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 811-05128
The Swiss Helvetia Fund, Inc.
(Exact name of registrant as specified in charter)
1270 Avenue of the Americas, Suite 400
New York, NY 10020
(Address of principal executive offices) (Zip code)
Rudolf Millisits, COO
Hottinger Capital Corp.
1270 Avenue of the Americas, Suite 400
New York, NY 10020
(Name and address of agent for service)
Registrants telephone number, including area code: 212-332-2760
Date of fiscal year end: December 31
Date of reporting period: July 1, 2010 June 30, 2011
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrants proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (OMB) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2010 TO JUNE 30, 2011
6/30/09 - 6/30/10 - ORDINARY GENERAL MEETINGS
Ticker |
ISIN |
HOLDINGS |
Nb of |
Date of |
Agenda |
Proposed by or the shareholder (S) |
Whether |
How did the |
Whether the fund or against |
Date |
Date Proxy Sent In |
Reason for not voting/ How fund would | ||||||||||||
BANKS | ||||||||||||||||||||||||
CSGN |
CH0012138530 | CREDIT SUISSE GROUP | 300,000 | 4/29/2011 | I | YES | FOR | 4/5/2011 | 4/5/2011 | N/A | ||||||||||||||
1. Annual report, parent companys 2010 financial statements and Groups 2010 consolidated financial statements and Groups 2010 consolidated financial statements | YES | |||||||||||||||||||||||
1.1 Presentation of the annual report, the parent compnays 2010 financial statements, the Groups 2010 consolidated financial statements and the 2010 remuneration report | YES | |||||||||||||||||||||||
1.2 Consultative vote on the 2010 remuneration report | YES | |||||||||||||||||||||||
1.3 Approval of the annual report, the parent companys 2010 financial statements and the Groups 2010 consolidated financial statements | YES | |||||||||||||||||||||||
2. Discharge of the acts of the Members of the Board of Directors and Executive Board | YES | |||||||||||||||||||||||
3. Appropriation of retained earnings and distribution against reserves from capital contributions | YES | |||||||||||||||||||||||
3.1 Resolution on the appropriation of retained earnings | YES | |||||||||||||||||||||||
3.2 Resolution on the distribution against reserves from capital contributions | YES | |||||||||||||||||||||||
4. Changes in share capital | YES | |||||||||||||||||||||||
4.1 Increase of conditional capital for the purpose of contingent convertible bonds | YES | |||||||||||||||||||||||
4.2 Renewing the authorized capital | YES | |||||||||||||||||||||||
4. Other amendment of the Articles of Association | YES | |||||||||||||||||||||||
5. Elections | YES | |||||||||||||||||||||||
5.1 Elections to the Board of Directors | YES | |||||||||||||||||||||||
5.2 Election of the independent auditors | YES | |||||||||||||||||||||||
5.3 Election of the special auditors | YES |
UBSN |
CH0024899483 | UBS AG | 1,130,000 | 4/28/2011 | I | YES | FOR | 4/15/2011 | 4/15/2011 | N/A | ||||||||||||||
1. Annual report, Group and Parent bank accounts for financial year 2010; Reports of the statutory auditors | YES | |||||||||||||||||||||||
1.1 Approval of annual report and Group and Parent bank accounts | YES | |||||||||||||||||||||||
1.2 Advisory vote on the compensation report 2010 | YES | |||||||||||||||||||||||
2, Appropriation of retained earnings | YES | |||||||||||||||||||||||
3. Discharge of the members of the Board of Directors and the Group Executive Board for the financial year 2010 | YES | |||||||||||||||||||||||
4. Elections | YES | |||||||||||||||||||||||
4.1 Election of the Board of Directors | YES | |||||||||||||||||||||||
4.2 Re-election of the auditors, Ernst and Young Ltd. | YES | |||||||||||||||||||||||
BIOTECHNOLOGY | ||||||||||||||||||||||||
ADXN |
CH0029850754 | ADDEX PHARMACEUTICALS | 352,155 | 4/28/2011 | I | YES | FOR | 4/15/2011 | 4/15/2011 | N/A | ||||||||||||||
1. Approval of the Annual Report, the Annual Financial Statements and the Consolidated Financial Statements for the business year 2010 | YES | |||||||||||||||||||||||
2. Appropriation of the results | YES | |||||||||||||||||||||||
3. Discharge to the members of the Board of Directors and the Executive Management | YES | |||||||||||||||||||||||
4. Elections to the Board of Directors | YES | |||||||||||||||||||||||
5. Election of the Auditors | YES | |||||||||||||||||||||||
6. Ammendments to the Articles | YES | |||||||||||||||||||||||
6.1 Renewal and increase of the authorized share capital | YES | |||||||||||||||||||||||
6.2 Increase of the conditional share capital | YES | |||||||||||||||||||||||
6.3 Creation and issue of new Bons de Jouissance | YES | |||||||||||||||||||||||
7. Miscellaneous | YES |
CHEMICALS |
||||||||||||||||||||||||
GIVN |
CH00106455932 | Givaudan SA | 1,500 | 3/24/2011 | I | YES | FOR | 3/10/2011 | 3/10/2011 | N/A | ||||||||||||||
1. Approval of annual report (including remuneration), annual accounts and consolidated accounts 2010 | YES | |||||||||||||||||||||||
2. Advisory vote on remuneration principals as outlined in the report on remuneration | YES | |||||||||||||||||||||||
3. Discharge of the Board of Directors | YES | |||||||||||||||||||||||
4. Appropriation of retained earnings and distribution from capital reserves released additional. The Board of Directors proposes a distribution of CHF 21.50 per share taken on additional paid-in-capital reserves | YES | |||||||||||||||||||||||
5. Amendments to the statutes | YES | |||||||||||||||||||||||
5.1 Amendment of Article 13 para. 1 of the Articles of Incorporation | YES | |||||||||||||||||||||||
5.2 Amendment of S. 13 para. 2 of the Articles of Incorporation | YES | |||||||||||||||||||||||
6. Election to the Board of Directors of Mrs. Lilian Fossum Biner as new board member for three years, and re-election of Mr. Hennerbeck, for a year, according to the amended Articles, and re-election of Nabil Sakkab for a term of three years. Elections are held individually | YES | |||||||||||||||||||||||
7. Election of the auditors. Proposal of the Board of Directors re-election of Deloitte SA auditors for the year 2011 | YES | |||||||||||||||||||||||
SYNN |
CH0011037469 | Syngenta AG | 61,300 | 4/19/2011 | I | YES | FOR | 4/5/2011 | 4/5/2011 | N/A | ||||||||||||||
1. Annual Report 2010 | YES | |||||||||||||||||||||||
2. Discharge of the members of the Board of Directors and the Executive Committee | YES | |||||||||||||||||||||||
3. Reduction of share capital by cancellation of repurchased shares | YES | |||||||||||||||||||||||
4. Appropriation of the available earnings as per balance sheet 2010; conversion and appropriation of reserves from capital contribution divident from reserves from capital contributions | YES | |||||||||||||||||||||||
5. Elections to the Board of Directors | YES | |||||||||||||||||||||||
6. Election of the external auditor | YES |
FOOD AND BEVERAGES | ||||||||||||||||||||||||
LISN | CH0010570759 | Lindt Spruengli AG | 135 | 4/28/2011 | I
|
NO
|
Meeting advice was not received | |||||||||||||||||
1. Approval of the annual report, the financial statements of Chocoladefabriken Lindt & Sprungli AG and the group consolidated financial statements of the Lindt & Sprungli group for the business year 2010 audit reports considered | ||||||||||||||||||||||||
2. Discharge of The board of directors | ||||||||||||||||||||||||
3. Distribution of net earnings of Chocoladefabriken Lindt & Sprungli AG | ||||||||||||||||||||||||
4. Re-election of two members of the board of directors | ||||||||||||||||||||||||
4.1. Re-election of Mr. Antonio Bulgheroni | ||||||||||||||||||||||||
4.2 Re-election of Mr. Ernst Tanner | ||||||||||||||||||||||||
5. Re-election of auditor | ||||||||||||||||||||||||
NESN |
CH0038863350 | Nestle SA | 1,231,000 | 4/14/2011 | I | NO | Meeting advice was not received | |||||||||||||||||
1. Annual Report 2010 | ||||||||||||||||||||||||
1.1 Annual Report, financial statements of Nestle S.A. and consolidated financial statements of the Nestle Group for 2010; reports of the statutory auditors | ||||||||||||||||||||||||
1.2 Advisory vote on the Compensation Report 2010 | ||||||||||||||||||||||||
2. Release of the Board of Directors and of the Management | ||||||||||||||||||||||||
3. Appropriation of profits resulting from the balance sheet of Nestle S.A. | ||||||||||||||||||||||||
4. Elections | ||||||||||||||||||||||||
4.1 Re-elections to the Board of Directors | ||||||||||||||||||||||||
4.2 Elections to the Board of Directors | ||||||||||||||||||||||||
4.3 Re-election of the statutory auditors | ||||||||||||||||||||||||
5. Capital reduction |
FINANCIAL SERVICES | ||||||||||||||||||||||||
ALLN |
CH0008837566 | Allreal Holdings AG | 14,700 | 3/25/2011 | I | YES | FOR | 3/10/2011 | 3/10/2011 | |||||||||||||||
1. Annual report, | YES | |||||||||||||||||||||||
2. Appropriation of net profit in 2010 | YES | |||||||||||||||||||||||
3. Before distribution to the shareholders presentation on net income to a new account | YES | |||||||||||||||||||||||
4. Discharge of the members of the board and CEO | YES | |||||||||||||||||||||||
5. Elections | YES | |||||||||||||||||||||||
5.1 Board | YES | |||||||||||||||||||||||
5.11 Re-election of Dr. Jacob Baer | YES | |||||||||||||||||||||||
5.12 Re-election of Albert Leiser | YES | |||||||||||||||||||||||
5.2. Re-election of the independent financial auditor KPMG for a term of one year | YES | |||||||||||||||||||||||
SQN |
CH0010675863 | Swissquote Group Holding SA | 118,000 | 5/6/2011 | I | YES | FOR | 4/14/2011 | 4/15/2011 | N/A | ||||||||||||||
1. Presentation | YES | |||||||||||||||||||||||
1.1 From the annual report for 2010 including the management report, annual accounts, and consolidated accounts group | YES | |||||||||||||||||||||||
1.2 From remuneration report for the year 2010 (deferred compensation) | YES | |||||||||||||||||||||||
2. Reports from the auditors | YES | |||||||||||||||||||||||
3. Decisions | YES | |||||||||||||||||||||||
3.1 Approval of the annual report for 2010; the Board of Directors proposes that the annual report for fiscal 2010 | YES | |||||||||||||||||||||||
3.2 Advisory vote on the remuneration report for 2010; the Board of Directors proposes that the remuneration report for fiscal 2010 | YES | |||||||||||||||||||||||
3.3 Approval of the use of retained earnings | YES | |||||||||||||||||||||||
3.4 Discharge of the Board of Directors and the branch | YES | |||||||||||||||||||||||
4. Elections | YES | |||||||||||||||||||||||
4.1 Election to the Board of Directors | YES | |||||||||||||||||||||||
4.2 Re-election of PriceWaterhouseCooper SA Pully as branch auditors for fiscal 2011 | YES |
CONSTRUCTION AND MATERIALS | ||||||||||||||||||||||||
BEAN |
CH0001503199 | Belimo Holdings | 2,850 | 4/4/2011 | I | YES | FOR | 3/22/2011 | 3/22/2011 | N/A | ||||||||||||||
1. Approval of the annual report including the financial statements, management report and consolidated financial statements for 2010. | YES | |||||||||||||||||||||||
2. Resolution on appropriation of available earnings | YES | |||||||||||||||||||||||
3. Discharge of the Board of Director | YES | |||||||||||||||||||||||
4. Election to the Board of Directors | YES | |||||||||||||||||||||||
5. Election of the statutory auditors | YES | |||||||||||||||||||||||
FORN |
CH0003541510 | Forbo | 5,498 | 4/29/2011 | I | YES | FOR | 4/11/2011 | 4/15/2011 | N/A | ||||||||||||||
1. Reporting on the financial year 2010 | YES | |||||||||||||||||||||||
1.1 Annual Report, Annual Statements and Consolidated Financial Statements for the Financial Year 2010 and receipt of the Reports of the Statutory Auditor | YES | |||||||||||||||||||||||
1.2 Consultative vote on the remuneration report of 2010 | YES | |||||||||||||||||||||||
2. Discharge of the members of the Board of Directors and the members of the Executive Board | YES | |||||||||||||||||||||||
3. Appropriation of available earnings, allocation from the general capital contribution reserves to free capital contribution reserves and withholding tax-free distribution of a dividend from free capital contribution reserves | YES | |||||||||||||||||||||||
4. Capital reductions as a result of the share buyback program and corresponding amendment to the articles of association | YES | |||||||||||||||||||||||
5. Approval of a new share buyback program | YES | |||||||||||||||||||||||
6. Elections to the Board of Directors | YES | |||||||||||||||||||||||
7. Election of the statutory auditor | YES |
WFT |
CH0038838394 | Weatherford Internation Ltd |
509,700 | 5/25/2011 | I | YES | FOR | |||||||||||||||||
1. Approve the annual report, the consolidated financial statements for the fiscal year 2010 and the statutory financial statements of Weatherford International Ltd for fiscal year 2010 | YES | 5/3/2011 | 5/3/2011 | N/A | ||||||||||||||||||||
2. Discharge of the Board of Directors and executive officers from liability for the year ended December 31, 2010 | YES | |||||||||||||||||||||||
3. Elect Directors | YES | |||||||||||||||||||||||
4. Appoint Ernst Young LLP as our independent registered public accounting firm and re-elect Ernst Young Ltd, Zurich as Weatherford Switzerlands statutory auditor | YES | |||||||||||||||||||||||
5. Adopt an advisory resolution approving the compensation of the named executive officers | YES | |||||||||||||||||||||||
6. Advisory vote on the frequenct of future advisory votes on named executive officer compensation | YES | |||||||||||||||||||||||
7. Any other matter that may properly come before the meeting | YES | |||||||||||||||||||||||
BUCN |
CH0002432174 | Bucher Industries AG | 3,000 | 4/14/2011 | I | YES | FOR | 3/23/2011 | 4/1/2011 | N/A | ||||||||||||||
1.1 Approval of the annual report, the consolidated financial statement and annual accounts 2010 | YES | |||||||||||||||||||||||
1.2 Remuneration report 2010 | YES | |||||||||||||||||||||||
2. Discharge of the Board of Directors and Executive Committee | YES | |||||||||||||||||||||||
3. Appropriation of profit | YES | |||||||||||||||||||||||
4. Re-election of a member of the Board | YES | |||||||||||||||||||||||
5. Election of a member of the Board | YES | |||||||||||||||||||||||
6. Appointment of auditors | YES |
AFGN |
CH0110240600 | AFG Arbonia-Forster Holding AG | 1,401 | 4/29/2011 | I | YES | FOR | 4/11/2011 | 4/12/2011 | N/A | ||||||||||||||
1. Approval of the annual report, annual accounts and the financial statements 2010 | YES | |||||||||||||||||||||||
2. Discharge of the Board of Directors | YES | |||||||||||||||||||||||
3. Use of general reserves, reserves from capital contributions and of profits | YES | |||||||||||||||||||||||
3.1 Allocation from the general statutory reserves to the reserves from capital contribution | YES | |||||||||||||||||||||||
3.2 Withholding tax-free dividends from the reserves from capital contributions | YES | |||||||||||||||||||||||
3.3 Years in 2010 profit brought forward from the previous year net profit carried forward | YES | |||||||||||||||||||||||
4. Appointment of auditors | YES | |||||||||||||||||||||||
5. Miscellaneous | YES | |||||||||||||||||||||||
INDUSTRIAL GOODS & SERVICES |
||||||||||||||||||||||||
SGSN |
CH0002497458 | SGS SA | 3,200 | 3/15/2011 | I | YES | FOR | 3/1/2011 | 3/1/2011 | N/A | ||||||||||||||
1. Approval of the 2010 Annual Report and accounts of SGS SA and of the consolidated accounts of the SGS Group | YES | |||||||||||||||||||||||
2. Approval of the Group 2010 report on renumeration | YES | |||||||||||||||||||||||
3. Discharge of the members of the Board of Directors and of the management | YES | |||||||||||||||||||||||
4. Decision on the appropriation of profits from the Balance Sheet of SGS SA | YES | |||||||||||||||||||||||
5. Election to the Board of Directors | YES | |||||||||||||||||||||||
6. Election of Auditors |
YES | |||||||||||||||||||||||
7. Amendment of the Article 5ter of the Articles of Incorporation (authorized share capital) | YES |
SUN |
CH0038388911 | Sulzer Ltd | 66,500 | 4/14/2011 | I | YES | FOR | 3/23/2011 | 4/1/2011 | N/A | ||||||||||||||
1. Annual report 2010 | YES | |||||||||||||||||||||||
1.1 Annual report, annual accounts and consolidated financial statements 2010; reports of the companys auditors | YES | |||||||||||||||||||||||
1.2 Advisory vote on the compensation report 2010 | YES | |||||||||||||||||||||||
2. Appropriation of net profits | YES | |||||||||||||||||||||||
3. Diescharge | YES | |||||||||||||||||||||||
4. Elections of the Board of Directors | YES | |||||||||||||||||||||||
4.1 Re-elections to the Board of Directors | YES | |||||||||||||||||||||||
4.2 Election of one new member to the Board of Directors | YES | |||||||||||||||||||||||
5. Re-election of auditors | YES | |||||||||||||||||||||||
6. Miscellaneous | YES | |||||||||||||||||||||||
ABBN |
CH0012221716 | ABB Ltd | 718,500 | 4/29/2011 | I | YES | FOR | 4/7/2011 | 4/12/2011 | N/A | ||||||||||||||
1. Reporting for fiscal 2010 | YES | |||||||||||||||||||||||
2.1 Approval of the annual report, the consolidated financial statements, and the annual financial statements for 2010 | YES | |||||||||||||||||||||||
2.2 Consultative vote on the 2010 remuneration report | YES | |||||||||||||||||||||||
3. Discharge of the board of directors and the persons entrusted with management | YES | |||||||||||||||||||||||
4. Appropriation of available earnings and conversion of capital contribution reserve | YES | |||||||||||||||||||||||
5. Creation of additional contigent share capital in connection with employee participation | YES | |||||||||||||||||||||||
6. Renewal of authorized share capital | YES | |||||||||||||||||||||||
7. Re-elections and election to Board of Directors | YES | |||||||||||||||||||||||
7.1 Re-elections to the Board of Directors | YES | |||||||||||||||||||||||
7.2 Election to the Board of Directors | YES | |||||||||||||||||||||||
8. Re-election of the auditors | YES |
BCHN |
CH0025536027 | Burckhardt Compression Holding | 34,300 | 7/2/2011 | I | YES | FOR | 6/22/2011 | 6/22/2011 | N/A | ||||||||||||||
1. Welcoming and statements to the general meeting | YES | |||||||||||||||||||||||
2.1 Approval of the annual report 2010 | YES | |||||||||||||||||||||||
2.2 Consultative vote on the approval of the compensation reports | YES | |||||||||||||||||||||||
3. Appropriation of the balance sheet Profit | YES | |||||||||||||||||||||||
4. Release of the Board of Directors and of the management | YES | |||||||||||||||||||||||
5. Renewal of the approved capital | YES | |||||||||||||||||||||||
6. Elections of the auditors: PricewaterhouseCoopers | YES | |||||||||||||||||||||||
7. Ad-hoc | ABSTAIN | |||||||||||||||||||||||
IFCN |
CH0011029946 | Inficon Holding | 6,440 | 4/28/2011 | I | YES | FOR | 4/15/2011 | 4/15/2011 | N/A | ||||||||||||||
1. Approval of Annual Report, Annual Accounts of Inficon Holding AG and the Consolidated Statements of Inficon Group for the financial year 2010 | YES | |||||||||||||||||||||||
2. Discharge of the Members of the Board of Directors | YES | |||||||||||||||||||||||
3. Appropriation of retained earnings of Inficon Holding AG / Distributions from the reserves from capital contributions | YES | |||||||||||||||||||||||
3.1 The Board of Directors proposes, first, the amount of CHF 22,000,000 from retained earnings of the general legal reserve and assign the remaining profit of CHF 9,802,125 to new account | YES | |||||||||||||||||||||||
3.2 The Board of Directors proposes, secondly, the amount of CHF 242,431,133 of the general legal reserves in reserves from capital contributions | YES | |||||||||||||||||||||||
3.3 The Board of Directors proposes a dividend out of reserves from capital contributions. This, he contends, thirdly a chargeback for an amount of CHF 21.7 million in retained earnings. Fourth, the Board proposes the release of these CHF 21.7 million and of CHF 10.00 per share to make. As an ex-date is the 2nd May, 2011. As record-date of the 4th May, 2011, and the dividend payment date as the 5th May 2011 proposed | YES | |||||||||||||||||||||||
4. Statutes changed due to the introduction of the securities act | YES | |||||||||||||||||||||||
5. Election and Re-Elections to the Board of Directors for a period of one year | YES | |||||||||||||||||||||||
6. Re-election of Auditors | YES |
KNIN |
CH0025238863 | Kuehne & Nagel International AG | 54,744 | 5/10/2011 | I | YES | FOR | 5/3/2011 | 5/3/2011 | N/A | ||||||||||||||
1. Approval of the annual report, annual financial statement and the consolidated financial statement for business year 2010 | YES | |||||||||||||||||||||||
2. Resolution regarding the distribution of the balance sheet profit | YES | |||||||||||||||||||||||
2.1 Proposed resolution for appropriation of earnings and allocation to capital contribution reserves | YES | |||||||||||||||||||||||
2.2 Proposed resolution regarding the distribution of capital contribution reserves | YES | |||||||||||||||||||||||
3. Resolution on the discharge of the board of directors and the members of the management board | YES | |||||||||||||||||||||||
4. Elections to the administrative board | YES | |||||||||||||||||||||||
5. Appointment of the auditors | YES | |||||||||||||||||||||||
SWTQ |
CH0010754924 | Schweiter Technologies AG |
6,464 | 5/12/2011 | I | YES | FOR | 5/3/2011 | 5/3/2011 | N/A | ||||||||||||||
1. Welcome by the President | YES | |||||||||||||||||||||||
2. Coverage of the 2010 financial year | YES | |||||||||||||||||||||||
3. Approval of the annual report 2010, the financial statements 2010 and the consolidated financial statements 2010 and taking note of the reports of the auditors | YES | |||||||||||||||||||||||
4. Discharge of the Board of Directors | YES | |||||||||||||||||||||||
5. Renewal of the authorized capital | YES | |||||||||||||||||||||||
6. Use of reserves from capital contribution | YES | |||||||||||||||||||||||
7. Elections of Board | YES |
ZEH |
CH0002352935 | Zehnder Group AG | 2,757 | 5/20/2011 | I | YES | FOR | 5/11/2011 | 5/11/2011 | N/A | ||||||||||||||
1. Approval of the 2010 annual report (Parent Company accounts, annual report, consolidated financial statements) | YES | |||||||||||||||||||||||
2. Discharge of the Board of Directors | YES | |||||||||||||||||||||||
3. Appropriation fo the balance sheet proft, reduction of share capital, and repayment of par value, share split, and amendment of the articles of association | YES | |||||||||||||||||||||||
3.1 Appropriation of balance sheet profit | YES | |||||||||||||||||||||||
3.2 Reduction of share capital and repayment of par value | YES | |||||||||||||||||||||||
3.3 Share split | YES | |||||||||||||||||||||||
3.4 Amendment of the Articles of Association | YES | |||||||||||||||||||||||
4. Elections | YES | |||||||||||||||||||||||
4.1 Board of Directors | YES | |||||||||||||||||||||||
4.2 Election of the statutory auditor | YES | |||||||||||||||||||||||
INSURANCE | ||||||||||||||||||||||||
ZURN |
CH0011075394 | Zurich Financial Services | 67,800 | 3/31/2011 | I | YES | FOR | 3/21/2011 | 3/21/2011 | |||||||||||||||
1. Report on the Financialyear 2010 | YES | |||||||||||||||||||||||
1.1 Approval of the annual report, the annual financial statements and the consolidated financial statements for 2010, and the aknowledgement of the auditors reports. | YES | |||||||||||||||||||||||
1.2 Adisory vote on the renumeration system according to the renumeration report. | YES | |||||||||||||||||||||||
2. Appropriation of available earnings for 2010, allocatios and appropriation of reserves from capital contributions. | YES | |||||||||||||||||||||||
2.1 Appropriation of annual earnings for 2010 allocation to reserves from capital contributions | YES | |||||||||||||||||||||||
2.2 Allocation to and appropriation of resereves from capital contributions | YES | |||||||||||||||||||||||
3. Dsicharge of members of the board of directors and of the group executive committee | YES | |||||||||||||||||||||||
4. Changes to the Articles of Incorporation | YES | |||||||||||||||||||||||
4.1 Deletion of article 25 para. 2 | YES | |||||||||||||||||||||||
4.2 Deletion of article 27 BIS | YES | |||||||||||||||||||||||
5. Re-election of Board of Directors | YES | |||||||||||||||||||||||
5.2 Re-election of auditors | YES |
SLHN |
CH0014852781 | Swiss Life Holding AG | 40,210 | 5/5/2011 | I | YES | FOR | 4/14/2011 | 4/15/2011 | |||||||||||||||
1. Annual report 2010 including the remuneration report, the auditors reports | YES | |||||||||||||||||||||||
1.1 Business report 2010 (annual report, consolidated financial statements and financial statements) | YES | |||||||||||||||||||||||
1.2 Remuneration report | YES | |||||||||||||||||||||||
2. Appropriation of retained earnings, capital reduction of par value repayment | YES | |||||||||||||||||||||||
2.1 Use of profits | YES | |||||||||||||||||||||||
2.2 Capital repayment by par value reduction, amendment | YES | |||||||||||||||||||||||
3. Discharge of the members of the board | YES | |||||||||||||||||||||||
4. Reclassification of equity (capital contribution of the reaction principle | YES | |||||||||||||||||||||||
5. Elections to the board | YES | |||||||||||||||||||||||
6. Appointment of auditors | YES | |||||||||||||||||||||||
PERSONAL AND HOUSEHOLD GOODS |
||||||||||||||||||||||||
UHR |
CH0012255151 | Swatch Group | 30,800 | 5/31/2011 | I | YES | FOR | 5/9/2011 | 5/9/2011 | N/A | ||||||||||||||
1. 2010 Annual Report | YES | |||||||||||||||||||||||
2. Discharge of the Board of Directors | YES | |||||||||||||||||||||||
3. Resolution for the appropriation of the net profit | YES | |||||||||||||||||||||||
5. Nomination of the Statutory Auditors: PricewaterhouseCoppers Ltd | YES | |||||||||||||||||||||||
6. Ad-Hoc | ABSTAIN | |||||||||||||||||||||||
CFR |
CH0045039655 | COMPAGNIE FINANCIER RICHMONT SA | 310,000 | 9/8/2010 | I | YES | FOR | 7/6/2011 | 7/6/2011 | N/A | ||||||||||||||
1.1 Approval the consolidated financial statements of the Group, the financial statmenets of the Company and the directors report for the business year ended 31 March 2011 | YES | |||||||||||||||||||||||
1.2 Proposal, by the Board of Directors, that the compensation report, as per pages 46 to 51 of the Annual Report and Accounts 2011, be ratified | YES | |||||||||||||||||||||||
2. Appropriation of profits | YES | |||||||||||||||||||||||
3. Discharge of the Board of Directors | YES | |||||||||||||||||||||||
4. Election to the Board of Directors | YES | |||||||||||||||||||||||
5. Re-election of Pricewaterhouse Coopers as auditors | YES |
|
PHARMACEUTICALS | |||||||||||||||||||||||
NOVN |
CH0012005267 | Novartis | 1,021,500 | 2/22/2011 | I | YES | FOR | 2/15/2011 | 2/15/2011 | N/A | ||||||||||||||
1. Approval of the Annual Report, the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the Business Year 2009 | YES | |||||||||||||||||||||||
2. Discharge from Liablility of the Members of the Board of Directors and the Executive Committee | YES | |||||||||||||||||||||||
3. Appropriation of Available Earnings of Novartis AG as per Balance Sheet and Declaration of Dividend | YES | |||||||||||||||||||||||
4. Consultative vote on the compensation system | YES | |||||||||||||||||||||||
5. Election to the Board of Directors | YES | |||||||||||||||||||||||
5.1 Retirements | YES | |||||||||||||||||||||||
5.2 Re-elections | YES | |||||||||||||||||||||||
5.3 Election of new member |
||||||||||||||||||||||||
6. Appointment of the Auditor |
||||||||||||||||||||||||
ROG |
CH0012032048 | Roche Holding Ltd. | 137,800 | 3/1/2011 | I | YES | FOR | 2/23/2011 | 2/23/2011 | N/A | ||||||||||||||
1. Approval of the Annual Report, Anual Financial Statements and Consolidated Statements for 2010 and the Renumeration Report | YES | |||||||||||||||||||||||
2. Ratification of the Board of Directors actions | YES | |||||||||||||||||||||||
3. Vote on the appropriation of Available Earnings | YES | |||||||||||||||||||||||
4. Amendment to the Articles of Incorporation | YES | |||||||||||||||||||||||
5. Election of Directors | YES | |||||||||||||||||||||||
6. Election of Statutory Auditors | YES | |||||||||||||||||||||||
BSLN |
CH0011432447 | Basilea Pharmaceuticals | 48,500 | 4/6/2011 | I | YES | FOR | 3/22/2011 | 3/22/2011 | N/A | ||||||||||||||
1. Annual report, Financial Statements and Consolidated Financial Statements | ||||||||||||||||||||||||
2. Apporpriation of the results | ||||||||||||||||||||||||
3. Release of the members of the Board of Directors and of management | ||||||||||||||||||||||||
4. Election to the board of Directors | ||||||||||||||||||||||||
4.1 Re-elect Mr. Steven D. Skolsky | ||||||||||||||||||||||||
4.2 Re-elect Dr. Anthony Man | ||||||||||||||||||||||||
4.3 Re-elect Mr. Ronald Sacott | ||||||||||||||||||||||||
5. Election of statutory auditors, Price Waterhouse Coopers | ||||||||||||||||||||||||
6. Renewal of the otherwise unchanged authorized share capital |
RETAIL | ||||||||||||||||||||||||
GALN |
CH0015536466 | Galenica AG | 24,950 | 5/5/2011 | I | YES | FOR | 4/15/2011 | 4/15/2011 | N/A | ||||||||||||||
1. Annual Report, Annual Accounts 2010 of the Galencia AG, Financial Statements 2010, the Galenica Group for 2010; Reports of the Auditors | YES | |||||||||||||||||||||||
2. Remuneration report | YES | |||||||||||||||||||||||
3. Discharge of the Board of Directors and the General | YES | |||||||||||||||||||||||
4. Resolution on the appropriation of Net Profit in 2010 | YES | |||||||||||||||||||||||
5. Elections |
YES | |||||||||||||||||||||||
5.1 Re-election to the Board of Directors | YES | |||||||||||||||||||||||
5.2 Auditors | YES | |||||||||||||||||||||||
VALN |
CH0002088976 | Valora Holding AG | 9,000 | 4/15/2011 | I | YES | FOR | 4/5/2011 | 4/5/2011 | N/A | ||||||||||||||
1. Approval of the 2010 annual report and the financial statements of Valora Holding AG, of the 2010 consolidated financial statements of the Valora Group, and of the remuneration report | YES | |||||||||||||||||||||||
1.1 Approval of the annual report, the financial statements of Valora Holding AG and the consolidated financial statements of the Valora Group | YES | |||||||||||||||||||||||
1.2 Remuneration report (for approval by consultative vote) | YES | |||||||||||||||||||||||
2. Resolution on the appropriation of the profit of Valora Holding AG availavle for distribution | YES | |||||||||||||||||||||||
3. Discharge of the members of the Board of Directors and of Group Executive Management from their responsibility for conduct of business | YES | |||||||||||||||||||||||
4. Repurchase of company shares | YES | |||||||||||||||||||||||
5. Authorized share capital increase | YES | |||||||||||||||||||||||
6. Elections to the Board of Directors | YES | |||||||||||||||||||||||
7. Election of the statutory and group auditors | YES |
TECHNOLOGY | ||||||||||||||||||||||||
HUBN |
CH0030380734 | Huber Suhner AG | 94,000 | 4/13/2011 | I | YES | FOR | 3/30/2011 | 4/1/2011 | N/A | ||||||||||||||
1. Annual report, annual accounts and consolidated accounts 2010 as well as report of the auditors | YES | |||||||||||||||||||||||
2. Allocation of profits | YES | |||||||||||||||||||||||
3. Discharge to the members of the Board of Directors and of the Executive Group Management | YES | |||||||||||||||||||||||
4. Elections | YES | |||||||||||||||||||||||
4.1 Re-election of Rolf Seiffert | YES | |||||||||||||||||||||||
5. Election of the auditors | YES | |||||||||||||||||||||||
MBTN |
CH0108503795 | Meyer Burger Technology AG | 121,000 | 4/21/2011 | I | YES | FOR | 3/30/2011 | 4/1/2011 | N/A | ||||||||||||||
1. Approval of the annual report 2010, the financial statements 2010, and the consolidated financial statements 2010. Presentation of the reports of the auditors | YES | |||||||||||||||||||||||
2. Appropriation of profit | YES | |||||||||||||||||||||||
3. Discharge of the members of the Board and Chief Executive Officer | YES | |||||||||||||||||||||||
4. Election to the Board | YES | |||||||||||||||||||||||
5. Appointment of auditors | YES | |||||||||||||||||||||||
TEMN |
CH0012453913 | Temenos Group AG | 149,500 | 6/17/2011 | I | YES | FOR | 5/27/2011 | 5/27/2011 | N/A | ||||||||||||||
1. 2010 annual report, 2010 annual financial statements (including the remuneration report), 2010 consolidated financial statements and the auditors report | YES | |||||||||||||||||||||||
2. Approve allocation of Income and Omission of Dividends | YES | |||||||||||||||||||||||
3. Approve transfer of CHF 21.1 million from retained earnings to general reserve from capital contributions | YES | |||||||||||||||||||||||
4. Discharge of members of the Board of Directors and senior management | YES | |||||||||||||||||||||||
5. Approve creation of CHF 71.5 million pool of capital without preemptive rights | YES | |||||||||||||||||||||||
6. Approve addition of CHF 8.9 million to existing pool of capital without preemptive rights for granting stock options to employees | YES | |||||||||||||||||||||||
7. Elections and re-elections to the Board of Directors | YES | |||||||||||||||||||||||
8. Ratify PricewaterhouseCoopers SA as the auditors | YES |
Energy | ||||||||||||||||||||||||
RIGN |
CH0048265513 | Transocean Ltd. | 209,000 | 5/13/2011 | I | YES | FOR | 4/15/2011 | 4/15/2011 | N/A | ||||||||||||||
1. Approval of the 2010 annual report including the consolidated financial staements of Transocean Ltd. For the fiscal year 2010 and the statutory financial statements of Transocean Ltd, for the fiscal year 2010 | YES | |||||||||||||||||||||||
2. Discharge of the members of the Board of Directors and the Executive Management from liability for activities during fiscal year 2010 | YES | |||||||||||||||||||||||
3. Appropriation of the available earnings for fiscal year 2010 | YES | |||||||||||||||||||||||
4. Proposed reallocation of reserve to free reserve to legal reserve , reserve from capital contributions | YES | |||||||||||||||||||||||
5. Rescission of the distribution to shareholders in the form of a par value reduction as approved at the 2010 annual general meeting | YES | |||||||||||||||||||||||
6. Release and allocation of legal reserve, reserve from capital contributions, to dividend reserve from capital contributions, dividend distribution out of the dividend reserve from capital contributions | YES | |||||||||||||||||||||||
7. New authorized share capital | YES | |||||||||||||||||||||||
8. Reduction of the maximum number of members of the Board of Directors to 9 | YES | |||||||||||||||||||||||
9. Elections to the Board of Directors | YES | |||||||||||||||||||||||
10. Appointment of Ernst and Young LLP as auditors for the fiscal year 2011 | YES | |||||||||||||||||||||||
11. Advisory vote on executive compensation | YES | |||||||||||||||||||||||
12. Advisory vote on frequency of executive compensation vote | YES |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) | The Swiss Helvetia Fund, Inc. |
By (Signature and Title)* | /s/ Rudolf Millisits |
|||
Rudolf Millisits, Chief Executive Officer |
Date August 31, 2011
* Print the name and title of each signing officer under his or her signature.