cfp_npx-0612.htm
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY


Investment Company Act file number       811-22066      


Cornerstone Progressive Return Fund
(Exact name of registrant as specified in charter)
 
 
350 Jericho Turnpike, Suite 206                          Jericho, New York
11753
(Address of principal executive offices)
(Zip code)
 
 
Frank L. Newbauer, Esq.

Ultimus Fund Solutions, LLC  225 Pictoria Drive, Suite 450   Cincinnati, Ohio 45246
(Name and address of agent for service)
 
 
Registrant's telephone number, including area code:    (646) 881-4985   

Date of fiscal year end:          December 31                                          
 
Date of reporting period:         July 1, 2011 - June 30, 2012                         
 
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
 
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
 
 
 
 
 
ITEM 1. PROXY VOTING RECORD.
 
Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:

 
(a)
The name of the issuer of the portfolio security;

 
(b)
The exchange ticker symbol of the portfolio security;

 
(c)
The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;

 
(d)
The shareholder meeting date;

 
(e)
A brief identification of the matter voted on;

 
(f)
Whether the matter was proposed by the issuer or by a security holder;

 
(g)
Whether the registrant cast its vote on the matter;

 
(h)
How the registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and

 
(i)
Whether the registrant cast its vote for or against management.

SIGNATURES

[See General Instruction F]

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
(Registrant)         Cornerstone Progressive Return Fund     
 
 
By (Signature and Title)*
/s/ Ralph W. Bradshaw
  
 
Ralph W. Bradshaw, President and Chairman
(Principal Executive Officer)
  
Date
August 21, 2012
    
 
* Print the name and title of each signing officer under his or her signature.
 
 
 
 
 
EXHIBIT A
 
Proxy Voting Record
Cornerstone Progressive Return Fund
July 1, 2011 - June 30, 2012
 
Company Name
CUSIP
Ticker
Meeting Date
Proposal #
Proposal Description
Proponent
Mgmt Recommendation
Vote
Cast
For / Against Mgmt
Transamerica Income Shares Inc
893506105
TAI
7/7/2011
1.1
Elect John Waechter
Mgmt
For
For
For
Transamerica Income Shares Inc
893506105
TAI
7/7/2011
1.2
Elect Joyce Norden
Mgmt
For
For
For
Transamerica Income Shares Inc
893506105
TAI
7/7/2011
1.3
Elect Norman Nielsen
Mgmt
For
For
For
Transamerica Income Shares Inc
893506105
TAI
7/7/2011
1.4
Elect Russell Kimball, Jr.
Mgmt
For
For
For
Invesco AIM
46133E102
PIA
7/14/2011
1.1
Elect David Arch
Mgmt
For
For 93% 
Abstain 7%
For
Invesco AIM
46133E102
PIA
7/14/2011
1.2
Elect Bob Baker
Mgmt
For
For 93% 
Abstain 7%
For
Invesco AIM
46133E102
PIA
7/14/2011
1.3
Elect Larry Soll
Mgmt
For
For 93%
Abstain 7%
For
Invesco AIM
46133E102
PIA
7/14/2011
1.4
Elect Philip Taylor
Mgmt
For
For 93%
Abstain 7%
For
Invesco AIM
46133E102
PIA
7/14/2011
1.5
Elect Wayne Whalen
Mgmt
For
For 93%
Abstain 7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.1
Elect David Arch
Mgmt
For
For 96.3%
Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.2
Elect Bob Baker
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.3
Elect Frank Bayley
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.4
Elect Larry Soll
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.5
Elect Philip Taylor
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.6
Elect Wayne Whalen
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.1
Elect David Arch
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.2
Elect Bob Baker
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.3
Elect Frank Bayley
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.4
Elect Larry Soll
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.5
Elect Philip Taylor
Mgmt
For
For 96.3%Abstain 3.7%
For
Morgan Stanley Fund
46133A100
IIC
7/14/2011
1.6
Elect Wayne Whalen
Mgmt
For
For 96.3%Abstain 3.7%
For
Clough Global Allocation Fund
18913Y103
GLV
7/15/2011
1.1
Elect Andrew Boynton
Mgmt
For
For 36.3%Abstain 63.7%
Against
Clough Global Allocation Fund
18913Y103
GLV
7/15/2011
1.2
Elect Adam Crescenzi
Mgmt
For
For 36.3%Abstain 63.7%
Against
Clough Global Allocation Fund
18913Y103
GLV
7/15/2011
1.3
Elect Jerry Rutledge
Mgmt
For
For 36.3%Abstain 63.7%
Against
Clough Global Equity Fund
18914C100
GLQ
7/15/2011
1.1
Elect Edmund Burke
Mgmt
For
For 98%Withhold 2%
For
Clough Global Equity Fund
18914C100
GLQ
7/15/2011
1.2
Elect John Mee
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance
278279104
EOI
7/22/2011
1.1
Elect Benjamin Esty
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance
278279104
EOI
7/22/2011
1.2
Elect Thomas Faust, Jr.
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance
278279104
EOI
7/22/2011
1.3
Elect Allen Freedman
Mgmt
For
For 97%Withhold 3%
For
BlackRock Core Bond Trust
09249E101
BHK
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For
For
BlackRock Core Bond Trust
09249E101
BHK
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For
For
BlackRock Core Bond Trust
09249E101
BHK
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For
For
BlackRock Core Bond Trust
09249E101
BHK
7/28/2011
1.4
Elect W. Carl Kester
Mgmt
For
For
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.3
Elect Richard Cavanagh
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.4
Elect Frank Fabozzi
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.5
Elect Kathleen Feldstein
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.6
Elect James Flynn
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.7
Elect Henry Gabbay
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.8
Elect Jerrold Harris
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.9
Elect R. Glenn Hubbard
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.10
Elect W. Carl Kester
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust II Inc
09255H105
PSY
7/28/2011
1.11
Elect Karen Robards
Mgmt
For
For 93%
Against 7%
For
BlackRock Credit Allocation Income Trust III
09249V103
BPP
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For
For
BlackRock Credit Allocation Income Trust III
09249V103
BPP
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For
For
BlackRock Credit Allocation Income Trust III
09249V103
BPP
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For
For
BlackRock Credit Allocation Income Trust III
09249V103
BPP
7/28/2011
1.4
Elect W. Carl Kester
Mgmt
For
For
For
BlackRock Credit Allocation Income Trust IV
092508100
BTZ
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For
For
BlackRock Credit Allocation Income Trust IV
092508100
BTZ
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For
For
BlackRock Credit Allocation Income Trust IV
092508100
BTZ
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For
For
BlackRock Credit Allocation Income Trust IV
092508100
BTZ
7/28/2011
1.4
Elect W. Carl Kester
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.3
Elect Richard Cavanagh
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.4
Elect Frank Fabozzi
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.5
Elect Kathleen Feldstein
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.6
Elect James Flynn
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.7
Elect Henry Gabbay
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.8
Elect Jerrold Harris
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.9
Elect R. Glenn Hubbard
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.10
Elect W. Carl Kester
Mgmt
For
For
For
BlackRock Enhanced Government Fund Inc
09255K108
EGF
7/28/2011
1.11
Elect Karen Robards
Mgmt
For
For
For
BlackRock High Yield Trust.
09248N102
BHY
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For
For
BlackRock High Yield Trust.
09248N102
BHY
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For
For
BlackRock High Yield Trust.
09248N102
BHY
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For
For
BlackRock High Yield Trust.
09248N102
BHY
7/28/2011
1.4
Elect W. Carl Kester
Mgmt
For
For
For
BlackRock Income Opportunity Trust Inc.
092475102
BNA
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For
For
BlackRock Income Opportunity Trust Inc.
092475102
BNA
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For
For
BlackRock Income Opportunity Trust Inc.
092475102
BNA
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For
For
BlackRock Income Opportunity Trust Inc.
092475102
BNA
7/28/2011
1.4
Elect W. Carl Kester
Mgmt
For
For
For
BlackRock Income Trust Inc
09247F100
BKT
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For
For
BlackRock Income Trust Inc
09247F100
BKT
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For
For
BlackRock Income Trust Inc
09247F100
BKT
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For
For
BlackRock Income Trust Inc
09247F100
BKT
7/28/2011
1.4
Elect W. Carl Kester
Mgmt
For
For
For
BlackRock Muniassets Fund Inc
09254J102
MUA
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For 96%
Against 4%
For
BlackRock Muniassets Fund Inc
09254J102
MUA
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For 96%
Against 4%
For
BlackRock Muniassets Fund Inc
09254J102
MUA
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For 96%
Against 4%
For
BlackRock Muniassets Fund Inc
09254J102
MUA
7/28/2011
1.4
Elect W. Carl Kester
Mgmt
For
For 96%
Against 4%
For
BlackRock Municipal Income Investment Quality Trust
09250G102
BAF
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For 97%
Against 3%
For
BlackRock Municipal Income Investment Quality Trust
09250G102
BAF
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For 96%
Against 4%
For
BlackRock Municipal Income Investment Quality Trust
09250G102
BAF
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For 96%
Against 4%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For 99%
Against 1%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For 98%
Against 2%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.3
Elect Richard Cavanagh
Mgmt
For
For 98%
Against 2%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.4
Elect Kathleen Feldstein
Mgmt
For
For 97%
Against 3%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.5
Elect James Flynn
Mgmt
For
For 97%
Against 3%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.6
Elect Henry Gabbay
Mgmt
For
For 98%
Against 2%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.7
Elect Jerrold Harris
Mgmt
For
For 98%
Against 2%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.8
Elect R. Glenn Hubbard
Mgmt
For
For 98%
Against 2%
For
BlackRock Munienhanced Fund Inc
09253Y100
MEN
7/28/2011
1.9
Elect Karen Robards
Mgmt
For
For 98%
Against 2%
For
BlackRock Strategic Bond Trust
09249G106
BHD
7/28/2011
1.1
Elect Paul Audet
Mgmt
For
For
For
BlackRock Strategic Bond Trust
09249G106
BHD
7/28/2011
1.2
Elect Michael Castellano
Mgmt
For
For
For
BlackRock Strategic Bond Trust
09249G106
BHD
7/28/2011
1.3
Elect R. Glenn Hubbard
Mgmt
For
For
For
BlackRock Strategic Bond Trust
09249G106
BHD
7/28/2011
1.4
Elect W. Carl Kester
Mgmt
For
For
For
First Trust Strategic High Income
33735C106
FHO
8/8/2011
1
Reorganization
Mgmt
For
For 92%
Against 5.5%Abstain 2.5%
For
First Trust Strategic High Income Fund
337347108
FHI
8/8/2011
1
Reorganization
Mgmt
For
For 92%
Against 5.5%Abstain 2.5%
For
First Trust Strategic High Income Fund II
337353106
FHY
8/8/2011
1
Reorganization
Mgmt
For
For
For
Templeton Russia and East European Fund Inc
88022F105
TRF
8/19/2011
1.1
Elect Harris Ashton
Mgmt
For
For 86%Withhold 14%
For
Templeton Russia and East European Fund Inc
88022F105
TRF
8/19/2011
1.2
Elect J. Michael Luttig
Mgmt
For
For 86%Withhold 14%
For
Templeton Russia and East European Fund Inc
88022F105
TRF
8/19/2011
1.3
Elect Larry Thompson
Mgmt
For
For 86%Withhold 14%
For
Templeton Russia and East European Fund Inc
88022F105
TRF
8/19/2011
1.4
Elect Constantine Tseretopoulos
Mgmt
For
For 86%Withhold 14%
For
Templeton Russia and East European Fund Inc
88022F105
TRF
8/19/2011
2
Ratification of Auditor
Mgmt
For
For 99%
Against 0.75%
Abstain 0.25%
For
Duke Energy Corp.
26441C105
DUK
8/23/2011
1
Reverse Stock Split
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
8/23/2011
2
Merger
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
8/23/2011
3
Right to Adjourn Meeting
Mgmt
For
For
For
Eaton Vance Tax-Managed Diversified Equity Income Fund
27828N102
ETY
8/26/2011
1.1
Elect William Park
Mgmt
For
For 97.7%Abstain 2.3%
For
Eaton Vance Tax-Managed Diversified Equity Income Fund
27828N102
ETY
8/26/2011
1.2
Elect Ronald Pearlman
Mgmt
For
For 97.7%Abstain 2.3%
For
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
27829F108
EXG
8/26/2011
1.1
Elect William Park
Mgmt
For
For 97.7%Abstain 2.3%
For
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
27829F108
EXG
8/26/2011
1.2
Elect Ronald Pearlman
Mgmt
For
For 97.7%Abstain 2.3%
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
1
Elect William Johnson
Mgmt
For
For
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
2
Elect Charles Bunch
Mgmt
For
For
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
3
Elect Leonard Coleman, Jr.
Mgmt
For
Against
Against
H.J. Heinz Co.
423074103
HNZ
8/30/2011
4
Elect John Drosdick
Mgmt
For
For
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
5
Elect Edith Holiday
Mgmt
For
For
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
6
Elect Candace Kendle
Mgmt
For
Against
Against
H.J. Heinz Co.
423074103
HNZ
8/30/2011
7
Elect Dean O'Hare
Mgmt
For
For
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
8
Elect Nelson Peltz
Mgmt
For
Against
Against
H.J. Heinz Co.
423074103
HNZ
8/30/2011
9
Elect Dennis Reilley
Mgmt
For
Against
Against
H.J. Heinz Co.
423074103
HNZ
8/30/2011
10
Elect Lynn Swann
Mgmt
For
Against
Against
H.J. Heinz Co.
423074103
HNZ
8/30/2011
11
Elect Thomas Usher
Mgmt
For
Against
Against
H.J. Heinz Co.
423074103
HNZ
8/30/2011
12
Elect Michael Weinstein
Mgmt
For
For
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
13
Ratification of Auditor
Mgmt
For
For
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
14
Advisory Vote on Executive Compensation
Mgmt
For
For
For
H.J. Heinz Co.
423074103
HNZ
8/30/2011
15
Frequency of Advisory Vote on Executive Compensation
Mgmt
1 Year
1 Year
For
Western Asset Managed Municipals Portfolio Inc
95766M105
MMU
9/23/2011
1.1
Elect Leslie Gelb
Mgmt
For
For 98.6%Withhold 1.4%
For
Western Asset Managed Municipals Portfolio Inc
95766M105
MMU
9/23/2011
1.2
Elect William Hutchinson
Mgmt
For
For 98.7%Withhold 1.3%
For
Western Asset Managed Municipals Portfolio Inc
95766M105
MMU
9/23/2011
1.3
Elect Riordan Roett
Mgmt
For
For 98.7%Withhold 1.3%
For
MFS Charter Income Trust
552727109
MCR
10/5/2011
1.1
Elect William Gutow
Mgmt
For
For 98%
Against 2%
For
MFS Charter Income Trust
552727109
MCR
10/5/2011
1.2
Elect Michael Hegarty
Mgmt
For
For 98.5%Against 1.5%
For
MFS Charter Income Trust
552727109
MCR
10/5/2011
1.3
Elect John Kavanaugh
Mgmt
For
For 98.5%Against 1.5%
For
MFS Charter Income Trust
552727109
MCR
10/5/2011
1.4
Elect Robert Uek
Mgmt
For
For 98%
Against 2%
For
MFS Government Markets Income Trust
59318T109
MGF
10/5/2011
1.1
Elect William Gutow
Mgmt
For
For 98%
Against 2%
For
MFS Government Markets Income Trust
59318T109
MGF
10/5/2011
1.2
Elect Michael Hegarty
Mgmt
For
For 98%
Against 2%
For
MFS Government Markets Income Trust
59318T109
MGF
10/5/2011
1.3
Elect John Kavanaugh
Mgmt
For
For 98%
Against 2%
For
MFS Government Markets Income Trust
59318T109
MGF
10/5/2011
1.4
Elect Robert Uek
Mgmt
For
For 98%
Against 2%
For
MFS Intermarket Income Trust I
59318T109
CMK
10/5/2011
1.1
Elect William Gutow
Mgmt
For
For 98%
Against 2%
For
MFS Intermarket Income Trust I
59318T109
CMK
10/5/2011
1.2
Elect Michael Hegarty
Mgmt
For
For 98%
Against 2%
For
MFS Intermarket Income Trust I
59318T109
CMK
10/5/2011
1.3
Elect John Kavanaugh
Mgmt
For
For 97%
Against 3%
For
MFS Intermarket Income Trust I
59318T109
CMK
10/5/2011
1.4
Elect Robert Uek
Mgmt
For
For 97.8%
Against 2.2%
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.1
Elect Jeffrey Berg
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.2
Elect H. Raymond Bingham
Mgmt
For
Withhold
Against
Oracle Corp.
68389X105
ORCL
10/12/2011
1.3
Elect Michael Boskin
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.4
Elect Safra Catz
Mgmt
For
Withhold
Against
Oracle Corp.
68389X105
ORCL
10/12/2011
1.5
Elect Bruce Chizen
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.6
Elect George Conrades
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.7
Elect Lawrence Ellison
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.8
Elect Hector Garcia-Molina
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.9
Elect Jeffrey Henley
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.10
Elect Mark Hurd
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.11
Elect Donald Lucas
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
1.12
Elect Naomi Seligman
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
2
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
3
Frequency of Advisory Vote on Executive Compensation
Mgmt
1 Year
1 Year
For
Oracle Corp.
68389X105
ORCL
10/12/2011
4
Ratification of Auditor
Mgmt
For
For
For
Oracle Corp.
68389X105
ORCL
10/12/2011
5
Shareholder Proposal Regarding Retention of Shares After Retirement
ShrHoldr
Against
Against
For
CLAYMORE FUNDS
007639107
AGC
10/25/2011
1
Elect Daniel Black
Mgmt
For
For 96%
Against 3%
Abstain 1%
For
Eaton Vance
278279104
EVF
10/28/2011
1.1
Elect Benjamin Esty
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance
278279104
EVF
10/28/2011
1.2
Elect Thomas Faust, Jr.
Mgmt
For
For 97%Withhold 3%
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
1
Elect Colleen Arnold
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
2
Elect George Barrett
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
3
Elect Glenn Britt
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
4
Elect Carrie Cox
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
5
Elect Calvin Darden
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
6
Elect Bruce Downey
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
7
Elect John Finn
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
8
Elect Gregory Kenny
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
9
Elect David King
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
10
Elect Richard Notebaert
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
11
Elect David Raisbeck
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
12
Elect Jean Spaulding
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
13
Ratification of Auditor
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
14
2011 Long-Term Incentive Plan
Mgmt
For
For
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
15
Advisory Vote on Executive Compensation
Mgmt
For
Against
Against
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
16
Frequency of Advisory Vote on Executive Compensation
Mgmt
1 Year
1 Year
For
Cardinal Health, Inc.
14149Y108
CAH
11/2/2011
17
Shareholder Proposal Regarding Independent Board Chairman
ShrHoldr
Against
For
Against
Japan Smaller Capitalization Fund Inc.
47109U104
JOF
11/16/2011
1.1
Elect Shigeru Shinohara
Mgmt
For
For 92%Withhold 8%
For
Japan Smaller Capitalization Fund Inc.
47109U104
JOF
11/16/2011
1.2
Elect Chor Weng Tan
Mgmt
For
For 92%Withhold 8%
For
Nuveen Build America Bond Fund
67074C103
NBB
11/16/2011
1.1
Elect John Amboian
Mgmt
For
For 99%Withhold 1%
For
Nuveen Build America Bond Fund
67074C103
NBB
11/16/2011
1.2
Elect David Kundert
Mgmt
For
For 99%Withhold 1%
For
Nuveen Build America Bond Fund
67074C103
NBB
11/16/2011
1.3
Elect Terence Toth
Mgmt
For
For 99%Withhold 1%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
1.1
Elect John Amboian
Mgmt
For
For 96%
Against 4%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
1.2
Elect Robert Bremner
Mgmt
For
For 96%
Against 4%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
1.3
Elect Jack Evans
Mgmt
For
For 96%
Against 4%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
1.4
Elect David Kundert
Mgmt
For
For 96%
Against 4%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
1.5
Elect Judith Stockdale
Mgmt
For
For 96%
Against 4%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
1.6
Elect Carole Stone
Mgmt
For
For 96%
Against 4%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
1.7
Elect Virginia Stringer
Mgmt
For
For 96%
Against 4%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
1.8
Elect Terence Toth
Mgmt
For
For 96%
Against 4%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
2
Elimination of Fundamental Investment Policy Concerning Loans
Mgmt
For
For 70%
Against 5%
Abstain 25%
For
Nuveen Insured Municipal Opportunity Fund
670984103
NIO
11/16/2011
3
Approval of New Fundamental Investment Objective Concerning Loans
Mgmt
For
For 70%
Against 5%
Abstain 25%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
1.1
Elect John Amboian
Mgmt
For
For 97% Withhold 3%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
1.2
Elect Robert Bremner
Mgmt
For
For 97% Withhold 3%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
1.3
Elect Jack Evans
Mgmt
For
For 97% Withhold 3%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
1.4
Elect David Kundert
Mgmt
For
For 97% Withhold 3%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
1.5
Elect Judith Stockdale
Mgmt
For
For 97% Withhold 3%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
1.6
Elect Carole Stone
Mgmt
For
For 97% Withhold 3%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
1.7
Elect Virginia Stringer
Mgmt
For
For 97% Withhold 3%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
1.8
Elect Terence Toth
Mgmt
For
For 97% Withhold 3%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
2
Elimination of Fundamental Investment Policy Concerning Loans
Mgmt
For
For 53%
Against 4%Abstain 47%
For
Nuveen Insured Quality Municipal Fund
67062N103
NQI
11/16/2011
3
Approval of New Fundamental Investment Objective Concerning Loans
Mgmt
For
For 53%
Against 4%Abstain 47%
For
Nuveen Insured Tax-Free Advantage Municipal Fund
670657105
NEA
11/16/2011
1.1
Elect John Amboian
Mgmt
For
For 98%
Withhold 2%
For
Nuveen Insured Tax-Free Advantage Municipal Fund
670657105
NEA
11/16/2011
1.2
Elect David Kundert
Mgmt
For
For 98%Withhold 2%
For
Nuveen Insured Tax-Free Advantage Municipal Fund
670657105
NEA
11/16/2011
1.3
Elect Terence Toth
Mgmt
For
For 98%Withhold 2%
For
Nuveen Insured Tax-Free Advantage Municipal Fund
670657105
NEA
11/16/2011
2
Elimination of Fundamental Investment Policy Concerning Loans
Mgmt
For
For 46%
Against 3%Abstain 51%
Against
Nuveen Insured Tax-Free Advantage Municipal Fund
670657105
NEA
11/16/2011
3
Approval of New Fundamental Investment Objective Concerning Loans
Mgmt
For
For 46%
Against 3%Abstain 51%
Against
Nuveen Municipal Income Fund
67062J102
NMI
11/16/2011
1.1
Elect John Amboian
Mgmt
For
For 98%Withhold 2%
For
Nuveen Municipal Income Fund
67062J102
NMI
11/16/2011
1.2
Elect David Kundert
Mgmt
For
For 98%Withhold 2%
For
Nuveen Municipal Income Fund
67062J102
NMI
11/16/2011
1.3
Elect Terence Toth
Mgmt
For
For 98%Withhold 2%
For
Nuveen Municipal Income Fund
67062J102
NMI
11/16/2011
2
Elimination of Fundamental Investment Policy Concerning Loans
Mgmt
For
For 49%
Against 3%Abstain 48%
For
Nuveen Municipal Income Fund
67062J102
NMI
11/16/2011
3
Approval of New Fundamental Investment Objective Concerning Loans
Mgmt
For
For 49%
Against 3%Abstain 48%
For
Nuveen Select Maturities Municipal Fund
67061T101
NIM
11/16/2011
1.1
Elect John Amboian
Mgmt
For
For 98.5%Withhold 1.5%
For
Nuveen Select Maturities Municipal Fund
67061T101
NIM
11/16/2011
1.2
Elect David Kundert
Mgmt
For
For 98.4%Withhold 1.6%
For
Nuveen Select Maturities Municipal Fund
67061T101
NIM
11/16/2011
1.3
Elect Terence Toth
Mgmt
For
For 98.4%Withhold 1.6%
For
Nuveen Select Maturities Municipal Fund
67061T101
NIM
11/16/2011
2
Elimination of Fundamental Investment Policy Concerning Loans
Mgmt
For
For 43%
Against 3%Abstain 54%
Against
Nuveen Select Maturities Municipal Fund
67061T101
NIM
11/16/2011
3
Approval of New Fundamental Investment Objective Concerning Loans
Mgmt
For
For 43%
Against 3%Abstain 54%
Against
Nuveen Select Tax Free Income Portfolio
67063X100
NXR
11/16/2011
1.1
Elect John Amboian
Mgmt
For
For 98%Withhold 2%
For
Nuveen Select Tax Free Income Portfolio
67063X100
NXR
11/16/2011
1.2
Elect David Kundert
Mgmt
For
For 98%Withhold 2%
For
Nuveen Select Tax Free Income Portfolio
67063X100
NXR
11/16/2011
1.3
Elect Terence Toth
Mgmt
For
For 98%Withhold 2%
For
Nuveen Select Tax Free Income Portfolio
67063X100
NXR
11/16/2011
2
Elimination of Fundamental Investment Policy Concerning Loans
Mgmt
For
For 50%
Against 3%
Abstain 47%
For
Nuveen Select Tax Free Income Portfolio
67063X100
NXR
11/16/2011
3
Approval of New Fundamental Investment Objective Concerning Loans
Mgmt
For
For 50%
Against 3%
Abstain 47%
For
HELIOS FUNDS
42328A203
HAV
11/17/2011
1.1
Elect Louis Salvatore
Mgmt
For
For 97%Withhold 3%
For
WELLS FARGO ADVANTAGE FUNDS
94987E109
ERH
12/12/2011
1.1
Elect Isiah Harris
Mgmt
For
For 96%
  Withhold 4%
For
WELLS FARGO ADVANTAGE FUNDS
94987E109
ERH
12/12/2011
1.2
Elect David Larcker
Mgmt
For
For 96%
  Withhold 4%
For
WELLS FARGO ADVANTAGE FUNDS
94987E109
ERH
12/12/2011
1.3
Elect Olivia Mitchell
Mgmt
For
For 96%
  Withhold 4%
For
BlackRock Enhanced Dividend Achievers Trust
09251A104
BDJ
12/22/2011
1
Reorganization
Mgmt
For
For 86%
  Against 10%
  Abstain 4%
For
BlackRock Enhanced Dividend Achievers Trust
09251A104
BDJ
12/22/2011
2
Issuance of Common Stock
Mgmt
For
For 86%
  Against 10%
  Abstain 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.1
Elect Ravi Akhoury
Mgmt
For
For 95%
  Against 5%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.2
Elect Barbara Baumann
Mgmt
For
For 96%
  Against 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.3
Elect Jameson Baxter
Mgmt
For
For 96%
  Against 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.4
Elect Charles Curtis
Mgmt
For
For 95%
  Against 5%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.5
Elect Robert Darretta
Mgmt
For
For 96%
  Against 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.6
Elect John Hill
Mgmt
For
For 96%
  Against 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.7
Elect Paul Joskow
Mgmt
For
For 96%
  Against 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.8
Elect Elizabeth Kennan
Mgmt
For
For 95%
  Against 5%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.9
Elect Kenneth Leibler
Mgmt
For
For 96%
  Against 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.10
Elect George Putnam, III
Mgmt
For
For 95%
  Against 5%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.11
Elect Robert Patterson
Mgmt
For
For 96%
  Against 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.12
Elect Robert Reynolds
Mgmt
For
For 96%
  Against 4%
For
Putnam Master Intermediate Income Trust
746909100
PIM
1/26/2012
1.13
Elect W. Thomas Stephens
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.1
Elect Ravi Akhoury
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.2
Elect Barbara Baumann
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.3
Elect Jameson Baxter
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.4
Elect Charles Curtis
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.5
Elect Robert Darretta
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.6
Elect John Hill
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.7
Elect Paul Joskow
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.8
Elect Elizabeth Kennan
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.9
Elect Kenneth Leibler
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.10
Elect George Putnam, III
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.11
Elect Robert Patterson
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.12
Elect Robert Reynolds
Mgmt
For
For 96%
  Against 4%
For
Putnam Premier Income Trust
746853100
PPT
1/26/2012
1.13
Elect W. Thomas Stephens
Mgmt
For
For 96%
  Against 4%
For
LMP Corporate Loan Fund Inc
50208B100
TLI
1/27/2012
1.1
Elect William Hutchinson
Mgmt
For
For 98%Withhold 2%
For
LMP Corporate Loan Fund Inc
50208B100
TLI
1/27/2012
1.2
Elect Jeswald Salacuse
Mgmt
For
For 98%Withhold 2%
For
Western Asset Variable Rate Strategic Fund Inc
957667108
GFY
1/27/2012
1.1
Elect Carol Colman
Mgmt
For
For 92%
  Against 8%
For
Western Asset Variable Rate Strategic Fund Inc
957667108
GFY
1/27/2012
1.2
Elect Daniel Cronin
Mgmt
For
For 92%
  Against 8%
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
1
Elect Basil Anderson
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
2
Elect Henry Becton, Jr.
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
3
Elect Edward DeGraan
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
4
Elect Vincent Forlenza
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
5
Elect Claire Fraser-Liggett
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
6
Elect Christopher Jones
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
7
Elect Marshall Larsen
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
8
Elect Edward Ludwig
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
9
Elect Adel Mahmoud
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
10
Elect Gary Mecklenburg
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
11
Elect James Orr
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
12
Elect Willard Overlock, Jr.
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
13
Elect Bertram Scott
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
14
Elect Alfred Sommer
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
15
Ratification of Auditor
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
16
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Becton, Dickinson And Co.
075887109
BDX
1/31/2012
17
Shareholder Proposal Regarding Adoption of Cumulative Voting
ShrHoldr
Against
Against
For
Emerson Electric Co.
291011104
EMR
2/7/2012
1.1
Elect Carlos Fernandez Gonzalez
Mgmt
For
For
For
Emerson Electric Co.
291011104
EMR
2/7/2012
1.2
Elect Arthur Golden
Mgmt
For
Withhold
Against
Emerson Electric Co.
291011104
EMR
2/7/2012
1.3
Elect William Johnson
Mgmt
For
For
For
Emerson Electric Co.
291011104
EMR
2/7/2012
1.4
Elect John Menzer
Mgmt
For
For
For
Emerson Electric Co.
291011104
EMR
2/7/2012
1.5
Elect August Busch III
Mgmt
For
For
For
Emerson Electric Co.
291011104
EMR
2/7/2012
1.6
Elect Rozanne Ridgway
Mgmt
For
For
For
Emerson Electric Co.
291011104
EMR
2/7/2012
2
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Emerson Electric Co.
291011104
EMR
2/7/2012
3
Ratification of Auditor
Mgmt
For
For
For
Emerson Electric Co.
291011104
EMR
2/7/2012
4
Shareholder Proposal Regarding Sustainability Report
ShrHoldr
Against
Against
For
Emerson Electric Co.
291011104
EMR
2/7/2012
5
Shareholder Proposal Regarding Declassification of the Board
ShrHoldr
Against
For
Against
WELLS FARGO ADVANTAGE FUNDS
94987E109
ERC
2/13/2012
1.1
Elect Judith Johnson
Mgmt
For
For 98%
  Withhold 2%
For
WELLS FARGO ADVANTAGE FUNDS
94987E109
ERC
2/13/2012
1.2
Elect Leroy Keith, Jr.
Mgmt
For
For 98%
  Withhold 2%
For
WELLS FARGO ADVANTAGE FUNDS
94987E109
ERC
2/13/2012
1.3
Elect Donald Willeke
Mgmt
For
For 98%
  Withhold 2%
For
WELLS FARGO ADVANTAGE FUNDS
94987E109
EOD
2/13/2012
1.1
Elect Judith Johnson
Mgmt
For
For 98%
  Withhold 2%
For
WELLS FARGO ADVANTAGE FUNDS
94987E109
EOD
2/13/2012
1.2
Elect Leroy Keith, Jr.
Mgmt
For
For 98%
  Withhold 2%
For
WELLS FARGO ADVANTAGE FUNDS
94987E109
EOD
2/13/2012
1.3
Elect Donald Willeke
Mgmt
For
For 98%
  Withhold 2%
For
Eaton Vance Tax Advantage
27828U106
ETO
2/24/2012
1.1
Elect Scott Eston
Mgmt
For
For 98%
  Withhold 2%
For
Eaton Vance Tax Advantage
27828U106
ETO
2/24/2012
1.2
Elect Thomas Faust, Jr.
Mgmt
For
For 98%
  Withhold 2%
For
Eaton Vance Tax Advantage
27828U106
ETO
2/24/2012
1.3
Elect William Park
Mgmt
For
For 98%
  Withhold 2%
For
Eaton Vance Tax Advantage
27828U106
ETO
2/24/2012
1.4
Elect Harriett Taggart
Mgmt
For
For 98%
  Withhold 2%
For
Nuveen Floating Rate Income Opportunity Fund
6706EN100
JRO
3/14/2012
1.1
Elect John Amboian
Mgmt
For
For 97%Withhold 3%
For
Nuveen Floating Rate Income Opportunity Fund
6706EN100
JRO
3/14/2012
1.2
Elect David Kundert
Mgmt
For
For 97%Withhold 3%
For
Nuveen Floating Rate Income Opportunity Fund
6706EN100
JRO
3/14/2012
1.3
Elect Terence Toth
Mgmt
For
For 97%Withhold 3%
For
Nuveen Tax-Advantaged Floating Rate Fund
6706EV102
JFP
3/14/2012
1.1
Elect John Amboian
Mgmt
For
For 97% Withhold 3%
For
Nuveen Tax-Advantaged Floating Rate Fund
6706EV102
JFP
3/14/2012
1.2
Elect David Kundert
Mgmt
For
For 97% Withhold 3%
For
Nuveen Tax-Advantaged Floating Rate Fund
6706EV102
JFP
3/14/2012
1.3
Elect Terence Toth
Mgmt
For
For 97% Withhold 3%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.1
Elect Enrique Arzac
Mgmt
For
For 93%Withhold 7%
Against
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.2
Elect Phyllis Bonanno
Mgmt
For
For 94%Withhold 6%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.3
Elect Kenneth Dale
Mgmt
For
For 94%Withhold 6%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.4
Elect Daniel Emerson
Mgmt
For
For 93%Withhold 7%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.5
Elect Frederic Escherich
Mgmt
For
For 94%Withhold 6%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.6
Elect Roger Gale
Mgmt
For
For 94%Withhold 6%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.7
Elect Kathleen McGahran
Mgmt
For
For 94%Withhold 6%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.8
Elect Douglas Ober
Mgmt
For
For 94%Withhold 6%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
1.9
Elect Craig Smith
Mgmt
For
For 94%Withhold 6%
For
Petroleum & Resources Corp
716549100
PEO
3/20/2012
2
Ratification of Auditor
Mgmt
For
For 98%
Against 1%Abstain 1%
For
Aberdeen Funds
00301L109
ISL
3/22/2012
1.1
Elect Enrique Arzac
Mgmt
For
For 84%
Against 16%
Against
Eaton Vance
278279104
EFT
3/23/2012
1.1
Elect Scott Eston
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance
278279104
EFT
3/23/2012
1.2
Elect William Park
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance
278279104
EFT
3/23/2012
1.3
Elect Ronald Pearlman
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance
278279104
EFT
3/23/2012
1.4
Elect Harriett Tee Taggart
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium Advantage Fund
6706ET107
JLA
3/30/2012
1.1
Elect Robert Bremner
Mgmt
For
For 97%Withhold 3%
For
Nuveen Equity Premium Advantage Fund
6706ET107
JLA
3/30/2012
1.2
Elect Jack Evans
Mgmt
For
For 97%Withhold 3%
For
Nuveen Equity Premium Advantage Fund
6706ET107
JLA
3/30/2012
1.3
Elect William Schneider
Mgmt
For
For 97%Withhold 3%
For
Nuveen Equity Premium and Growth Fund
6706EW100
JPG
3/30/2012
1.1
Elect Robert Bremner
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium and Growth Fund
6706EW100
JPG
3/30/2012
1.2
Elect Jack Evans
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium and Growth Fund
6706EW100
JPG
3/30/2012
1.3
Elect William Schneider
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium Income Fund
6706ER101
JPZ
3/30/2012
1.1
Elect Robert Bremner
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium Income Fund
6706ER101
JPZ
3/30/2012
1.2
Elect Jack Evans
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium Income Fund
6706ER101
JPZ
3/30/2012
1.3
Elect William Schneider
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium Opportunity Fund
6706EM102
JSN
3/30/2012
1.1
Elect Robert Bremner
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium Opportunity Fund
6706EM102
JSN
3/30/2012
1.2
Elect Jack Evans
Mgmt
For
For 98%Withhold 2%
For
Nuveen Equity Premium Opportunity Fund
6706EM102
JSN
3/30/2012
1.3
Elect William Schneider
Mgmt
For
For 98%Withhold 2%
For
Nuveen Global Government Enhanced Income Fund
67073C104
JGG
3/30/2012
1.1
Elect Robert Bremner
Mgmt
For
For 98%Withhold 2%
For
Nuveen Global Government Enhanced Income Fund
67073C104
JGG
3/30/2012
1.2
Elect Jack Evans
Mgmt
For
For 98%Withhold 2%
For
Nuveen Global Government Enhanced Income Fund
67073C104
JGG
3/30/2012
1.3
Elect William Schneider
Mgmt
For
For 98%Withhold 2%
For
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.1
Elect Rodney Berens
Mgmt
For
For 95.5%Withhold 4.5%
For
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.2
Elect Lewis Cullman
Mgmt
For
For 95.5%Withhold 4.5%
For
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.3
Elect Spencer Davidson
Mgmt
For
For 95.5%Withhold 4.5%
For
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.4
Elect Gerald Edelman
Mgmt
For
For 95.5%Withhold 4.5%
For
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.5
Elect John Gordan, III
Mgmt
For
For 95.5%Withhold 4.5%
For
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.6
Elect Betsy Gotbaum
Mgmt
For
For 95.5%Withhold 4.5%
For
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.7
Elect Sidney Knafel
Mgmt
For
For 95.5%Withhold 4.5%
For
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.8
Elect Daniel Neidich
Mgmt
For
For 95.5%Withhold 4.5%
Against
General American Investors Co., Inc.
368802104
GAM
4/11/2012
1.9
Elect D. Ellen Shuman
Mgmt
For
For 95.5%Withhold 4.5%
Against
General American Investors Co., Inc.
368802104
GAM
4/11/2012
2
Ratification of Auditor
Mgmt
For
For 98.9%Against 0.6%Abstain 0.5%
For
United Technologies Corp.
913017109
UTX
4/11/2012
1
Elect Louis Chenevert
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
2
Elect John Faraci
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
3
Elect Jean-Pierre Garnier
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
4
Elect Jamie Gorelick
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
5
Elect Edward Kangas
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
6
Elect Ellen Kullman
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
7
Elect Richard McCormick
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
8
Elect Harold McGraw III
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
9
Elect Richard Myers
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
10
Elect H. Patrick Swygert
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
11
Elect Andre Villeneuve
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
12
Elect Christine Whitman
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
13
Ratification of Auditor
Mgmt
For
For
For
United Technologies Corp.
913017109
UTX
4/11/2012
14
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Columbia Management
19842X109
STK
4/12/2012
1.1
Elect Kathleen Blatz
Mgmt
For
For 100%
For
Columbia Management
19842X109
STK
4/12/2012
1.2
Elect Pamela Carlton
Mgmt
For
For 99%Withhold 1%
For
Columbia Management
19842X109
STK
4/12/2012
1.3
Elect Alison Taunton-Rigby
Mgmt
For
For 99%Withhold 1%
For
Columbia Management
19842X109
STK
4/12/2012
2
Ratification of Auditor
Mgmt
For
For 100%
For
First Trust Active Dividend Income Fund.
33731L100
FAV
4/18/2012
1.1
Elect Richard Erickson
Mgmt
For
For 95.2%Withhold 4.8%
For
First Trust Active Dividend Income Fund.
33731L100
FAV
4/18/2012
1.2
Elect Thomas Kadlec
Mgmt
For
For 95.2%Withhold 4.8%
For
First Trust Enhanced Equity Income Fund
337318109
FFA
4/18/2012
1.1
Elect Richard Erickson
Mgmt
For
For 97.4%Withhold 2.6%
For
First Trust Enhanced Equity Income Fund
337318109
FFA
4/18/2012
1.2
Elect Thomas Kadlec
Mgmt
For
For 97.4%Withhold 2.6%
For
FIRST TRUST FUND
33731K102
FEO
4/18/2012
1.1
Elect Richard Erickson
Mgmt
For
For 98.4%Withhold 1.6%
For
FIRST TRUST FUND
33731K102
FEO
4/18/2012
1.2
Elect Thomas Kadlec
Mgmt
For
For 98.4%Withhold 1.6%
For
First Trust Specialty Finance & Financial Opportunities Fund
33733G109
FGB
4/18/2012
1.1
Elect Richard Erickson
Mgmt
For
For 99%Withhold 1%
For
First Trust Specialty Finance & Financial Opportunities Fund
33733G109
FGB
4/18/2012
1.2
Elect Thomas Kadlec
Mgmt
For
For 99%Withhold 1%
For
Eaton Vance Enhanced Equity Income Fund II
278277108
EOS
4/20/2012
1.1
Elect William Park
Mgmt
For
For 95%Withhold 5%
For
Eaton Vance Enhanced Equity Income Fund II
278277108
EOS
4/20/2012
1.2
Elect Ronald Pearlman
Mgmt
For
For 95%Withhold 5%
For
Eaton Vance Enhanced Equity Income Fund II
278277108
EOS
4/20/2012
1.3
Elect Helen Peters
Mgmt
For
For 95%Withhold 5%
For
Eaton Vance Enhanced Equity Income Fund II
278277108
EOS
4/20/2012
1.4
Elect Scott Eston
Mgmt
For
For 95%Withhold 5%
For
Eaton Vance Enhanced Equity Income Fund II
278277108
EOS
4/20/2012
1.5
Elect Harriet Taggart
Mgmt
For
For 95%Withhold 5%
For
EATON VANCE FUNDS
27829M103
EXD
4/20/2012
1.1
Elect Scott Eston
Mgmt
For
For 96.7%Withhold 3.3%
For
EATON VANCE FUNDS
27829M103
EXD
4/20/2012
1.2
Elect William Park
Mgmt
For
For 96.7%Withhold 3.3%
For
EATON VANCE FUNDS
27829M103
EXD
4/20/2012
1.3
Elect Ronald Pearlman
Mgmt
For
For 96.7%Withhold 3.3%
For
EATON VANCE FUNDS
27829M103
EXD
4/20/2012
1.4
Elect Harriet Taggart
Mgmt
For
For 96.7%Withhold 3.3%
For
Eaton Vance Risk-Managed Diversified Equity Income Fund
27829G106
ETJ
4/20/2012
1.1
Elect William Park
Mgmt
For
For 85.8%Withhold 14.2%
For
Eaton Vance Risk-Managed Diversified Equity Income Fund
27829G106
ETJ
4/20/2012
1.2
Elect Ronald Pearlman
Mgmt
For
For 85.8%Withhold 14.2%
For
Eaton Vance Risk-Managed Diversified Equity Income Fund
27829G106
ETJ
4/20/2012
1.3
Elect Helen Peters
Mgmt
For
For 85.8%Withhold 14.2%
For
Eaton Vance Risk-Managed Diversified Equity Income Fund
27829G106
ETJ
4/20/2012
1.4
Elect Scott Eston
Mgmt
For
For 85.8%Withhold 14.2%
For
Eaton Vance Risk-Managed Diversified Equity Income Fund
27829G106
ETJ
4/20/2012
1.5
Elect Harriet Taggart
Mgmt
For
For 85.8%Withhold 14.2%
For
Eaton Vance Tax-Managed Buy-Write Income Fund
27828X100
ETB
4/20/2012
1.1
Elect Scott Eston
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance Tax-Managed Buy-Write Income Fund
27828X100
ETB
4/20/2012
1.2
Elect Benjamin Esty
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance Tax-Managed Buy-Write Income Fund
27828X100
ETB
4/20/2012
1.3
Elect Thomas Faust, Jr.
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance Tax-Managed Buy-Write Income Fund
27828X100
ETB
4/20/2012
1.4
Elect Allen Freedman
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance Tax-Managed Buy-Write Income Fund
27828X100
ETB
4/20/2012
1.5
Elect Harriett Tee Taggart
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
27828Y108
ETV
4/20/2012
1.1
Elect Scott Eston
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
27828Y108
ETV
4/20/2012
1.2
Elect Benjamin Esty
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
27828Y108
ETV
4/20/2012
1.3
Elect Thomas Faust, Jr.
Mgmt
For
For 98%Withhold 2%
For
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
27828Y108
ETV
4/20/2012
1.4
Elect Allen Freedman
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
27828Y108
ETV
4/20/2012
1.5
Elect Harriett Tee Taggart
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
27829C105
ETW
4/20/2012
1.1
Elect Scott Eston
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
27829C105
ETW
4/20/2012
1.2
Elect Benjamin Esty
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
27829C105
ETW
4/20/2012
1.3
Elect Thomas Faust, Jr.
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
27829C105
ETW
4/20/2012
1.4
Elect Allen Freedman
Mgmt
For
For 97%Withhold 3%
For
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
27829C105
ETW
4/20/2012
1.5
Elect Harriet Taggart
Mgmt
For
For 97%Withhold 3%
For
Dividend and Income Fund, Inc.
25538A105
DNI
4/24/2012
1
Reorganization
Mgmt
For
For 89%
Against 9%Abstain 2%
For
Dividend and Income Fund, Inc.
25538A105
DNI
4/24/2012
2.1
Elect Bruce Huber
Mgmt
For
For 97%Withhold 3%
For
International Business Machines Corp.
459200101
IBM
4/24/2012
1
Elect Alain Belda
Mgmt
For
Against
Against
International Business Machines Corp.
459200101
IBM
4/24/2012
2
Elect William  Brody
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
3
Elect Kenneth Chenault
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
4
Elect Michael  Eskew
Mgmt
For
Against
Against
International Business Machines Corp.
459200101
IBM
4/24/2012
5
Elect David Farr
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
6
Elect Shirley Jackson
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
7
Elect Andrew Liveris
Mgmt
For
Against
Against
International Business Machines Corp.
459200101
IBM
4/24/2012
8
Elect W. James McNerney, Jr.
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
9
Elect James Owens
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
10
Elect Samuel Palmisano
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
11
Elect Virginia Rometty
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
12
Elect Joan Spero
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
13
Elect Sidney Taurel
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
14
Elect Lorenzo Hector Zambrano Trevino
Mgmt
For
Against
Against
International Business Machines Corp.
459200101
IBM
4/24/2012
15
Ratification of Auditor
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
16
Advisory Vote on Executive Compensation
Mgmt
For
For
For
International Business Machines Corp.
459200101
IBM
4/24/2012
17
Shareholder Proposal Regarding Cumulative Voting
ShrHoldr
Against
Against
For
International Business Machines Corp.
459200101
IBM
4/24/2012
18
Shareholder Proposal Regarding Political Contributions and Expenditures Report
ShrHoldr
Against
Against
For
International Business Machines Corp.
459200101
IBM
4/24/2012
19
Shareholder Proposal Regarding Lobbying Report
ShrHoldr
Against
Against
For
Cohen & Steers Global Income Builder Inc.
19248M103
INB
4/26/2012
1.1
Elect George Grossman
Mgmt
For
For 95%Withhold 5%
For
Cohen & Steers Global Income Builder Inc.
19248M103
INB
4/26/2012
1.2
Elect Robert Steers
Mgmt
For
For 95%Withhold 5%
For
Cohen & Steers Global Income Builder Inc.
19248M103
INB
4/26/2012
1.3
Elect C. Edward Ward, Jr.
Mgmt
For
For 95%Withhold 5%
For
Guggenheim Enhanced Equity Strategy Fund
40167K100
GGE
4/26/2012
1
Elect Roman Friedrich III
Mgmt
For
For 94%
Against 5%Abstain 1%
For
Guggenheim Enhanced Equity Strategy Fund
40167K100
GGE
4/26/2012
2
Elect Ronald Nyberg
Mgmt
For
For 94%
Against 5%Abstain 1%
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.1
Elect Robert Alpern
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.2
Elect Roxanne Austin
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.3
Elect Sally Blount
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.4
Elect W. James Farrell
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.5
Elect Edward Liddy
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.6
Elect Nancy McKinstry
Mgmt
For
Withhold
Against
Abbott Laboratories
002824100
ABT
4/27/2012
1.7
Elect Phebe Novakovic
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.8
Elect William Osborn
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.9
Elect Samuel Scott III
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.10
Elect Glenn Tilton
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
1.11
Elect Miles White
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
2
Ratification of Auditor
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
3
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Abbott Laboratories
002824100
ABT
4/27/2012
4
Shareholder Proposal Regarding Animal Welfare
ShrHoldr
Against
Against
For
Abbott Laboratories
002824100
ABT
4/27/2012
5
Shareholder Proposal Regarding Lobbying Report
ShrHoldr
Against
For
Against
Abbott Laboratories
002824100
ABT
4/27/2012
6
Shareholder Proposal Regarding Independent Board Chair
ShrHoldr
Against
For
Against
Abbott Laboratories
002824100
ABT
4/27/2012
7
Shareholder Proposal Regarding Tax Gross-Up Payments
ShrHoldr
Against
For
Against
Abbott Laboratories
002824100
ABT
4/27/2012
8
Shareholder Proposal Regarding Retention of Shares Until Retirement
ShrHoldr
Against
Against
For
Abbott Laboratories
002824100
ABT
4/27/2012
9
Shareholder Proposal Regarding Excluding Excluding Compliance Costs for the Purposes of Executive Compensation
ShrHoldr
Against
For
Against
Abbott Laboratories
002824100
ABT
4/27/2012
10
Shareholder Proposal Regarding Compensation in the Event of a Change of Control
ShrHoldr
Against
For
Against
India Fund Inc
454089103
IFN
4/27/2012
1.1
Elect Martin Gilbert
Mgmt
For
For 84%Withhold 16%
Against
India Fund Inc
454089103
IFN
4/27/2012
1.2
Elect Lawrence Becker
Mgmt
For
For 85%Withhold 15%
For
India Fund Inc
454089103
IFN
4/27/2012
1.3
Elect Jeswald Salacuse
Mgmt
For
For 85%Withhold 15%
For
India Fund Inc
454089103
IFN
4/27/2012
1.4
Elect Hugh Young
Mgmt
For
For 85%Withhold 15%
For
Lazard Global Total Return and Income Fund Inc
52106W103
LGI
4/27/2012
1.1
Elect Charles Carroll
Mgmt
For
For 99%Withhold 1%
For
Lazard Global Total Return and Income Fund Inc
52106W103
LGI
4/27/2012
1.2
Elect Leon Pollack
Mgmt
For
For 99%Withhold 1%
Against
Lazard Global Total Return and Income Fund Inc
52106W103
LGI
4/27/2012
1.3
Elect Robert Solmson
Mgmt
For
For 99%Withhold 1%
For
Lazard World Dividend & Income Fund Inc
521076109
LOR
4/27/2012
1.1
Elect Ashish Bhutani
Mgmt
For
For 97.5%Withhold 2.5%
For
Lazard World Dividend & Income Fund Inc
521076109
LOR
4/27/2012
1.2
Elect Richard Reiss, Jr.
Mgmt
For
For 97.5%Withhold 2.5%
For
LMP Real Estate Income Fund Inc
50208C108
RIT
4/27/2012
1.1
Elect William Hutchinson
Mgmt
For
For 97%Withhold 3%
For
LMP Real Estate Income Fund Inc
50208C108
RIT
4/27/2012
1.2
Elect Jeswald Salacuse
Mgmt
For
For 97%Withhold 3%
For
Western Asset Inflation Management Fund Inc
95766U107
IMF
4/27/2012
1.1
Elect Carol Colman
Mgmt
For
For 68%Withhold 32%
For
Western Asset Inflation Management Fund Inc
95766U107
IMF
4/27/2012
1.2
Elect Daniel Cronin
Mgmt
For
For 68%Withhold 32%
For
Western Asset Inflation Management Fund Inc
95766U107
IMF
4/27/2012
1.3
Elect Paolo Cucchi
Mgmt
For
For 68%Withhold 32%
For
Western Asset Inflation Management Fund Inc
95766U107
IMF
4/27/2012
2
Shareholder Proposal Regarding Termination of Management Agreements
ShrHoldr
Against
For 47%
Against 53%
For
American Express Co.
025816109
AXP
4/30/2012
1.1
Elect Charlene Barshefsky
Mgmt
For
Withhold
Against
American Express Co.
025816109
AXP
4/30/2012
1.2
Elect Ursula Burns
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.3
Elect Kenneth Chenault
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.4
Elect Peter Chernin
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.5
Elect Theodore Leonsis
Mgmt
For
Withhold
Against
American Express Co.
025816109
AXP
4/30/2012
1.6
Elect Jan Leschly
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.7
Elect Richard Levin
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.8
Elect Richard McGinn
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.9
Elect Edward Miller
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.10
Elect Steven Reinemund
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.11
Elect Robert Walter
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
1.12
Elect Ronald Williams
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
2
Ratification of Auditor
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
3
Advisory Vote on Executive Compensation
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
4
Amendment to the 2007 Incentive Compensation Plan
Mgmt
For
For
For
American Express Co.
025816109
AXP
4/30/2012
5
Shareholder Proposal Regarding Cumulative Voting
ShrHoldr
Against
Against
For
American Express Co.
025816109
AXP
4/30/2012
6
Shareholder Proposal Regarding Independent Board Chair
ShrHoldr
Against
For
Against
Western Asset-Claymore Inflation-Linked Opportunities & Income
95766R104
WIW
5/1/2012
1.1
Elect Ronald Nyberg
Mgmt
For
For 93%
  Withhold 7%
Against
Western Asset-Claymore Inflation-Linked Securities & Income Fu
95766Q106
WIA
5/1/2012
1.1
Elect Ronald Toupin, Jr.
Mgmt
For
For 93%
  Withhold 7%
For
Western Asset-Claymore Inflation-Linked Securities & Income Fu
95766Q106
WIA
5/1/2012
1.2
Elect R. Jay Gerken
Mgmt
For
For 93%
  Withhold 7%
For
DIRECTV
25490A101
DTV
5/3/2012
1
Elect Ralph Boyd, Jr.
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
2
Elect David Dillon
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
3
Elect Samuel DiPiazza, Jr.
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
4
Elect Dixon Doll
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
5
Elect Peter Lund
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
6
Elect Nancy Newcomb
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
7
Elect Lorrie Norrington
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
8
Ratification of Auditor
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
9
Elimination of Dual Class Stock
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
10
Advisory Vote on Executive Compensation
Mgmt
For
For
For
DIRECTV
25490A101
DTV
5/3/2012
11
Shareholder Proposal Regarding Compensation in the Event of a Change in Control
ShrHoldr
Against
For
Against
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.1
Elect William Barnet III
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.2
Elect G. Alex Bernhardt, Sr.
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.3
Elect Michael Browning
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.4
Elect Daniel DiMicco
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.5
Elect John Forsgren
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.6
Elect Ann Maynard Gray
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.7
Elect James Hance, Jr.
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.8
Elect E. James Reinsch
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.9
Elect James Rhodes
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.10
Elect James Rogers
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
1.11
Elect Philip Sharp
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
2
Ratification of Auditor
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
3
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
4
Amendment to the Certificate of Incorporation to Reduce the Supermajority Requirement
Mgmt
For
For
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
5
Shareholder Proposal Regarding Coal Risk
ShrHoldr
Against
Against
For
Duke Energy Corp.
26441C105
DUK
5/3/2012
6
Shareholder Proposal Regarding Majority Vote for Election of Directors
ShrHoldr
Against
For
Against
Aflac Inc.
001055102
AFL
5/7/2012
1
Elect Daniel Amos
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
2
Elect John Shelby Amos II
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
3
Elect Paul Amos II
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
4
Elect Kriss Cloninger III
Mgmt
For
Against
Against
Aflac Inc.
001055102
AFL
5/7/2012
5
Elect Elizabeth Hudson
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
6
Elect Douglas Johnson
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
7
Elect Robert Johnson
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
8
Elect Charles Knapp
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
9
Elect E. Stephen Purdom
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
10
Elect Barbara Rimer
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
11
Elect Marvin Schuster
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
12
Elect Melvin Stith
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
13
Elect David Thompson
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
14
Elect Takuro Yoshida
Mgmt
For
Against
Against
Aflac Inc.
001055102
AFL
5/7/2012
15
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
16
Amendment to the 2004 Long-Term Incentive Plan
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
17
Amendment to the 2013 Management Incentive Plan.
Mgmt
For
For
For
Aflac Inc.
001055102
AFL
5/7/2012
18
Ratification of Auditor
Mgmt
For
For
For
Source Capital, Inc.
836144105
SOR
5/7/2012
1.1
Elect Eric Ende
Mgmt
For
For 98%Withhold 2%
For
Source Capital, Inc.
836144105
SOR
5/7/2012
1.2
Elect Thomas Merrick
Mgmt
For
For 98%Withhold 2%
For
Source Capital, Inc.
836144105
SOR
5/7/2012
1.3
Elect Patrick Purcell
Mgmt
For
For 98%Withhold 2%
For
Source Capital, Inc.
836144105
SOR
5/7/2012
1.4
Elect David Rees
Mgmt
For
For 98%Withhold 2%
Against
Conoco Phillips
20825C104
COP
5/9/2012
1
Elect Richard Armitage
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
2
Elect Richard Auchinleck
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
3
Elect James Copeland, Jr.
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
4
Elect Kenneth Duberstein
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
5
Elect Ruth Harkin
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
6
Elect Ryan Lance
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
7
Elect Mohd Hassan Marican
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
8
Elect Harold McGraw III
Mgmt
For
Against
Against
Conoco Phillips
20825C104
COP
5/9/2012
9
Elect James Mulva
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
10
Elect Robert Niblock
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
11
Elect Harald Norvik
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
12
Elect William Reilly
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
13
Elect Victoria Tschinkel
Mgmt
For
For
For
Conoco Phillips
20825C104
COP
5/9/2012
14
Elect Kathryn Turner
Mgmt
For
Against
Against
Conoco Phillips
20825C104
COP
5/9/2012
15
Elect William Wade, Jr.
Mgmt
For
Against
Against
Conoco Phillips
20825C104
COP
5/9/2012
16
Ratification of Auditor
Mgmt
For
Against
Against
Conoco Phillips
20825C104
COP
5/9/2012
17
Advisory Vote on Executive Compensation
Mgmt
For
Against
Against
Conoco Phillips
20825C104
COP
5/9/2012
18
Shareholder Proposal Regarding Louisiana Wetlands
ShrHoldr
Against
Against
For
Conoco Phillips
20825C104
COP
5/9/2012
19
Shareholder Proposal Regarding Safety Report
ShrHoldr
Against
Against
For
Conoco Phillips
20825C104
COP
5/9/2012
20
Shareholder Proposal Regarding Lobbying Report
ShrHoldr
Against
Against
For
Conoco Phillips
20825C104
COP
5/9/2012
21
Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions
ShrHoldr
Against
Against
For
Conoco Phillips
20825C104
COP
5/9/2012
22
Shareholder Proposal Regarding Adopting Gender Identity and Expression Anti-Bias Policy
ShrHoldr
Against
Against
For
JF China Region Fund Inc
46614T107
JFC
5/10/2012
1.1
Elect The Earl of Cromer
Mgmt
For
For 90%Withhold 10%
For
JF China Region Fund Inc
46614T107
JFC
5/10/2012
1.2
Elect Simon Crinage
Mgmt
For
For 90%Withhold 10%
For
JF China Region Fund Inc
46614T107
JFC
5/10/2012
2
Amendment to the Investment Advisory and Management Agreement
Mgmt
For
For 91%
Against 8%
Abstain 1%
Against
Union Pacific Corp.
907818108
UNP
5/10/2012
1
Elect Andrew Card, Jr.
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
2
Elect Erroll Davis, Jr.
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
3
Elect Thomas Donohue
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
4
Elect Archie Dunham
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
5
Elect Judith Richards Hope
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
6
Elect Charles Krulak
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
7
Elect Michael McCarthy
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
8
Elect Michael McConnell
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
9
Elect Thomas McLarty III
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
10
Elect Steven Rogel
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
11
Elect Jose Villarreal
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
12
Elect James Young
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
13
Ratification of Auditor
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
14
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Union Pacific Corp.
907818108
UNP
5/10/2012
15
Shareholder Proposal Regarding Lobbying Report
ShrHoldr
Against
For
Against
Union Pacific Corp.
907818108
UNP
5/10/2012
16
Shareholder Proposal Regarding Retention of Shares After Retirement
ShrHoldr
Against
Against
For
Gabelli Global Multimedia Trust Inc.
36239Q109
GGT
5/14/2012
1.1
Elect Anthony Pustorino
Mgmt
For
For 93%Withhold 7%
For
Gabelli Healthcare & WellnessRx Trust
36246K103
GRX
5/14/2012
1.1
Elect Robert Kolodny
Mgmt
For
For 92%Withhold 8%
For
Gabelli Healthcare & WellnessRx Trust
36246K103
GRX
5/14/2012
1.2
Elect Salvatore Zizza
Mgmt
For
For 92%Withhold 8%
Against
GDL FD
361570104
GDL
5/14/2012
1.1
Elect Mario Gabelli
Mgmt
For
For 85%Withhold 15%
Against
GDL FD
361570104
GDL
5/14/2012
1.2
Elect Mario d'Urso
Mgmt
For
For 95%Withhold 5%
For
GDL FD
361570104
GDL
5/14/2012
1.3
Elect Michael Melarkey
Mgmt
For
For 95%Withhold 5%
For
Liberty All-Star Equity Fund
530158104
USA
5/14/2012
1.1
Elect John Benning
Mgmt
For
For 85.2%Withhold 14.8%
For
Liberty All-Star Equity Fund
530158104
USA
5/14/2012
1.2
Elect Edmund Burke
Mgmt
For
For 85.2%Withhold 14.8%
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
1
Elect James Bell
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
2
Elect Crandall Bowles
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
3
Elect Stephen Burke
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
4
Elect David Cote
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
5
Elect James Crown
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
6
Elect James Dimon
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
7
Elect Timothy Flynn
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
8
Elect Ellen Futter
Mgmt
For
Against
Against
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
9
Elect Laban Jackson, Jr.
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
10
Elect Lee Raymond
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
11
Elect William Weldon
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
12
Ratification of Auditor
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
13
Advisory Vote on Executive Compensation
Mgmt
For
For
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
14
Shareholder Proposal Regarding Affirmation of Political Nonpartisanship
ShrHoldr
Against
Against
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
15
Shareholder Proposal Regarding Independent Board Chairman
ShrHoldr
Against
For
Against
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
16
Shareholder Proposal Regarding Mortgage Loan Servicing
ShrHoldr
Against
Against
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
17
Shareholder Proposal Regarding Political Contributions and Expenditures Report
ShrHoldr
Against
Against
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
18
Shareholder Proposal Regarding Genocide-Free Investing
ShrHoldr
Against
Against
For
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
19
Shareholder Proposal Regarding Right to Act by Written Consent
ShrHoldr
Against
For
Against
JP Morgan Chase & Company
46625H100
JPM
5/15/2012
20
Shareholder Proposal Regarding Retention of Shares After Retirement
ShrHoldr
Against
Against
For
Time Warner Inc
887317303
TWX
5/15/2012
1
Elect James Barksdale
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
2
Elect William Barr
Mgmt
For
Against
Against
Time Warner Inc
887317303
TWX
5/15/2012
3
Elect Jeffrey Bewkes
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
4
Elect Stephen Bollenbach
Mgmt
For
Against
Against
Time Warner Inc
887317303
TWX
5/15/2012
5
Elect Robert Clark
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
6
Elect Mathias Dopfner
Mgmt
For
Against
Against
Time Warner Inc
887317303
TWX
5/15/2012
7
Elect Jessica Einhorn
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
8
Elect Fred Hassan
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
9
Elect Kenneth Novack
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
10
Elect Paul Wachter
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
11
Elect Deborah Wright
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
12
Ratification of Auditor
Mgmt
For
For
For
Time Warner Inc
887317303
TWX
5/15/2012
13
Advisory Vote on Executive Compensation
Mgmt
For
Against
Against
Time Warner Inc
887317303
TWX
5/15/2012
14
Shareholder Proposal Regarding Right to Act by Written Consent
ShrHoldr
Against
For
Against
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
1.1
Elect Charles Brunie
Mgmt
For
For 78%Withhold 22%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
1.2
Elect James Rogers, Jr.
Mgmt
For
For 78%Withhold 22%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
2
To Approve a Revision to the Fund's Investment Objective
Mgmt
For
For 77%
Against 21
Abstain 2%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
3
To Approve a Reclassification of the Fund's Investment Objective as "Non-Fundamental"
Mgmt
For
For 71.5%
Against 27%Abstain 1.5%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
4
To Approve an Amendment to the Fundamental Investment Restrictions Regarding Diversification
Mgmt
For
For 77%
Against 21%Abstain 2%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
5
To Approve an Amendment to the Fundamental Investment Restrictions Regarding the Issuance
of Senior Securities
Mgmt
For
For 76.5%Against 21.5%Abstain 2%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
6
To Approve an Amendment to the Fundamental Investment Restrictions Regarding Investing in Commodities
Mgmt
For
For 76%
Against 22%
Abstain 2%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
7
To Approve an Amendment to the Fundamental Investment Restrictions Regarding Purchasing Securities on Margin
Mgmt
For
For 76.5%Against 21.5%Abstain 2%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
8
To Approve an Amendment to the Fundamental Investment Restrictions Regarding Short Sales
Mgmt
For
For 76%
Against 22%Abstain 2%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
9
To Approve an Amendment to the Fundamental Investment Restrictions Regarding Purchasing Restricted Securities
Mgmt
For
For 76%
Against 22%Abstain 2%
For
Zweig Total Return Fund Inc
989837109
ZTR
5/15/2012
10
To Approve an Amendment to the Fund's Investment Advisory Agreement
Mgmt
For
For 69%
Against 29%Abstain 2%
Against
Apollo Senior Floating Rate Inc
037636107
AFT
5/21/2012
1.1
Elect Elliot Stein, Jr.
Mgmt
For
For 99%
Abstain 1%
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
1
Elect Leslie Brun
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
2
Elect Thomas Cech
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
3
Elect Kenneth Frazier
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
4
Elect Thomas Glocer
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
5
Elect William Harrison, Jr.
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
6
Elect C. Robert Kidder
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
7
Elect Rochelle Lazarus
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
8
Elect Carlos Represas
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
9
Elect Patricia Russo
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
10
Elect Craig Thompson
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
11
Elect Wendell Weeks
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
12
Elect Peter Wendell
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
13
Ratification of Auditor
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
14
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
15
Shareholder Proposal Regarding Right to Act by Written Consent
ShrHoldr
Against
For
Against
Merck & Co., Inc
58933Y105
MRK
5/22/2012
16
Shareholder Proposal Regarding Right to Call a Special Meeting
ShrHoldr
Against
Against
For
Merck & Co., Inc
58933Y105
MRK
5/22/2012
17
Shareholder Proposal Regarding Reviewing Political Spending or Lobbying
ShrHoldr
Against
Against
For
Chevron Corp.
166764100
CVX
5/30/2012
1
Elect Linnet Deily
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
2
Elect Robert Denham
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
3
Elect Chuck Hagel
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
4
Elect Enrique Hernandez, Jr.
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
5
Elect George Kirkland
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
6
Elect Charles Moorman, IV
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
7
Elect Kevin Sharer
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
8
Elect John Stumpf
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
9
Elect Ronald Sugar
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
10
Elect Carl Ware
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
11
Elect John Watson
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
12
Ratification of Auditor
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
13
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Chevron Corp.
166764100
CVX
5/30/2012
14
Shareholder Proposal Regarding Exclusive Forum Provisions
ShrHoldr
Against
For
Against
Chevron Corp.
166764100
CVX
5/30/2012
15
Shareholder Proposal Regarding Independent Board Chairman
ShrHoldr
Against
For
Against
Chevron Corp.
166764100
CVX
5/30/2012
16
Shareholder Proposal Regarding Lobbying Report
ShrHoldr
Against
Against
For
Chevron Corp.
166764100
CVX
5/30/2012
17
Shareholder Proposal Regarding Country Selection Guidelines
ShrHoldr
Against
Against
For
Chevron Corp.
166764100
CVX
5/30/2012
18
Shareholder Proposal Regarding Hydraulic Fracturing
ShrHoldr
Against
Against
For
Chevron Corp.
166764100
CVX
5/30/2012
19
Shareholder Proposal Regarding Safety Report
ShrHoldr
Against
Against
For
Chevron Corp.
166764100
CVX
5/30/2012
20
Shareholder Proposal Regarding Right to Call a Special Meeting
ShrHoldr
Against
Against
For
Chevron Corp.
166764100
CVX
5/30/2012
21
Shareholder Proposal Regarding Environmental Expertise on Board
ShrHoldr
Against
Against
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.1
Elect Kenneth Bacon
Mgmt
For
Withhold
Against
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.2
Elect Sheldon Bonovitz
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.3
Elect Joseph Collins
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.4
Elect J. Michael Cook
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.5
Elect Gerald Hassell
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.6
Elect Jeffrey Honickman
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.7
Elect Eduardo  Mestre
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.8
Elect Brian Roberts
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.9
Elect Ralph Roberts
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.10
Elect Johnathan Rodgers
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
1.11
Elect Judith Rodin
Mgmt
For
Withhold
Against
Comcast Corp.
20030N101
CMCSA
5/31/2012
2
Ratification of Auditor
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
3
Amendment to the 2002 Employee Stock Purchase Plan
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
4
Amendment to the 2011 Employee Stock Purchase Plan
Mgmt
For
For
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
5
Shareholder Proposal Regarding Cumulative Voting
ShrHoldr
Against
For
Against
Comcast Corp.
20030N101
CMCSA
5/31/2012
6
Shareholder Proposal Regarding Independent Board Chairman
ShrHoldr
Against
For
Against
Comcast Corp.
20030N101
CMCSA
5/31/2012
7
Shareholder Proposal Regarding Retention of Shares Until Retirement
ShrHoldr
Against
Against
For
Comcast Corp.
20030N101
CMCSA
5/31/2012
8
Shareholder Proposal Regarding Poison Pills
ShrHoldr
Against
For
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
1
Elect Aida Alvarez
Mgmt
For
Against
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
2
Elect James Breyer
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
3
Elect M. Michele Burns
Mgmt
For
Against
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
4
Elect James Cash, Jr.
Mgmt
For
Against
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
5
Elect Roger Corbett
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
6
Elect Douglas Daft
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
7
Elect Michael Duke
Mgmt
For
Against
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
8
Elect Marissa Mayer
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
9
Elect Gregory Penner
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
10
Elect Steven Reinemund
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
11
Elect H. Lee Scott, Jr.
Mgmt
For
Against
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
12
Elect Arne Sorenson
Mgmt
For
Against
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
13
Elect Jim Walton
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
14
Elect S. Robson Walton
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
15
Elect Christopher Williams
Mgmt
For
Against
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
16
Elect Linda Wolf
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
17
Ratification of Auditor
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
18
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
19
Shareholder Proposal Regarding Political Contributions and Expenditures Report
ShrHoldr
Against
For
Against
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
20
Shareholder Proposal Regarding Director Qualifications
ShrHoldr
Against
Against
For
Wal-Mart Stores, Inc.
931142103
WMT
6/1/2012
21
Shareholder Proposal Regarding an Incentive Compensation Report
ShrHoldr
Against
Against
For
Japan Equity Fund, Inc.
471057109
JEQ
6/4/2012
1
Elect Martin Gruber
Mgmt
For
For 92%
Against 7%Abstain 1%
Against
Japan Equity Fund, Inc.
471057109
JEQ
6/4/2012
2
Elect Yoshihiro Fujisawa
Mgmt
For
For 92%
Against 7%
Abstain 1%
For
New Ireland Fund Inc
645673104
IRL
6/5/2012
1.1
Elect Peter Hooper
Mgmt
For
For 91%Withhold 9%
For
New Ireland Fund Inc
645673104
IRL
6/5/2012
1.2
Elect George Moore
Mgmt
For
For 92%Withhold 8%
For
Alpine Global Premier Properties Fund
02083A103
AWP
6/8/2012
1.1
Elect H. Guy Leibler
Mgmt
For
For 98%Withhold 2%
For
Alpine Global Premier Properties Fund
02083A103
AWP
6/8/2012
2
Transaction of Other Business
Mgmt
For
For 80%
Against 19%Abstain 1%
Against
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.1
Elect Richard Adkerson
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.2
Elect Robert Allison, Jr.
Mgmt
For
Withhold
Against
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.3
Elect Robert Day
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.4
Elect Gerald Ford
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.5
Elect H. Devon Graham, Jr.
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.6
Elect Charles Krulak
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.7
Elect Bobby Lackey
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.8
Elect Jon Madonna
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.9
Elect Dustan McCoy
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.10
Elect James Moffett
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.11
Elect B. M. Rankin, Jr.
Mgmt
For
Withhold
Against
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
1.12
Elect Stephen Siegele
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
2
Advisory Vote on Executive Compensation
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
3
Ratification of Auditor
Mgmt
For
For
For
Freeport-McMoran Copper & Gold Inc.
35671D857
FCXPRA
6/14/2012
4
Shareholder Proposal Regarding Environmental Expertise on Board
ShrHoldr
Against
Against
For
Swiss Helvetia Fund Inc
870875101
SWZ
6/20/2012
1.1
Elect Brian Berris
Mgmt
For
For 93%Withhold 7%
For
Swiss Helvetia Fund Inc
870875101
SWZ
6/20/2012
1.2
Elect David Bock
Mgmt
For
For 93%Withhold 7%
For
Swiss Helvetia Fund Inc
870875101
SWZ
6/20/2012
1.3
Elect Paul Hottinguer
Mgmt
For
For 93%Withhold 7%
For
Swiss Helvetia Fund Inc
870875101
SWZ
6/20/2012
2
Ratification of Auditor
Mgmt
For
For 98%
Against 1%Abstain 1%
For
European Equity Fund Inc
298768102
EEA
6/27/2012
1.1
Elect Detlef Bierbaum
Mgmt
For
For 82%Withhold 18%
For
European Equity Fund Inc
298768102
EEA
6/27/2012
1.2
Elect Robert Wadsworth
Mgmt
For
For 82%Withhold 18%
For
European Equity Fund Inc
298768102
EEA
6/27/2012
1.3
Elect Richard  Goeltz
Mgmt
For
For 82%Withhold 18%
Against
European Equity Fund Inc
298768102
EEA
6/27/2012
2
Ratification of Auditor
Mgmt
For
For 98%
Against 1.5%Abstain 0.5%
For
New Germany Fund Inc
644465106
GF
6/27/2012
1.1
Elect Richard Burt
Mgmt
For
For 89.5%Withhold 10.5%
For
New Germany Fund Inc
644465106
GF
6/27/2012
1.2
Elect Franz Hopp
Mgmt
For
For 89.5%Withhold 10.5%
For
New Germany Fund Inc
644465106
GF
6/27/2012
1.3
Elect Friedbert Malt
Mgmt
For
For 89.5%Withhold 10.5%
For
New Germany Fund Inc
644465106
GF
6/27/2012
1.4
Elect Richard  Goeltz
Mgmt
For
For 89.5%Withhold 10.5%
Against
New Germany Fund Inc
644465106
GF
6/27/2012
2
Ratification of Auditor
Mgmt
For
For 97.8%Against 1.7%Abstain 0.5%
For
Cutwater Select Income Fund
232229104
CSI
6/28/2012
1.1
Elect W. Thacher Brown
Mgmt
For
For 98%Withhold 2%
For
Cutwater Select Income Fund
232229104
CSI
6/28/2012
1.2
Elect Suzanne Welsh
Mgmt
For
For 98%Withhold 2%
For
Cutwater Select Income Fund
232229104
CSI
6/28/2012
1.3
Elect Morris Lloyd, Jr.
Mgmt
For
For 98%Withhold 2%
Against
Cutwater Select Income Fund
232229104
CSI
6/28/2012
1.4
Elect Ellen Harvey
Mgmt
For
For 98%Withhold 2%
For
Cutwater Select Income Fund
232229104
CSI
6/28/2012
2
Transaction of Other Business
Mgmt
For
For 80%
Against 17.7%
Abstain 2.3%
Against