Yes
For
For
           
3
APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION.
Issuer
Yes
For
For
           
4
RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS CISCO'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2014.
Issuer
Yes
For
For
           
5
APPROVAL TO HAVE CISCO HOLD A COMPETITION FOR GIVING PUBLIC ADVICE ON THE VOTING ITEMS IN THE PROXY FILING FOR CISCO'S 2014 ANNUAL SHAREOWNERS MEETING.
Holder
Yes
Against
For
                       
HF FINANCIAL CORP.
HFFC
404172108
11/21/2013
9/25/2013
Annual
1
Election of directors. Nominees:
       
             
1) JAMES W. ABBOTT
Issuer
Yes
For
For
             
2) ROBERT L. HANSON
Issuer
Yes
For
For
           
2
NON-BINDING STOCKHOLDER APPROVAL OF THE NAMED EXECUTIVE OFFICER COMPENSATION.
Issuer
Yes
For
For
           
3
ADVISORY VOTE ON THE FREQUENCY OF THE NON-BINDING RESOLUTION TO APPROVE OUR NAMED EXECUTIVE OFFICER COMPENSATION.
Issuer
Yes
1 Yr
For
           
4
TO RATIFY THE APPOINTMENT OF EIDE BAILLY, LLP AS THE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2014.
Issuer
Yes
For
For
                       
AUBURN BANCORP, INC.
ABBB
50254101
11/26/2013
10/1/2013
Annual
1
Election of directors. Nominees:
       
             
1) BONNIE G. ADAMS
Issuer
Yes
For
For
             
2) CLAIRE D. THOMPSON
Issuer
Yes
For
For
           
2
THE RATIFICATION OF BERRY DUNN AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2013.
Issuer
Yes
For
For
                       
DREYFUS TREASURY & AGENCY CASH MANAGEMENT
DTRXX
261908107
12/6/2013
10/11/2013
Special
1
Election of directors. Nominees:
       
             
1) GORDON J. DAVIS
Issuer
Yes
For
For
             
2) WHITNEY I. GERARD
Issuer
Yes
For
For
             
3) ROBIN A. MELVIN
Issuer
Yes
For
For
             
4) NATHAN LEVENTHAL
Issuer
Yes
For
For
             
5) ROSLYN M. WATSON
Issuer
Yes
For
For
                       
LINN ENERGY, LLC
LINE
536020100
12/16/2013
11/14/2013
Annual
1
Election of directors. Nominees:
       
             
1) GEORGE A. ALCORN
Issuer
Yes
For
For
             
2) DAVID D. DUNLAP
Issuer
Yes
For
For
             
3) MARK E. ELLIS
Issuer
Yes
For
For
             
4) MICHAEL C. LINN
Issuer
Yes
For
For
             
5) JOSEPH P. MCCOY
Issuer
Yes
For
For
             
6) JEFFREY C. SWOVELAND
Issuer
Yes
For
For
           
2
RATIFICATION OF THE SELECTION OF KPMG LLP AS INDEPENDENT PUBLIC ACCOUNTANT FOR LINN FOR 2013.
Issuer
Yes
For
For
           
3
APPROVAL OF THE ISSUANCE OF LINN UNITS TO LINNCO, LLC ("LINNCO") IN EXCHANGE FOR THE CONTRIBUTION OF BERRY PETROLEUM COMPANY ("BERRY") TO LINN PURSUANT TO THE TRANSACTIONS CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER, DATED AS OF FEBRUARY 20, 2013, AS AMENDED BY AMENDMENT NO. 1 TO AGREEMENT AND PLAN OF MERGER, DATED AS OF NOVEMBER 3, 2013, AND AMENDMENT NO. 2 TO AGREEMENT AND PLAN OF MERGER, DATED AS OF NOVEMBER 13, 2013, BY AND AMONG BERRY, BACCHUS HOLDCO, INC., A DIRECT WHOLLY OWNED SUBSIDIARY OF BERRY ("HOLDCO"), BACCHUS MERGER SUB, INC., A DIRECT WHOLLY OWNED SUBSIDIARY OF HOLDCO, LINNCO, LINN ACQUISITION COMPANY, LLC, A DIRECT WHOLLY OWNED SUBSIDIARY OF LINNCO, AND LINN, AS SUCH AGREEMENT MAY BE AMENDED FROM TIME TO TIME (THE "MERGER AGREEMENT") AND THE CONTRIBUTION AGREEMENT DATED FEBRUARY 20, 2013, AS AMENDED BY AMENDMENT NO. 1 TO CONTRIBUTION AGREEMENT, DATED AS OF NOVEMBER 3, 2013 BY AND BETWEEN LINNCO AND LINN.
Issuer
Yes
For
For
           
4
APPROVAL OF AN AMENDMENT AND RESTATEMENT OF THE LINN ENERGY, LLC AMENDED AND RESTATED LONG-TERM INCENTIVE PLAN (THE "LTIP"), WHICH INCREASES THE TOTAL NUMBER OF LINN UNITS AUTHORIZED TO BE ISSUED UNDER THE LTIP FROM 12,200,000 UNITS TO 21,000,000 UNITS.
Issuer
Yes
For
For
           
5
APPROVAL OF ANY ADJOURNMENT OF THE LINN ANNUAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF ALL OF THE PROPOSALS VOTED ON BY THE LINN UNITHOLDERS AT THE LINN ANNUAL MEETING.
Issuer
Abstain
Abstain
Abstain
                       
PERPETUAL FEDERAL SAVINGS BANK
  PFOH
714273109
1/22/2014
11/27/2013
Annual
1
Election of Directors. Nominees:
       
             
1) C. EDWARD STOCKSDALE*
Issuer
Yes
For
For
             
2) CHARLES L. SWEETING*
Issuer
Yes
For
For
             
3) DAVID P. VERNON*
Issuer
Yes
For
For
             
4) M. TODD WOODRUFF#
Issuer
Yes
For
For
                       
INDEPENDENCE BANK
 
453838609
1/23/2014
 
Special
1
TO APPROVE THE PRINCIPAL TERMS OF THE MERGER, AS DESCRIBED IN THE PLAN AND AGREEMENT OF MERGER DATED NOVEMBER 4, 2013, AS AMENDED ON NOVEMBER 26, 2013.
Issuer
Yes
For
For
           
2
TO APPROVE AN AMENDMENT TO THE ARTICLES OF INCORPORATION OF INDY TO AUTHORIZE UP TO 1,000,000 SHARES OF PREFERRED STOCK.
Issuer
Yes
For
For
           
3
TO APPROVE THE ADJOURNMENT OR POSTPONEMENT OF THE SHAREHOLDDER MEETING TO A LATER DATE OR DATES IF NECESSARY TO SOLICIT ADDITIONAL PROXIES.
Issuer
Abstain
Abstain
Abstain
                       
MALVERN BANCORP INC.
  MLVF
561409103
2/6/2014
12/18/2013
Annual
1
Election of Directors. Nominees:
       
             
1) GEORGE E. STEINMETZ*
Issuer
Yes
For
For
             
2) STEPHEN P. SCARTOZZI*
Issuer
Yes
For
For
             
3) JOHN O'GRADY*
Issuer
Yes
For
For
             
4) RALPH K. PACKARD#
Issuer
Yes
For
For
           
2
PROPOSAL TO ADOPT A NON-BINDING RESOLUTION TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
           
3
PROPOSAL TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS MALVERN BANCORP'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2014.
Issuer
Yes
For
For
                       
SQUARE 1 FINANCIAL
 
90SQF1991
2/4/2014
 
Special
1
APPROVAL OF THE AMENDMENT OF THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF CLASS A COMMON STOCK.
Issuer
Yes
For
For
           
2
APPROVAL OF THE AMENDMENT OF THE SQUARE 1 FINANCIAL, INC. 2009 STOCK INCENTIVE PLAN TO INCREASE THE NUMBER OF SHARES RESERVED FOR THE ISSUANCE OF EQUITY COMPENSATION AWARDS.
Issuer
Yes
For
For
                       
SOUTH STREET SECURITIES HOLDINGS, INC.
 
999C144A
4/16/2014
3/1/2014
Annual
1
AMENDMENT TO THE CERTIFICATE OF INCORPORATION AND BYLAWS.
Issuer
Yes
Against
Against
           
2
Election of Directors. Nominees:
       
             
1) KARSTEN BERLAGE
Issuer
Yes
For
For
             
2) ART CERTOSIMO
Issuer
Yes
For
For
           
3
RATIFY APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS FOR FISCAL YEAR 2014.
Issuer
Yes
For
For
           
4
IN THEIR DISCRETION, ON ANY OTHER MATTERS THAT MAY PROPERLY COME BEFORE THE MEETING.
Issuer
Abstain
Abstain
Abstain
                       
RMR REAL ESTATE INCOME FUND
RIF
76970B101
4/23/2014
2/14/2014
Annual
1
ELECTION OF CLASS I TRUSTEE: JOHN L. HARRINGTON
Issuer
Yes
For
For
           
2
IN THEIR DISCRETION, THE PROXY HOLDERS ARE AUTHORIZED TO VOTE AND OTHERWISE REPRESENT THE UNDERSIGNED ON SUCH OTHER MATTERS AS MAY PROPERLY COME BEFORE THE ANNUAL MEETING OR AT ANY ADJOURNMENTS, POSTPONEMENTS OR DELAYS THEREOF.
Issuer
NA
NA
NA
                       
CITIZENS & NORTHERN CORPORATION
CZNC
172922106
4/17/2014
2/13/2014
Annual
1
Election of Directors. Nominees:
       
             
1) DENNIS F. BEARDSLEE
Issuer
Yes
For
For
             
2) JAN E. FISHER
Issuer
Yes
For
For
             
3) ANN M. TYLER
Issuer
Yes
For
For
           
2
TO APPROVE, IN AN ADVISORY (NON-BINDING) VOTE, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT.
Issuer
Yes
For
For
           
3
RATIFICATION OF THE APPOINTMENT OF THE FIRM OF PARENTEBEARD LLC AS INDEPENDENT AUDITORS.
Issuer
Yes
For
For
                       
LINN ENERGY, LLC
LINE
536020100
4/22/2014
3/3/2014
Annual
1
Election of Directors. Nominees:
       
             
1) MARK E. ELLIS
Issuer
Yes
For
For
             
2) DAVID D. DUNLAP
Issuer
Yes
For
For
             
3) STEPHEN J. HADDEN
Issuer
Yes
For
For
             
4) MICHAEL C. LINN
Issuer
Yes
For
For
             
5) JOSEPH P. MCCOY
Issuer
Yes
For
For
             
6) JEFFREY C. SWOVELAND
Issuer
Yes
For
For
           
2
TO RATIFY THE APPOINTMENT OF KPMG LLP AS INDEPENDENT PUBLIC ACCOUNTANT OF LINN FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014.
Issuer
Yes
For
For
           
3
TO PROVIDE A NON-BINDING ADVISORY VOTE APPROVING LINN'S EXECUTIVE COMPENSATION PROGRAM.
Issuer
Yes
For
For
                       
RIVER VALLEY BANCORP
RIVR
768475105
4/16/2014
2/21/2014
Annual
1
Election of Directors. Nominees:
       
             
1) MICHAEL J. HENSLEY
Issuer
Yes
For
For
             
2) L.S. LIVERS, M.S., R.D.
Issuer
Yes
For
For
           
2
PROPOSAL TO APPROVE THE RIVER VALLEY BANCORP 2014 STOCK OPTION AND INCENTIVE PLAN
Issuer
Yes
For
For
           
3
APPROVAL AND RATIFICATION OF THE APPOINTMENT OF BKD, LLP AS AUDITORS FOR RIVER VALLEY BANCORP FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014.
Issuer
Yes
For
For
           
4
APPROVAL, ON AN ADVISORY BASIS, OF THE EXECUTIVE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS INCLUDED IN THE PROXY STATEMENT FOR THE ANNUAL MEETING.
Issuer
Yes
For
For
                       
SOUTHERN NATIONAL BANCORP OF VA, INC.
SONA
843395104
4/24/2014
3/4/2014
Annual
1
Election of Directors. Nominees:
       
             
1) FREDERICK L. BOLLERER
Issuer
Yes
For
For
             
2) NEIL J. CALL
Issuer
Yes
For
For
             
3) JOHN J. FORCH
Issuer
Yes
For
For
           
2
RATIFICATION OF THE APPOINTMENT OF DIXON HUGHES GOODMAN LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014.
Issuer
Yes
For
For
           
3
APPROVAL OF AN ADVISORY (NON-BINDING) PROPOSAL ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
                       
JOHNSON & JOHNSON
JNJ
478160104
4/24/2014
2/25/2014
Annual
1
Election of Directors. Nominees:
       
             
1) MARY SUE COLEMAN
Issuer
Yes
For
For
             
2) JAMES G. CULLEN
Issuer
Yes
For
For
             
3) IAN E. L. DAVIS
Issuer
Yes
For
For
             
4) ALEX GORSKY
Issuer
Yes
For
For
             
5) SUSAN L. LINDQUIST
Issuer
Yes
For
For
             
6) MARK B. MCCLELLAN
Issuer
Yes
For
For
             
7) ANNE M. MULCAHY
Issuer
Yes
For
For
             
8) LEO F. MULLIN
Issuer
Yes
For
For
             
9) WILLIAM D. PEREZ
Issuer
Yes
For
For
             
10) CHARLES PRINCE
Issuer
Yes
For
For
             
11) A. EUGENE WASHINGTON
Issuer
Yes
For
For
             
12) RONALD A. WILLIAMS
Issuer
Yes
For
For
           
2
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION
Issuer
Yes
For
For
           
3
RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014
Issuer
Yes
For
For
           
4
SHAREHOLDER PROPOSAL - EXECUTIVES TO RETAIN SIGNIFICANT STOCK
Holder
Yes
Against
For
                       
COHEN & STEERS INFRASTRUCTURE FUND, INC.
UTF
19248A109
4/24/2014
2/21/2014
Annual
1
Election of Directors. Nominees:
       
             
1) BONNIE COHEN
Issuer
Yes
For
For
             
2) MICHAEL CLARK
Issuer
Yes
For
For
             
3) RICHARD E. KROON
Issuer
Yes
For
For
                       
INTERNATIONAL BUSINESS MACHINES CORP.
IBM
459200101
4/29/2014
2/28/2014
Annual
1
Election of Directors. Nominees:
       
             
1) A.J.P. BELDA
Issuer
Yes
For
For
             
2) W.R. BRODY
Issuer
Yes
For
For
             
3) K.I. CHENAULT
Issuer
Yes
For
For
             
4) M.L. ESKEW
Issuer
Yes
For
For
             
5) D.N. FARR
Issuer
Yes
For
For
             
6) S.A. JACKSON
Issuer
Yes
For
For
             
7) A.N. LIVERIS
Issuer
Yes
For
For
             
8) W.J. MCNERNEY, JR.
Issuer
Yes
For
For
             
9) J.W. OWENS
Issuer
Yes
For
For
             
10) V.M. ROMETTY
Issuer
Yes
For
For
             
11) J.E. SPERO
Issuer
Yes
For
For
             
12) S. TAUREL
Issuer
Yes
For
For
             
13) L.H. ZAMBRANO
Issuer
Yes
For
For
           
2
RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM (PAGE 71)
Issuer
Yes
For
For
           
3
ADVISORY VOTE ON EXECUTIVE COMPENSATION (PAGE 72)
Issuer
Yes
For
For
           
4
APPROVAL OF LONG-TERM INCENTIVE PERFORMANCE TERMS FOR CERTAIN EXECUTIVES PURSUANT TO SECTION 162(M) OF THE INTERNAL REVENUE CODE (PAGE 73)
Issuer
Yes
For
For
           
5
ADOPTION OF THE IBM 2014 EMPLOYEES STOCK PURCHASE PLAN ((PAGE 76)
Issuer
Yes
For
For
           
6
STOCKHOLDER PROPOSAL FOR DISCLOSURE OF LOBBYING POLICIES AND PRACTICES ((PAGE 78)
Holder
Yes
Against
For
           
7
STOCKHOLDER PROPOSAL ON THE RIGHT TO ACT BY WRITTEN CONSENT (PAGE 79)
Holder
Yes
For
Against
           
8
STOCKHOLDER PROPOSAL TO LIMIT ACCELERATED EXECUTIVE PAY (PAGE 80)
Holder
Yes
For
Against
                       
WELLS FARGO & COMPANY
WFC
949746101
4/29/2014
3/4/2014
Annual
1
Election of Directors. Nominees:
       
             
1) JOHN D. BAKER II
Issuer
Yes
For
For
             
2) ELAINE L. CHAO
Issuer
Yes
For
For
             
3) JOHN S. CHEN
Issuer
Yes
For
For
             
4) LLOYD H. DEAN
Issuer
Yes
For
For
             
5) SUSAN E. ENGEL
Issuer
Yes
For
For
             
6) ENRIQUE HERNANDEZ, JR.
Issuer
Yes
For
For
             
7) DONALD M. JAMES
Issuer
Yes
For
For
             
8) CYNTHIA H. MILLIGAN
Issuer
Yes
For
For
             
9) FEDERICO F. PENA
Issuer
Yes
For
For
             
10) JAMES H. QUIGLEY
Issuer
Yes
For
For
             
11) JUDITH M. RUNSTAD
Issuer
Yes
For
For
             
12) STEPHEN W. SANGER
Issuer
Yes
For
For
             
13) JOHN G. STUMPF
Issuer
Yes
For
For
             
14) SUSAN G. SWENSON
Issuer
Yes
For
For
           
2
VOTE ON AN ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION.
Issuer
Yes
For
For
           
3
RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.
Issuer
Yes
For
For
           
4
ADOPT A POLICY TO REQUIRE AN INDEPENDENT CHAIRMAN.
Holder
Yes
Against
For
           
5
REVIEW AND REPORT ON INTERNAL CONTROLS OVER THE COMPANY'S MORTGAGE SERVICING AND FORECLOSURE PRACTICES.
Holder
Yes
Against
For
                       
REPUBLIC FIRST BANCORP, INC.
FRBK
760416107
4/29/2014
3/17/2014
Annual
1
Election of Directors. Nominees:
       
             
1) HARRY D. MADONNA
Issuer
Yes
For
For
             
2) BRIAN P. TIERNEY
Issuer
Yes
For
For
           
2
APPROVAL OF THE 2014 REPUBLIC FIRST BANCORP, INC. EQUITY INCENTIVE PLAN.
Issuer
Yes
Against
Against
           
3
RATIFICATION OF THE APPOINTMENT OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014.
Issuer
Yes
For
For
                       
VALLEY COMMERCE BANCORP
VCBP
919518100
4/29/2014
3/14/2014
Annual
1
Election of Directors. Nominees:
       
             
1) WALTER A. DWELLE
Issuer
Yes
For
For
             
2) DONALD A. GILLES
Issuer
Yes
For
For
             
3) PHILIP R. HAMMON, JR.
Issuer
Yes
For
For
             
4) RUSSELL F. HURLEY
Issuer
Yes
For
For
             
5) FRED P. LOBUE, JR.
Issuer
Yes
For
For
             
6) KENNETH H. MACKLIN
Issuer
Yes
For
For
             
7) BARRY R. SMITH
Issuer
Yes
For
For
             
8) ALLAN W. STONE
Issuer
Yes
For
For
             
TO RATIFY THE BOARD OF DIRECTORS' SELECTION OF CROWE HORWATH, LLP, INDEPENDENT PUBLIC ACCOUNTANTS, TO SERVE AS THE COMPANY'S AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014.
Issuer
Yes
For
For
                       
XENITH BANKSHARES, INC.
XBKS
 98410X105
5/1/2014
3/14/2014
Annual
1
Election of Directors. Nominees:
       
             
1) LARRY L. FELTON
Issuer
Yes
For
For
             
2) PALMER P. GARSON
Issuer
Yes
For
For
             
3) PATRICK D. HANLEY
Issuer
Yes
For
For
             
4) PETER C. JACKSON
Issuer
Yes
For
For
             
5) T. GAYLON LAYFIELD, III
Issuer
Yes
For
For
             
6) MICHAEL A. MANCUSI
Issuer
Yes
For
For
             
7) ROBERT J. MERRICK
Issuer
Yes
For
For
             
8) SCOTT A. REED
Issuer
Yes
For
For
             
9) MARK B. SISISKY
Issuer
Yes
For
For
             
10) THOMAS G. SNEAD, JR.
Issuer
Yes
For
For
           
2
APPROVAL OF THE XENITH BANKSHARES, INC. 2012 STOCK INCENTIVE PLAN, AS AMENDED.
Issuer
Yes
For
For
           
3
RATIFICATION OF THE APPOINTMENT OF GRANT THORNTON LLP AS THE INDEPENDENT PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014.
Issuer
Yes
For
For
           
4
ADVISORY VOTE ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
                       
OAK RIDGE FINANCIAL SERVICES, INC.
BKOR
671768109
5/1/2014
3/20/2014
Annual
1
Election of Directors. Nominees:
       
             
1) LYNDA J. ANDERSON*
Issuer
Yes
For
For
             
2) DOUGLAS G. BOIKE*
Issuer
Yes
For
For
             
3) BILLY R. KANOY*
Issuer
Yes
For
For
             
4) STEPHEN S. NEAL#
Issuer
Yes
For
For
             
5) THOMAS W. WAYNE#
Issuer
Yes
For
For
           
2
TO RATIFY THE APPOINTMENT OF ELLIOTT DAVIS, PLLC, AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014.
Issuer
Yes
For
For
                       
HOME BANCORP INC
HBCP
43689E107
5/6/2014
3/17/2014
Annual
1
Election of Directors. Nominees:
       
             
1) PAUL J. BLANCHET, III*
Issuer
Yes
For
For
             
2) MARC W. JUDICE*
Issuer
Yes
For
For
             
3) JOHN W. BORDELON#
Issuer
Yes
For
For
           
2
PROPOSAL TO APPROVE THE HOME BANCORP, INC. 2014 EQUITY INCENTIVE PLAN.
Issuer
Yes
For
For
           
3
PROPOSAL TO RATIFY THE APPOINTMENT OF PORTER KEADLE MOORE, LLC AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2014.
Issuer
Yes
For
For
                       
SANOFI
SNY
 80105N105
5/5/2014
3/27/2014
Annual
1
APPROVAL OF THE INDIVIDUAL COMPANY FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2013.
Issuer
No
NA
NA
           
2
APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2013.
Issuer
No
NA
NA
           
3
APPROPRIATION OF PROFITS; DECLARATION OF DIVIDEND.
Issuer
No
NA
NA
           
4
APPROVAL OF THE AGREEMENTS AND UNDERTAKINGS REFERRED TO IN ARTICLES L. 225-38 ET SEQ. OF THE FRENCH COMMERCIAL CODE.
Issuer
No
NA
NA
           
5
RENEWAL OF A DIRECTOR (CHRISTOPHER VIEHBACHER).
Issuer
No
NA
NA
           
6
RENEWAL OF A DIRECTOR (ROBERT CASTAIGNE)
No
   
           
7
RENEWAL OF A DIRECTOR (CHRISTIAN MULLIEZ).
Issuer
No
NA
NA
           
8
APPOINTMENT OF A DIRECTOR (PATRICK KRON).
Issuer
No
NA
NA
           
9
ADVISORY VOTE ON THE ELEMENTS OF COMPENSATION DUE OR GRANTED TO MR. SERGE WEINBERG, CHAIRMAN OF THE BOARD OF DIRECTORS.
Issuer
No
NA
NA
           
10
ADVISORY VOTE ON THE ELEMENTS OF COMPENSATION DUE OR GRANTED TO CHRISTOPHER VIEHBACHER, CHIEF EXECUTIVE OFFICER.
Issuer
No
NA
NA
           
11
AUTHORIZATION TO THE BOARD OF DIRECTORS TO CARRY OUT TRANSACTIONS IN SHARES ISSUED BY THE COMPANY.
Issuer
No
NA
NA
           
12
POWERS FOR FORMALITIES.
Issuer
No
NA
NA
                       
REPUBLIC SERVICES, INC.
RSG
760759100
5/8/2014
3/11/2014
Annual
1
Election of Directors. Nominees:
       
             
1) JAMES W. CROWNOVER
Issuer
Yes
For
For
             
2) TOMAGO COLLINS
Issuer
Yes
For
For
             
3) ANN E. DUNWOODY
Issuer
Yes
For
For
             
4) WILLIAM J. FLYNN
Issuer
Yes
For
For
             
5) MICHAEL LARSON
Issuer
Yes
For
For
             
6) W. LEE NUTTER
Issuer
Yes
For
For
             
7) RAMON A. RODRIGUEZ
Issuer
Yes
For
For
             
8) DONALD W. SLAGER
Issuer
Yes
For
For
             
9) ALLAN C. SORENSEN
Issuer
Yes
For
For
             
10) JOHN M. TRANI
Issuer
Yes
For
For
           
2
ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
           
3
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
Issuer
Yes
For
For
           
4
APPROVAL OF THE AMENDED AND RESTATED EXECUTIVE INCENTIVE PLAN.
Issuer
Yes
For
For
           
5
STOCKHOLDER PROPOSAL REGARDING PAYMENTS UPON THE DEATH OF A SENIOR EXECUTIVE.
Holder
Yes
Against
For
           
6
STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS AND EXPENDITURES.
Holder
Yes
Against
For
                       
PHILIP MORRIS INTERNATIONAL INC.
PM
718172109
5/7/2014
3/14/2014
Annual
1
Election of Directors. Nominees:
       
             
1) HAROLD BROWN
Issuer
Yes
For
For
             
2) ANDRE CALANTZOPOULOS
Issuer
Yes
For
For
             
3) LOUIS C. CAMILLERI
Issuer
Yes
For
For
             
4) JENNIFER LI
Issuer
Yes
For
For
             
5) SERGIO MARCHIONNE
Issuer
Yes
For
For
             
6) KALPANA MORPARIA
Issuer
Yes
For
For
             
7) LUCIO A. NOTO
Issuer
Yes
For
For
             
8) ROBERT B. POLET
Issuer
Yes
For
For
             
9) CARLOS SLIM HELU
Issuer
Yes
For
For
             
10) STEPHEN M. WOLF
Issuer
Yes
For
For
           
2
RATIFICATION OF THE SELECTION OF INDEPENDENT AUDITORS
Issuer
Yes
For
For
           
3
ADVISORY VOTE APPROVING EXECUTIVE COMPENSATION
Issuer
Yes
For
For
           
4
SHAREHOLDER PROPOSAL 1 - LOBBYING
Holder
Yes
Against
For
           
5
SHAREHOLDER PROPOSAL 2 - ANIMAL TESTING
Holder
Yes
Against
For
                       
TOTAL S.A.
TOT
89151E109
5/16/2014
4/8/2014
Annual
1
APPROVAL OF FINANCIAL STATEMENTS OF THE PARENT COMPANY FOR THE 2013 FISCAL YEAR.
Issuer
Yes
For
For
           
2
APPROVAL OF CONSOLIDATED FINANCIAL STATEMENTS FOR THE 2013 FISCAL YEAR.
Issuer
Yes
For
For
           
3
ALLOCATION OF EARNINGS, DECLARATION OF DIVIDEND.
Issuer
Yes
For
For
           
4
AUTHORIZATION FOR THE BOARD OF DIRECTORS TO TRADE IN SHARES OF THE COMPANY.
Issuer
Yes
For
For
           
5
RENEWAL OF THE APPOINTMENT OF MS. PATRICIA BARBIZET AS A DIRECTOR.
Issuer
Yes
For
For
           
6
RENEWAL OF THE APPOINTMENT OF MS. MARIE-CHRISTINE COISNE-ROQUETTE AS A DIRECTOR.
Issuer
Yes
For
For
           
7
RENEWAL OF THE APPOINTMENT OF MR. PAUL DESMARAIS, JR AS A DIRECTOR.
Issuer
Yes
For
For
           
8
RENEWAL OF THE APPOINTMENT OF MS. BARBARA KUX AS A DIRECTOR.
Issuer
Yes
For
For
           
9
ADVISORY OPINION ON THE ELEMENTS OF COMPENSATION DUE OR GRANTED FOR FISCAL YEAR ENDED DECEMBER 31, 2013 TO MR. CHRISTOPHE DE MARGERIE, CHAIRMAN AND CHIEF EXECUTIVE OFFICER.
Issuer
Yes
For
For
           
10
DELEGATION OF AUTHORITY GRANTED TO THE BOARD OF DIRECTORS TO INCREASE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR ANY SECURITIES PROVIDING ACCESS TO THE COMPANY'S SHARE CAPITAL WHILE MAINTAINING SHAREHOLDERS' PREFERENTIAL SUBSCRIPTION RIGHTS OR BY CAPITALIZING PREMIUMS, RESERVES, SURPLUSES OR OTHER LINE ITEMS.
Issuer
Yes
For
For
           
11
DELEGATION OF AUTHORITY GRANTED TO THE BOARD OF DIRECTORS TO INCREASE SHARE CAPITAL BY ISSUING COMMON SHARES OR ANY SECURITIES PROVIDING ACCESS TO SHARE CAPITAL WITHOUT PREFERENTIAL SUBSCRIPTION RIGHTS.
Issuer
Yes
For
For
           
12
DELEGATION OF AUTHORITY GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE NUMBER OF SECURITIES TO BE ISSUED, IN THE EVENT OF SURPLUS DEMAND IN CASE OF SHARE CAPITAL INCREASE WITHOUT PREFERENTIAL SUBSCRIPTION RIGHTS.
Issuer
Yes
For
For
           
13
DELEGATION OF POWERS GRANTED TO THE BOARD OF DIRECTORS TO INCREASE SHARE CAPITAL BY ISSUING COMMON SHARES OR ANY SECURITIES PROVIDING ACCESS TO SHARE CAPITAL, IN PAYMENT OF SECURITIES THAT WOULD BE CONTRIBUTED TO THE COMPANY, WHICH ENTAILS SHAREHOLDERS' WAIVER OF THEIR PREEMPTIVE RIGHT TO SUBSCRIBE THE SHARES ISSUED TO REMUNERATE IN-KIND CONTRIBUTIONS.
Issuer
Yes
For
For
           
14
DELEGATION OF AUTHORITY GRANTED TO THE BOARD OF DIRECTORS TO INCREASE SHARE CAPITAL UNDER THE CONDITIONS PROVIDED IN ARTICLES L. 3332-18 AND FOLLOWING OF THE FRENCH LABOUR CODE, WHICH ENTAILS SHAREHOLDERS' WAIVER OF THEIR PREEMPTIVE RIGHT TO SUBSCRIBE THE SHARES ISSUED DUE TO THE SUBSCRIPTION OF SHARES BY GROUP EMPLOYEES.
Issuer
Yes
For
For
           
15
DELEGATION OF POWERS GRANTED TO THE BOARD OF DIRECTORS TO INCREASE SHARE CAPITAL RESERVED FOR CATEGORIES OF BENEFICIARIES IN A TRANSACTION RESERVED FOR EMPLOYEES WITHOUT PREFERENTIAL SUBSCRIPTION RIGHTS.
Issuer
Yes
For
For
           
16
AUTHORIZATION TO GRANT RESTRICTED SHARES OF THE COMPANY TO EMPLOYEES OF THE GROUP AS WELL AS TO EXECUTIVE DIRECTORS OF THE COMPANY OR OTHER COMPANIES OF THE GROUP, WHICH ENTAILS SHAREHOLDERS' WAIVER OF THEIR PREEMPTIVE RIGHT TO SUBSCRIBE THE SHARES ISSUED IN FAVOR OF THE BENEFICIARIES OF SUCH SHARE ALLOCATIONS.
Issuer
Yes
For
For
           
17
AMENDMENT OF ARTICLE 11 OF THE COMPANY'S ARTICLES OF ASSOCIATION TO DETERMINE THE APPOINTMENT PROCEDURES OF THE DIRECTOR(S) REPRESENTING EMPLOYEES PURSUANT TO THE FRENCH LAW OF JUNE 14, 2013, ON THE PROTECTION OF EMPLOYMENT AND TO INTEGRATE TECHNICAL CHANGES CONCERNING CERTAIN PROVISIONS REGARDING THE DIRECTORS REPRESENTING EMPLOYEE SHAREHOLDERS.
Issuer
Yes
For
For
           
18
AMENDMENT OF ARTICLE 12 OF THE COMPANY'S ARTICLES OF ASSOCIATION IN ORDER TO SET THE LIMIT ON THE AGE OF THE CHAIRMAN OF THE BOARD AT 70 YEARS.
Issuer
Yes
For
For
           
19
AMENDMENT OF ARTICLE 15 OF THE COMPANY'S ARTICLES OF ASSOCIATION IN ORDER TO SET THE LIMIT ON THE AGE OF THE PRESIDENT AT 67 YEARS.
Issuer
Yes
For
For
           
20
AMENDMENT OF ARTICLE 17 OF THE COMPANY'S ARTICLES OF ASSOCIATION FOR HARMONIZATION PURPOSES WITH THE FRENCH ORDER OF DECEMBER 9, 2010, IMPLEMENTING INTO FRENCH LEGISLATION THE EUROPEAN DIRECTIVE REGARDING THE RIGHT OF SHAREHOLDERS TO BE REPRESENTED AT SHAREHOLDERS' MEETINGS BY ANY PERSON OF THEIR CHOICE.
Issuer
Yes
For
For
           
21
CIRCULATION OF A QUARTERLY NEWSLETTER BY THE EMPLOYEE DIRECTORS AND THE DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS.
Holder
Yes
Against
For
           
22
COMPONENTS OF THE COMPENSATION OF EXECUTIVE DIRECTORS AND EMPLOYEES LINKED TO INDUSTRIAL SAFETY INDICATORS.
Holder
Yes
Against
For
           
23
EXPANSION OF INDIVIDUAL SHARE OWNERSHIP (LOYALTY DIVIDEND).
Holder
Yes
Against
For
           
24
INCLUSION OF EMPLOYEE DIRECTOR(S) IN THE BOARD OF DIRECTORS' ORGANIZATION (AMENDMENT OF PARAGRAPH 5, ARTICLE 12 OF THE ARTICLES OF ASSOCIATION TO PROVIDE FOR THE PARTICIPATION OF EMPLOYEE DIRECTORS IN ALL THE BOARD'S COMMITTEES).
Holder
Yes
Against
For
           
25
DISTRIBUTION OF ATTENDANCE FEES (AMENDMENT OF PARAGRAPH 7, ARTICLE 12 OF THE ARTICLES OF ASSOCIATION TO PROVIDE FOR A DISTRIBUTION OF ATTENDANCE FEES BASED ON THE ACTUAL TIME SPENT BY DIRECTORS AT BOARD MEETINGS).
Holder
Yes
Against
For
                       
FIRST MERCHANTS CORPORATION
FRME
3208171096
5/12/2014
3/4/2014
Annual
1
Election of Directors. Nominees:
       
             
1) RODERICK ENGLISH
Issuer
Yes
For
For
             
2) GARY J. LEHMAN
Issuer
Yes
For
For
             
3) JEAN L. WOJTOWICZ
Issuer
Yes
For
For
             
4) F. HOWARD HALDERMAN
Issuer
Yes
For
For
           
2
PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF FIRST MERCHANTS CORPORATION'S NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
           
3
PROPOSAL TO RATIFY THE APPOINTMENT OF THE FIRM BKD, LLP AS THE INDEPENDENT AUDITOR FOR 2014.
Issuer
Yes
For
For
                       
SI FINANCIAL GROUP, INC
SIFI
78425V104
5/14/2014
3/12/2014
Annual
1
Election of Directors. Nominees:
       
             
1) MARK D. ALLIOD
Issuer
Yes
For
For
             
2) MICHAEL R. GARVEY
Issuer
Yes
For
For
             
3) ROBERT O. GILLARD
Issuer
Yes
For
For
             
4) KATHLEEN A. NEALON
Issuer
Yes
For
For
           
2
THE RATIFICATION OF THE APPOINTMENT OF WOLF & COMPANY, P.C. AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF SI FINANCIAL GROUP, INC. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014.
Issuer
Yes
For
For
           
3
THE APPROVAL OF A NON-BINDING RESOLUTION TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS.
Issuer
Yes
For
For
                       
ALTRIA GROUP, INC.
MO
02209S103
5/14/2014
3/24/2014
Annual
1
Election of Directors. Nominees:
       
             
1) GERALD L. BALILES
Issuer
Yes
For
For
             
2) MARTIN J. BARRINGTON
Issuer
Yes
For
For
             
3) JOHN T. CASTEEN III
Issuer
Yes
For
For
             
4) DINYAR S. DEVITRE
Issuer
Yes
For
For
             
5) THOMAS F. FARRELL II
Issuer
Yes
For
For
             
6) THOMAS W. JONES
Issuer
Yes
For
For
             
7) DEBRA J. KELLY-ENNIS
Issuer
Yes
For
For
             
8) W. LEO KIELY III
Issuer
Yes
For
For
             
9) KATHRYN B. MCQUADE
Issuer
Yes
For
For
             
10) GEORGE MUNOZ
Issuer
Yes
For
For
             
11) NABIL Y. SAKKAB
Issuer
Yes
For
For
           
2
RATIFICATION OF THE SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Issuer
Yes
For
For
           
3
ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS
Issuer
Yes
For
For
           
4
SHAREHOLDER PROPOSAL - PREPARATION OF HEALTH EFFECT AND CESSATION MATERIALS FOR POOR AND LESS FORMALLY EDUCATED TOBACCO CONSUMERS
Holder
Yes
Against
For
           
5
SHAREHOLDER PROPOSAL - DISCLOSURE OF LOBBYING POLICIES AND PRACTICES
Holder
Yes
Against
For
                       
REDWOOD FINANCIAL, INC.
REDW
757903109
5/14/2014
3/14/2014
Annual
1
Election of Directors. Nominees:
       
             
1) JAMES P. TERSTEEG
Holder
Yes
For
For
             
2) J. SCOTT NELSON
Holder
Yes
For
For
           
2
TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE ANNUAL MEETING OR ANY ADJOURNMENTS OR POSTPONEMENTS THEREOF.
Holder
Abstain
Abstain
Abstain
                       
KOHL'S CORPORATION
KSS
500255104
5/15/2014
3/12/2014
Annual
1
Election of Directors. Nominees:
       
             
1) PETER BONEPARTH
Issuer
Yes
For
For
             
2) STEVEN A. BURD
Issuer
Yes
For
For
             
3) DALE E. JONES
Issuer
Yes
For
For
             
4) KEVIN MANSELL
Issuer
Yes
For
For
             
5) JOHN E. SCHLIFSKE
Issuer
Yes
For
For
             
6) FRANK V. SICA
Issuer
Yes
For
For
             
7) PETER M. SOMMERHAUSER
Issuer
Yes
For
For
             
8) STEPHANIE A. STREETER
Issuer
Yes
For
For