UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-04656
Ellsworth Growth
and Income Fund Ltd.
(Exact name of registrant as specified in charter)
One Corporate Center
Rye, New York 10580-1422
(Address of principal executive offices) (Zip code)
James A. Dinsmore
Gabelli Funds, LLC
One Corporate Center
Rye, New York 10580-1422
(Name and address of agent for service)
Registrant's telephone number, including area code: 1-800-422-3554
Date of fiscal year end: September 30
Date of reporting period: July 1, 2016 – June 30, 2017
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.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2016 TO JUNE 30, 2017
|
ProxyEdge Meeting Date Range: 07/01/2016 - 06/30/2017 Ellsworth Growth and Income Fund Ltd. |
Report Date: 07/01/2017 1 |
| Investment Company Report | |||||||||||||
| VODAFONE GROUP PLC | |||||||||||||
| Security | 92857W308 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | VOD | Meeting Date | 29-Jul-2016 | ||||||||||
| ISIN | US92857W3088 | Agenda | 934454947 - 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 2016 |
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 RE-ELECT NICK LAND AS A DIRECTOR | Management | For | For | |||||||||
| 12. | TO ELECT DAVID NISH AS A DIRECTOR IN ACCORDANCE WITH THE COMPANY'S ARTICLES OF ASSOCIATION |
Management | For | For | |||||||||
| 13. | TO RE-ELECT PHILIP YEA AS A DIRECTOR | Management | For | For | |||||||||
| 14. | TO DECLARE A FINAL DIVIDEND OF 7.77 PENCE PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2016 |
Management | For | For | |||||||||
| 15. | TO APPROVE THE REMUNERATION REPORT OF THE BOARD FOR THE YEAR ENDED 31 MARCH 2016 |
Management | For | For | |||||||||
| 16. | TO REAPPOINT PRICEWATERHOUSE COOPERS 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 | |||||||||
| 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 | For | For | |||||||||
| 23. | TO AUTHORISE THE COMPANY TO CALL GENERAL MEETINGS (OTHER THAN AGMS) ON 14 CLEAR DAYS' NOTICE (SPECIAL RESOLUTION) |
Management | Against | Against | |||||||||
| CONAGRA FOODS, INC. | |||||||||||||
| Security | 205887102 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | CAG | Meeting Date | 23-Sep-2016 | ||||||||||
| ISIN | US2058871029 | Agenda | 934467677 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | BRADLEY A. ALFORD | For | For | ||||||||||
| 2 | THOMAS K. BROWN | For | For | ||||||||||
| 3 | STEPHEN G. BUTLER | For | For | ||||||||||
| 4 | SEAN M. CONNOLLY | For | For | ||||||||||
| 5 | STEVEN F. GOLDSTONE | For | For | ||||||||||
| 6 | JOIE A. GREGOR | For | For | ||||||||||
| 7 | RAJIVE JOHRI | For | For | ||||||||||
| 8 | W.G. JURGENSEN | For | For | ||||||||||
| 9 | RICHARD H. LENNY | For | For | ||||||||||
| 10 | RUTH ANN MARSHALL | For | For | ||||||||||
| 11 | TIMOTHY R. MCLEVISH | For | For | ||||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF INDEPENDENT AUDITOR |
Management | For | For | |||||||||
| 3. | ADVISORY VOTE TO APPROVE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS |
Management | For | For | |||||||||
| OCLARO, INC. | |||||||||||||
| Security | 67555N206 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | OCLR | Meeting Date | 18-Nov-2016 | ||||||||||
| ISIN | US67555N2062 | Agenda | 934487869 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | KENDALL COWAN | For | For | ||||||||||
| 2 | JOEL A. SMITH III | For | For | ||||||||||
| 2. | TO APPROVE AN AMENDMENT TO THE FIFTH AMENDED AND RESTATED 2001 LONG-TERM STOCK INCENTIVE PLAN. |
Management | Against | Against | |||||||||
| 3. | TO APPROVE THE ADVISORY RESOLUTION APPROVING THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 4. | TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CURRENT FISCAL YEAR. |
Management | For | For | |||||||||
| MICROSOFT CORPORATION | |||||||||||||
| Security | 594918104 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | MSFT | Meeting Date | 30-Nov-2016 | ||||||||||
| ISIN | US5949181045 | Agenda | 934491224 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: WILLIAM H. GATES III | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: TERI L. LIST-STOLL | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: G. MASON MORFIT | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: SATYA NADELLA | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: CHARLES H. NOSKI | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: HELMUT PANKE | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: SANDRA E. PETERSON | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: CHARLES W. SCHARF | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: JOHN W. STANTON | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: JOHN W. THOMPSON | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: PADMASREE WARRIOR | Management | For | For | |||||||||
| 2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION |
Management | For | For | |||||||||
| 3. | RATIFICATION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT AUDITOR FOR FISCAL YEAR 2017 |
Management | For | For | |||||||||
| 4. | APPROVAL OF AMENDMENT TO OUR AMENDED AND RESTATED ARTICLES OF INCORPORATION |
Management | For | For | |||||||||
| 5. | APPROVAL OF FRENCH SUB PLAN UNDER THE 2001 STOCK PLAN |
Management | For | For | |||||||||
| 6. | SHAREHOLDER PROPOSAL - REQUESTING CERTAIN PROXY ACCESS BYLAW AMENDMENTS |
Shareholder | Abstain | Against | |||||||||
| SBA COMMUNICATIONS CORPORATION | |||||||||||||
| Security | 78388J106 | Meeting Type | Special | ||||||||||
| Ticker Symbol | SBAC | Meeting Date | 12-Jan-2017 | ||||||||||
| ISIN | US78388J1060 | Agenda | 934513575 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | PROPOSAL TO APPROVE THE AGREEMENT AND PLAN OF MERGER, DATED AS OF NOVEMBER 10, 2016, BETWEEN SBA COMMUNICATIONS CORPORATION AND SBA COMMUNICATIONS REIT CORPORATION, A WHOLLY-OWNED SUBSIDIARY OF SBA, WHICH IS BEING IMPLEMENTED IN CONNECTION WITH SBA'S ELECTION TO BE TAXED AS A REIT. ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). |
Management | For | For | |||||||||
| 2. | PROPOSAL TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING, IF NECESSARY, FOR FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE ORIGINALLY SCHEDULED TIME OF THE SPECIAL MEETING TO APPROVE PROPOSAL 1. |
Management | For | For | |||||||||
| THE WALT DISNEY COMPANY | |||||||||||||
| Security | 254687106 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | DIS | Meeting Date | 08-Mar-2017 | ||||||||||
| ISIN | US2546871060 | Agenda | 934523437 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: SUSAN E. ARNOLD | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: JOHN S. CHEN | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: JACK DORSEY | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: ROBERT A. IGER | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: MARIA ELENA LAGOMASINO |
Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: FRED H. LANGHAMMER | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: AYLWIN B. LEWIS | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: ROBERT W. MATSCHULLAT |
Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: MARK G. PARKER | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: SHERYL K. SANDBERG | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: ORIN C. SMITH | Management | For | For | |||||||||
| 2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S REGISTERED PUBLIC ACCOUNTANTS FOR 2017. |
Management | For | For | |||||||||
| 3. | TO APPROVE THE ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 4. | TO APPROVE HOLDING AN ADVISORY VOTE ON EXECUTIVE COMPENSATION EVERY ONE, TWO OR THREE YEARS, AS INDICATED. |
Management | 1 Year | For | |||||||||
| 5. | TO APPROVE THE SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL REPORT DISCLOSING INFORMATION REGARDING THE COMPANY'S LOBBYING POLICIES AND ACTIVITIES. |
Shareholder | Abstain | Against | |||||||||
| 6. | TO APPROVE THE SHAREHOLDER PROPOSAL REQUESTING THE BOARD TO AMEND THE COMPANY'S BYLAWS RELATING TO PROXY ACCESS TO INCREASE THE NUMBER OF PERMITTED NOMINEES, REMOVE THE LIMIT ON AGGREGATING SHARES TO MEET THE SHAREHOLDING REQUIREMENT, AND REMOVE THE LIMITATION ON RENOMINATION OF PERSONS BASED ON VOTES IN A PRIOR ELECTION. |
Shareholder | Abstain | Against | |||||||||
| CITIGROUP INC. | |||||||||||||
| Security | 172967424 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | C | Meeting Date | 25-Apr-2017 | ||||||||||
| ISIN | US1729674242 | Agenda | 934541904 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: MICHAEL L. CORBAT | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: ELLEN M. COSTELLO | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: DUNCAN P. HENNES | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: PETER B. HENRY | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: FRANZ B. HUMER | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: RENEE J. JAMES | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: EUGENE M. MCQUADE | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: MICHAEL E. O'NEILL | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: GARY M. REINER | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: ANTHONY M. SANTOMERO |
Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: DIANA L. TAYLOR | Management | For | For | |||||||||
| 1L. | ELECTION OF DIRECTOR: WILLIAM S. THOMPSON, JR. |
Management | For | For | |||||||||
| 1M. | ELECTION OF DIRECTOR: JAMES S. TURLEY | Management | For | For | |||||||||
| 1N. | ELECTION OF DIRECTOR: DEBORAH C. WRIGHT | Management | For | For | |||||||||
| 1O. | ELECTION OF DIRECTOR: ERNESTO ZEDILLO PONCE DE LEON |
Management | For | For | |||||||||
| 2. | PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS CITI'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017. |
Management | For | For | |||||||||
| 3. | ADVISORY VOTE TO APPROVE CITI'S 2016 EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 4. | ADVISORY VOTE TO APPROVE THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. |
Management | 1 Year | For | |||||||||
| 5. | STOCKHOLDER PROPOSAL REQUESTING A REPORT ON THE COMPANY'S POLICIES AND GOALS TO REDUCE THE GENDER PAY GAP. |
Shareholder | Abstain | Against | |||||||||
| 6. | STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD APPOINT A STOCKHOLDER VALUE COMMITTEE TO ADDRESS WHETHER THE DIVESTITURE OF ALL NON-CORE BANKING BUSINESS SEGMENTS WOULD ENHANCE SHAREHOLDER VALUE. |
Shareholder | Against | For | |||||||||
| 7. | STOCKHOLDER PROPOSAL REQUESTING A REPORT ON LOBBYING AND GRASSROOTS LOBBYING CONTRIBUTIONS. |
Shareholder | Against | For | |||||||||
| 8. | STOCKHOLDER PROPOSAL REQUESTING AN AMENDMENT TO THE GENERAL CLAWBACK POLICY TO PROVIDE THAT A SUBSTANTIAL PORTION OF ANNUAL TOTAL COMPENSATION OF EXECUTIVE OFFICERS SHALL BE DEFERRED AND FORFEITED, IN PART OR WHOLE, AT THE DISCRETION OF THE BOARD, TO HELP SATISFY ANY MONETARY PENALTY ASSOCIATED WITH A VIOLATION OF LAW. |
Shareholder | Against | For | |||||||||
| 9. | STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD ADOPT A POLICY PROHIBITING THE VESTING OF EQUITY-BASED AWARDS FOR SENIOR EXECUTIVES DUE TO A VOLUNTARY RESIGNATION TO ENTER GOVERNMENT SERVICE. |
Shareholder | Against | For | |||||||||
| WELLS FARGO & COMPANY | |||||||||||||
| Security | 949746101 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | WFC | Meeting Date | 25-Apr-2017 | ||||||||||
| ISIN | US9497461015 | Agenda | 934543314 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: JOHN D. BAKER II | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: JOHN S. CHEN | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: LLOYD H. DEAN | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: ELIZABETH A. DUKE | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR. |
Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: DONALD M. JAMES | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: CYNTHIA H. MILLIGAN | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: KAREN B. PEETZ | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: FEDERICO F. PENA | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: JAMES H. QUIGLEY | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: STEPHEN W. SANGER | Management | For | For | |||||||||
| 1L. | ELECTION OF DIRECTOR: RONALD L. SARGENT | Management | For | For | |||||||||
| 1M. | ELECTION OF DIRECTOR: TIMOTHY J. SLOAN | Management | For | For | |||||||||
| 1N. | ELECTION OF DIRECTOR: SUSAN G. SWENSON | Management | For | For | |||||||||
| 1O. | ELECTION OF DIRECTOR: SUZANNE M. VAUTRINOT | Management | For | For | |||||||||
| 2. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 3. | ADVISORY PROPOSAL ON THE FREQUENCY OF FUTURE ADVISORY VOTES TO APPROVE EXECUTIVE COMPENSATION. |
Management | 1 Year | For | |||||||||
| 4. | RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017. |
Management | For | For | |||||||||
| 5. | STOCKHOLDER PROPOSAL - RETAIL BANKING SALES PRACTICES REPORT. |
Shareholder | For | Against | |||||||||
| 6. | STOCKHOLDER PROPOSAL - CUMULATIVE VOTING. | Shareholder | Against | For | |||||||||
| 7. | STOCKHOLDER PROPOSAL - DIVESTING NON-CORE BUSINESS REPORT. |
Shareholder | Against | For | |||||||||
| 8. | STOCKHOLDER PROPOSAL - GENDER PAY EQUITY REPORT. |
Shareholder | Abstain | Against | |||||||||
| 9. | STOCKHOLDER PROPOSAL - LOBBYING REPORT. | Shareholder | Against | For | |||||||||
| 10. | STOCKHOLDER PROPOSAL - INDIGENOUS PEOPLES' RIGHTS POLICY. |
Shareholder | Abstain | Against | |||||||||
| GENERAL ELECTRIC COMPANY | |||||||||||||
| Security | 369604103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | GE | Meeting Date | 26-Apr-2017 | ||||||||||
| ISIN | US3696041033 | Agenda | 934541916 - 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: FRANCISCO D'SOUZA | Management | For | For | |||||||||
| A5 | ELECTION OF DIRECTOR: MARIJN E. DEKKERS | Management | For | For | |||||||||
| A6 | ELECTION OF DIRECTOR: PETER B. HENRY | Management | For | For | |||||||||
| A7 | ELECTION OF DIRECTOR: SUSAN J. HOCKFIELD | Management | For | For | |||||||||
| A8 | ELECTION OF DIRECTOR: JEFFREY R. IMMELT | Management | For | For | |||||||||
| A9 | ELECTION OF DIRECTOR: ANDREA JUNG | Management | For | For | |||||||||
| A10 | ELECTION OF DIRECTOR: ROBERT W. LANE | Management | For | For | |||||||||
| A11 | ELECTION OF DIRECTOR: RISA LAVIZZO-MOUREY | Management | For | For | |||||||||
| A12 | ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS | Management | For | For | |||||||||
| A13 | ELECTION OF DIRECTOR: LOWELL C. MCADAM | Management | For | For | |||||||||
| A14 | ELECTION OF DIRECTOR: STEVEN M. MOLLENKOPF | Management | For | For | |||||||||
| A15 | ELECTION OF DIRECTOR: JAMES J. MULVA | Management | For | For | |||||||||
| A16 | ELECTION OF DIRECTOR: JAMES E. ROHR | Management | For | For | |||||||||
| A17 | ELECTION OF DIRECTOR: MARY L. SCHAPIRO | Management | For | For | |||||||||
| A18 | ELECTION OF DIRECTOR: JAMES S. TISCH | Management | For | For | |||||||||
| B1 | ADVISORY APPROVAL OF OUR NAMED EXECUTIVES' COMPENSATION |
Management | For | For | |||||||||
| B2 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION |
Management | 1 Year | For | |||||||||
| B3 | APPROVAL OF GE'S 2007 LONG-TERM INCENTIVE PLAN AS AMENDED |
Management | For | For | |||||||||
| B4 | APPROVAL OF THE MATERIAL TERMS OF SENIOR OFFICER PERFORMANCE GOALS |
Management | For | For | |||||||||
| B5 | RATIFICATION OF KPMG AS INDEPENDENT AUDITOR FOR 2017 |
Management | For | For | |||||||||
| C1 | REPORT ON LOBBYING ACTIVITIES | Shareholder | Against | For | |||||||||
| C2 | REQUIRE THE CHAIRMAN OF THE BOARD TO BE INDEPENDENT |
Shareholder | Against | For | |||||||||
| C3 | ADOPT CUMULATIVE VOTING FOR DIRECTOR ELECTIONS |
Shareholder | Against | For | |||||||||
| C4 | REPORT ON CHARITABLE CONTRIBUTIONS | Shareholder | Against | For | |||||||||
| UNILEVER N.V. | |||||||||||||
| Security | 904784709 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | UN | Meeting Date | 26-Apr-2017 | ||||||||||
| ISIN | US9047847093 | Agenda | 934555915 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 2. | TO ADOPT THE ANNUAL ACCOUNTS AND APPROPRIATION OF THE PROFIT FOR THE 2016 FINANCIAL YEAR |
Management | For | For | |||||||||
| 3. | TO DISCHARGE THE EXECUTIVE DIRECTORS IN OFFICE IN THE 2016 FINANCIAL YEAR FOR THE FULFILMENT OF THEIR TASK |
Management | For | For | |||||||||
| 4. | TO DISCHARGE THE NON-EXECUTIVE DIRECTORS IN OFFICE IN THE 2016 FINANCIAL YEAR FOR THE FULFILMENT OF THEIR TASK |
Management | For | For | |||||||||
| 5. | TO APPROVE THE DIRECTORS REMUNERATION POLICY |
Management | For | For | |||||||||
| 6. | TO APPROVE THE UNILEVER SHARE PLAN 2017 | Management | For | For | |||||||||
| 7. | TO REAPPOINT MR N S ANDERSEN AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 8. | TO REAPPOINT MRS L M CHA AS A NON-EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 9. | TO REAPPOINT MR V COLAO AS A NON-EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 10. | TO REAPPOINT DR M DEKKERS AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 11. | TO REAPPOINT MS A M FUDGE AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 12. | TO REAPPOINT DR J HARTMANN AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 13. | TO REAPPOINT MS M MA AS A NON-EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 14. | TO REAPPOINT MR S MASIYIWA AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 15. | TO REAPPOINT PROFESSOR Y MOON AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 16. | TO REAPPOINT MR G PITKETHLY AS AN EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 17. | TO REAPPOINT MR P G J M POLMAN AS AN EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 18. | TO REAPPOINT MR J RISHTON AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 19. | TO REAPPOINT MR F SIJBESMA AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 20. | TO APPOINT KPMG AS THE AUDITOR CHARGED WITH THE AUDITING OF THE ANNUAL ACCOUNTS FOR THE 2017 FINANCIAL YEAR |
Management | For | For | |||||||||
| 21. | TO DESIGNATE THE BOARD OF DIRECTORS AS THE COMPANY BODY AUTHORISED TO ISSUE SHARES IN THE SHARE CAPITAL OF THE COMPANY |
Management | For | For | |||||||||
| 22. | TO AUTHORISE THE BOARD OF DIRECTORS TO PURCHASE SHARES AND DEPOSITARY RECEIPTS THEREOF IN THE SHARE CAPITAL OF THE COMPANY |
Management | For | For | |||||||||
| 23. | TO REDUCE THE CAPITAL WITH RESPECT TO SHARES AND DEPOSITARY RECEIPTS THEREOF HELD BY THE COMPANY IN ITS OWN SHARE CAPITAL |
Management | For | For | |||||||||
| UNILEVER N.V. | |||||||||||||
| Security | 904784709 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | UN | Meeting Date | 26-Apr-2017 | ||||||||||
| ISIN | US9047847093 | Agenda | 934573076 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 2. | TO ADOPT THE ANNUAL ACCOUNTS AND APPROPRIATION OF THE PROFIT FOR THE 2016 FINANCIAL YEAR |
Management | For | For | |||||||||
| 3. | TO DISCHARGE THE EXECUTIVE DIRECTORS IN OFFICE IN THE 2016 FINANCIAL YEAR FOR THE FULFILMENT OF THEIR TASK |
Management | For | For | |||||||||
| 4. | TO DISCHARGE THE NON-EXECUTIVE DIRECTORS IN OFFICE IN THE 2016 FINANCIAL YEAR FOR THE FULFILMENT OF THEIR TASK |
Management | For | For | |||||||||
| 5. | TO APPROVE THE DIRECTORS REMUNERATION POLICY |
Management | For | For | |||||||||
| 6. | TO APPROVE THE UNILEVER SHARE PLAN 2017 | Management | For | For | |||||||||
| 7. | TO REAPPOINT MR N S ANDERSEN AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 8. | TO REAPPOINT MRS L M CHA AS A NON-EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 9. | TO REAPPOINT MR V COLAO AS A NON-EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 10. | TO REAPPOINT DR M DEKKERS AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 11. | TO REAPPOINT MS A M FUDGE AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 12. | TO REAPPOINT DR J HARTMANN AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 13. | TO REAPPOINT MS M MA AS A NON-EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 14. | TO REAPPOINT MR S MASIYIWA AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 15. | TO REAPPOINT PROFESSOR Y MOON AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 16. | TO REAPPOINT MR G PITKETHLY AS AN EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 17. | TO REAPPOINT MR P G J M POLMAN AS AN EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 18. | TO REAPPOINT MR J RISHTON AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 19. | TO REAPPOINT MR F SIJBESMA AS A NON- EXECUTIVE DIRECTOR |
Management | For | For | |||||||||
| 20. | TO APPOINT KPMG AS THE AUDITOR CHARGED WITH THE AUDITING OF THE ANNUAL ACCOUNTS FOR THE 2017 FINANCIAL YEAR |
Management | For | For | |||||||||
| 21. | TO DESIGNATE THE BOARD OF DIRECTORS AS THE COMPANY BODY AUTHORISED TO ISSUE SHARES IN THE SHARE CAPITAL OF THE COMPANY |
Management | For | For | |||||||||
| 22. | TO AUTHORISE THE BOARD OF DIRECTORS TO PURCHASE SHARES AND DEPOSITARY RECEIPTS THEREOF IN THE SHARE CAPITAL OF THE COMPANY |
Management | For | For | |||||||||
| 23. | TO REDUCE THE CAPITAL WITH RESPECT TO SHARES AND DEPOSITARY RECEIPTS THEREOF HELD BY THE COMPANY IN ITS OWN SHARE CAPITAL |
Management | For | For | |||||||||
| PFIZER INC. | |||||||||||||
| Security | 717081103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | PFE | Meeting Date | 27-Apr-2017 | ||||||||||
| ISIN | US7170811035 | Agenda | 934540798 - 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: W. DON CORNWELL | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: JOSEPH J. ECHEVARRIA | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: FRANCES D. FERGUSSON | 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: SHANTANU NARAYEN | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON |
Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: IAN C. READ | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: STEPHEN W. SANGER | 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 2017 |
Management | For | For | |||||||||
| 3. | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION |
Management | For | For | |||||||||
| 4. | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION |
Management | 1 Year | For | |||||||||
| 5. | SHAREHOLDER PROPOSAL REGARDING THE HOLY LAND PRINCIPLES |
Shareholder | Abstain | Against | |||||||||
| 6. | SHAREHOLDER PROPOSAL REGARDING SPECIAL SHAREOWNER MEETINGS |
Shareholder | Against | For | |||||||||
| 7. | SHAREHOLDER PROPOSAL REGARDING INDEPENDENT CHAIR POLICY |
Shareholder | Against | For | |||||||||
| AT&T INC. | |||||||||||||
| Security | 00206R102 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | T | Meeting Date | 28-Apr-2017 | ||||||||||
| ISIN | US00206R1023 | Agenda | 934539935 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: RANDALL L. STEPHENSON |
Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: SAMUEL A. DI PIAZZA, JR. | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: RICHARD W. FISHER | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: SCOTT T. FORD | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: GLENN H. HUTCHINS | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: WILLIAM E. KENNARD | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: MICHAEL B. MCCALLISTER |
Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: BETH E. MOONEY | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: JOYCE M. ROCHE | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: MATTHEW K. ROSE | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: CYNTHIA B. TAYLOR | Management | For | For | |||||||||
| 1L. | ELECTION OF DIRECTOR: LAURA D'ANDREA TYSON | Management | For | For | |||||||||
| 1M. | ELECTION OF DIRECTOR: GEOFFREY Y. YANG | Management | For | For | |||||||||
| 2. | RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS. |
Management | For | For | |||||||||
| 3. | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 4. | ADVISORY APPROVAL OF FREQUENCY OF VOTE ON EXECUTIVE COMPENSATION |
Management | 1 Year | For | |||||||||
| 5. | PREPARE POLITICAL SPENDING REPORT. | Shareholder | Against | For | |||||||||
| 6. | PREPARE LOBBYING REPORT. | Shareholder | Against | For | |||||||||
| 7. | MODIFY PROXY ACCESS REQUIREMENTS. | Shareholder | Abstain | Against | |||||||||
| 8. | REDUCE VOTE REQUIRED FOR WRITTEN CONSENT. | Shareholder | Against | For | |||||||||
| ELI LILLY AND COMPANY | |||||||||||||
| Security | 532457108 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | LLY | Meeting Date | 01-May-2017 | ||||||||||
| ISIN | US5324571083 | Agenda | 934535494 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: M. L. ESKEW | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: W. G. KAELIN, JR. | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: J. C. LECHLEITER | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: D. A. RICKS | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: M. S. RUNGE | Management | For | For | |||||||||
| 2. | ADVISORY VOTE ON COMPENSATION PAID TO THE COMPANY'S NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 3. | ADVISORY VOTE REGARDING THE FREQUENCY OF ADVISORY VOTES ON COMPENSATION PAID TO THE COMPANY'S NAMED EXECUTIVE OFFICERS. |
Management | 1 Year | For | |||||||||
| 4. | RATIFICATION OF THE APPOINTMENT BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF ERNST & YOUNG LLP AS PRINCIPAL INDEPENDENT AUDITOR FOR 2017. |
Management | For | For | |||||||||
| 5. | APPROVE AMENDMENT TO THE LILLY DIRECTORS' DEFERRAL PLAN. |
Management | For | For | |||||||||
| 6. | CONSIDERATION OF A SHAREHOLDER PROPOSAL SEEKING A REPORT REGARDING DIRECT AND INDIRECT POLITICAL CONTRIBUTIONS. |
Shareholder | Against | For | |||||||||
| INVESCO MORTGAGE CAPITAL INC. | |||||||||||||
| Security | 46131B100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | IVR | Meeting Date | 03-May-2017 | ||||||||||
| ISIN | US46131B1008 | Agenda | 934543504 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1.1 | ELECTION OF DIRECTOR: JAMES S. BALLOUN | Management | For | For | |||||||||
| 1.2 | ELECTION OF DIRECTOR: JOHN S. DAY | Management | For | For | |||||||||
| 1.3 | ELECTION OF DIRECTOR: KAREN DUNN KELLEY | Management | For | For | |||||||||
| 1.4 | ELECTION OF DIRECTOR: CAROLYN B. HANDLON | Management | For | For | |||||||||
| 1.5 | ELECTION OF DIRECTOR: EDWARD J. HARDIN | Management | For | For | |||||||||
| 1.6 | ELECTION OF DIRECTOR: JAMES R. LIENTZ, JR. | Management | For | For | |||||||||
| 1.7 | ELECTION OF DIRECTOR: DENNIS P. LOCKHART | Management | For | For | |||||||||
| 1.8 | ELECTION OF DIRECTOR: GREGORY G. MCGREEVEY |
Management | For | For | |||||||||
| 2. | ADVISORY VOTE TO APPROVE THE COMPANY'S EXECUTIVE COMPENSATION |
Management | For | For | |||||||||
| 3. | ADVISORY VOTE ON FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPANY'S EXECUTIVE COMPENSATION |
Management | 1 Year | For | |||||||||
| 4. | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM |
Management | For | For | |||||||||
| VERIZON COMMUNICATIONS INC. | |||||||||||||
| Security | 92343V104 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | VZ | Meeting Date | 04-May-2017 | ||||||||||
| ISIN | US92343V1044 | Agenda | 934546461 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: SHELLYE L. ARCHAMBEAU |
Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: MARK T. BERTOLINI | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: RICHARD L. CARRION | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: MELANIE L. HEALEY | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: M. FRANCES KEETH | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: KARL-LUDWIG KLEY | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: LOWELL C. MCADAM | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: CLARENCE OTIS, JR. | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: RODNEY E. SLATER | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: KATHRYN A. TESIJA | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: GREGORY D. WASSON | Management | For | For | |||||||||
| 1L. | ELECTION OF DIRECTOR: GREGORY G. WEAVER | Management | For | For | |||||||||
| 2. | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM |
Management | For | For | |||||||||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION |
Management | For | For | |||||||||
| 4. | ADVISORY VOTE RELATED TO FUTURE VOTES ON EXECUTIVE COMPENSATION |
Management | 1 Year | For | |||||||||
| 5. | APPROVAL OF 2017 LONG-TERM INCENTIVE PLAN | Management | For | For | |||||||||
| 6. | HUMAN RIGHTS COMMITTEE | Shareholder | Against | For | |||||||||
| 7. | REPORT ON GREENHOUSE GAS REDUCTION TARGETS |
Shareholder | Abstain | Against | |||||||||
| 8. | SPECIAL SHAREOWNER MEETINGS | Shareholder | Against | For | |||||||||
| 9. | EXECUTIVE COMPENSATION CLAWBACK POLICY | Shareholder | Against | For | |||||||||
| 10. | STOCK RETENTION POLICY | Shareholder | Against | For | |||||||||
| 11. | LIMIT MATCHING CONTRIBUTIONS FOR EXECUTIVES |
Shareholder | Against | For | |||||||||
| ABBVIE INC. | |||||||||||||
| Security | 00287Y109 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | ABBV | Meeting Date | 05-May-2017 | ||||||||||
| ISIN | US00287Y1091 | Agenda | 934548821 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | ROBERT J. ALPERN | For | For | ||||||||||
| 2 | EDWARD M. LIDDY | For | For | ||||||||||
| 3 | MELODY B. MEYER | For | For | ||||||||||
| 4 | FREDERICK H. WADDELL | For | For | ||||||||||
| 2. | RATIFICATION OF ERNST & YOUNG LLP AS ABBVIE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017 |
Management | For | For | |||||||||
| 3. | SAY ON PAY - AN ADVISORY VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION |
Management | For | For | |||||||||
| 4. | APPROVAL OF A MANAGEMENT PROPOSAL REGARDING AMENDMENT OF THE CERTIFICATE OF INCORPORATION FOR THE ANNUAL ELECTION OF DIRECTORS |
Management | For | For | |||||||||
| 5. | STOCKHOLDER PROPOSAL - TO ISSUE A REPORT ON LOBBYING |
Shareholder | Against | For | |||||||||
| 6. | STOCKHOLDER PROPOSAL - TO SEPARATE CHAIR AND CEO |
Shareholder | Against | For | |||||||||
| BLACKROCK CAPITAL INVESTMENT CORPORATION | |||||||||||||
| Security | 092533108 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | BKCC | Meeting Date | 05-May-2017 | ||||||||||
| ISIN | US0925331086 | Agenda | 934556830 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | JOHN R. BARON | For | For | ||||||||||
| 2 | JERROLD B. HARRIS | For | For | ||||||||||
| 2. | TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. |
Management | For | For | |||||||||
| BLACKROCK CAPITAL INVESTMENT CORPORATION | |||||||||||||
| Security | 092533108 | Meeting Type | Special | ||||||||||
| Ticker Symbol | BKCC | Meeting Date | 05-May-2017 | ||||||||||
| ISIN | US0925331086 | Agenda | 934560536 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | TO APPROVE A PROPOSAL TO AUTHORIZE FLEXIBILITY FOR THE COMPANY, WITH APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE SPECIAL MEETING. |
Management | For | For | |||||||||
| NEWELL BRANDS INC. | |||||||||||||
| Security | 651229106 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | NWL | Meeting Date | 09-May-2017 | ||||||||||
| ISIN | US6512291062 | Agenda | 934564750 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: IAN G.H. ASHKEN | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: THOMAS E. CLARKE | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: KEVIN C. CONROY | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: SCOTT S. COWEN | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: MICHAEL T. COWHIG | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: DOMENICO DE SOLE | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: MARTIN E. FRANKLIN | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: ROS L'ESPERANCE | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: MICHAEL B. POLK | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: STEVEN J. STROBEL | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: MICHAEL A. TODMAN | Management | For | For | |||||||||
| 1L. | ELECTION OF DIRECTOR: RAYMOND G. VIAULT | Management | For | For | |||||||||
| 2. | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). |
Management | For | For | |||||||||
| 3. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 4. | VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. |
Management | 1 Year | For | |||||||||
| GILEAD SCIENCES, INC. | |||||||||||||
| Security | 375558103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | GILD | Meeting Date | 10-May-2017 | ||||||||||
| ISIN | US3755581036 | Agenda | 934558810 - 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: KELLY A. KRAMER | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: KEVIN E. LOFTON | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: JOHN C. MARTIN, PH.D. | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: JOHN F. MILLIGAN, PH.D. | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: NICHOLAS G. MOORE | 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. | RATIFICATION OF THE SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. |
Management | For | For | |||||||||
| 3. | RESTATEMENT OF THE GILEAD SCIENCES, INC. 2004 EQUITY INCENTIVE PLAN. |
Management | Against | Against | |||||||||
| 4. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 5. | ADVISORY VOTE AS TO THE FREQUENCY OF FUTURE ADVISORY SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION. |
Management | 1 Year | For | |||||||||
| 6. | STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD TAKE STEPS TO PERMIT STOCKHOLDER ACTION BY WRITTEN CONSENT. |
Shareholder | Against | For | |||||||||
| 7. | STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD ADOPT A POLICY THAT THE CHAIRMAN OF THE BOARD OF DIRECTORS BE AN INDEPENDENT DIRECTOR. |
Shareholder | Against | For | |||||||||
| SBA COMMUNICATIONS CORPORATION | |||||||||||||
| Security | 78410G104 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | SBAC | Meeting Date | 18-May-2017 | ||||||||||
| ISIN | US78410G1040 | Agenda | 934564712 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR FOR A THREE YEAR TERM: STEVEN E. BERNSTEIN |
Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR FOR A THREE YEAR TERM: DUNCAN H. COCROFT |
Management | For | For | |||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS SBA'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2017 FISCAL YEAR. |
Management | For | For | |||||||||
| 3. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF SBA'S NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 4. | APPROVAL, ON AN ADVISORY BASIS, OF THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF SBA'S NAMED EXECUTIVE OFFICERS. |
Management | 1 Year | For | |||||||||
| INTEL CORPORATION | |||||||||||||
| Security | 458140100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | INTC | Meeting Date | 18-May-2017 | ||||||||||
| ISIN | US4581401001 | Agenda | 934568431 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: CHARLENE BARSHEFSKY | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: ANEEL BHUSRI | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: ANDY D. BRYANT | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: REED E. HUNDT | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: OMAR ISHRAK | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: BRIAN M. KRZANICH | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: TSU-JAE KING LIU | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: DAVID S. POTTRUCK | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: GREGORY D. SMITH | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: FRANK D. YEARY | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: DAVID B. YOFFIE | Management | For | For | |||||||||
| 2. | RATIFICATION OF SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017 |
Management | For | For | |||||||||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION |
Management | For | For | |||||||||
| 4. | APPROVAL OF AMENDMENT AND RESTATEMENT OF THE 2006 EQUITY INCENTIVE PLAN |
Management | For | For | |||||||||
| 5. | ADVISORY VOTE ON THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES TO APPROVE EXECUTIVE COMPENSATION |
Management | 1 Year | For | |||||||||
| 6. | STOCKHOLDER PROPOSAL REQUESTING AN ANNUAL ADVISORY STOCKHOLDER VOTE ON POLITICAL CONTRIBUTIONS |
Shareholder | Against | For | |||||||||
| 7. | STOCKHOLDER PROPOSAL REQUESTING THAT VOTES COUNTED ON STOCKHOLDER PROPOSALS EXCLUDE ABSTENTIONS |
Shareholder | Against | For | |||||||||
| CROWN CASTLE INTERNATIONAL CORP | |||||||||||||
| Security | 22822V101 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | CCI | Meeting Date | 18-May-2017 | ||||||||||
| ISIN | US22822V1017 | Agenda | 934571820 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: P. ROBERT BARTOLO | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: JAY A. BROWN | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: CINDY CHRISTY | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: ARI Q. FITZGERALD | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: ROBERT E. GARRISON II | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: LEE W. HOGAN | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: EDWARD C. HUTCHESON, JR. |
Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: J. LANDIS MARTIN | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: ROBERT F. MCKENZIE | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: ANTHONY J. MELONE | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: W. BENJAMIN MORELAND | Management | For | For | |||||||||
| 2. | THE RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR FISCAL YEAR 2017. |
Management | For | For | |||||||||
| 3. | THE NON-BINDING, ADVISORY VOTE REGARDING THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 4. | A STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS, IF PROPERLY PRESENTED. |
Shareholder | Abstain | Against | |||||||||
| SYNCHRONY FINANCIAL | |||||||||||||
| Security | 87165B103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | SYF | Meeting Date | 18-May-2017 | ||||||||||
| ISIN | US87165B1035 | Agenda | 934572808 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: MARGARET M. KEANE | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: PAGET L. ALVES | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: ARTHUR W. COVIELLO, JR. |
Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: WILLIAM W. GRAYLIN | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: ROY A. GUTHRIE | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: RICHARD C. HARTNACK | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: JEFFREY G. NAYLOR | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: LAUREL J. RICHIE | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: OLYMPIA J. SNOWE | Management | For | For | |||||||||
| 2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION |
Management | For | For | |||||||||
| 3. | APPROVE THE ADOPTION OF THE AMENDMENT TO THE SYNCHRONY FINANCIAL 2014 LONG-TERM INCENTIVE PLAN AND RE-APPROVAL OF PERFORMANCE MEASURES |
Management | For | For | |||||||||
| 4. | RATIFICATION OF SELECTION OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR 2017 |
Management | For | For | |||||||||
| MERCK & CO., INC. | |||||||||||||
| Security | 58933Y105 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | MRK | Meeting Date | 23-May-2017 | ||||||||||
| ISIN | US58933Y1055 | Agenda | 934581439 - 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: CARLOS E. REPRESAS | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: PAUL B. ROTHMAN | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: PATRICIA F. RUSSO | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: CRAIG B. THOMPSON | 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. | NON-BINDING ADVISORY VOTE ON THE FREQUENCY OF FUTURE VOTES TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | 1 Year | For | |||||||||
| 4. | RATIFICATION OF THE APPOINTMENT OF THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017. |
Management | For | For | |||||||||
| 5. | SHAREHOLDER PROPOSAL REQUESTING AN INDEPENDENT BOARD CHAIRMAN. |
Shareholder | Against | For | |||||||||
| 6. | SHAREHOLDER PROPOSAL REQUESTING IMPLEMENTATION OF A SET OF EMPLOYEE PRACTICES IN ISRAEL/PALESTINE. |
Shareholder | Abstain | Against | |||||||||
| 7. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CONDUCTING BUSINESS IN CONFLICT- AFFECTED AREAS. |
Shareholder | Abstain | Against | |||||||||
| 8. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON BOARD OVERSIGHT OF PRODUCT SAFETY AND QUALITY. |
Shareholder | Against | For | |||||||||
| B&G FOODS, INC. | |||||||||||||
| Security | 05508R106 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | BGS | Meeting Date | 23-May-2017 | ||||||||||
| ISIN | US05508R1068 | Agenda | 934584409 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: DEANN L. BRUNTS | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: ROBERT C. CANTWELL | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: CHARLES F. MARCY | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: DENNIS M. MULLEN | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: CHERYL M. PALMER | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: ALFRED POE | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: STEPHEN C. SHERRILL | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: DAVID L. WENNER | Management | For | For | |||||||||
| 2. | APPROVAL, BY NON-BINDING ADVISORY VOTE, OF EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 3. | RECOMMENDATION, BY NON-BINDING ADVISORY VOTE, FOR THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. |
Management | 1 Year | For | |||||||||
| 4. | RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. |
Management | For | For | |||||||||
| 5. | APPROVAL OF THE AMENDED AND RESTATED OMNIBUS INCENTIVE COMPENSATION PLAN. |
Management | For | For | |||||||||
| GOODRICH PETROLEUM CORPORATION | |||||||||||||
| Security | 382410843 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | GDP | Meeting Date | 23-May-2017 | ||||||||||
| ISIN | US3824108431 | Agenda | 934600138 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | STEVEN J. PULLY | For | For | ||||||||||
| 2 | TIMOTHY D. LEULIETTE | For | For | ||||||||||
| 2. | RATIFY THE SELECTION OF HEIN & ASSOCIATES, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDED DECEMBER 31, 2017. |
Management | For | For | |||||||||
| 3. | APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 4. | APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | 1 Year | For | |||||||||
| 5. | APPROVE A SECOND AMENDMENT TO THE GOODRICH PETROLEUM CORPORATION MANAGEMENT INCENTIVE PLAN, AS AMENDED FROM TIME TO TIME, TO INCREASE THE NUMBER OF SHARES OF COMPANY COMMON STOCK AUTHORIZED FOR ISSUANCE THEREUNDER. |
Management | Against | Against | |||||||||
| PAYPAL HOLDINGS, INC. | |||||||||||||
| Security | 70450Y103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | PYPL | Meeting Date | 24-May-2017 | ||||||||||
| ISIN | US70450Y1038 | Agenda | 934589512 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: WENCES CASARES | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: JONATHAN CHRISTODORO |
Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: JOHN J. DONAHOE | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: DAVID W. DORMAN | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: BELINDA JOHNSON | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: GAIL J. MCGOVERN | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: DAVID M. MOFFETT | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: DANIEL H. SCHULMAN | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: FRANK D. YEARY | Management | For | For | |||||||||
| 2. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 3. | APPROVAL OF AN AMENDMENT TO OUR AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF STOCKHOLDERS WHO MAY, FOR PROXY ACCESS PURPOSES, AGGREGATE THEIR HOLDINGS FROM 15 TO 20. |
Management | For | For | |||||||||
| 4. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT AUDITOR FOR 2017. |
Management | For | For | |||||||||
| 5. | STOCKHOLDER PROPOSAL REGARDING STOCKHOLDER WRITTEN CONSENT WITHOUT A MEETING. |
Shareholder | Against | For | |||||||||
| 6. | STOCKHOLDER PROPOSAL REGARDING A SUSTAINABILITY REPORT. |
Shareholder | Abstain | Against | |||||||||
| 7. | STOCKHOLDER PROPOSAL REGARDING A "NET- ZERO" GREENHOUSE GAS EMISSIONS REPORT. |
Shareholder | Abstain | Against | |||||||||
| CHEVRON CORPORATION | |||||||||||||
| Security | 166764100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | CVX | Meeting Date | 31-May-2017 | ||||||||||
| ISIN | US1667641005 | Agenda | 934581732 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: W. M. AUSTIN | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: L. F. DEILY | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: R. E. DENHAM | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: A. P. GAST | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: E. HERNANDEZ, JR. | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: J. M. HUNTSMAN JR. | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: C. W. MOORMAN IV | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: D. F. MOYO | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: R. D. SUGAR | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: I. G. THULIN | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: J. S. WATSON | Management | For | For | |||||||||
| 1L. | ELECTION OF DIRECTOR: M. K. WIRTH | Management | For | For | |||||||||
| 2. | RATIFICATION OF APPOINTMENT OF PWC AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM |
Management | For | For | |||||||||
| 3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION |
Management | For | For | |||||||||
| 4. | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION |
Management | 1 Year | For | |||||||||
| 5. | REPORT ON LOBBYING | Shareholder | Against | For | |||||||||
| 6. | REPORT ON FEASIBILITY OF POLICY ON NOT DOING BUSINESS WITH CONFLICT COMPLICIT GOVERNMENTS |
Shareholder | Abstain | Against | |||||||||
| 7. | REPORT ON CLIMATE CHANGE IMPACT ASSESSMENT |
Shareholder | Abstain | Against | |||||||||
| 8. | REPORT ON TRANSITION TO A LOW CARBON ECONOMY |
Shareholder | Against | For | |||||||||
| 9. | ADOPT POLICY ON INDEPENDENT CHAIRMAN | Shareholder | Against | For | |||||||||
| 10. | RECOMMEND INDEPENDENT DIRECTOR WITH ENVIRONMENTAL EXPERTISE |
Shareholder | Against | For | |||||||||
| 11. | SET SPECIAL MEETINGS THRESHOLD AT 10% | Shareholder | Against | For | |||||||||
| AMERICAN TOWER CORPORATION | |||||||||||||
| Security | 03027X100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | AMT | Meeting Date | 31-May-2017 | ||||||||||
| ISIN | US03027X1000 | Agenda | 934590945 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: GUSTAVO LARA CANTU | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: RAYMOND P. DOLAN | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: ROBERT D. HORMATS | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: CRAIG MACNAB | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: JOANN A. REED | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: PAMELA D.A. REEVE | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: DAVID E. SHARBUTT | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: JAMES D. TAICLET, JR. | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: SAMME L. THOMPSON | Management | For | For | |||||||||
| 2. | TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017. |
Management | For | For | |||||||||
| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY'S EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 4. | TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY WITH WHICH THE COMPANY WILL HOLD A STOCKHOLDER ADVISORY VOTE ON EXECUTIVE COMPENSATION. |
Management | 1 Year | For | |||||||||
| EQUINIX, INC. | |||||||||||||
| Security | 29444U700 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | EQIX | Meeting Date | 31-May-2017 | ||||||||||
| ISIN | US29444U7000 | Agenda | 934596339 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | THOMAS BARTLETT | For | For | ||||||||||
| 2 | NANCI CALDWELL | For | For | ||||||||||
| 3 | GARY HROMADKO | For | For | ||||||||||
| 4 | JOHN HUGHES | For | For | ||||||||||
| 5 | SCOTT KRIENS | For | For | ||||||||||
| 6 | WILLIAM LUBY | For | For | ||||||||||
| 7 | IRVING LYONS, III | For | For | ||||||||||
| 8 | CHRISTOPHER PAISLEY | For | For | ||||||||||
| 9 | STEPHEN SMITH | For | For | ||||||||||
| 10 | PETER VAN CAMP | For | For | ||||||||||
| 2. | TO APPROVE BY A NON-BINDING ADVISORY VOTE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 3. | TO APPROVE BY A NON-BINDING ADVISORY VOTE THE FREQUENCY OF STOCKHOLDER NON-BINDING ADVISORY VOTES ON THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION. |
Management | 1 Year | For | |||||||||
| 4. | TO APPROVE LONG-TERM INCENTIVE PERFORMANCE TERMS FOR CERTAIN OF OUR EXECUTIVES, PURSUANT TO SECTION 162(M) OF THE INTERNAL REVENUE CODE. |
Management | For | For | |||||||||
| 5. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
Management | For | For | |||||||||
| ALLIANCE DATA SYSTEMS CORPORATION | |||||||||||||
| Security | 018581108 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | ADS | Meeting Date | 07-Jun-2017 | ||||||||||
| ISIN | US0185811082 | Agenda | 934600621 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: BRUCE K. ANDERSON | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: ROGER H. BALLOU | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: KELLY J. BARLOW | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: D. KEITH COBB | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: E. LINN DRAPER, JR. | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: EDWARD J. HEFFERNAN | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: KENNETH R. JENSEN | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: ROBERT A. MINICUCCI | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: TIMOTHY J. THERIAULT | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: LAURIE A. TUCKER | Management | For | For | |||||||||
| 2. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 3. | ADVISORY VOTE ON THE FREQUENCY OF AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. |
Management | 1 Year | For | |||||||||
| 4. | RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF ALLIANCE DATA SYSTEMS CORPORATION FOR 2017. |
Management | For | For | |||||||||
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 Ellsworth Growth and Income Fund Ltd.
By (Signature and Title)* /s/ James A. Dinsmore
James A. Dinsmore, Principal Executive Officer
Date 8/18/17
*Print the name and title of each signing officer under his or her signature.