As filed with the Securities and Exchange Commission on August 15, 2013.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-04980
TCW Strategic Income Fund, Inc.
(Exact Name of Registrant as Specified in Charter)
865 South Figueroa Street, Los Angeles, CA 90017
(Address of Principal Executive Offices) (Zip Code)
Patrick W. Dennis, Assistant Secretary, 865 South Figueroa Street, Los Angeles, CA 900171
(Name and Address of Agent for Service)
Registrant’s Telephone Number, including Area Code: (213) 244-0000
Date of fiscal year end: December 31
Date of reporting period: July 1, 2012 - June 30, 2013
| Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Strategic Income Fund, Inc.
Key-
Activision Blizzard, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| ATVI | CUSIP 00507V109 | 06/06/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Philippe G. H. Capron | Mgmt | For | For | For | |||||
| 2 | Elect Jean-Yves Charlier | Mgmt | For | For | For | |||||
| 3 | Elect Robert J. Corti | Mgmt | For | For | For | |||||
| 4 | Elect Frederic R. Crepin | Mgmt | For | For | For | |||||
| 5 | Elect Jean Francois Dubos | Mgmt | For | For | For | |||||
| 6 | Elect Lucian Grainge | Mgmt | For | For | For | |||||
| 7 | Elect Brian G. Kelly | Mgmt | For | For | For | |||||
| 8 | Elect Robert A. Kotick | Mgmt | For | For | For | |||||
| 9 | Elect Robert J. Morgado | Mgmt | For | For | For | |||||
| 10 | Elect Richard Sarnoff | Mgmt | For | For | For | |||||
| 11 | Elect Regis Turrini | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For |
American Electric Power Company, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AEP | CUSIP 025537101 | 04/23/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Nicholas K. Akins | Mgmt | For | For | For | |||||
| 2 | Elect David J. Anderson | Mgmt | For | For | For | |||||
| 3 | Elect Ralph D. Crosby, Jr. | Mgmt | For | For | For |
Page 1
| 4 | Elect Linda A. Goodspeed | Mgmt | For | For | For | |||||
| 5 | Elect Thomas E. Hoaglin | Mgmt | For | For | For | |||||
| 6 | Elect Sandra Beach Lin | Mgmt | For | For | For | |||||
| 7 | Elect Michael G. Morris | Mgmt | For | For | For | |||||
| 8 | Elect Richard C. Notebaert | Mgmt | For | For | For | |||||
| 9 | Elect Lionel L. Nowell III | Mgmt | For | For | For | |||||
| 10 | Elect Stephen S. Rasmussen | Mgmt | For | For | For | |||||
| 11 | Elect Oliver G. Richard III | Mgmt | For | For | For | |||||
| 12 | Elect Richard L. Sandor | Mgmt | For | For | For | |||||
| 13 | Elect Sara M. Tucker | Mgmt | For | For | For | |||||
| 14 | Elect John F. Turner | Mgmt | For | For | For | |||||
| 15 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
American Express Company
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AXP | CUSIP 025816109 | 04/29/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
| 1.2 | Elect Ursula M. Burns | Mgmt | For | For | For | |||||
| 1.3 | Elect Kenneth I. Chenault | Mgmt | For | For | For | |||||
| 1.4 | Elect Peter Chernin | Mgmt | For | For | For | |||||
| 1.5 | Elect Anne Lauvergeon | Mgmt | For | For | For | |||||
| 1.6 | Elect Theodore J. Leonsis | Mgmt | For | For | For | |||||
| 1.7 | Elect Richard C. Levin | Mgmt | For | For | For | |||||
| 1.8 | Elect Richard A. McGinn | Mgmt | For | For | For | |||||
| 1.9 | Elect Samuel J. Palmisano | Mgmt | For | For | For | |||||
| 1.10 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||||
| 1.11 | Elect Daniel L. Vasella | Mgmt | For | For | For | |||||
| 1.12 | Elect Robert D. Walter | Mgmt | For | For | For | |||||
| 1.13 | Elect Ronald A. Williams | Mgmt | For | For | For |
Page 2
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 4 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Ameriprise Financial, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AMP | CUSIP 03076C106 | 04/24/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect James M. Cracchiolo | Mgmt | For | For | For | |||||
| 2 | Elect Lon R. Greenberg | Mgmt | For | For | For | |||||
| 3 | Elect Warren D. Knowlton | Mgmt | For | For | For | |||||
| 4 | Elect W. Walker Lewis | Mgmt | For | For | For | |||||
| 5 | Elect Siri S. Marshall | Mgmt | For | For | For | |||||
| 6 | Elect Jeffrey Noddle | Mgmt | For | For | For | |||||
| 7 | Elect H. Jay Sarles | Mgmt | For | For | For | |||||
| 8 | Elect Robert F. Sharpe, Jr. | Mgmt | For | For | For | |||||
| 9 | Elect William H. Turner | Mgmt | For | For | For | |||||
| 10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 11 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 12 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
AT&T Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| T | CUSIP 00206R102 | 04/26/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Randall L. Stephenson | Mgmt | For | For | For | |||||
| 2 | Elect Gilbert F. Amelio | Mgmt | For | For | For | |||||
| 3 | Elect Reuben V. Anderson | Mgmt | For | For | For | |||||
| 4 | Elect James H. Blanchard | Mgmt | For | For | For | |||||
| 5 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
| 6 | Elect Scott T. Ford | Mgmt | For | For | For |
Page 3
| 7 | Elect James P. Kelly | Mgmt | For | For | For | |||||
| 8 | Elect Jon C. Madonna | Mgmt | For | For | For | |||||
| 9 | Elect Michael B. McCallister | Mgmt | For | For | For | |||||
| 10 | Elect John B. McCoy | Mgmt | For | For | For | |||||
| 11 | Elect Joyce M. Roche | Mgmt | For | For | For | |||||
| 12 | Elect Matthew K. Rose | Mgmt | For | For | For | |||||
| 13 | Elect Laura D’Andrea Tyson | Mgmt | For | For | For | |||||
| 14 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 16 | Amendment to the Stock Purchase and Deferral Plan | Mgmt | For | For | For | |||||
| 17 | Shareholder Proposal Regarding Political Spending | ShrHoldr | Against | Against | For | |||||
| 18 | Shareholder Proposal Regarding Lead Batteries | ShrHoldr | Against | Against | For | |||||
| 19 | Shareholder Proposal Regarding Shareholder Approval of Severance Agreements | ShrHoldr | Against | For | Against | |||||
| 20 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against |
Avery Dennison Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AVY | CUSIP 053611109 | 04/25/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Bradley A. Alford | Mgmt | For | For | For | |||||
| 2 | Elect Anthony K. Anderson | Mgmt | For | For | For | |||||
| 3 | Elect Rolf Borjesson | Mgmt | For | For | For | |||||
| 4 | Elect John T. Cardis | Mgmt | For | For | For | |||||
| 5 | Elect David E.I. Pyott | Mgmt | For | For | For | |||||
| 6 | Elect Dean A. Scarborough | Mgmt | For | For | For | |||||
| 7 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
| 8 | Elect Julia A. Stewart | Mgmt | For | For | For | |||||
| 9 | Elect Martha Sullivan | Mgmt | For | For | For | |||||
| 10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 11 | Ratification of Auditor | Mgmt | For | For | For |
Page 4
Baker Hughes Incorporated
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| BHI | CUSIP 057224107 | 04/25/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Larry D. Brady | Mgmt | For | For | For | |||||
| 1.2 | Elect Clarence P. Cazalot, Jr. | Mgmt | For | For | For | |||||
| 1.3 | Elect Martin S. Craighead | Mgmt | For | For | For | |||||
| 1.4 | Elect Lynn L. Elsenhans | Mgmt | For | For | For | |||||
| 1.5 | Elect Anthony G. Fernandes | Mgmt | For | For | For | |||||
| 1.6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
| 1.7 | Elect Pierre J. Jungels | Mgmt | For | For | For | |||||
| 1.8 | Elect James A. Lash | Mgmt | For | For | For | |||||
| 1.9 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
| 1.10 | Elect James W. Stewart | Mgmt | For | For | For | |||||
| 1.11 | Elect Charles L. Watson | Mgmt | For | For | For | |||||
| 2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 3 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 4 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
| 5 | Amendment to the 2002 Director and Officer Long-Term Incentive Plan | Mgmt | For | For | For |
CA, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CA | CUSIP 12673P105 | 08/01/2012 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Jens Alder | Mgmt | For | For | For | |||||
| 2 | Elect Raymond Bromark | Mgmt | For | For | For | |||||
| 3 | Elect Gary Fernandes | Mgmt | For | For | For | |||||
| 4 | Elect Rohit Kapoor | Mgmt | For | For | For | |||||
| 5 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
| 6 | Elect Christopher Lofgren | Mgmt | For | For | For |
Page 5
| 7 | Elect William McCracken | Mgmt | For | For | For | |||||
| 8 | Elect Richard Sulpizio | Mgmt | For | For | For | |||||
| 9 | Elect Laura Unger | Mgmt | For | For | For | |||||
| 10 | Elect Arthur Weinbach | Mgmt | For | For | For | |||||
| 11 | Elect Ron Zambonini | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | 2012 Non-Employee Director Compensation Plan | Mgmt | For | For | For |
Chevron Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CVX | CUSIP 166764100 | 05/29/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Linnet F. Deily | Mgmt | For | For | For | |||||
| 2 | Elect Robert E. Denham | Mgmt | For | For | For | |||||
| 3 | Elect Alice P. Gast | Mgmt | For | For | For | |||||
| 4 | Elect Enrique Hernandez, Jr. | Mgmt | For | For | For | |||||
| 5 | Elect George L. Kirkland | Mgmt | For | For | For | |||||
| 6 | Elect Charles W. Moorman, IV | Mgmt | For | For | For | |||||
| 7 | Elect Kevin W. Sharer | Mgmt | For | For | For | |||||
| 8 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
| 9 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||||
| 10 | Elect Carl Ware | Mgmt | For | For | For | |||||
| 11 | Elect John S. Watson | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
| 15 | Shareholder Proposal Regarding Hydraulic Fracturing | ShrHoldr | Against | For | Against | |||||
| 16 | Shareholder Proposal Regarding Offshore Drilling Report | ShrHoldr | Against | For | Against |
Page 6
| 17 | Shareholder Proposal Regarding Report on Climate Change | ShrHoldr | Against | Against | For | |||||
| 18 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
| 19 | Shareholder Proposal Regarding Prohibition on Political Spending | ShrHoldr | Against | Against | For | |||||
| 20 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against | |||||
| 21 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
| 22 | Shareholder Proposal Regarding Environmental Expertise on Board | ShrHoldr | Against | Against | For | |||||
| 23 | Shareholder Proposal Regarding Country Selection Guidelines | ShrHoldr | Against | For | Against |
Citigroup Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| C | CUSIP 172967424 | 04/24/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Michael L. Corbat | Mgmt | For | For | For | |||||
| 2 | Elect Franz B. Humer | Mgmt | For | For | For | |||||
| 3 | Elect Robert L. Joss | Mgmt | For | For | For | |||||
| 4 | Elect Michael E. O’Neill | Mgmt | For | For | For | |||||
| 5 | Elect Judith Rodin | Mgmt | For | For | For | |||||
| 6 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
| 7 | Elect Anthony M. Santomero | Mgmt | For | For | For | |||||
| 8 | Elect Joan E. Spero | Mgmt | For | For | For | |||||
| 9 | Elect Diana L. Taylor | Mgmt | For | For | For | |||||
| 10 | Elect William S. Thompson, Jr. | Mgmt | For | For | For |
Page 7
| 11 | Elect Ernesto Zedillo | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Amendment to the 2009 Stock Incentive Plan | Mgmt | For | For | For | |||||
| 15 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
| 16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
| 17 | Shareholder Proposal Regarding Director Indemnification | ShrHoldr | Against | Against | For |
Cliffs Natural Resources Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CLF | CUSIP 18683K101 | 05/07/2013 | Take No Action | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Joseph A. Carrabba | Mgmt | For | TNA | N/A | |||||
| 2 | Elect Susan M. Cunningham | Mgmt | For | TNA | N/A | |||||
| 3 | Elect Barry J. Eldridge | Mgmt | For | TNA | N/A | |||||
| 4 | Elect Andres R. Gluski | Mgmt | For | TNA | N/A | |||||
| 5 | Elect Susan M. Green | Mgmt | For | TNA | N/A | |||||
| 6 | Elect Janice K. Henry | Mgmt | For | TNA | N/A | |||||
| 7 | Elect James Kirsch | Mgmt | For | TNA | N/A | |||||
| 8 | Elect Francis R. McAllister | Mgmt | For | TNA | N/A | |||||
| 9 | Elect Richard K. Riederer | Mgmt | For | TNA | N/A | |||||
| 10 | Elect Timothy W. Sullivan | Mgmt | For | TNA | N/A | |||||
| 11 | Adoption of Majority Vote for Election of Directors | Mgmt | For | TNA | N/A | |||||
| 12 | Elimination of Cumulative Voting | Mgmt | For | TNA | N/A |
Page 8
| 13 | Amend the Regulations Without Shareholder Approval | Mgmt | For | TNA | N/A | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | TNA | N/A | |||||
| 15 | Ratification of Auditor | Mgmt | For | TNA | N/A |
Comcast Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CMCSA | CUSIP 20030N101 | 05/15/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Kenneth J. Bacon | Mgmt | For | For | For | |||||
| 1.2 | Elect Sheldon M. Bonovitz | Mgmt | For | For | For | |||||
| 1.3 | Elect Joseph J. Collins | Mgmt | For | For | For | |||||
| 1.4 | Elect J. Michael Cook | Mgmt | For | For | For | |||||
| 1.5 | Elect Gerald L. Hassell | Mgmt | For | For | For | |||||
| 1.6 | Elect Jeffrey A. Honickman | Mgmt | For | For | For | |||||
| 1.7 | Elect Eduardo G. Mestre | Mgmt | For | For | For | |||||
| 1.8 | Elect Brian L. Roberts | Mgmt | For | For | For | |||||
| 1.9 | Elect Ralph J. Roberts | Mgmt | For | For | For | |||||
| 1.10 | Elect Johnathan A. Rodgers | Mgmt | For | For | For | |||||
| 1.11 | Elect Judith Rodin | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
| 4 | Sharheolder Proposal Regarding Recapitalization | ShrHoldr | Against | Against | For |
Dell Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| DELL | CUSIP 24702R101 | 07/13/2012 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect James Breyer | Mgmt | For | For | For | |||||
| 2 | Elect Donald Carty | Mgmt | For | For | For | |||||
| 3 | Elect Janet Clark | Mgmt | For | For | For | |||||
| 4 | Elect Laura Conigliaro | Mgmt | For | For | For |
Page 9
| 5 | Elect Michael Dell | Mgmt | For | For | For | |||||
| 6 | Elect Kenneth Duberstein | Mgmt | For | For | For | |||||
| 7 | Elect William Gray, III | Mgmt | For | For | For | |||||
| 8 | Elect Gerard Kleisterlee | Mgmt | For | For | For | |||||
| 9 | Elect Klaus Luft | Mgmt | For | For | For | |||||
| 10 | Elect Alex Mandl | Mgmt | For | For | For | |||||
| 11 | Elect Shantanu Narayen | Mgmt | For | For | For | |||||
| 12 | Elect H. Ross Perot, Jr. | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 15 | 2012 Long-Term Incentive Plan | Mgmt | For | For | For |
Devon Energy Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| DVN | CUSIP 25179M103 | 06/05/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Robert H. Henry | Mgmt | For | Withhold | Against | |||||
| 1.2 | Elect John A. Hill | Mgmt | For | For | For | |||||
| 1.3 | Elect Michael M. Kanovsky | Mgmt | For | For | For | |||||
| 1.4 | Elect Robert A. Mosbacher, Jr. | Mgmt | For | For | For | |||||
| 1.5 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
| 1.6 | Elect Duane C. Radtke | Mgmt | For | For | For | |||||
| 1.7 | Elect Mary P. Ricciardello | Mgmt | For | For | For | |||||
| 1.8 | Elect John Richels | Mgmt | For | For | For | |||||
| 2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 3 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 4 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
| 5 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
| 6 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 10
Dynegy Inc.
| Ticker DYN |
Security ID: CUSIP 26817R108 |
Meeting Date 05/21/2013 |
Meeting Status Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Hillary E. Ackermann | Mgmt | For | For | For | |||||
| 1.2 | Elect Paul M. Barbas | Mgmt | For | For | For | |||||
| 1.3 | Elect Robert C. Flexon | Mgmt | For | For | For | |||||
| 1.4 | Elect Richard Lee Kuersteiner | Mgmt | For | For | For | |||||
| 1.5 | Elect Jeffrey S. Stein | Mgmt | For | For | For | |||||
| 1.6 | Elect John R. Sult | Mgmt | For | For | For | |||||
| 1.7 | Elect Pat Wood, III | Mgmt | For | For | For | |||||
| 2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 3 | Ratification of Auditor | Mgmt | For | For | For |
E.I. du Pont de Nemours and Company
| Ticker DD |
Security ID: CUSIP 263534109 |
Meeting Date 04/24/2013 |
Meeting Status Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Lamberto Andreotti | Mgmt | For | For | For | |||||
| 2 | Elect Richard H. Brown | Mgmt | For | For | For | |||||
| 3 | Elect Robert A. Brown | Mgmt | For | For | For | |||||
| 4 | Elect Bertrand P. Collomb | Mgmt | For | For | For | |||||
| 5 | Elect Curtis J. Crawford | Mgmt | For | For | For | |||||
| 6 | Elect Alexander M. Cutler | Mgmt | For | For | For | |||||
| 7 | Elect Eleuthere I. Du Pont | Mgmt | For | For | For | |||||
| 8 | Elect Marillyn A. Hewson | Mgmt | For | For | For | |||||
| 9 | Elect Lois D. Juliber | Mgmt | For | For | For | |||||
| 10 | Elect Ellen J. Kullman | Mgmt | For | For | For | |||||
| 11 | Elect Lee M. Thomas | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
| 15 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 11
| 16 | Shareholder Proposal Regarding Genetically Modified Organisms | ShrHoldr | Against | For | Against | |||||
| 17 | Shareholder Proposal Regarding Report on Executive Compensation | ShrHoldr | Against | For | Against |
Ensco plc
| Ticker ESV |
Security ID: CUSIP G3157S106 |
Meeting Date 05/20/2013 |
Meeting Status Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Francis S Kalman | Mgmt | For | For | For | |||||
| 2 | Elect Roxanne J. Decyk | Mgmt | For | For | For | |||||
| 3 | Elect Mary Francis | Mgmt | For | For | For | |||||
| 4 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 5 | Ratification of Statutory Auditor | Mgmt | For | For | For | |||||
| 6 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
| 7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 8 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
| 9 | Accounts and Reports | Mgmt | For | For | For | |||||
| 10 | Repeal of Classified Board | Mgmt | For | For | For | |||||
| 11 | Authority to Repurchase Shares | Mgmt | For | For | For |
Foot Locker, Inc.
| Ticker FL |
Security ID: CUSIP 344849104 |
Meeting Date 05/15/2013 |
Meeting Status Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Ken C. Hicks | Mgmt | For | For | For | |||||
| 1.2 | Elect Guillermo G. Marmol | Mgmt | For | For | For |
Page 12
| 1.3 | Elect Dona D. Young | Mgmt | For | For | For | |||||
| 1.4 | Elect Maxine Clark | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | 2013 Employees Stock Purchase Plan | Mgmt | For | For | For | |||||
| 4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 5 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Gap Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| GPS | CUSIP 364760108 | 05/21/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Adrian D.P. Bellamy | Mgmt | For | For | For | |||||
| 2 | Elect Domenico De Sole | Mgmt | For | For | For | |||||
| 3 | Elect Robert J. Fisher | Mgmt | For | For | For | |||||
| 4 | Elect William S. Fisher | Mgmt | For | For | For | |||||
| 5 | Elect Isabella D. Goren | Mgmt | For | For | For | |||||
| 6 | Elect Bob L. Martin | Mgmt | For | For | For | |||||
| 7 | Elect Jorge P. Montoya | Mgmt | For | For | For | |||||
| 8 | Elect Glenn K. Murphy | Mgmt | For | For | For | |||||
| 9 | Elect Mayo A. Shattuck III | Mgmt | For | For | For | |||||
| 10 | Elect Katherine Tsang | Mgmt | For | For | For | |||||
| 11 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
General Electric Company
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| GE | CUSIP 369604103 | 04/24/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect W. Geoffrey Beattie | Mgmt | For | Against | Against | |||||
| 2 | Elect John J. Brennan | Mgmt | For | Against | Against | |||||
| 3 | Elect James I. Cash, Jr. | Mgmt | For | Against | Against | |||||
| 4 | Elect Francisco D’Souza | Mgmt | For | Against | Against | |||||
| 5 | Elect Marijn E. Dekkers | Mgmt | For | Against | Against | |||||
| 6 | Elect Ann M. Fudge | Mgmt | For | Against | Against | |||||
| 7 | Elect Susan Hockfield | Mgmt | For | Against | Against |
Page 13
| 8 | Elect Jeffrey R. Immelt | Mgmt | For | Against | Against | |||||
| 9 | Elect Andrea Jung | Mgmt | For | Against | Against | |||||
| 10 | Elect Robert W. Lane | Mgmt | For | Against | Against | |||||
| 11 | Elect Ralph S. Larsen | Mgmt | For | Against | Against | |||||
| 12 | Elect Rochelle B. Lazarus | Mgmt | For | Against | Against | |||||
| 13 | Elect James J. Mulva | Mgmt | For | Against | Against | |||||
| 14 | Elect Mary L. Schapiro | Mgmt | For | Against | Against | |||||
| 15 | Elect Robert J. Swieringa | Mgmt | For | Against | Against | |||||
| 16 | Elect James S. Tisch | Mgmt | For | Against | Against | |||||
| 17 | Elect Douglas A. Warner III | Mgmt | For | Against | Against | |||||
| 18 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 19 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 20 | Shareholder Proposal Regarding Cessation of All Stock Options and Bonuses | ShrHoldr | Against | Against | For | |||||
| 21 | Shareholder Proposal Regarding Term Limits | ShrHoldr | Against | Against | For | |||||
| 22 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against | |||||
| 23 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
| 24 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
| 25 | Shareholder Proposal Regarding Double Board Nominees | ShrHoldr | Against | Against | For |
Honeywell International Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| HON | CUSIP 438516106 | 04/22/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Gordon M. Bethune | Mgmt | For | For | For | |||||
| 2 | Elect Kevin Burke | Mgmt | For | For | For | |||||
| 3 | Elect Jaime Chico Pardo | Mgmt | For | For | For |
Page 14
| 4 | Elect David M. Cote | Mgmt | For | For | For | |||||
| 5 | Elect D. Scott Davis | Mgmt | For | For | For | |||||
| 6 | Elect Linnet F. Deily | Mgmt | For | Against | Against | |||||
| 7 | Elect Judd Gregg | Mgmt | For | For | For | |||||
| 8 | Elect Lord Clive Hollick | Mgmt | For | For | For | |||||
| 9 | Elect Grace D. Lieblein | Mgmt | For | For | For | |||||
| 10 | Elect George Paz | Mgmt | For | For | For | |||||
| 11 | Elect Bradley T. Sheares | Mgmt | For | For | For | |||||
| 12 | Elect Robin L. Washington | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 15 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against | |||||
| 16 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
| 17 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Intel Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| INTC | CUSIP 458140100 | 05/16/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
| 2 | Elect Andy D. Bryant | Mgmt | For | For | For | |||||
| 3 | Elect Susan L. Decker | Mgmt | For | For | For | |||||
| 4 | Elect John J. Donahoe | Mgmt | For | For | For | |||||
| 5 | Elect Reed E. Hundt | Mgmt | For | For | For | |||||
| 6 | Elect James D. Plummer | Mgmt | For | For | For | |||||
| 7 | Elect David S. Pottruck | Mgmt | For | For | For | |||||
| 8 | Elect Frank D. Yeary | Mgmt | For | For | For | |||||
| 9 | Elect David B. Yoffie | Mgmt | For | For | For | |||||
| 10 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 12 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
| 13 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Page 15
Johnson & Johnson
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| JNJ | CUSIP 478160104 | 04/25/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Mary Sue Coleman | Mgmt | For | For | For | |||||
| 2 | Elect James G. Cullen | Mgmt | For | For | For | |||||
| 3 | Elect Ian E.L. Davis | Mgmt | For | For | For | |||||
| 4 | Elect Alex Gorsky | Mgmt | For | For | For | |||||
| 5 | Elect Michael M. E. Johns | Mgmt | For | For | For | |||||
| 6 | Elect Susan L. Lindquist | Mgmt | For | For | For | |||||
| 7 | Elect Anne M. Mulcahy | Mgmt | For | For | For | |||||
| 8 | Elect Leo F. Mullin | Mgmt | For | For | For | |||||
| 9 | Elect William D. Perez | Mgmt | For | For | For | |||||
| 10 | Elect Charles Prince | Mgmt | For | For | For | |||||
| 11 | Elect A. Eugene Washington | Mgmt | For | For | For | |||||
| 12 | Elect Ronald A. Williams | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 15 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
| 16 | Shareholder Proposal Regarding Political Contributions and Corporate Values Report | ShrHoldr | Against | Against | For | |||||
| 17 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against |
Page 16
JPMorgan Chase & Co.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| JPM | CUSIP 46625H100 | 05/21/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect James A. Bell | Mgmt | For | For | For | |||||
| 2 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||||
| 3 | Elect Stephen B. Burke | Mgmt | For | For | For | |||||
| 4 | Elect David M. Cote | Mgmt | For | For | For | |||||
| 5 | Elect James S. Crown | Mgmt | For | For | For | |||||
| 6 | Elect James Dimon | Mgmt | For | For | For | |||||
| 7 | Elect Timothy P. Flynn | Mgmt | For | For | For | |||||
| 8 | Elect Ellen V. Futter | Mgmt | For | For | For | |||||
| 9 | Elect Laban P. Jackson, Jr. | Mgmt | For | For | For | |||||
| 10 | Elect Lee R. Raymond | Mgmt | For | For | For | |||||
| 11 | Elect William C. Weldon | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Allow Shareholders to Act by Written Consent | Mgmt | For | For | For | |||||
| 15 | Key Executive Performance Plan | Mgmt | For | For | For | |||||
| 16 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
| 17 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
| 18 | Shareholder Proposal Regarding Genocide-Free Investing | ShrHoldr | Against | Against | For | |||||
| 19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Kimberly-Clark Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| KMB | CUSIP 494368103 | 05/02/2013 | Take No Action | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect John R. Alm | Mgmt | For | TNA | N/A | |||||
| 2 | Elect John F. Bergstrom | Mgmt | For | TNA | N/A | |||||
| 3 | Elect Abelardo E. Bru | Mgmt | For | TNA | N/A |
Page 17
| 4 | Elect Robert W. Decherd | Mgmt | For | TNA | N/A | |||||
| 5 | Elect Thomas J. Falk | Mgmt | For | TNA | N/A | |||||
| 6 | Elect Fabian T. Garcia | Mgmt | For | TNA | N/A | |||||
| 7 | Elect Mae C. Jemison | Mgmt | For | TNA | N/A | |||||
| 8 | Elect James M. Jenness | Mgmt | For | TNA | N/A | |||||
| 9 | Elect Nancy J. Karch | Mgmt | For | TNA | N/A | |||||
| 10 | Elect Ian C. Read | Mgmt | For | TNA | N/A | |||||
| 11 | Elect Linda Johnson Rice | Mgmt | For | TNA | N/A | |||||
| 12 | Elect Marc J. Shapiro | Mgmt | For | TNA | N/A | |||||
| 13 | Ratification of Auditor | Mgmt | For | TNA | N/A | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | TNA | N/A |
Kimco Realty Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| KIM | CUSIP 49446R109 | 04/30/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Milton Cooper | Mgmt | For | For | For | |||||
| 1.2 | Elect Philip E. Coviello | Mgmt | For | For | For | |||||
| 1.3 | Elect Richard G. Dooley | Mgmt | For | For | For | |||||
| 1.4 | Elect Joe Grills | Mgmt | For | For | For | |||||
| 1.5 | Elect David B. Henry | Mgmt | For | For | For | |||||
| 1.6 | Elect F. Patrick Hughes | Mgmt | For | For | For | |||||
| 1.7 | Elect Frank Lourenso | Mgmt | For | For | For | |||||
| 1.8 | Elect Colombe M. Nicholas | Mgmt | For | For | For | |||||
| 1.9 | Elect Richard Saltzman | Mgmt | For | For | For | |||||
| 2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 3 | Ratification of Auditor | Mgmt | For | For | For |
Koninklijke Philips Electronics N.V.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| PHIA | CUSIP 500472303 | 05/03/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Accounts and Reports | Mgmt | For | For | For | |||||
| 2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
| 3 | Ratification of Management Board Acts | Mgmt | For | For | For | |||||
| 4 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||||
| 5 | Elect C.A. Poon | Mgmt | For | For | For |
Page 18
| 6 | Elect J.J. Schiro | Mgmt | For | For | For | |||||
| 7 | Elect J. van der Veer | Mgmt | For | For | For | |||||
| 8 | Long Term Incentive Plan | Mgmt | For | For | For | |||||
| 9 | Accelerate! Grant for the Management Board | Mgmt | For | For | For | |||||
| 10 | Amendments to Articles | Mgmt | For | For | For | |||||
| 11 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
| 12 | Authority to Suppress Preemptive Rights | Mgmt | For | For | For | |||||
| 13 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
| 14 | Authority to Cancel Shares | Mgmt | For | For | For |
Lennar Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| LEN | CUSIP 526057302 | 04/10/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Irving Bolotin | Mgmt | For | For | For | |||||
| 1.2 | Elect Steven L. Gerard | Mgmt | For | For | For | |||||
| 1.3 | Elect Theron I. Gilliam | Mgmt | For | For | For | |||||
| 1.4 | Elect Sherrill W. Hudson | Mgmt | For | For | For | |||||
| 1.5 | Elect R. Kirk Landon | Mgmt | For | For | For | |||||
| 1.6 | Elect Sidney Lapidus | Mgmt | For | For | For | |||||
| 1.7 | Elect Stuart A. Miller | Mgmt | For | For | For | |||||
| 1.8 | Elect Jeffrey A. Sonnenfeld | Mgmt | For | For | For | |||||
| 2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 3 | Ratification of Auditor | Mgmt | For | For | For |
MeadWestvaco Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MWV | CUSIP 583334107 | 04/22/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Michael E. Campbell | Mgmt | For | For | For | |||||
| 2 | Elect James G. Kaiser | Mgmt | For | For | For | |||||
| 3 | Elect Richard B. Kelson | Mgmt | For | For | For |
Page 19
| 4 | Elect James M. Kilts | Mgmt | For | For | For | |||||
| 5 | Elect Susan J. Kropf | Mgmt | For | For | For | |||||
| 6 | Elect Douglas S. Luke | Mgmt | For | For | For | |||||
| 7 | Elect John A. Luke, Jr. | Mgmt | For | For | For | |||||
| 8 | Elect Gracia C. Martore | Mgmt | For | For | For | |||||
| 9 | Elect Timothy H. Powers | Mgmt | For | For | For | |||||
| 10 | Elect Jane L. Warner | Mgmt | For | For | For | |||||
| 11 | Elect Alan D. Wilson | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Amendment to the 2005 Performance Incentive Plan | Mgmt | For | For | For |
Medtronic, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MDT | CUSIP 585055106 | 08/23/2012 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Richard Anderson | Mgmt | For | For | For | |||||
| 1.2 | Elect Victor Dzau | Mgmt | For | For | For | |||||
| 1.3 | Elect Omar Ishrak | Mgmt | For | For | For | |||||
| 1.4 | Elect Shirley Jackson | Mgmt | For | For | For | |||||
| 1.5 | Elect Michael Leavitt | Mgmt | For | For | For | |||||
| 1.6 | Elect James Lenehan | Mgmt | For | For | For | |||||
| 1.7 | Elect Denise O’Leary | Mgmt | For | For | For | |||||
| 1.8 | Elect Kendall Powell | Mgmt | For | For | For | |||||
| 1.9 | Elect Robert Pozen | Mgmt | For | For | For | |||||
| 1.10 | Elect Jack Schuler | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 4 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For | |||||
| 5 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
| 6 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Page 20
Microchip Technology Incorporated
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MCHP | CUSIP 595017104 | 08/17/2012 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Steve Sanghi | Mgmt | For | For | For | |||||
| 1.2 | Elect Albert Hugo-Martinez | Mgmt | For | For | For | |||||
| 1.3 | Elect L. B. Day | Mgmt | For | For | For | |||||
| 1.4 | Elect Matthew Chapman | Mgmt | For | For | For | |||||
| 1.5 | Elect Wade Meyercord | Mgmt | For | For | For | |||||
| 2 | Amendment to the 2004 Equity Incentive Plan | Mgmt | For | For | For | |||||
| 3 | Conversion of Debt Instruments | Mgmt | For | For | For | |||||
| 4 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Mondelez International, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MDLZ | CUSIP 50075N104 | 05/21/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
| 2 | Elect Lewis W.K. Booth | Mgmt | For | For | For | |||||
| 3 | Elect Lois D. Juliber | Mgmt | For | For | For | |||||
| 4 | Elect Mark D. Ketchum | Mgmt | For | For | For | |||||
| 5 | Elect Jorge S. Mesquita | Mgmt | For | For | For | |||||
| 6 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
| 7 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
| 8 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
| 9 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
| 10 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
| 11 | Elect Jean-Francois M. L. van Boxmeer | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Shareholder Proposal Regarding Extended Producer Responsibility | ShrHoldr | Against | Against | For | |||||
| 15 | Shareholder Proposal Regarding Gender Equality in the Supply Chain | ShrHoldr | Against | Against | For |
Page 21
Nabors Industries Ltd.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| NBR | CUSIP G6359F103 | 06/04/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect James R. Crane | Mgmt | For | For | For | |||||
| 1.2 | Elect Michael C. Linn | Mgmt | For | For | For | |||||
| 1.3 | Elect John V. Lombardi | Mgmt | For | For | For | |||||
| 1.4 | Elect Howard Wolf | Mgmt | For | For | For | |||||
| 1.5 | Elect John Yearwood | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
| 3 | 2013 Incentive Bonus Plan | Mgmt | For | For | For | |||||
| 4 | 2013 Stock Plan | Mgmt | For | For | For | |||||
| 5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 6 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHoldr | Against | Against | For | |||||
| 7 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
| 8 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
| 9 | Shareholder Proposal Regarding Approval of Severance Agreements | ShrHoldr | Against | For | Against | |||||
| 10 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 22
New York Community Bancorp, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| NYCB | CUSIP 649445103 | 06/06/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Michael J. Levine | Mgmt | For | For | For | |||||
| 2 | Elect John M. Tsimbinos | Mgmt | For | For | For | |||||
| 3 | Elect Ronald A Rosenfeld | Mgmt | For | For | For | |||||
| 4 | Elect Lawrence J. Savarese | Mgmt | For | For | For | |||||
| 5 | Ratification of Auditor | Mgmt | For | For | For |
Packaging Corporation of America
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| PKG | CUSIP 695156109 | 05/01/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Cheryl K. Beebe | Mgmt | For | For | For | |||||
| 2 | Elect Hasan Jameel | Mgmt | For | For | For | |||||
| 3 | Elect Mark W. Kowlzan | Mgmt | For | For | For | |||||
| 4 | Elect Robert C. Lyons | Mgmt | For | For | For | |||||
| 5 | Elect Samuel Mencoff | Mgmt | For | For | For | |||||
| 6 | Elect Roger B. Porter | Mgmt | For | For | For | |||||
| 7 | Elect Thomas S. Souleles | Mgmt | For | For | For | |||||
| 8 | Elect Paul T. Stecko | Mgmt | For | For | For | |||||
| 9 | Elect James D. Woodrum | Mgmt | For | For | For | |||||
| 10 | Amendment to the 1999 Long-Term Equity Incentive Plan | Mgmt | For | For | For | |||||
| 11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For |
Page 23
PepsiCo, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| PEP | CUSIP 713448108 | 05/01/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Shona L. Brown | Mgmt | For | For | For | |||||
| 2 | Elect George W. Buckley | Mgmt | For | For | For | |||||
| 3 | Elect Ian M. Cook | Mgmt | For | For | For | |||||
| 4 | Elect Dina Dublon | Mgmt | For | For | For | |||||
| 5 | Elect Victor J. Dzau | Mgmt | For | For | For | |||||
| 6 | Elect Ray L. Hunt | Mgmt | For | For | For | |||||
| 7 | Elect Alberto Ibarguen | Mgmt | For | For | For | |||||
| 8 | Elect Indra K. Nooyi | Mgmt | For | For | For | |||||
| 9 | Elect Sharon Percy Rockefeller | Mgmt | For | For | For | |||||
| 10 | Elect James J. Schiro | Mgmt | For | For | For | |||||
| 11 | Elect Lloyd G. Trotter | Mgmt | For | For | For | |||||
| 12 | Elect Daniel Vasella | Mgmt | For | For | For | |||||
| 13 | Elect Alberto Weisser | Mgmt | For | For | For | |||||
| 14 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Pfizer Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| PFE | CUSIP 717081103 | 04/25/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Dennis A. Ausiello | Mgmt | For | For | For | |||||
| 2 | Elect M. Anthony Burns | Mgmt | For | For | For | |||||
| 3 | Elect W. Don Cornwell | Mgmt | For | For | For | |||||
| 4 | Elect Frances D. Fergusson | Mgmt | For | For | For | |||||
| 5 | Elect William H. Gray, III | Mgmt | For | For | For | |||||
| 6 | Elect Helen H. Hobbs | Mgmt | For | For | For | |||||
| 7 | Elect Constance J. Horner | Mgmt | For | For | For | |||||
| 8 | Elect James M. Kilts | Mgmt | For | For | For | |||||
| 9 | Elect George A. Lorch | Mgmt | For | For | For | |||||
| 10 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
| 11 | Elect Ian C. Read | Mgmt | For | For | For | |||||
| 12 | Elect Stephen W. Sanger | Mgmt | For | For | For | |||||
| 13 | Elect Marc Tessier-Lavigne | Mgmt | For | For | For | |||||
| 14 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 24
| 16 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
| 17 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Regal Entertainment Group
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| RGC | CUSIP 758766109 | 05/08/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Thomas D. Bell, Jr. | Mgmt | For | For | For | |||||
| 1.2 | Elect David H. Keyte | Mgmt | For | For | For | |||||
| 1.3 | Elect Amy E. Miles | Mgmt | For | For | For | |||||
| 1.4 | Elect Lee M. Thomas | Mgmt | For | For | For | |||||
| 2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 3 | Amendment to the Annual Executive Incentive Program and 2002 Stock Incentive Plan | Mgmt | For | For | For | |||||
| 4 | Ratification of Auditor | Mgmt | For | For | For |
State Street Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| STT | CUSIP 857477103 | 05/15/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Kennett F. Burnes | Mgmt | For | For | For | |||||
| 2 | Elect Peter Coym | Mgmt | For | For | For | |||||
| 3 | Elect Patrick de Saint-Aignan | Mgmt | For | For | For | |||||
| 4 | Elect Amelia C. Fawcett | Mgmt | For | For | For | |||||
| 5 | Elect Linda A. Hill | Mgmt | For | For | For | |||||
| 6 | Elect Joseph L. Hooley | Mgmt | For | For | For |
Page 25
| 7 | Elect Robert S. Kaplan | Mgmt | For | For | For | |||||
| 8 | Elect Richard P. Sergel | Mgmt | For | For | For | |||||
| 9 | Elect Ronald L. Skates | Mgmt | For | For | For | |||||
| 10 | Elect Gregory L. Summe | Mgmt | For | For | For | |||||
| 11 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For |
TE Connectivity Ltd.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TEL | CUSIP H84989104 | 07/25/2012 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Special | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Reallocation of Legal Reserves to Free Reserves | Mgmt | For | For | For | |||||
| 2 | Right to Adjourn Meeting | Mgmt | For | For | For |
Teleflex Incorporated
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TFX | CUSIP 879369106 | 05/03/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Patricia C. Barron | Mgmt | For | For | For | |||||
| 2 | Elect W. Kim Foster | Mgmt | For | For | For | |||||
| 3 | Elect Jeffrey A. Graves | Mgmt | For | For | For | |||||
| 4 | Elect James W. Zug | Mgmt | For | For | For | |||||
| 5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 6 | Ratification of Auditor | Mgmt | For | For | For |
Textron Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TXT | CUSIP 883203101 | 04/24/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Scott C. Donnelly | Mgmt | For | For | For | |||||
| 2 | Elect Kathleen M. Bader | Mgmt | For | For | For | |||||
| 3 | Elect R. Kerry Clark | Mgmt | For | For | For | |||||
| 4 | Elect James T. Conway | Mgmt | For | For | For | |||||
| 5 | Elect Ivor J. Evans | Mgmt | For | For | For | |||||
| 6 | Elect Lawrence K. Fish | Mgmt | For | For | For | |||||
| 7 | Elect Paul E. Gagne | Mgmt | For | For | For |
Page 26
| 8 | Elect Dain M. Hancock | Mgmt | For | For | For | |||||
| 9 | Elect Charles D. Powell | Mgmt | For | For | For | |||||
| 10 | Elect Lloyd G. Trotter | Mgmt | For | For | For | |||||
| 11 | Elect James L. Ziemer | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
The Allstate Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| ALL | CUSIP 020002101 | 05/21/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect F. Duane Ackerman | Mgmt | For | For | For | |||||
| 2 | Elect Robert D. Beyer | Mgmt | For | For | For | |||||
| 3 | Elect Kermit R. Crawford | Mgmt | For | For | For | |||||
| 4 | Elect Jack M. Greenberg | Mgmt | For | For | For | |||||
| 5 | Elect Herbert L. Henkel | Mgmt | For | For | For | |||||
| 6 | Elect Ronald T. LeMay | Mgmt | For | For | For | |||||
| 7 | Elect Andrea Redmond | Mgmt | For | For | For | |||||
| 8 | Elect H. John Riley, Jr. | Mgmt | For | For | For | |||||
| 9 | Elect John W. Rowe | Mgmt | For | For | For | |||||
| 10 | Elect Judith A. Sprieser | Mgmt | For | For | For | |||||
| 11 | Elect Mary Alice Taylor | Mgmt | For | For | For | |||||
| 12 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
| 15 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 16 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
| 17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 27
The Home Depot, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| HD | CUSIP 437076102 | 05/23/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect F. Duane Ackerman | Mgmt | For | For | For | |||||
| 2 | Elect Francis S. Blake | Mgmt | For | For | For | |||||
| 3 | Elect Ari Bousbib | Mgmt | For | For | For | |||||
| 4 | Elect Gregory D. Brenneman | Mgmt | For | For | For | |||||
| 5 | Elect J. Frank Brown | Mgmt | For | For | For | |||||
| 6 | Elect Albert P. Carey | Mgmt | For | For | For | |||||
| 7 | Elect Armando M. Codina | Mgmt | For | For | For | |||||
| 8 | Elect Bonnie G. Hill | Mgmt | For | For | For | |||||
| 9 | Elect Karen Katen | Mgmt | For | For | For | |||||
| 10 | Elect Mark Vadon | Mgmt | For | For | For | |||||
| 11 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Approval of the Material Terms under the Management Incentive Plan | Mgmt | For | For | For | |||||
| 14 | Amendment to the 2005 Omnibus Stock Incentive Plan | Mgmt | For | For | For | |||||
| 15 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | For | Against | |||||
| 16 | Shareholder Proposal Regarding Stormwater Management Policy | ShrHoldr | Against | Against | For |
The Travelers Companies, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TRV | CUSIP 89417E109 | 05/22/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Alan L. Beller | Mgmt | For | For | For | |||||
| 2 | Elect John H. Dasburg | Mgmt | For | For | For | |||||
| 3 | Elect Janet M. Dolan | Mgmt | For | For | For | |||||
| 4 | Elect Kenneth M. Duberstein | Mgmt | For | For | For | |||||
| 5 | Elect Jay S. Fishman | Mgmt | For | For | For | |||||
| 6 | Elect Patricia L. Higgins | Mgmt | For | For | For | |||||
| 7 | Elect Thomas R. Hodgson | Mgmt | For | For | For | |||||
| 8 | Elect William J. Kane | Mgmt | For | For | For |
Page 28
| 9 | Elect Cleve L. Killingsworth, Jr. | Mgmt | For | For | For | |||||
| 10 | Elect Donald J. Shepard | Mgmt | For | For | For | |||||
| 11 | Elect Laurie J. Thomsen | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Authorization of Preferred Stock | Mgmt | For | Against | Against | |||||
| 15 | Shareholder Proposal Regarding Political Spending Report | ShrHoldr | Against | For | Against |
Thermo Fisher Scientific Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TMO | CUSIP 883556102 | 05/22/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect C. Martin Harris | Mgmt | For | For | For | |||||
| 2 | Elect Judy C. Lewent | Mgmt | For | For | For | |||||
| 3 | Elect Jim P. Manzi | Mgmt | For | For | For | |||||
| 4 | Elect Lars R. Sorenson | Mgmt | For | For | For | |||||
| 5 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
| 6 | Elect Marc N. Casper | Mgmt | For | For | For | |||||
| 7 | Elect Nelson J. Chai | Mgmt | For | For | For | |||||
| 8 | Elect Tyler Jacks | Mgmt | For | For | For | |||||
| 9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 10 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
| 11 | 2013 Annual Incentive Award Plan | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For |
Time Warner Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TWX | CUSIP 887317303 | 05/23/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect James L. Barksdale | Mgmt | For | For | For | |||||
| 2 | Elect William P. Barr | Mgmt | For | For | For |
Page 29
| 3 | Elect Jeffrey L. Bewkes | Mgmt | For | For | For | |||||
| 4 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
| 5 | Elect Robert C. Clark | Mgmt | For | For | For | |||||
| 6 | Elect Mathias Dopfner | Mgmt | For | For | For | |||||
| 7 | Elect Jessica P. Einhorn | Mgmt | For | For | For | |||||
| 8 | Elect Fred Hassan | Mgmt | For | For | For | |||||
| 9 | Elect Kenneth J. Novack | Mgmt | For | For | For | |||||
| 10 | Elect Paul D. Wachter | Mgmt | For | For | For | |||||
| 11 | Elect Deborah C. Wright | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | 2013 Stock Incentive Plan | Mgmt | For | For | For |
Tyco International Ltd.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TYC | CUSIP H89128104 | 03/06/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Accounts and Reports | Mgmt | For | For | For | |||||
| 2 | Ratification of Board Acts | Mgmt | For | For | For | |||||
| 3.1 | Elect Edward D. Breen | Mgmt | For | For | For | |||||
| 3.2 | Elect Michael E. Daniels | Mgmt | For | For | For | |||||
| 3.3 | Elect Frank M. Drendel | Mgmt | For | For | For | |||||
| 3.4 | Elect Brian Duperreault | Mgmt | For | For | For | |||||
| 3.5 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
| 3.6 | Elect John A. Krol | Mgmt | For | For | For | |||||
| 3.7 | Elect George R. Oliver | Mgmt | For | For | For | |||||
| 3.8 | Elect Brendan R. O’Neill | Mgmt | For | For | For | |||||
| 3.9 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
| 3.10 | Elect R. David Yost | Mgmt | For | For | For | |||||
| 4 | Appointment of Auditor | Mgmt | For | For | For | |||||
| 5 | Appointment of Auditor | Mgmt | For | For | For | |||||
| 6 | Appointment of Special Auditor | Mgmt | For | For | For | |||||
| 7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
| 8 | Approval of Ordinary Cash Dividend | Mgmt | For | For | For |
Page 30
| 9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 10 | Renewal of Authorized Share Capital | Mgmt | For | For | For | |||||
| 11 | Approval of a Reduction in Registered Share Capital | Mgmt | For | For | For |
Tyco International Ltd.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TYC | CUSIP H89128104 | 09/17/2012 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Special | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | The ADT Spin-off | Mgmt | For | For | For | |||||
| 2 | The Tyco Flow Control Spin-off | Mgmt | For | For | For | |||||
| 3.1 | Elect George Oliver | Mgmt | For | For | For | |||||
| 3.2 | Elect Frank Drendel | Mgmt | For | For | For | |||||
| 4 | Approval of Ordinary Cash Dividends | Mgmt | For | For | For | |||||
| 5 | 2012 Stock and Incentive Plan | Mgmt | For | For | For |
Valero Energy Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| VLO | CUSIP 91913Y100 | 05/02/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Jerry D. Choate | Mgmt | For | For | For | |||||
| 2 | Elect Ruben M. Escobedo | Mgmt | For | For | For | |||||
| 3 | Elect William R. Klesse | Mgmt | For | For | For | |||||
| 4 | Elect Deborah P. Majoras | Mgmt | For | For | For | |||||
| 5 | Elect Bob Marbut | Mgmt | For | For | For | |||||
| 6 | Elect Donald L. Nickles | Mgmt | For | For | For | |||||
| 7 | Elect Phillip J. Pfeiffer | Mgmt | For | For | For | |||||
| 8 | Elect Robert A. Profusek | Mgmt | For | For | For | |||||
| 9 | Elect Susan K. Purcell | Mgmt | For | For | For |
Page 31
| 10 | Elect Stephen M. Waters | Mgmt | For | For | For | |||||
| 11 | Elect Randall J. Weisenburger | Mgmt | For | For | For | |||||
| 12 | Elect Rayford Wilkins Jr. | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 15 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 32
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.
| TCW Strategic Income Fund, Inc. | ||
| (Registrant) | ||
| By: | /S/ CHARLES W. BALDISWIELER | |
| Charles W. Baldiswieler | ||
| President and Chief Executive Officer | ||
| Date: August 15, 2013 | ||