UNITED STATES

SECURTITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number: 811-00041

 

GENERAL AMERICAN INVESTORS COMPANY, INC.

(Exact name of Registrant as specified in charter)

 

530 Fifth Avenue, 26th Floor

New York, New York 10036

(Address of principal executive offices)

 

Registrant’s telephone number: 212-916-8400

 

Date of fiscal year end: December 31

 

Date of reporting period: July 1, 2017 - June 30, 2018 

 

 

Proxy Voting Record

 

Meeting Date Range: 01-Jul-2017 To 30-Jun-2018

 

All Accounts 

 

Investment Company Report

 

VODAFONE GROUP PLC
Security	92857W308	Meeting Type	Annual
Ticker Symbol	VOD	Meeting Date	28-Jul-2017
ISIN	US92857W3088	Agenda	934649065 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.	TO RECEIVE THE COMPANY’S ACCOUNTS, THE STRATEGIC REPORT AND REPORTS OF THE DIRECTORS AND THE AUDITOR FOR THE YEAR ENDED 31 MARCH 2017	Management	For	For
2.	TO RE-ELECT GERARD KLEISTERLEE AS A DIRECTOR	Management	For	For
3.	TO RE-ELECT VITTORIO COLAO AS A DIRECTOR	Management	For	For
4.	TO RE-ELECT NICK READ AS A DIRECTOR	Management	For	For
5.	TO RE-ELECT SIR CRISPIN DAVIS AS A DIRECTOR	Management	For	For
6.	TO RE-ELECT DR MATHIAS DOPFNER AS A DIRECTOR	Management	For	For
7.	TO RE-ELECT DAME CLARA FURSE AS A DIRECTOR	Management	For	For
8.	TO RE-ELECT VALERIE GOODING AS A DIRECTOR	Management	For	For
9.	TO RE-ELECT RENEE JAMES AS A DIRECTOR	Management	For	For
10.	TO RE-ELECT SAMUEL JONAH AS A DIRECTOR	Management	For	For
11.	TO ELECT MARIA AMPARO MORALEDA MARTINEZ AS A DIRECTOR IN ACCORDANCE WITH THE COMPANY’S ARTICLES	Management	For	For
12.	TO RE-ELECT DAVID NISH AS A DIRECTOR	Management	For	For
13.	TO DECLARE A FINAL DIVIDEND OF 10.03 EUROCENTS PER ORDINARY SHARE FOR THE YEAR ENDED 31 MARCH 2017	Management	For	For
14.	TO APPROVE THE DIRECTORS’ REMUNERATION POLICY CONTAINED IN THE REMUNERATION REPORT OF THE BOARD FOR THE YEAR ENDED 31 MARCH 2017	Management	For	For
15.	TO APPROVE THE ANNUAL REPORT ON REMUNERATION CONTAINED IN THE REMUNERATION REPORT OF THE BOARD FOR THE YEAR ENDED 31 MARCH 2017	Management	For	For
16.	TO REAPPOINT PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S AUDITOR UNTIL THE END OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY	Management	For	For
17.	TO AUTHORISE THE AUDIT AND RISK COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITOR	Management	For	For
18.	TO AUTHORISE THE DIRECTORS TO ALLOT SHARES	Management	For	For

 

 

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19.	TO AUTHORISE THE DIRECTORS TO DIS-APPLY PRE-EMPTION RIGHTS (SPECIAL RESOLUTION)	Management	For	For
20.	TO AUTHORISE THE DIRECTORS TO DIS-APPLY PRE-EMPTION RIGHTS UP TO A FURTHER 5 PER CENT FOR THE PURPOSES OF FINANCING AN ACQUISITION OR OTHER CAPITAL INVESTMENT (SPECIAL RESOLUTION)	Management	For	For
21.	TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN SHARES (SPECIAL RESOLUTION)	Management	For	For
22.	TO AUTHORISE POLITICAL DONATIONS AND EXPENDITURE	Management	Against	Against
23.	TO AUTHORISE THE COMPANY TO CALL GENERAL MEETINGS (OTHER THAN AGMS) ON 14 CLEAR DAYS’ NOTICE (SPECIAL RESOLUTION)	Management	For	For

 

 

Investment Company Report

 

REPROS THERAPEUTICS INC.
Security	76028H209	Meeting Type	Annual
Ticker Symbol	RPRX	Meeting Date	13-Sep-2017
ISIN	US76028H2094	Agenda	934667556 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	LARRY M. DILLAHA, M.D.		For	For
	2	DANIEL F. CAIN		For	For
	3	PATRICK FOURTEAU		For	For
	4	NOLA MASTERSON, M.S.		For	For
	5	SAIRA RAMASASTRY		For	For
	6	M.G. WYLLIE, PH.D., DSC		For	For
2.	TO RATIFY AND APPROVE THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR REGISTERED INDEPENDENT PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2017.		Management	For	For
3.	TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.		Management	For	For

 

 

Investment Company Report

 

DIAGEO PLC
Security	25243Q205	Meeting Type	Annual
Ticker Symbol	DEO	Meeting Date	20-Sep-2017
ISIN	US25243Q2057	Agenda	934668382 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.	REPORT AND ACCOUNTS 2017.	Management	For	For
2.	DIRECTORS’ REMUNERATION REPORT 2017.	Management	For	For
3.	DIRECTORS’ REMUNERATION POLICY 2017.	Management	For	For
4.	DECLARATION OF FINAL DIVIDEND.	Management	For	For
5.	RE-ELECTION OF PB BRUZELIUS AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION)	Management	For	For
6.	RE-ELECTION OF LORD DAVIES AS A DIRECTOR. (AUDIT, NOMINATION, REMUNERATION & CHAIRMAN OF COMMITTEE)	Management	For	For
7.	RE-ELECTION OF J FERRAN AS A DIRECTOR. (NOMINATION & CHAIRMAN OF COMMITTEE)	Management	For	For
8.	RE-ELECTION OF HO KWONPING AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION)	Management	For	For
9.	RE-ELECTION OF BD HOLDEN AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION)	Management	For	For
10.	RE-ELECTION OF NS MENDELSOHN AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION)	Management	For	For
11.	RE-ELECTION OF IM MENEZES AS A DIRECTOR. (EXECUTIVE & CHAIRMAN OF COMMITTEE)	Management	For	For
12.	RE-ELECTION OF KA MIKELLS AS A DIRECTOR. (EXECUTIVE)	Management	For	For
13.	RE-ELECTION OF AJH STEWART AS A DIRECTOR. (AUDIT, CHAIRMAN OF COMMITTEE, NOMINATION & REMUNERATION)	Management	For	For
14.	RE-APPOINTMENT OF AUDITOR.	Management	For	For
15.	REMUNERATION OF AUDITOR.	Management	For	For
16.	AUTHORITY TO ALLOT SHARES.	Management	For	For
17.	DISAPPLICATION OF PRE-EMPTION RIGHTS.	Management	For	For
18.	AUTHORITY TO PURCHASE OWN ORDINARY SHARES.	Management	For	For
19.	AUTHORITY TO MAKE POLITICAL DONATIONS AND/OR TO INCUR POLITICAL EXPENDITURE IN THE EU.	Management	For	For
20.	ADOPTION OF THE DIAGEO PLC 2017 SHARE VALUE PLAN.	Management	For	For

 

 

Investment Company Report

 

ENSCO PLC
Security	G3157S106	Meeting Type	Special
Ticker Symbol	ESV	Meeting Date	05-Oct-2017
ISIN	GB00B4VLR192	Agenda	934671303 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.	ENSCO MERGER CONSIDERATION PROPOSAL: TO AUTHORIZE, IN ADDITION TO ALL SUBSISTING AUTHORITIES, THE ALLOTMENT AND ISSUANCE OF ENSCO CLASS A ORDINARY SHARES, TO SHAREHOLDERS OF ATWOOD OCEANICS, INC. (“ATWOOD”), PURSUANT TO THE AGREEMENT AND PLAN OF MERGER, DATED AS OF MAY 29, 2017, BY AND AMONG ENSCO, ECHO MERGER SUB LLC, A WHOLLY OWNED SUBSIDIARY OF ENSCO (“MERGER SUB”), AND ATWOOD, AS SUCH AGREEMENT MAY BE AMENDED FROM TIME TO TIME, WHICH PROVIDES FOR, AMONG OTHER THINGS, THE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).	Management	For	For
2.	ENSCO GENERAL ALLOTMENT AUTHORITY INCREASE PROPOSAL: TO AUTHORIZE, IN ADDITION TO ALL SUBSISTING AUTHORITIES, THE ALLOTMENT AND ISSUANCE UP TO A NOMINAL AMOUNT OF ENSCO CLASS A ORDINARY SHARES, WHICH, TOGETHER WITH THE NOMINAL AMOUNT OF SHARES OF ENSCO AUTHORIZED TO BE ALLOTTED AND ISSUED PURSUANT TO PARAGRAPH (A) OF RESOLUTION 11 PASSED AT THE ANNUAL GENERAL MEETING OF ENSCO SHAREHOLDERS HELD ON MAY 22, 2017 (THE “ENSCO 2017 ANNUAL GENERAL MEETING”) AND UNUSED AS OF THE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).	Management	For	For
3.	ENSCO GENERAL DISAPPLICATION OF PRE-EMPTIVE RIGHTS PROPOSAL: TO AUTHORIZE, IN ADDITION TO ALL SUBSISTING AUTHORITIES, THE ALLOTMENT AND ISSUANCE UP TO A NOMINAL AMOUNT OF ENSCO CLASS A ORDINARY SHARES FOR CASH ON A NON-PRE-EMPTIVE BASIS, WHICH, TOGETHER WITH THE NOMINAL AMOUNT OF SHARES IN ENSCO AUTHORIZED TO BE ALLOTTED AND ISSUED FOR CASH ON A NON-PRE-EMPTIVE BASIS PURSUANT TO RESOLUTION 12 PASSED AT THE ENSCO 2017 ANNUAL GENERAL MEETING AND UNUSED AS OF THE DATE OF THE PROXY ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).	Management	For	For

 

 

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4.

ENSCO SPECIFIED DISAPPLICATION OF PRE-EMPTIVE RIGHTS PROPOSAL: TO AUTHORIZE, IN ADDITION TO ALL SUBSISTING AUTHORITIES, THE ALLOTMENT AND ISSUANCE UP TO A NOMINAL AMOUNT OF ENSCO CLASS A ORDINARY SHARES FOR CASH ON A NON-PRE-EMPTIVE BASIS, WHICH, TOGETHER WITH THE NOMINAL AMOUNT OF SHARES IN ENSCO AUTHORIZED TO BE ALLOTTED AND ISSUED FOR CASH ON A NON-PRE-EMPTIVE BASIS PURSUANT TO RESOLUTION 13 PASSED AT THE ENSCO 2017 ANNUAL GENERAL MEETING AND UNUSED AS OF THE DATE OF THE PROXY ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).

Management

For

For

 

 

Investment Company Report

 

METLIFE, INC.
Security	59156R108	Meeting Type	Special
Ticker Symbol	MET	Meeting Date	19-Oct-2017
ISIN	US59156R1086	Agenda	934679602 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.	AMEND THE PREFERRED STOCK DIVIDEND PAYMENT TESTS IN THE COMPANY’S CERTIFICATE OF INCORPORATION.	Management	For	For
2.	ADJOURN THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES.	Management	For	For

 

 

Investment Company Report

 

ORACLE CORPORATION
Security	68389X105	Meeting Type	Annual
Ticker Symbol	ORCL	Meeting Date	15-Nov-2017
ISIN	US68389X1054	Agenda	934681671 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	JEFFREY S. BERG		For	For
	2	MICHAEL J. BOSKIN		For	For
	3	SAFRA A. CATZ		For	For
	4	BRUCE R. CHIZEN		For	For
	5	GEORGE H. CONRADES		For	For
	6	LAWRENCE J. ELLISON		For	For
	7	HECTOR GARCIA-MOLINA		For	For
	8	JEFFREY O. HENLEY		For	For
	9	MARK V. HURD		For	For
	10	RENEE J. JAMES		For	For
	11	LEON E. PANETTA		For	For
	12	NAOMI O. SELIGMAN		For	For
2.	ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS.		Management	For	For
3.	ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF NAMED EXECUTIVE OFFICERS.		Management	1 Year	For
4.	APPROVAL OF THE ORACLE CORPORATION AMENDED AND RESTATED 2000 LONG- TERM EQUITY INCENTIVE PLAN.		Management	For	For
5.	RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2018.		Management	For	For
6.	STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS REPORT.		Shareholder	Against	For
7.	STOCKHOLDER PROPOSAL REGARDING PAY EQUITY REPORT.		Shareholder	Against	For
8.	STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS REFORM.		Shareholder	Against	For

 

 

Investment Company Report

 

MICROSOFT CORPORATION
Security	594918104	Meeting Type	Annual
Ticker Symbol	MSFT	Meeting Date	29-Nov-2017
ISIN	US5949181045	Agenda	934689514 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1A.	ELECTION OF DIRECTOR: WILLIAM H. GATES III	Management	For	For
1B.	ELECTION OF DIRECTOR: REID G. HOFFMAN	Management	For	For
1C.	ELECTION OF DIRECTOR: HUGH F. JOHNSTON	Management	For	For
1D.	ELECTION OF DIRECTOR: TERI L. LIST-STOLL	Management	For	For
1E.	ELECTION OF DIRECTOR: SATYA NADELLA	Management	For	For
1F.	ELECTION OF DIRECTOR: CHARLES H. NOSKI	Management	For	For
1G.	ELECTION OF DIRECTOR: HELMUT PANKE	Management	For	For
1H.	ELECTION OF DIRECTOR: SANDRA E. PETERSON	Management	For	For
1I.	ELECTION OF DIRECTOR: PENNY S. PRITZKER	Management	For	For
1J.	ELECTION OF DIRECTOR: CHARLES W. SCHARF	Management	For	For
1K.	ELECTION OF DIRECTOR: ARNE M. SORENSON	Management	For	For
1L.	ELECTION OF DIRECTOR: JOHN W. STANTON	Management	For	For
1M.	ELECTION OF DIRECTOR: JOHN W. THOMPSON	Management	For	For
1N.	ELECTION OF DIRECTOR: PADMASREE WARRIOR	Management	For	For
2.	ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION	Management	For	For
3.	ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES TO APPROVE EXECUTIVE COMPENSATION	Management	1 Year	For
4.	RATIFICATION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT AUDITOR FOR FISCAL YEAR 2018	Management	For	For
5.	APPROVAL OF MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE EXECUTIVE INCENTIVE PLAN	Management	For	For
6.	APPROVAL OF THE MICROSOFT CORPORATION 2017 STOCK PLAN	Management	For	For

 

 

Investment Company Report

 

CISCO SYSTEMS, INC.
Security	17275R102	Meeting Type	Annual
Ticker Symbol	CSCO	Meeting Date	11-Dec-2017
ISIN	US17275R1023	Agenda	934694147 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1A.	ELECTION OF DIRECTOR: CAROL A. BARTZ	Management	For	For
1B.	ELECTION OF DIRECTOR: M. MICHELE BURNS	Management	For	For
1C.	ELECTION OF DIRECTOR: MICHAEL D. CAPELLAS	Management	For	For
1D.	ELECTION OF DIRECTOR: AMY L. CHANG	Management	For	For
1E.	ELECTION OF DIRECTOR: DR. JOHN L. HENNESSY	Management	For	For
1F.	ELECTION OF DIRECTOR: DR. KRISTINA M. JOHNSON	Management	For	For
1G.	ELECTION OF DIRECTOR: RODERICK C. MCGEARY	Management	For	For
1H.	ELECTION OF DIRECTOR: CHARLES H. ROBBINS	Management	For	For
1I.	ELECTION OF DIRECTOR: ARUN SARIN	Management	For	For
1J.	ELECTION OF DIRECTOR: BRENTON L. SAUNDERS	Management	For	For
1K.	ELECTION OF DIRECTOR: STEVEN M. WEST	Management	For	For
2.	APPROVAL OF AMENDMENT AND RESTATEMENT OF THE 2005 STOCK INCENTIVE PLAN.	Management	For	For
3.	APPROVAL OF AMENDMENT AND RESTATEMENT OF THE EXECUTIVE INCENTIVE PLAN.	Management	For	For
4.	APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION.	Management	For	For
5.	RECOMMENDATION, ON AN ADVISORY BASIS, ON THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES.	Management	1 Year	For
6.	RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS CISCO’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2018.	Management	For	For
7.	APPROVAL TO REQUEST AN ANNUAL REPORT RELATING TO CISCO’S LOBBYING POLICIES, PROCEDURES AND ACTIVITIES.	Shareholder	Against	For

 

 

Investment Company Report

 

COSTCO WHOLESALE CORPORATION
Security	22160K105	Meeting Type	Annual
Ticker Symbol	COST	Meeting Date	30-Jan-2018
ISIN	US22160K1051	Agenda	934711448 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	KENNETH D. DENMAN		For	For
	2	W. CRAIG JELINEK		For	For
	3	JEFFREY S. RAIKES		For	For
2.	RATIFICATION OF SELECTION OF INDEPENDENT AUDITORS.		Management	For	For
3.	APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION.		Management	For	For
4.	SHAREHOLDER PROPOSAL REGARDING SIMPLE MAJORITY VOTE.		Shareholder	Against	For
5.	SHAREHOLDER PROPOSAL REGARDING PRISON LABOR.		Shareholder	Against	For

 

 

Investment Company Report

 

QURATE RETAIL, INC.
Security	53071M856	Meeting Type	Special
Ticker Symbol	LVNTA	Meeting Date	02-Feb-2018
ISIN	US53071M8560	Agenda	934717286 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.	A proposal to approve the redemption by Liberty Interactive Corporation of each share of Series A Liberty Ventures common stock and Series B Liberty Ventures common stock in exchange for one share of GCI Liberty, Inc. Class A Common Stock and GCI Liberty, Inc. Class B Common Stock, respectively, following the ...(due to space limits, see proxy statement for full proposal).	Management	For	For
2.	A proposal to authorize the adjournment of the special meeting by Liberty Interactive Corporation to permit further solicitation of proxies, if necessary or appropriate, if sufficient votes are not represented at the special meeting to approve the other proposal to be presented at the special meeting.	Management	For	For

 

 

Investment Company Report

 

APPLE INC.
Security	037833100	Meeting Type	Annual
Ticker Symbol	AAPL	Meeting Date	13-Feb-2018
ISIN	US0378331005	Agenda	934716068 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of director: James Bell	Management	For	For
1b.	Election of director: Tim Cook	Management	For	For
1c.	Election of director: Al Gore	Management	For	For
1d.	Election of director: Bob Iger	Management	For	For
1e.	Election of director: Andrea Jung	Management	For	For
1f.	Election of director: Art Levinson	Management	For	For
1g.	Election of director: Ron Sugar	Management	For	For
1h.	Election of director: Sue Wagner	Management	For	For
2.	Ratification of the appointment of Ernst & Young LLP as Apple’s independent registered public accounting firm for 2018	Management	For	For
3.	Advisory vote to approve executive compensation	Management	For	For
4.	Approval of the amended and restated Apple Inc. Non-Employee Director Stock Plan	Management	For	For
5.	A shareholder proposal entitled “Shareholder Proxy Access Amendments”	Shareholder	Against	For
6.	A shareholder proposal entitled “Human Rights Committee”	Shareholder	Against	For

 

 

Investment Company Report

 

JOHNSON CONTROLS INTERNATIONAL PLC
Security	G51502105	Meeting Type	Annual
Ticker Symbol	JCI	Meeting Date	07-Mar-2018
ISIN	IE00BY7QL619	Agenda	934721211 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1A.	Election of director: Michael E. Daniels	Management	For	For
1B.	Election of director: W. Roy Dunbar	Management	For	For
1C.	Election of director: Brian Duperreault	Management	For	For
1D.	Election of director: Gretchen R. Haggerty	Management	For	For
1E.	Election of director: Simone Menne	Management	For	For
1F.	Election of director: George R. Oliver	Management	For	For
1G.	Election of director: Juan Pablo del Valle Perochena	Management	For	For
1H.	Election of director: Jurgen Tinggren	Management	For	For
1I.	Election of director: Mark Vergnano	Management	For	For
1J.	Election of director: R. David Yost	Management	For	For
1K.	Election of director: John D. Young	Management	For	For
2.A	To ratify the appointment of PricewaterhouseCoopers LLP as the independent auditors of the Company.	Management	For	For
2.B	To authorize the Audit Committee of the Board of Directors to set the auditors’ remuneration.	Management	For	For
3.	To authorize the Company and/or any subsidiary of the Company to make market purchases of Company shares.	Management	For	For
4.	To determine the price range at which the Company can re-allot shares that it holds as treasury shares (Special Resolution).	Management	For	For
5.	To approve, in a non-binding advisory vote, the compensation of the named executive officers.	Management	For	For
6.	To approve the Directors’ authority to allot shares up to approximately 33% of issued share capital.	Management	For	For
7.	To approve the waiver of statutory pre-emption rights with respect to up to 5% of issued share capital (Special Resolution).	Management	For	For
8.A	To approve the reduction of Company capital (Special Resolution).	Management	For	For
8.B	To approve a clarifying amendment to the Company’s Articles of Association to facilitate the capital reduction (Special Resolution).	Management	For	For

 

 

Investment Company Report

 

APPLIED MATERIALS, INC.
Security	038222105	Meeting Type	Annual
Ticker Symbol	AMAT	Meeting Date	08-Mar-2018
ISIN	US0382221051	Agenda	934722302 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1A.	Election of Director: Judy Bruner	Management	For	For
1B.	Election of Director: Xun (Eric) Chen	Management	For	For
1C.	Election of Director: Aart J. de Geus	Management	For	For
1D.	Election of Director: Gary E. Dickerson	Management	For	For
1E.	Election of Director: Stephen R. Forrest	Management	For	For
1F.	Election of Director: Thomas J. Iannotti	Management	For	For
1G.	Election of Director: Alexander A. Karsner	Management	For	For
1H.	Election of Director: Adrianna C. Ma	Management	For	For
1I.	Election of Director: Scott A. McGregor	Management	For	For
1J.	Election of Director: Dennis D. Powell	Management	For	For
2.	Approval, on an advisory basis, of the compensation of Applied Materials’ named executive officers for fiscal year 2017.	Management	For	For
3.	Ratification of the appointment of KPMG LLP as independent registered public accounting firm for fiscal year 2018.	Management	For	For
4.	Shareholder proposal to provide for right to act by written consent.	Shareholder	Against	For
5	Shareholder proposal for annual disclosure of EEO-1 data.	Shareholder	Against	For

 

 

Investment Company Report

 

KEYSIGHT TECHNOLOGIES, INC.
Security	49338L103	Meeting Type	Annual
Ticker Symbol	KEYS	Meeting Date	22-Mar-2018
ISIN	US49338L1035	Agenda	934725574 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.1	Election of Director: Ronald S. Nersesian	Management	For	For
1.2	Election of Director: Charles J. Dockendorff	Management	For	For
1.3	Election of Director: Robert A. Rango	Management	For	For
2.	To approve the Amendment and Restatement of the 2014 Equity and Incentive Compensation Plan.	Management	For	For
3.	To ratify the Audit and Finance Committee’s appointment of PricewaterhouseCoopers LLP as Keysight’s independent public accounting firm.	Management	For	For
4.	To approve, on an advisory basis, the compensation of Keysight’s named executive officers.	Management	For	For

 

 

Investment Company Report

 

BROADCOM LIMITED
Security	Y09827109	Meeting Type	Special
Ticker Symbol	AVGO	Meeting Date	23-Mar-2018
ISIN	SG9999014823	Agenda	934741148 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.	To approve the scheme of arrangement under Singapore law among Broadcom, the shareholders of Broadcom and Broadcom Limited, a Delaware corporation, subject to approval of the High Court of the Republic of Singapore, as set forth in Broadcom’s notice of, and proxy statement relating to, its Special Meeting.	Management	For	For

 

 

Investment Company Report

 

QUALCOMM INCORPORATED
Security	747525103	Meeting Type	Contested-Annual
Ticker Symbol	QCOM	Meeting Date	23-Mar-2018
ISIN	US7475251036	Agenda	934718632 - Opposition

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	Samih Elhage		For	For
	2	Raul J. Fernandez		For	For
	3	Michael S. Geltzeiler		For	For
	4	Stephen J. Girsky		For	For
	5	David G. Golden		For	For
	6	Veronica M. Hagen		For	For
	7	Julie A. Hill		For	For
	8	John H. Kispert		For	For
	9	Gregorio Reyes		For	For
	10	Thomas S. Volpe		For	For
	11	Harry L. You		For	For
2.	To approve Broadcom’s proposal to amend Qualcomm’s Bylaws to undo any amendment to the Bylaws adopted without stockholder approval up to and including the date of the Annual Meeting that changes the Bylaws in any way from the version that was publicly filed with the Securities and Exchange Commission on July 15, 2016.		Management	Against	Against
3.	To ratify the selection of PricewaterhouseCoopers LLP as Qualcomm’s independent public accountants for the fiscal year ending September 30, 2018		Management	For	For
4.	To approve, on a advisory basis, compensation paid to Qualcomm’s named executive officers.		Management	For
5.	To approve an amendment to Qualcomm’s 2001 Employee Stock Purchase Plan.		Management	For
6.	To approve an amendment to Qualcomm’s Restated Certificate of Incorporation, as amended (the “Certificate of Incorporation”) to eliminate certain supermajority provisions relating to removal of directors		Management	For	For
7.	To approve an amendment to the Certificate of Incorporation to eliminate certain Supermajority provisions relating to amendments and obsolete provisions.		Management	For	For
8.	To approve an amendment to the certificate of incorporation to eliminate provisions requiring a supermajority vote for certain transactions with interested stockholders.		Management	For	For

 

 

Investment Company Report

 

QUALCOMM INCORPORATED
Security	747525103	Meeting Type	Contested-Annual
Ticker Symbol	QCOM	Meeting Date	23-Mar-2018
ISIN	US7475251036	Agenda	934719329 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1	DIRECTOR		Management
	1	Barbara T. Alexander		Withheld	Against
	2	Jeffrey W. Henderson		Withheld	Against
	3	Thomas W. Horton		Withheld	Against
	4	Paul E. Jacobs		Withheld	Against
	5	Ann M. Livermore		Withheld	Against
	6	Harish Manwani		Withheld	Against
	7	Mark D. McLaughlin		Withheld	Against
	8	Steve Mollenkopf		Withheld	Against
	9	Clark T. Randt, Jr.		Withheld	Against
	10	Francisco Ros		Withheld	Against
	11	Anthony J. Vinciquerra		Withheld	Against
2	To ratify the selection of PricewaterhouseCoopers LLP as our independent public accountants.		Management	Against	Against
3	To approve, on an advisory basis, our executive compensation.		Management	Against	Against
4	To approve an amendment to the Amended and Restated QUALCOMM Incorporated 2001 Employee Stock Purchase Plan, as amended, to increase the share reserve by 30,000,000 shares.		Management	Against	Against
5	To approve an amendment to the Company’s Restated Certificate of Incorporation, as amended, to eliminate certain supermajority voting provisions relating to removal of directors.		Management	Against	Against
6	To approve an amendment to the Company’s Restated Certificate of Incorporation, as amended, to eliminate certain supermajority voting provisions relating to amendments and obsolete provisions.		Management	Against	Against
7	To approve an amendment to the Company’s Restated Certificate of Incorporation, as amended, to eliminate provisions requiring a supermajority vote for certain transactions with interested stockholders.		Management	Against	Against
8	To vote on a stockholder proposal to undo amendments to the Company’s Amended and Restated Bylaws adopted without stockholder approval.		Shareholder	For	Against

 

 

Investment Company Report

 

QUALCOMM INCORPORATED
Security	747525103	Meeting Type	Contested-Annual
Ticker Symbol	QCOM	Meeting Date	23-Mar-2018
ISIN	US7475251036	Agenda	934728188 - Opposition

 

Item	Proposal		Proposed by	Vote	For/Against Management
1	DIRECTOR		Management
	1	Samih Elhage		For	For
	2	David G. Golden		For	For
	3	Veronica M. Hagen		For	For
	4	Julie A. Hill		For	For
	5	John H. Kispert		For	For
	6	Harry L. You		For	For
2	To approve Broadcom’s proposal to amend Qualcomm’s Bylaws to undo any amendment to the Bylaws adopted without stockholder approval up to and including the date of the Annual Meeting that changes the Bylaws in any way from the version that was publicly filed with the Securities and Exchange Commission on July 15, 2016.		Management	For	For
3	To ratify the selection of PricewaterhouseCoopers LLP as Qualcomm’s independent public accountants for the fiscal year ending September 30, 2018		Management	For	For
4	To approve, on a advisory basis, compensation paid to Qualcomm’s named executive officers.		Management	Abstain
5	To approve an amendment to Qualcomm’s 2001 Employee Stock Purchase Plan.		Management	Abstain
6	To approve an amendment to Qualcomm’s Restated Certificate of Incorporation, as amended (the “Certificate of Incorporation”) to eliminate certain supermajority provisions relating to removal of directors		Management	For	For
7	To approve an amendment to the Certificate of Incorporation to eliminate certain Supermajority provisions relating to amendments and obsolete provisions.		Management	For	For
8	To approve an amendment to the Certificate of Incorporation to eliminate provisions requiring a supermajority vote for certain transactions with interested stockholders.		Management	For	For

 

 

Investment Company Report

 

BROADCOM LIMITED
Security	Y09827109	Meeting Type	Annual
Ticker Symbol	AVGO	Meeting Date	04-Apr-2018
ISIN	SG9999014823	Agenda	934729370 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1A.	Election of Director: Mr. Hock E. Tan	Management	For	For
1B.	Election of Director: Mr. James V. Diller	Management	For	For
1C.	Election of Director: Ms. Gayla J. Delly	Management	For	For
1D.	Election of Director: Mr. Lewis C. Eggebrecht	Management	For	For
1E.	Election of Director: Mr. Kenneth Y. Hao	Management	For	For
1F.	Election of Director: Mr. Eddy W. Hartenstein	Management	For	For
1G.	Election of Director: Mr. Check Kian Low	Management	For	For
1H.	Election of Director: Mr. Donald Macleod	Management	For	For
1I.	Election of Director: Mr. Peter J. Marks	Management	For	For
1J.	Election of Director: Dr. Henry Samueli	Management	For	For
2.	To approve the re-appointment of PricewaterhouseCoopers LLP as Broadcom’s independent registered public accounting firm and independent Singapore auditor for the fiscal year ending November 4, 2018 and to authorize the Audit Committee to fix its remuneration, as set forth in Broadcom’s notice of, and proxy statement relating to, its 2018 Annual General Meeting.	Management	For	For
3.	To approve the general authorization for the directors of Broadcom to allot and issue shares in its capital, as set forth in Broadcom’s notice of, and proxy statement relating to, its 2018 Annual General Meeting.	Management	For	For
4.	NON-BINDING, ADVISORY VOTE To approve the compensation of Broadcom’s named executive officers, as disclosed in “Compensation Discussion and Analysis” and in the compensation tables and accompanying narrative disclosure under “Executive Compensation” in Broadcom’s proxy statement relating to its 2018 Annual General Meeting.	Management	For	For

 

 

Investment Company Report

 

THE GOODYEAR TIRE & RUBBER COMPANY
Security	382550101	Meeting Type	Annual
Ticker Symbol	GT	Meeting Date	09-Apr-2018
ISIN	US3825501014	Agenda	934737769 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a)	Election of Director: James A. Firestone	Management	For	For
1b)	Election of Director: Werner Geissler	Management	For	For
1c)	Election of Director: Peter S. Hellman	Management	For	For
1d)	Election of Director: Laurette T. Koellner	Management	For	For
1e)	Election of Director: Richard J. Kramer	Management	For	For
1f)	Election of Director: W. Alan McCollough	Management	For	For
1g)	Election of Director: John E. McGlade	Management	For	For
1h)	Election of Director: Michael J. Morell	Management	For	For
1i)	Election of Director: Roderick A. Palmore	Management	For	For
1j)	Election of Director: Stephanie A. Streeter	Management	For	For
1k)	Election of Director: Thomas H. Weidemeyer	Management	For	For
1l)	Election of Director: Michael R. Wessel	Management	For	For
2.	Advisory vote to approve executive compensation.	Management	For	For
3.	Ratification of appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm.	Management	For	For

 

 

Investment Company Report

 

M&T BANK CORPORATION
Security	55261F104	Meeting Type	Annual
Ticker Symbol	MTB	Meeting Date	17-Apr-2018
ISIN	US55261F1049	Agenda	934739270 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	Brent D. Baird		For	For
	2	C. Angela Bontempo		For	For
	3	Robert T. Brady		For	For
	4	T.J. Cunningham III		For	For
	5	Gary N. Geisel		For	For
	6	Richard S. Gold		For	For
	7	Richard A. Grossi		For	For
	8	John D. Hawke, Jr.		For	For
	9	Rene F. Jones		For	For
	10	Richard H. Ledgett, Jr.		For	For
	11	Newton P.S. Merrill		For	For
	12	Melinda R. Rich		For	For
	13	Robert E. Sadler, Jr.		For	For
	14	Denis J. Salamone		For	For
	15	John R. Scannell		For	For
	16	David S. Scharfstein		For	For
	17	Herbert L. Washington		For	For
2.	TO APPROVE THE COMPENSATION OF M&T BANK CORPORATION’S NAMED EXECUTIVE OFFICERS.		Management	For	For
3.	TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF M&T BANK CORPORATION FOR THE YEAR ENDING DECEMBER 31, 2018.		Management	For	For

 

 

Investment Company Report

 

ASML HOLDINGS N.V.
Security	N07059210	Meeting Type	Annual
Ticker Symbol	ASML	Meeting Date	25-Apr-2018
ISIN	USN070592100	Agenda	934746655 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
4b	Proposal to adopt the financial statements of the Company for the financial year 2017, as prepared in accordance with Dutch law	Management	For	For
4d	Proposal to adopt a dividend of EUR 1.40 per ordinary share	Management	For	For
5a	Proposal to discharge the members of the Board of Management from liability for their responsibilities in the financial year 2017	Management	For	For
5b	Proposal to discharge the members of the Supervisory Board from liability for their responsibilities in the financial year 2017	Management	For	For
6	Proposal to approve the number of shares for the Board of Management	Management	For	For
8a	Proposal to reappoint Mr. J.M.C. (Hans) Stork as member of the Supervisory Board	Management	For	For
8b	Proposal to appoint Ms. T.L. (Terri) Kelly as member of the Supervisory Board	Management	For	For
9	Proposal to appoint KPMG Accountants N.V. as external auditor for the reporting year 2019	Management	For	For
10a	Authorization to issue ordinary shares or grant rights to subscribe for ordinary shares up to 5% for general purposes	Management	For	For
10b	Authorization of the Board of Management to restrict or exclude pre-emption rights in connection with agenda item 10a.	Management	For	For
10c	Authorization to issue ordinary shares or grant rights to subscribe for ordinary shares up to 5% in connection with or on the occasion of mergers, acquisitions and/or (strategic) alliances	Management	For	For
10d	Authorization of the Board of Management to restrict or exclude pre-emption rights in connection with agenda item 10c.	Management	For	For
11a	Authorization to repurchase ordinary shares up to 10% of the issued share capital	Management	For	For
11b	Authorization to repurchase additional ordinary shares up to 10% of the issued share capital	Management	For	For
12	Proposal to cancel ordinary shares	Management	For	For

 

 

Investment Company Report

 

ASML HOLDINGS N.V.
Security	N07059210	Meeting Type	Annual
Ticker Symbol	ASML	Meeting Date	25-Apr-2018
ISIN	USN070592100	Agenda	934770783 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
4b	Proposal to adopt the financial statements of the Company for the financial year 2017, as prepared in accordance with Dutch law	Management	For	For
4d	Proposal to adopt a dividend of EUR 1.40 per ordinary share	Management	For	For
5a	Proposal to discharge the members of the Board of Management from liability for their responsibilities in the financial year 2017	Management	For	For
5b	Proposal to discharge the members of the Supervisory Board from liability for their responsibilities in the financial year 2017	Management	For	For
6	Proposal to approve the number of shares for the Board of Management	Management	For	For
8a	Proposal to reappoint Mr. J.M.C. (Hans) Stork as member of the Supervisory Board	Management	For	For
8b	Proposal to appoint Ms. T.L. (Terri) Kelly as member of the Supervisory Board	Management	For	For
9	Proposal to appoint KPMG Accountants N.V. as external auditor for the reporting year 2019	Management	For	For
10a	Authorization to issue ordinary shares or grant rights to subscribe for ordinary shares up to 5% for general purposes	Management	For	For
10b	Authorization of the Board of Management to restrict or exclude pre-emption rights in connection with agenda item 10a.	Management	For	For
10c	Authorization to issue ordinary shares or grant rights to subscribe for ordinary shares up to 5% in connection with or on the occasion of mergers, acquisitions and/or (strategic) alliances	Management	For	For
10d	Authorization of the Board of Management to restrict or exclude pre-emption rights in connection with agenda item 10c.	Management	For	For
11a	Authorization to repurchase ordinary shares up to 10% of the issued share capital	Management	For	For
11b	Authorization to repurchase additional ordinary shares up to 10% of the issued share capital	Management	For	For
12	Proposal to cancel ordinary shares	Management	For	For

 

 

Investment Company Report

 

CHARTER COMMUNICATIONS, INC.
Security	16119P108	Meeting Type	Annual
Ticker Symbol	CHTR	Meeting Date	25-Apr-2018
ISIN	US16119P1084	Agenda	934740843 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: W. Lance Conn	Management	For	For
1b.	Election of Director: Kim C. Goodman	Management	For	For
1c.	Election of Director: Craig A. Jacobson	Management	For	For
1d.	Election of Director: Gregory B. Maffei	Management	For	For
1e.	Election of Director: John C. Malone	Management	For	For
1f.	Election of Director: John D. Markley, Jr.	Management	For	For
1g.	Election of Director: David C. Merritt	Management	For	For
1h.	Election of Director: Steven A. Miron	Management	For	For
1i.	Election of Director: Balan Nair	Management	For	For
1j.	Election of Director: Michael A. Newhouse	Management	For	For
1k.	Election of Director: Mauricio Ramos	Management	For	For
1l.	Election of Director: Thomas M. Rutledge	Management	For	For
1m.	Election of Director: Eric L. Zinterhofer	Management	For	For
2.	The ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the year ended December 31, 2018	Management	For	For
3.	Stockholder proposal regarding proxy access	Shareholder	Against	For
4.	Stockholder proposal regarding lobbying activities	Shareholder	Against	For
5.	Stockholder proposal regarding vesting of equity awards	Shareholder	Against	For
6.	Stockholder proposal regarding our Chairman of the Board and CEO roles	Shareholder	Against	For

 

 

Investment Company Report

 

EATON CORPORATION PLC
Security	G29183103	Meeting Type	Annual
Ticker Symbol	ETN	Meeting Date	25-Apr-2018
ISIN	IE00B8KQN827	Agenda	934739080 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Craig Arnold	Management	For	For
1b.	Election of Director: Todd M. Bluedorn	Management	For	For
1c.	Election of Director: Christopher M. Connor	Management	For	For
1d.	Election of Director: Michael J. Critelli	Management	For	For
1e.	Election of Director: Richard H. Fearon	Management	For	For
1f.	Election of Director: Charles E. Golden	Management	For	For
1g.	Election of Director: Arthur E. Johnson	Management	For	For
1h.	Election of Director: Deborah L. McCoy	Management	For	For
1i.	Election of Director: Gregory R. Page	Management	For	For
1j.	Election of Director: Sandra Pianalto	Management	For	For
1k.	Election of Director: Gerald B. Smith	Management	For	For
1l.	Election of Director: Dorothy C. Thompson	Management	For	For
2.	Approving the appointment of Ernst & Young LLP as independent auditor for 2018 and authorizing the Audit Committee of the Board of Directors to set its remuneration.	Management	For	For
3.	Advisory approval of the Company’s executive compensation.	Management	For	For
4.	Approving a proposal to grant the Board authority to issue shares.	Management	For	For
5.	Approving a proposal to grant the Board authority to opt out of pre-emption rights.	Management	For	For
6.	Authorizing the Company and any subsidiary of the Company to make overseas market purchases of Company shares.	Management	For	For

 

 

Investment Company Report

 

GENERAL ELECTRIC COMPANY
Security	369604103	Meeting Type	Annual
Ticker Symbol	GE	Meeting Date	25-Apr-2018
ISIN	US3696041033	Agenda	934737707 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
A1	Election of Director: Sebastien M. Bazin	Management	For	For
A2	Election of Director: W. Geoffrey Beattie	Management	For	For
A3	Election of Director: John J. Brennan	Management	For	For
A4	Election of Director: H. Lawrence Culp, Jr.	Management	For	For
A5	Election of Director: Francisco D’Souza	Management	For	For
A6	Election of Director: John L. Flannery	Management	For	For
A7	Election of Director: Edward P. Garden	Management	For	For
A8	Election of Director: Thomas W. Horton	Management	For	For
A9	Election of Director: Risa Lavizzo-Mourey	Management	For	For
A10	Election of Director: James J. Mulva	Management	For	For
A11	Election of Director: Leslie F. Seidman	Management	For	For
A12	Election of Director: James S. Tisch	Management	For	For
B1	Advisory Approval of Our Named Executives’ Compensation	Management	For	For
B2	Approval of the GE International Employee Stock Purchase Plan	Management	For	For
B3	Ratification of KPMG as Independent Auditor for 2018	Management	For	For
C1	Require the Chairman of the Board to be Independent	Shareholder	Against	For
C2	Adopt Cumulative Voting for Director Elections	Shareholder	Against	For
C3	Deduct Impact of Stock Buybacks from Executive Pay	Shareholder	Against	For
C4	Issue Report on Political Lobbying and Contributions	Shareholder	Against	For
C5	Issue Report on Stock Buybacks	Shareholder	Against	For
C6	Permit Shareholder Action by Written Consent	Shareholder	Against	For

 

 

Investment Company Report

 

PFIZER INC.
Security	717081103	Meeting Type	Annual
Ticker Symbol	PFE	Meeting Date	26-Apr-2018
ISIN	US7170811035	Agenda	934739256 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Dennis A. Ausiello	Management	For	For
1b.	Election of Director: Ronald E. Blaylock	Management	For	For
1c.	Election of Director: Albert Bourla	Management	For	For
1d.	Election of Director: W. Don Cornwell	Management	For	For
1e.	Election of Director: Joseph J. Echevarria	Management	For	For
1f.	Election of Director: Helen H. Hobbs	Management	For	For
1g.	Election of Director: James M. Kilts	Management	For	For
1h.	Election of Director: Dan R. Littman	Management	For	For
1i.	Election of Director: Shantanu Narayen	Management	For	For
1j.	Election of Director: Suzanne Nora Johnson	Management	For	For
1k.	Election of Director: Ian C. Read	Management	For	For
1l.	Election of Director: James C. Smith	Management	For	For
2.	Ratify the selection of KPMG LLP as independent registered public accounting firm for 2018	Management	For	For
3.	2018 Advisory approval of executive compensation	Management	For	For
4.	Approval of the Pfizer Inc. French Sub-Plan under the 2014 Stock Plan	Management	For	For
5.	Shareholder proposal regarding right to act by written consent	Shareholder	Against	For
6.	Shareholder proposal regarding independent chair policy	Shareholder	Against	For
7.	Shareholder proposal regarding report on lobbying activities	Shareholder	Against	For

 

 

Investment Company Report

 

UNITED TECHNOLOGIES CORPORATION
Security	913017109	Meeting Type	Annual
Ticker Symbol	UTX	Meeting Date	30-Apr-2018
ISIN	US9130171096	Agenda	934741605 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Lloyd J. Austin III	Management	For	For
1b.	Election of Director: Diane M. Bryant	Management	For	For
1c.	Election of Director: John V. Faraci	Management	For	For
1d.	Election of Director: Jean-Pierre Garnier	Management	For	For
1e.	Election of Director: Gregory J. Hayes	Management	For	For
1f.	Election of Director: Ellen J. Kullman	Management	For	For
1g.	Election of Director: Marshall O. Larsen	Management	For	For
1h.	Election of Director: Harold W. McGraw III	Management	For	For
1i.	Election of Director: Margaret L. O’Sullivan	Management	For	For
1j.	Election of Director: Fredric G. Reynolds	Management	For	For
1k.	Election of Director: Brian C. Rogers	Management	For	For
1l.	Election of Director: Christine Todd Whitman	Management	For	For
2.	Advisory Vote to Approve Executive Compensation.	Management	For	For
3.	Approve the UTC 2018 Long-Term Incentive Plan.	Management	For	For
4.	Appoint PricewaterhouseCoopers LLP to Serve as Independent Auditor for 2018.	Management	For	For
5.	Approve an Amendment to the Restated Certificate of Incorporation to Eliminate Supermajority Voting for Certain Business Combinations.	Management	For	For
6.	Shareowner Proposal: Reduce Threshold to Call Special Meetings from 25% to 10%.	Shareholder	Against	For

 

 

Investment Company Report

 

AXIS CAPITAL HOLDINGS LIMITED
Security	G0692U109	Meeting Type	Annual
Ticker Symbol	AXS	Meeting Date	02-May-2018
ISIN	BMG0692U1099	Agenda	934758092 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	Michael A. Butt		For	For
	2	Charles A. Davis		For	For
2.	To approve, by non-binding vote, the compensation paid to our named executive officers.		Management	For	For
3.	To appoint Deloitte Ltd., Hamilton, Bermuda, to act as the independent registered public accounting firm of AXIS Capital Holdings Limited for the fiscal year ending December 31, 2018 and to authorize the Board, acting through the Audit Committee, to set the fees for the independent registered public accounting firm.		Management	For	For

 

 

Investment Company Report

 

PEPSICO, INC.
Security	713448108	Meeting Type	Annual
Ticker Symbol	PEP	Meeting Date	02-May-2018
ISIN	US7134481081	Agenda	934743041 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Shona L. Brown	Management	For	For
1b.	Election of Director: George W. Buckley	Management	For	For
1c.	Election of Director: Cesar Conde	Management	For	For
1d.	Election of Director: Ian M. Cook	Management	For	For
1e.	Election of Director: Dina Dublon	Management	For	For
1f.	Election of Director: Richard W. Fisher	Management	For	For
1g.	Election of Director: William R. Johnson	Management	For	For
1h.	Election of Director: Indra K. Nooyi	Management	For	For
1i.	Election of Director: David C. Page	Management	For	For
1j.	Election of Director: Robert C. Pohlad	Management	For	For
1k.	Election of Director: Daniel Vasella	Management	For	For
1l.	Election of Director: Darren Walker	Management	For	For
1m.	Election of Director: Alberto Weisser	Management	For	For
2.	Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for fiscal year 2018.	Management	For	For
3.	Advisory approval of the Company’s executive compensation.	Management	For	For
4.	Special shareowner meeting improvement.	Shareholder	Against	For

 

 

Investment Company Report

 

BERKSHIRE HATHAWAY INC.
Security	084670108	Meeting Type	Annual
Ticker Symbol	BRKA	Meeting Date	05-May-2018
ISIN	US0846701086	Agenda	934745641 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	Warren E. Buffett		For	For
	2	Charles T. Munger		For	For
	3	Gregory E. Abel		For	For
	4	Howard G. Buffett		For	For
	5	Stephen B. Burke		For	For
	6	Susan L. Decker		For	For
	7	William H. Gates III		For	For
	8	David S. Gottesman		For	For
	9	Charlotte Guyman		For	For
	10	Ajit Jain		For	For
	11	Thomas S. Murphy		For	For
	12	Ronald L. Olson		For	For
	13	Walter Scott, Jr.		For	For
	14	Meryl B. Witmer		For	For
2.	Shareholder proposal regarding methane gas emissions.		Shareholder	Against	For
3.	Shareholder proposal regarding adoption of a policy to encourage Berkshire subsidiaries to issue annual sustainability reports.		Shareholder	Against	For

 

 

Investment Company Report

 

AMERICAN EXPRESS COMPANY
Security	025816109	Meeting Type	Annual
Ticker Symbol	AXP	Meeting Date	07-May-2018
ISIN	US0258161092	Agenda	934753256 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Charlene Barshefsky	Management	For	For
1b.	Election of Director: John J. Brennan	Management	For	For
1c.	Election of Director: Peter Chernin	Management	For	For
1d.	Election of Director: Ralph de la Vega	Management	For	For
1e.	Election of Director: Anne L. Lauvergeon	Management	For	For
1f.	Election of Director: Michael O. Leavitt	Management	For	For
1g.	Election of Director: Theodore J. Leonsis	Management	For	For
1h.	Election of Director: Richard C. Levin	Management	For	For
1i.	Election of Director: Samuel J. Palmisano	Management	For	For
1j.	Election of Director: Stephen J. Squeri	Management	For	For
1k.	Election of Director: Daniel L. Vasella	Management	For	For
1l.	Election of Director: Ronald A. Williams	Management	For	For
1m.	Election of Director: Christopher D. Young	Management	For	For
2.	Ratification of appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for 2018.	Management	For	For
3.	Approval, on an advisory basis, of the Company’s executive compensation.	Management	For	For
4.	Shareholder proposal relating to action by written consent.	Shareholder	Against	For
5.	Shareholder proposal relating to independent board chairman.	Shareholder	Against	For

 

 

Investment Company Report

 

GCI LIBERTY, INC.
Security	36164V305	Meeting Type	Special
Ticker Symbol	GLIBA	Meeting Date	07-May-2018
ISIN	US36164V3050	Agenda	934771278 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.	Approve the Agreement and Plan of Merger by and between GCI Liberty, Inc. and GCI Merger Sub, Inc., pursuant to which GCI Liberty, Inc. will merge with and into GCI Merger Sub, Inc., with GCI Merger Sub, Inc. (which shall be renamed GCI Liberty, Inc.) continuing as the surviving corporation and existing under the laws of the State of Delaware.	Management	For	For
2.	A proposal to authorize the adjournment of the special meeting by GCI liberty, inc. to permit further solicitation of proxies, if necessary or appropriate, if sufficient votes are not represented at the special meeting to approve the other proposal to be presented at the special meeting.	Management	For	For

 

 

Investment Company Report

 

ARCH CAPITAL GROUP LTD.
Security	G0450A105	Meeting Type	Annual
Ticker Symbol	ACGL	Meeting Date	09-May-2018
ISIN	BMG0450A1053	Agenda	934754450 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a	To elect the nominees listed as Class II Directors of the Company for a term of three years: Eric W. Doppstadt	Management	For	For
1b	To elect the nominees listed as Class II Directors of the Company for a term of three years: Laurie S. Goodman	Management	For	For
1c	To elect the nominees listed as Class II Directors of the Company for a term of three years: Constantine Iordanou	Management	For	For
1d	To elect the nominees listed as Class II Directors of the Company for a term of three years: John M. Pasquesi	Management	For	For
2	Advisory vote to approve named executive officer compensation.	Management	For	For
3	To appoint PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2018.	Management	For	For
4	Approve the Arch Capital Group Ltd. 2018 Long-Term Incentive and Share Award Plan.	Management	For	For
5	Approve a three-for-one common share split.	Management	For	For
6a	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Robert Appleby	Management	For	For
6b	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Anthony Asquith	Management	For	For
6c	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Stephen Bashford	Management	For	For
6d	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Dennis R. Brand	Management	For	For
6e	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Ian Britchfield	Management	For	For
6f	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Pierre-Andre Camps	Management	For	For
6g	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Chung Foo Choy	Management	For	For
6h	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Paul Cole	Management	For	For

 

 

Investment Company Report

 

6i	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Graham B.R. Collis	Management	For	For
6j	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Michael Constantinides	Management	For	For
6k	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Stephen J. Curley	Management	For	For
6l	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Nick Denniston	Management	For	For
6m	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Christopher A. Edwards	Management	For	For
6n	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Seamus Fearon	Management	For	For
6o	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Michael Feetham	Management	For	For
6p	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Beau H. Franklin	Management	For	For
6q	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Giuliano Giovannetti	Management	For	For
6r	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Michael Hammer	Management	For	For
6s	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: W. Preston Hutchings	Management	For	For
6t	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Constantine Iordanou	Management	For	For
6u	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Jason Kittinger	Management	For	For
6v	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Gerald Konig	Management	For	For
6w	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Jean-Philippe Latour	Management	For	For
6x	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Lino Leoni	Management	For	For

 

 

Investment Company Report

 

6y	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Mark D. Lyons	Management	For	For
6z	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Patrick Mailloux	Management	For	For
6aa	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Paul Martin	Management	For	For
6ab	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Robert McDowell	Management	For	For
6ac	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: David H. McElroy	Management	For	For
6ad	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Francois Morin	Management	For	For
6ae	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: David J. Mulholland	Management	For	For
6af	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Mark Nolan	Management	For	For
6ag	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Nicolas Papadopoulo	Management	For	For
6ah	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Michael Price	Management	For	For
6ai	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Elisabeth Quinn	Management	For	For
6aj	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Maamoun Rajeh	Management	For	For
6ak	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Andrew T. Rippert	Management	For	For
6al	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Arthur Scace	Management	For	For
6am	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Soren Scheuer	Management	For	For
6an	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Matthew Shulman	Management	For	For

 

 

Investment Company Report

 

6ao	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: William A. Soares	Management	For	For
6ap	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Patrick Storey	Management	For	For
6aq	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Hugh Sturgess	Management	For	For
6ar	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Ross Totten	Management	For	For
6as	To elect the nominees listed as Designated Company Directors so that they may be elected directors of certain of our non-U.S. subsidiaries: Gerald Wolfe	Management	For	For

 

 

Investment Company Report

 

GILEAD SCIENCES, INC.
Security	375558103	Meeting Type	Annual
Ticker Symbol	GILD	Meeting Date	09-May-2018
ISIN	US3755581036	Agenda	934752925 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: John F. Cogan, Ph.D.	Management	For	For
1b.	Election of Director: Jacqueline K. Barton, Ph.D.	Management	For	For
1c.	Election of Director: Kelly A. Kramer	Management	For	For
1d.	Election of Director: Kevin E. Lofton	Management	For	For
1e.	Election of Director: John C. Martin, Ph.D.	Management	For	For
1f.	Election of Director: John F. Milligan, Ph.D.	Management	For	For
1g.	Election of Director: Richard J. Whitley, M.D.	Management	For	For
1h.	Election of Director: Gayle E. Wilson	Management	For	For
1i.	Election of Director: Per Wold-Olsen	Management	For	For
2.	To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2018.	Management	For	For
3.	To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement.	Management	For	For
4.	To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairman of the Board of Directors be an independent director.	Shareholder	Against	For
5.	To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board take steps to permit stockholder action by written consent.	Shareholder	Against	For

 

 

Investment Company Report

 

PHILLIPS 66
Security	718546104	Meeting Type	Annual
Ticker Symbol	PSX	Meeting Date	09-May-2018
ISIN	US7185461040	Agenda	934744067 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of director: J. Brian Ferguson	Management	For	For
1b.	Election of director: Harold W. McGraw III	Management	For	For
1c.	Election of director: Victoria J. Tschinkel	Management	For	For
2.	To ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for fiscal year 2018.	Management	For	For
3.	To consider and vote on a proposal to approve, on an advisory (non-binding) basis, the compensation of our Named Executive Officers.	Management	For	For
4.	To consider and vote on a proposal to amend the Certificate of Incorporation to declassify the Board of Directors over the next three years.	Management	For	For

 

 

Investment Company Report

 

DISCOVERY, INC.
Security	25470F104	Meeting Type	Annual
Ticker Symbol	DISCA	Meeting Date	10-May-2018
ISIN	US25470F1049	Agenda	934756822 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	Robert R. Beck		For	For
	2	Susan M. Swain		For	For
	3	J. David Wargo		For	For
2.	Ratification of the appointment of PricewaterhouseCoopers LLP as Discovery, Inc.’s independent registered public accounting firm for the fiscal year ending December 31, 2018.		Management	For	For
3.	To approve certain amendments to the Discovery Communications, Inc. 2013 Incentive Plan adopted by the Board of Directors on February 22, 2018.		Management	For	For
4.	To vote on a stockholder proposal requesting the Board of Directors to adopt a policy that the initial list of candidates from which new management-supported director nominees are chosen shall include qualified women and minority candidates.		Shareholder	Against	For

 

 

Investment Company Report

 

FORD MOTOR COMPANY
Security	345370860	Meeting Type	Annual
Ticker Symbol	F	Meeting Date	10-May-2018
ISIN	US3453708600	Agenda	934753028 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Stephen G. Butler	Management	For	For
1b.	Election of Director: Kimberly A. Casiano	Management	For	For
1c.	Election of Director: Anthony F. Earley, Jr.	Management	For	For
1d.	Election of Director: Edsel B. Ford II	Management	For	For
1e.	Election of Director: William Clay Ford, Jr.	Management	For	For
1f.	Election of Director: James P. Hackett	Management	For	For
1g.	Election of Director: William W. Helman IV	Management	For	For
1h.	Election of Director: William E. Kennard	Management	For	For
1i.	Election of Director: John C. Lechleiter	Management	For	For
1j.	Election of Director: Ellen R. Marram	Management	For	For
1k.	Election of Director: John L. Thornton	Management	For	For
1l.	Election of Director: John B. Veihmeyer	Management	For	For
1m.	Election of Director: Lynn M. Vojvodich	Management	For	For
1n.	Election of Director: John S. Weinberg	Management	For	For
2.	Ratification of Independent Registered Public Accounting Firm.	Management	For	For
3.	Say-on-Pay - An Advisory Vote to Approve the Compensation of the Named Executives.	Management	For	For
4.	Approval of the 2018 Long-Term Incentive Plan.	Management	For	For
5.	Relating to Consideration of a Recapitalization Plan to Provide That All of the Company’s Outstanding Stock Have One Vote Per Share.	Management	Against	For
6.	Relating to Disclosure of the Company’s Lobbying Activities and Expenditures.	Shareholder	Against	For
7.	Relating to Report on CAFE Standards.	Shareholder	Against	For
8.	Relating to Disclosure of the Company’s Political Activities and Expenditures.	Shareholder	Against	For

 

 

Investment Company Report

 

HELIX ENERGY SOLUTIONS GROUP, INC.
Security	42330P107	Meeting Type	Annual
Ticker Symbol	HLX	Meeting Date	10-May-2018
ISIN	US42330P1075	Agenda	934750818 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	Owen Kratz		For	For
	2	James A. Watt		For	For
2.	Ratification of the selection of KPMG LLP as our independent registered public accounting firm for the fiscal year 2018.		Management	For	For
3.	Approval, on a non-binding advisory basis, of the 2017 compensation of our named executive officers.		Management	For	For

 

 

Investment Company Report

 

REPUBLIC SERVICES, INC.
Security	760759100	Meeting Type	Annual
Ticker Symbol	RSG	Meeting Date	11-May-2018
ISIN	US7607591002	Agenda	934752127 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Manuel Kadre	Management	For	For
1b.	Election of Director: Tomago Collins	Management	For	For
1c.	Election of Director: Thomas W. Handley	Management	For	For
1d.	Election of Director: Jennifer M. Kirk	Management	For	For
1e.	Election of Director: Michael Larson	Management	For	For
1f.	Election of Director: Kim S. Pegula	Management	For	For
1g.	Election of Director: Ramon A. Rodriguez	Management	For	For
1h.	Election of Director: Donald W. Slager	Management	For	For
1i.	Election of Director: John M. Trani	Management	For	For
1j.	Election of Director: Sandra M. Volpe	Management	For	For
2.	Advisory vote to approve our named executive officer compensation.	Management	For	For
3.	Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2018.	Management	For	For
4.	Approve the Republic Services, Inc. 2018 Employee Stock Purchase Plan.	Management	For	For
5.	Shareholder proposal regarding political contributions and expenditures.	Shareholder	Against	For

 

 

Investment Company Report

 

ANADARKO PETROLEUM CORPORATION
Security	032511107	Meeting Type	Annual
Ticker Symbol	APC	Meeting Date	15-May-2018
ISIN	US0325111070	Agenda	934763055 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Anthony R. Chase	Management	For	For
1b.	Election of Director: David E. Constable	Management	For	For
1c.	Election of Director: H. Paulett Eberhart	Management	For	For
1d.	Election of Director: Claire S. Farley	Management	For	For
1e.	Election of Director: Peter J. Fluor	Management	For	For
1f.	Election of Director: Joseph W. Gorder	Management	For	For
1g.	Election of Director: John R. Gordon	Management	For	For
1h.	Election of Director: Sean Gourley	Management	For	For
1i.	Election of Director: Mark C. McKinley	Management	For	For
1j.	Election of Director: Eric D. Mullins	Management	For	For
1k.	Election of Director: R.A. Walker	Management	For	For
2.	Ratification of Appointment of KPMG LLP as Independent Auditor.	Management	For	For
3.	Advisory Vote to Approve Named Executive Officer Compensation.	Management	For	For
4.	Stockholder proposal - Climate Change Risk Analysis.	Shareholder	Against	For

 

 

Investment Company Report

 

JPMORGAN CHASE & CO.
Security	46625H100	Meeting Type	Annual
Ticker Symbol	JPM	Meeting Date	15-May-2018
ISIN	US46625H1005	Agenda	934764463 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Linda B. Bammann	Management	For	For
1b.	Election of Director: James A. Bell	Management	For	For
1c.	Election of Director: Stephen B. Burke	Management	For	For
1d.	Election of Director: Todd A. Combs	Management	For	For
1e.	Election of Director: James S. Crown	Management	For	For
1f.	Election of Director: James Dimon	Management	For	For
1g.	Election of Director: Timothy P. Flynn	Management	For	For
1h.	Election of Director: Mellody Hobson	Management	For	For
1i.	Election of Director: Laban P. Jackson Jr.	Management	For	For
1j.	Election of Director: Michael A. Neal	Management	For	For
1k.	Election of Director: Lee R. Raymond	Management	For	For
1l.	Election of Director: William C. Weldon	Management	For	For
2.	Ratification of special meeting provisions in the Firm’s By- Laws	Management	For	For
3.	Advisory resolution to approve executive compensation	Management	For	For
4.	Approval of Amended and Restated Long-Term Incentive Plan effective May 15, 2018	Management	For	For
5.	Ratification of independent registered public accounting firm	Management	For	For
6.	Independent Board chairman	Shareholder	Against	For
7.	Vesting for government service	Shareholder	Against	For
8.	Proposal to report on investments tied to genocide	Shareholder	Against	For
9.	Cumulative Voting	Shareholder	Against	For

 

 

Investment Company Report

 

CAMECO CORPORATION
Security	13321L108	Meeting Type	Annual
Ticker Symbol	CCJ	Meeting Date	16-May-2018
ISIN	CA13321L1085	Agenda	934769665 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
A	DIRECTOR		Management
	1	IAN BRUCE		For	For
	2	DANIEL CAMUS		For	For
	3	JOHN CLAPPISON		For	For
	4	DONALD DERANGER		For	For
	5	CATHERINE GIGNAC		For	For
	6	TIM GITZEL		For	For
	7	JIM GOWANS		For	For
	8	KATHRYN JACKSON		For	For
	9	DON KAYNE		For	For
	10	ANNE MCLELLAN		For	For
B	APPOINT KPMG LLP AS AUDITORS		Management	For	For
C	BE IT RESOLVED THAT, ON AN ADVISORY BASIS AND NOT TO DIMINISH THE ROLE AND RESPONSIBILITIES OF THE BOARD OF DIRECTORS FOR EXECUTIVE COMPENSATION, THE SHAREHOLDERS ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION DISCLOSED IN CAMECO’S MANAGEMENT PROXY CIRCULAR DELIVERED IN ADVANCE OF THE 2018 ANNUAL MEETING OF SHAREHOLDERS.		Management	For	For
D	YOU DECLARE THAT THE SHARES REPRESENTED BY THIS VOTING INSTRUCTION FORM ARE HELD, BENEFICIALLY OWNED OR CONTROLLED, EITHER DIRECTLY OR INDIRECTLY, BY A RESIDENT OF CANADA AS DEFINED BELOW. IF THE SHARES ARE HELD IN THE NAMES OF TWO OR MORE PEOPLE, YOU DECLARE THAT ALL OF THESE PEOPLE ARE RESIDENTS OF CANADA. NOTE: “FOR” = YES, “ABSTAIN” = NO “AGAINST” WILL BE TREATED AS NOT MARKED		Management	Against

 

 

Investment Company Report

 

EVEREST RE GROUP, LTD.
Security	G3223R108	Meeting Type	Annual
Ticker Symbol	RE	Meeting Date	16-May-2018
ISIN	BMG3223R1088	Agenda	934785152 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1.1	Election of Director: Dominic J. Addesso	Management	For	For
1.2	Election of Director: John J. Amore	Management	For	For
1.3	Election of Director: William F. Galtney, Jr.	Management	For	For
1.4	Election of Director: John A. Graf	Management	For	For
1.5	Election of Director: Gerri Losquadro	Management	For	For
1.6	Election of Director: Roger M. Singer	Management	For	For
1.7	Election of Director: Joseph V. Taranto	Management	For	For
1.8	Election of Director: John A. Weber	Management	For	For
2.	To appoint PricewaterhouseCoopers LLP as the Company’s registered public accounting firm to act as the Company’s auditor for the year ending December 31, 2018 and authorize the Board of Directors, acting by the Audit Committee, to set the fees for the registered public accounting firm.	Management	For	For
3.	Advisory vote to approve 2017 executive compensation.	Management	For	For

 

 

Investment Company Report

 

HALLIBURTON COMPANY
Security	406216101	Meeting Type	Annual
Ticker Symbol	HAL	Meeting Date	16-May-2018
ISIN	US4062161017	Agenda	934760871 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Abdulaziz F. Al Khayyal	Management	For	For
1b.	Election of Director: William E. Albrecht	Management	For	For
1c.	Election of Director: Alan M. Bennett	Management	For	For
1d.	Election of Director: James R. Boyd	Management	For	For
1e.	Election of Director: Milton Carroll	Management	For	For
1f.	Election of Director: Nance K. Dicciani	Management	For	For
1g.	Election of Director: Murry S. Gerber	Management	For	For
1h.	Election of Director: Jose C. Grubisich	Management	For	For
1i.	Election of Director: David J. Lesar	Management	For	For
1j.	Election of Director: Robert A. Malone	Management	For	For
1k.	Election of Director: Jeffrey A. Miller	Management	For	For
1l.	Election of Director: Debra L. Reed	Management	For	For
2.	Ratification of Selection of Principal Independent Public Accountants.	Management	For	For
3.	Advisory Approval of Executive Compensation.	Management	For	For

 

 

Investment Company Report

 

PIONEER NATURAL RESOURCES COMPANY
Security	723787107	Meeting Type	Annual
Ticker Symbol	PXD	Meeting Date	17-May-2018
ISIN	US7237871071	Agenda	934765249 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1A	Election of Director: Edison C. Buchanan	Management	For	For
1B	Election of Director: Andrew F. Cates	Management	For	For
1C	Election of Director: Timothy L. Dove	Management	For	For
1D	Election of Director: Phillip A. Gobe	Management	For	For
1E	Election of Director: Larry R. Grillot	Management	For	For
1F	Election of Director: Stacy P. Methvin	Management	For	For
1G	Election of Director: Royce W. Mitchell	Management	For	For
1H	Election of Director: Frank A. Risch	Management	For	For
1I	Election of Director: Scott D. Sheffield	Management	For	For
1J	Election of Director: Mona K. Sutphen	Management	For	For
1K	Election of Director: J. Kenneth Thompson	Management	For	For
1L	Election of Director: Phoebe A. Wood	Management	For	For
1M	Election of Director: Michael D. Wortley	Management	For	For
2	RATIFICATION OF SELECTION OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2018	Management	For	For
3	ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION	Management	For	For

 

 

Investment Company Report

 

MACY’S INC.
Security	55616P104	Meeting Type	Annual
Ticker Symbol	M	Meeting Date	18-May-2018
ISIN	US55616P1049	Agenda	934770149 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Francis S. Blake	Management	For	For
1b.	Election of Director: John A. Bryant	Management	For	For
1c.	Election of Director: Deirdre P. Connelly	Management	For	For
1d.	Election of Director: Jeff Gennette	Management	For	For
1e.	Election of Director: Leslie D. Hale	Management	For	For
1f.	Election of Director: William H. Lenehan	Management	For	For
1g.	Election of Director: Sara Levinson	Management	For	For
1h.	Election of Director: Joyce M. Roche	Management	For	For
1i.	Election of Director: Paul C. Varga	Management	For	For
1j.	Election of Director: Marna C. Whittington	Management	For	For
2.	Ratification of the appointment of KPMG LLP as Macy’s independent registered public accounting firm for the fiscal year ending February 2, 2019.	Management	For	For
3.	Advisory vote to approve named executive officer compensation.	Management	For	For
4.	Approval of the 2018 Equity and Incentive Compensation Plan.	Management	For	For

 

 

Investment Company Report

 

ENSCO PLC
Security	G3157S106	Meeting Type	Annual
Ticker Symbol	ESV	Meeting Date	21-May-2018
ISIN	GB00B4VLR192	Agenda	934772446 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: J. Roderick Clark	Management	For	For
1b.	Election of Director: Roxanne J. Decyk	Management	For	For
1c.	Election of Director: Mary E. Francis CBE	Management	For	For
1d.	Election of Director: C. Christopher Gaut	Management	For	For
1e.	Election of Director: Jack E. Golden	Management	For	For
1f.	Election of Director: Gerald W. Haddock	Management	For	For
1g.	Election of Director: Francis S. Kalman	Management	For	For
1h.	Election of Director: Keith O. Rattie	Management	For	For
1i.	Election of Director: Paul E. Rowsey, III	Management	For	For
1j.	Election of Director: Carl G. Trowell	Management	For	For
1k.	Election of Director: Phil D. Wedemeyer	Management	For	For
2.	To ratify the Audit Committee’s appointment of KPMG LLP (U.S.) as our U.S. independent registered public accounting firm for the year ending 31 December 2018.	Management	For	For
3.	To appoint KPMG LLP (U.K.) as our U.K. statutory auditors under the U.K. Companies Act 2006 (to hold office from the conclusion of the Annual General Meeting of Shareholders until the conclusion of the next Annual General Meeting of Shareholders at which accounts are laid before the Company).	Management	For	For
4.	To authorise the Audit Committee to determine our U.K. statutory auditors’ remuneration.	Management	For	For
5.	To approve the Ensco plc 2018 Long-Term Incentive Plan.	Management	For	For
6.	A non-binding advisory vote to approve the Directors’ Remuneration Report for the year ended 31 December 2017 (excluding the Directors’ Remuneration Policy).	Management	For	For
7.	A non-binding advisory vote to approve the compensation of our named executive officers.	Management	For	For
8.	A non-binding advisory vote to approve the reports of the auditors and the directors and the U.K. statutory accounts for the year ended 31 December 2017.	Management	For	For

 

 

Investment Company Report

 

9.	To (i) approve the terms of one or more agreements providing for the purchase by the Company of up to 65.0 million shares for up to a maximum of $500 million in aggregate from one or more financial intermediaries and (ii) authorise the Company to make off-market purchases of shares pursuant to such agreements, the full text of which can be found in “Resolution 9” of the accompanying proxy statement.	Management	For	For
10.	To authorise the Board of Directors to allot shares, the full text of which can be found in “Resolution 10” of the accompanying proxy statement.	Management	For	For
11.	To approve the general disapplication of pre-emption rights, the full text of which can be found in “Resolution 11” of the accompanying proxy statement.	Management	For	For
12.	To approve the disapplication of pre-emption rights in connection with an acquisition or specified capital investment, the full text of which can be found in “Resolution 12” of the accompanying proxy statement.	Management	For	For

 

 

Investment Company Report

 

MERCK & CO., INC.
Security	58933Y105	Meeting Type	Annual
Ticker Symbol	MRK	Meeting Date	22-May-2018
ISIN	US58933Y1055	Agenda	934774262 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Leslie A. Brun	Management	For	For
1b.	Election of Director: Thomas R. Cech	Management	For	For
1c.	Election of Director: Pamela J. Craig	Management	For	For
1d.	Election of Director: Kenneth C. Frazier	Management	For	For
1e.	Election of Director: Thomas H. Glocer	Management	For	For
1f.	Election of Director: Rochelle B. Lazarus	Management	For	For
1g.	Election of Director: John H. Noseworthy	Management	For	For
1h.	Election of Director: Paul B. Rothman	Management	For	For
1i.	Election of Director: Patricia F. Russo	Management	For	For
1j.	Election of Director: Craig B. Thompson	Management	For	For
1k.	Election of Director: Inge G. Thulin	Management	For	For
1l.	Election of Director: Wendell P. Weeks	Management	For	For
1m.	Election of Director: Peter C. Wendell	Management	For	For
2.	Non-binding advisory vote to approve the compensation of our named executive officers.	Management	For	For
3.	Ratification of the appointment of the Company’s independent registered public accounting firm for 2018.	Management	For	For
4.	Shareholder proposal concerning shareholders’ right to act by written consent.	Shareholder	Against	For

 

 

Investment Company Report

 

NOW INC.
Security	67011P100	Meeting Type	Annual
Ticker Symbol	DNOW	Meeting Date	23-May-2018
ISIN	US67011P1003	Agenda	934789388 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1A.	Election of Director: Terry Bonno	Management	For	For
1B.	Election of Director: Galen Cobb	Management	For	For
1C.	Election of Director: James Crandell	Management	For	For
2.	Ratification of Appointment of Ernst & Young LLP as Independent Auditors for 2018.	Management	For	For
3.	Approval of Compensation of our Named Executive Officers.	Management	For	For

 

 

Investment Company Report

 

NELNET, INC.
Security	64031N108	Meeting Type	Annual
Ticker Symbol	NNI	Meeting Date	24-May-2018
ISIN	US64031N1081	Agenda	934782714 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Class I Director: Michael S. Dunlap	Management	For	For
1b.	Nominee Removed	Management	For	For
1c.	Election of Class I Director: Michael D. Reardon	Management	For	For
2.	Ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm for 2018.	Management	For	For
3.	Advisory approval of the Company’s executive compensation.	Management	For	For
4.	Approval of an amendment to the Directors Stock Compensation Plan to increase the authorized number of shares of Class A common stock that may be issued under the plan from a total of 400,000 shares to a total of 500,000 shares, subject to an annual per-director limit.	Management	For	For
5a.	Amend and Restate the Company’s Articles of Incorporation: Update the limitation on liability provisions for directors to conform to the provisions of the new Nebraska Model Business Corporation Act.	Management	For	For
5b.	Amend and Restate the Company’s Articles of Incorporation: Update the indemnification provisions for directors, officers, and others to conform to the provisions of the new Nebraska Model Business Corporation Act.	Management	For	For
5c.	Amend and Restate the Company’s Articles of Incorporation: Increase the percentage of votes required to be held by shareholders in order to demand a special meeting of shareholders under the new Nebraska Model Business Corporation Act.	Management	For	For
5d.	Amend and Restate the Company’s Articles of Incorporation: Make certain non-substantive updates and revisions to reflect the new Nebraska Model Business Corporation Act, eliminate provisions that are no longer necessary or are outdated, and to provide additional clarity and/or address minor matters.	Management	For	For

 

 

Investment Company Report

 

VBI VACCINES INC.
Security	91822J103	Meeting Type	Annual
Ticker Symbol	VBIV	Meeting Date	24-May-2018
ISIN	CA91822J1030	Agenda	934793642 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1	To set the number of Directors at seven (7).		Management	For	For
2	DIRECTOR		Management
	1	Jeff R. Baxter		For	For
	2	Steven Gillis		For	For
	3	Michel De Wilde		For	For
	4	Adam Logal		For	For
	5	Tomer Kariv		For	For
	6	Scott Requadt		For	For
	7	Steven D. Rubin		For	For
3	Appointment of EisnerAmper LLP as the independent registered public accounting firm of the Company for the ensuing year and authorizing the audit committee of the board of directors to fix its remuneration.		Management	For	For

 

 

Investment Company Report

 

AMAZON.COM, INC.
Security	023135106	Meeting Type	Annual
Ticker Symbol	AMZN	Meeting Date	30-May-2018
ISIN	US0231351067	Agenda	934793224 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Jeffrey P. Bezos	Management	For	For
1b.	Election of Director: Tom A. Alberg	Management	For	For
1c.	Election of Director: Jamie S. Gorelick	Management	For	For
1d.	Election of Director: Daniel P. Huttenlocher	Management	For	For
1e.	Election of Director: Judith A. McGrath	Management	For	For
1f.	Election of Director: Jonathan J. Rubinstein	Management	For	For
1g.	Election of Director: Thomas O. Ryder	Management	For	For
1h.	Election of Director: Patricia Q. Stonesifer	Management	For	For
1i.	Election of Director: Wendell P. Weeks	Management	For	For
2.	RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS	Management	For	For
3.	ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION	Management	For	For
4.	SHAREHOLDER PROPOSAL REGARDING DIVERSE BOARD CANDIDATES	Shareholder	Against	For
5.	SHAREHOLDER PROPOSAL REGARDING A POLICY TO REQUIRE AN INDEPENDENT BOARD CHAIR	Shareholder	Against	For
6.	SHAREHOLDER PROPOSAL REGARDING VOTE- COUNTING PRACTICES FOR SHAREHOLDER PROPOSALS	Shareholder	Against	For

 

 

Investment Company Report

 

EBAY INC.
Security	278642103	Meeting Type	Annual
Ticker Symbol	EBAY	Meeting Date	30-May-2018
ISIN	US2786421030	Agenda	934791573 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Fred D. Anderson Jr.	Management	For	For
1b.	Election of Director: Anthony J. Bates	Management	For	For
1c.	Election of Director: Adriane M. Brown	Management	For	For
1d.	Election of Director: Diana Farrell	Management	For	For
1e.	Election of Director: Logan D. Green	Management	For	For
1f.	Election of Director: Bonnie S. Hammer	Management	For	For
1g.	Election of Director: Kathleen C. Mitic	Management	For	For
1h.	Election of Director: Pierre M. Omidyar	Management	For	For
1i.	Election of Director: Paul S. Pressler	Management	For	For
1j.	Election of Director: Robert H. Swan	Management	For	For
1k.	Election of Director: Thomas J. Tierney	Management	For	For
1l.	Election of Director: Perry M. Traquina	Management	For	For
1m.	Election of Director: Devin N. Wenig	Management	For	For
2.	Advisory vote to approve named executive officer compensation.	Management	For	For
3.	Ratification of appointment of independent auditors.	Management	For	For
4.	Ratification of Special Meeting Provisions.	Management	For	For

 

 

Investment Company Report

 

WALMART INC.
Security	931142103	Meeting Type	Annual
Ticker Symbol	WMT	Meeting Date	30-May-2018
ISIN	US9311421039	Agenda	934793072 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Stephen J. Easterbrook	Management	For	For
1b.	Election of Director: Timothy P. Flynn	Management	For	For
1c.	Election of Director: Sarah J. Friar	Management	For	For
1d.	Election of Director: Carla A. Harris	Management	For	For
1e.	Election of Director: Thomas W. Horton	Management	For	For
1f.	Election of Director: Marissa A. Mayer	Management	For	For
1g.	Election of Director: C. Douglas McMillon	Management	For	For
1h.	Election of Director: Gregory B. Penner	Management	For	For
1i.	Election of Director: Steven S Reinemund	Management	For	For
1j.	Election of Director: S. Robson Walton	Management	For	For
1k.	Election of Director: Steuart L. Walton	Management	For	For
2.	Advisory Vote to Approve Named Executive Officer Compensation	Management	For	For
3.	Ratification of Ernst & Young LLP as Independent Accountants	Management	For	For
4.	Request to Adopt an Independent Chair Policy	Shareholder	Against	For
5.	Request for Report on Racial or Ethnic Pay Gaps	Shareholder	Against	For

 

 

Investment Company Report

 

FACEBOOK, INC.
Security	30303M102	Meeting Type	Annual
Ticker Symbol	FB	Meeting Date	31-May-2018
ISIN	US30303M1027	Agenda	934793034 - Management

 

Item	Proposal		Proposed by	Vote	For/Against Management
1.	DIRECTOR		Management
	1	Marc L. Andreessen		For	For
	2	Erskine B. Bowles		For	For
	3	Kenneth I. Chenault		For	For
	4	S. D. Desmond-Hellmann		For	For
	5	Reed Hastings		For	For
	6	Jan Koum		For	For
	7	Sheryl K. Sandberg		For	For
	8	Peter A. Thiel		For	For
	9	Mark Zuckerberg		For	For
2.	To ratify the appointment of Ernst & Young LLP as Facebook, Inc.’s independent registered public accounting firm for the fiscal year ending December 31, 2018.		Management	For	For
3.	A stockholder proposal regarding change in stockholder voting.		Shareholder	For	Against
4.	A stockholder proposal regarding a risk oversight committee.		Shareholder	For	Against
5.	A stockholder proposal regarding simple majority vote.		Shareholder	Against	For
6.	A stockholder proposal regarding a content governance report.		Shareholder	For	Against
7.	A stockholder proposal regarding median pay by gender.		Shareholder	Against	For
8.	A stockholder proposal regarding tax principles.		Shareholder	Against	For

 

 

Investment Company Report

 

INTERDIGITAL, INC.
Security	45867G101	Meeting Type	Annual
Ticker Symbol	IDCC	Meeting Date	31-May-2018
ISIN	US45867G1013	Agenda	934785594 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Jeffrey K. Belk	Management	For	For
1b.	Election of Director: Joan H. Gillman	Management	For	For
1c.	Election of Director: S. Douglas Hutcheson	Management	For	For
1d.	Election of Director: John A. Kritzmacher	Management	For	For
1e.	Election of Director: John D. Markley, Jr.	Management	For	For
1f.	Election of Director: William J. Merritt	Management	For	For
1g.	Election of Director: Kai O. Oistamo	Management	For	For
1h.	Election of Director: Jean F. Rankin	Management	For	For
1i.	Election of Director: Philip P. Trahanas	Management	For	For
2.	Advisory resolution to approve executive compensation.	Management	For	For
3.	Ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm of InterDigital, Inc. for the year ending December 31, 2018.	Management	For	For

 

 

Investment Company Report

 

THE TJX COMPANIES, INC.
Security	872540109	Meeting Type	Annual
Ticker Symbol	TJX	Meeting Date	05-Jun-2018
ISIN	US8725401090	Agenda	934805752 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Zein Abdalla	Management	For	For
1b.	Election of Director: Alan M. Bennett	Management	For	For
1c.	Election of Director: David T. Ching	Management	For	For
1d.	Election of Director: Ernie Herrman	Management	For	For
1e.	Election of Director: Michael F. Hines	Management	For	For
1f.	Election of Director: Amy B. Lane	Management	For	For
1g.	Election of Director: Carol Meyrowitz	Management	For	For
1h.	Election of Director: Jackwyn L. Nemerov	Management	For	For
1i.	Election of Director: John F. O’Brien	Management	For	For
1j.	Election of Director: Willow B. Shire	Management	For	For
2.	Ratification of appointment of PricewaterhouseCoopers as TJX’s independent registered public accounting firm for fiscal 2019	Management	For	For
3.	Advisory approval of TJX’s executive compensation (the say-on- pay vote)	Management	For	For
4.	Shareholder proposal for a report on compensation disparities based on race, gender, or ethnicity	Shareholder	Against	For
5.	Shareholder proposal for amending TJX’s clawback policy	Shareholder	Against	For
6.	Shareholder proposal for a supply chain policy on prison labor	Shareholder	Against	For

 

 

Investment Company Report

 

SINCLAIR BROADCAST GROUP, INC.
Security	829226109	Meeting Type	Annual
Ticker Symbol	SBGI	Meeting Date	07-Jun-2018
ISIN	US8292261091	Agenda	934798351 - Management

Item	Proposal			Proposed by	Vote	For/Against Management
1.	DIRECTOR			Management
		1	David D. Smith		For	For
		2	Frederick G. Smith		For	For
		3	J. Duncan Smith		For	For
		4	Robert E. Smith		For	For
		5	Howard E. Friedman		For	For
		6	Lawrence E. McCanna		For	For
		7	Daniel C. Keith		For	For
		8	Martin R. Leader		For	For
2.	Ratification of the appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for the year ending December 31, 2018.			Management	For	For

 

 

Investment Company Report

 

METLIFE, INC.
Security	59156R108	Meeting Type	Annual
Ticker Symbol	MET	Meeting Date	12-Jun-2018
ISIN	US59156R1086	Agenda	934799923 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Cheryl W. Grise	Management	For	For
1b.	Election of Director: Carlos M. Gutierrez	Management	For	For
1c.	Election of Director: Gerald L. Hassell	Management	For	For
1d.	Election of Director: David L. Herzog	Management	For	For
1e.	Election of Director: R. Glenn Hubbard, Ph.D.	Management	For	For
1f.	Election of Director: Steven A. Kandarian	Management	For	For
1g.	Election of Director: Edward J. Kelly, III	Management	For	For
1h.	Election of Director: William E. Kennard	Management	For	For
1i.	Election of Director: James M. Kilts	Management	For	For
1j.	Election of Director: Catherine R. Kinney	Management	For	For
1k.	Election of Director: Denise M. Morrison	Management	For	For
2.	Ratification of Appointment of Deloitte & Touche LLP as Independent Auditor for 2018	Management	For	For
3.	Advisory Vote to Approve the Compensation Paid to the Company’s Named Executive Officers	Management	For	For
4.	Shareholder Proposal to Adopt a Policy that the Chairman of the Board be an Independent Director	Shareholder	Against	For

 

 

Investment Company Report

 

CELGENE CORPORATION
Security	151020104	Meeting Type	Annual
Ticker Symbol	CELG	Meeting Date	13-Jun-2018
ISIN	US1510201049	Agenda	934805637 - Management

Item	Proposal			Proposed by	Vote	For/Against Management
1.	DIRECTOR			Management
		1	Mark J. Alles		For	For
		2	R W Barker, D.Phil, OBE		For	For
		3	Hans E. Bishop		For	For
		4	Michael W. Bonney		For	For
		5	Michael D. Casey		For	For
		6	Carrie S. Cox		For	For
		7	Michael A. Friedman, MD		For	For
		8	Julia A. Haller, M.D.		For	For
		9	P. A. Hemingway Hall		For	For
		10	James J. Loughlin		For	For
		11	Ernest Mario, Ph.D.		For	For
		12	John H. Weiland		For	For
2.	Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2018.			Management	For	For
3.	Approval, by non-binding vote, of executive compensation of the Company’s named executive officers.			Management	For	For
4.	Advisory vote on stockholder proposal to request the Company’s Board of Directors to amend the Company’s proxy access by-law provision to eliminate the limit on the number of stockholders that can aggregate their shares to achieve the holding requirement for nomination of directors, described in more detail in the proxy statement.			Shareholder	Against	For
5.	Advisory vote on stockholder proposal to request the Company’s Board of Directors to adopt a policy and amend the Company’s governing documents to require that the Chairman of the Board be an independent member, described in more detail in the proxy statement.			Shareholder	Against	For

 

 

Investment Company Report

 

PARATEK PHARMACEUTICALS, INC.
Security	699374302	Meeting Type	Annual
Ticker Symbol	PRTK	Meeting Date	14-Jun-2018
ISIN	US6993743029	Agenda	934805459 - Management

Item	Proposal			Proposed by	Vote	For/Against Management
1.	DIRECTOR			Management
		1	Rolf K. Hoffmann		For	For
		2	Kristine Peterson		For	For
		3	Jeffrey Stein, Ph.D.		For	For
2.	To consider and approve the Paratek Pharmaceuticals, Inc. Employee Stock Purchase Plan.			Management	For	For
3.	To ratify the selection by the Audit Committee of the Board of Directors of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2018.			Management	For	For

 

 

Investment Company Report

 

INTRA-CELLULAR THERAPIES INC
Security	46116X101	Meeting Type	Annual
Ticker Symbol	ITCI	Meeting Date	18-Jun-2018
ISIN	US46116X1019	Agenda	934813379 - Management

Item	Proposal			Proposed by	Vote	For/Against Management
1.	DIRECTOR			Management
		1	Christopher Alafi, Ph.D		For	For
		2	Joel S. Marcus		For	For
2.	To approve the Intra-Cellular Therapies, Inc. 2018 Equity Incentive Plan.			Management	For	For
3.	To ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2018.			Management	For	For
4.	To approve by an advisory vote the compensation of our named executive officers, as disclosed in the proxy statement.			Management	For	For

 

 

Investment Company Report

 

LIBERTY EXPEDIA HOLDINGS, INC.
Security	53046P109	Meeting Type	Annual
Ticker Symbol	LEXEA	Meeting Date	19-Jun-2018
ISIN	US53046P1093	Agenda	934812618 - Management

Item	Proposal			Proposed by	Vote	For/Against Management
1.	A proposal to ratify the selection of KPMG LLP as our independent auditors for the fiscal year ending December 31, 2018.			Management	For	For
2.	DIRECTOR			Management
		1	John C. Malone		For	For
		2	Stephen M. Brett		For	For
		3	Gregg L. Engles		For	For
		4	Scott W. Schoelzel		For	For
		5	Christopher W. Shean		For	For

 

 

Investment Company Report

 

UNIVERSAL DISPLAY CORPORATION
Security	91347P105	Meeting Type	Annual
Ticker Symbol	OLED	Meeting Date	21-Jun-2018
ISIN	US91347P1057	Agenda	934804534 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of director: Steven V. Abramson	Management	For	For
1b.	Election of director: Richard C. Elias	Management	For	For
1c.	Election of director: Elizabeth H. Gemmill	Management	For	For
1d.	Election of director: Rosemarie B. Greco	Management	For	For
1e.	Election of director: C. Keith Hartley	Management	For	For
1f.	Election of director: Lawrence Lacerte	Management	For	For
1g.	Election of director: Sidney D. Rosenblatt	Management	For	For
1h.	Election of director: Sherwin I. Seligsohn	Management	For	For
2.	Advisory resolution to approve compensation of the Company’s named executive officers.	Management	For	For
3.	Approval of an Amendment to the Company’s Amended and Restated Articles of Incorporation to increase the Company’s authorized shares of Capital Stock.	Management	For	For
4.	Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for 2018.	Management	For	For

 

 

Investment Company Report

 

AON PLC
Security	G0408V102	Meeting Type	Annual
Ticker Symbol	AON	Meeting Date	22-Jun-2018
ISIN	GB00B5BT0K07	Agenda	934819624 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Re-election of Director: Lester B. Knight	Management	For	For
1b.	Re-election of Director: Gregory C. Case	Management	For	For
1c.	Re-election of Director: Jin-Yong Cai	Management	For	For
1d.	Re-election of Director: Jeffrey C. Campbell	Management	For	For
1e.	Re-election of Director: Fulvio Conti	Management	For	For
1f.	Re-election of Director: Cheryl A. Francis	Management	For	For
1g.	Re-election of Director: J. Michael Losh	Management	For	For
1h.	Re-election of Director: Richard B. Myers	Management	For	For
1i.	Re-election of Director: Richard C. Notebaert	Management	For	For
1j.	Re-election of Director: Gloria Santona	Management	For	For
1k.	Re-election of Director: Carolyn Y. Woo	Management	For	For
2.	Advisory vote to approve executive compensation.	Management	For	For
3.	Advisory vote to approve the directors’ remuneration report.	Management	For	For
4.	Receipt of Aon’s annual report and accounts, together with the reports of the directors and auditors, for the year ended December 31, 2017.	Management	For	For
5.	Ratification of the appointment of Ernst & Young LLP as Aon’s Independent Registered Public Accounting Firm.	Management	For	For
6.	Re-appointment of Ernst & Young LLP as Aon’s U.K. statutory auditor under the Companies Act of 2006.	Management	For	For
7.	Authorization of the Board of Directors to determine the remuneration of Aon’s U.K. statutory auditor.	Management	For	For
8.	Approval of forms of share repurchase contracts and repurchase counterparties.	Management	For	For
9.	Authorize the Board of Directors to exercise all powers of Aon to allot shares.	Management	For	For
10.	Authorize the Board of Directors to allot equity securities for cash without rights of preemption.	Management	For	For
11.	Authorize Aon and its subsidiaries to make political donations or expenditures.	Management	For	For

 

 

Investment Company Report

 

KINDRED BIOSCIENCES, INC.
Security	494577109	Meeting Type	Annual
Ticker Symbol	KIN	Meeting Date	22-Jun-2018
ISIN	US4945771099	Agenda	934810474 - Management

 

Item	Proposal	Proposed by	Vote	For/Against Management
1a.	Election of Director: Raymond Townsend, Pharm.D.	Management	For	For
1b.	Election of Director: Ervin Veszpremi	Management	For	For
2.	To approve the Kindred Biosciences, Inc. 2018 Equity Incentive Plan.	Management	For	For
3.	To approve an amendment to the Kindred Biosciences, Inc. 2014 Employee Stock Purchase Plan to increase the number of shares authorized for issuance by  300,000 shares.	Management	For	For
4.	To ratify the appointment of KMJ Corbin & Company LLP as our independent registered public accounting firm for the year ending December 31, 2018.	Management	For	For

 

 

Investment Company Report

 

GCI LIBERTY, INC.
Security	36164V305	Meeting Type	Annual
Ticker Symbol	GLIBA	Meeting Date	25-Jun-2018
ISIN	US36164V3050	Agenda	934834551 - Management

Item	Proposal			Proposed by	Vote	For/Against Management
1.	DIRECTOR			Management
		1	John C. Malone		For	For
		2	Gregory B. Maffei		For	For
		3	Ronald A. Duncan		For	For
		4	Gregg L. Engles		For	For
		5	Donne F. Fisher		For	For
		6	Richard R. Green		For	For
		7	Sue Ann Hamilton		For	For
2.	A proposal to ratify the selection of KPMG LLP as our independent auditors for the fiscal year ending December 31, 2018.			Management	For	For
3.	A proposal to adopt the GCI Liberty, Inc. 2018 Omnibus Incentive Plan.			Management	For	For

 

 

SIGNATURES

 

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

(Registrant) General American Investors Company, Inc.

 

By (Signature and Title)	/s/ Jeffrey W. Priest
	Jeffrey W. Priest
	President and Chief Executive Officer

 

Date: August 2, 2018