As filed with the Securities and Exchange Commission on August 20, 2014.
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, 2013 - June 30, 2014
| Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Strategic Income Fund, Inc.
In all markets, for all statuses, for
Key-
Activision Blizzard, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| ATVI | CUSIP 00507V109 | 06/05/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Robert J. Corti | Mgmt | For | For | For | |||||
| 2 | Elect Brian G. Kelly | Mgmt | For | For | For | |||||
| 3 | Elect Robert A. Kotick | Mgmt | For | For | For | |||||
| 4 | Elect Barry Meyer | Mgmt | For | For | For | |||||
| 5 | Elect Robert J. Morgado | Mgmt | For | For | For | |||||
| 6 | Elect Peter Nolan | Mgmt | For | For | For | |||||
| 7 | Elect Richard Sarnoff | Mgmt | For | For | For | |||||
| 8 | Elect Elaine P. Wynn | Mgmt | For | For | For | |||||
| 9 | 2014 Incentive Plan | Mgmt | For | For | For | |||||
| 10 | Amendment of Provisions Related to Company’s Relationship with Vivendi, S.A. | Mgmt | For | For | For | |||||
| 11 | Reduction of Supermajority Vote Requirements for Amending Certain Articles | Mgmt | For | For | For | |||||
| 12 | Amendment of Provisions Related to the Abilities of the Board and Shareholders to Amend Bylaws | Mgmt | For | Against | Against | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Ratification of Auditor | Mgmt | For | For | For |
Page 1
Allstate Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| ALL | CUSIP 020002101 | 05/20/2014 | 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 Siddarth N. Mehta | Mgmt | For | For | For | |||||
| 7 | Elect Andrea Redmond | Mgmt | For | For | For | |||||
| 8 | Elect John W. Rowe | Mgmt | For | For | For | |||||
| 9 | Elect Judith A. Sprieser | Mgmt | For | For | For | |||||
| 10 | Elect Mary Alice Taylor | Mgmt | For | For | For | |||||
| 11 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Approval of Material Terms of the Annual Incentive Plan | 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 Lobbying Report | ShrHoldr | Against | For | Against | |||||
| 17 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
American Capital Agency Corp.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AGNC | CUSIP 02503X105 | 04/22/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Robert M Couch | Mgmt | For | For | For | |||||
| 2 | Elect Morris A. Davis | Mgmt | For | For | For | |||||
| 3 | Elect Randy E. Dobbs | Mgmt | For | For | For | |||||
| 4 | Elect Larry K. Harvey | Mgmt | For | For | For | |||||
| 5 | Elect Prue B. Larocca | Mgmt | For | For | For | |||||
| 6 | Elect Alvin N. Puryear | Mgmt | For | For | For | |||||
| 7 | Elect Malon Wilkus | Mgmt | For | For | For | |||||
| 8 | Elect John R. Erickson | Mgmt | For | Abstain | Against | |||||
| 9 | Elect Samuel A Flax | Mgmt | For | For | For | |||||
| 10 | Ratification of Auditor | Mgmt | For | For | For |
Page 2
American Electric Power Company, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AEP | CUSIP 025537101 | 04/22/2014 | 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 J. Barnie Beasley, Jr. | Mgmt | For | For | For | |||||
| 4 | Elect Ralph D. Crosby, Jr. | Mgmt | For | For | For | |||||
| 5 | Elect Linda A. Goodspeed | Mgmt | For | For | For | |||||
| 6 | Elect Thomas E. Hoaglin | Mgmt | For | For | For | |||||
| 7 | Elect Sandra Beach Lin | 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 Sara M. Tucker | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
American Express Company
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AXP | CUSIP 025816109 | 05/12/2014 | 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 Ursula M. Burns | Mgmt | For | For | For | |||||
| 3 | Elect Kenneth I. Chenault | Mgmt | For | For | For | |||||
| 4 | Elect Peter Chernin | Mgmt | For | For | For | |||||
| 5 | Elect Anne Lauvergeon | Mgmt | For | For | For | |||||
| 6 | Elect Theodore J. Leonsis | Mgmt | For | For | For | |||||
| 7 | Elect Richard C. Levin | Mgmt | For | For | For | |||||
| 8 | Elect Richard A. McGinn | Mgmt | For | For | For | |||||
| 9 | Elect Samuel J. Palmisano | Mgmt | For | For | For |
Page 3
| 10 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||||
| 11 | Elect Daniel L. Vasella | Mgmt | For | For | For | |||||
| 12 | Elect Robert D. Walter | Mgmt | For | For | For | |||||
| 13 | Elect Ronald A. Williams | Mgmt | For | For | For | |||||
| 14 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 16 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | Against | For | |||||
| 17 | Shareholder Proposal Regarding Privacy and Data Security | ShrHoldr | Against | Against | For | |||||
| 18 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
| 19 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Ameriprise Financial, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AMP | CUSIP 03076C106 | 04/30/2014 | 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 Dianne Neal Blixt | Mgmt | For | For | For | |||||
| 3 | Elect Amy DiGeso | Mgmt | For | For | For | |||||
| 4 | Elect Lon R. Greenberg | Mgmt | For | For | For | |||||
| 5 | Elect W. Walker Lewis | Mgmt | For | For | For | |||||
| 6 | Elect Siri S. Marshall | Mgmt | For | For | For | |||||
| 7 | Elect Jeffrey Noddle | Mgmt | For | For | For | |||||
| 8 | Elect H. Jay Sarles | Mgmt | For | For | For | |||||
| 9 | Elect Robert F. Sharpe, Jr. | Mgmt | For | For | For | |||||
| 10 | Elect William H. Turner | Mgmt | For | For | For | |||||
| 11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 12 | Elimination of Supermajority Requirements | Mgmt | For | For | For | |||||
| 13 | Amendment to the 2005 Incentive Compensation Plan | Mgmt | For | For | For |
Page 4
| 14 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 15 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
AT&T Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| T | CUSIP 00206R102 | 04/25/2014 | 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 Reuben V. Anderson | Mgmt | For | For | For | |||||
| 3 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
| 4 | Elect Scott T. Ford | Mgmt | For | For | For | |||||
| 5 | Elect James P. Kelly | Mgmt | For | For | For | |||||
| 6 | Elect Jon C. Madonna | Mgmt | For | For | For | |||||
| 7 | Elect Michael B. McCallister | Mgmt | For | For | For | |||||
| 8 | Elect John B. McCoy | Mgmt | For | For | For | |||||
| 9 | Elect Beth E. Mooney | Mgmt | For | For | For | |||||
| 10 | Elect Joyce M. Roche | Mgmt | For | For | For | |||||
| 11 | Elect Matthew K. Rose | Mgmt | For | For | For | |||||
| 12 | Elect Cynthia B. Taylor | 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 | Approval of AT&T Severance Policy | Mgmt | For | For | For | |||||
| 17 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against | |||||
| 18 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
| 19 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 5
Avery Dennison Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| AVY | CUSIP 053611109 | 04/24/2014 | 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 Peter K. Barker | Mgmt | For | For | For | |||||
| 4 | Elect Rolf Borjesson | Mgmt | For | For | For | |||||
| 5 | Elect Ken C. Hicks | Mgmt | For | For | For | |||||
| 6 | Elect Charles H. Noski | Mgmt | For | For | For | |||||
| 7 | Elect David E.I. Pyott | Mgmt | For | For | For | |||||
| 8 | Elect Dean A. Scarborough | Mgmt | For | For | For | |||||
| 9 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
| 10 | Elect Julia A. Stewart | Mgmt | For | For | For | |||||
| 11 | Elect Martha Sullivan | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Senior Executive Annual Incentive Plan | Mgmt | For | For | For | |||||
| 14 | Ratification of Auditor | Mgmt | For | For | For |
Baker Hughes Incorporated
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| BHI | CUSIP 057224107 | 04/24/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Larry D. Brady | Mgmt | For | For | For | |||||
| 2 | Elect Clarence P. Cazalot, Jr. | Mgmt | For | For | For | |||||
| 3 | Elect Martin S. Craighead | Mgmt | For | For | For | |||||
| 4 | Elect Lynn L. Elsenhans | Mgmt | For | For | For | |||||
| 5 | Elect Anthony G. Fernandes | Mgmt | For | For | For | |||||
| 6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
| 7 | Elect Pierre J. Jungels | Mgmt | For | For | For | |||||
| 8 | Elect James A. Lash | Mgmt | For | For | For | |||||
| 9 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
| 10 | Elect James W. Stewart | Mgmt | For | For | For |
Page 6
| 11 | Elect Charles L. Watson | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Amendment to the 2002 Director and Officer long-Term Incentive Plan | Mgmt | For | For | For | |||||
| 15 | Amendment to the 2002 Employee Long-Term Incentive Plan | Mgmt | For | For | For |
CA, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CA | CUSIP 12673P105 | 07/31/2013 | 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 J. Bromark | Mgmt | For | For | For | |||||
| 3 | Elect Gary J. Fernandes | Mgmt | For | For | For | |||||
| 4 | Elect Michael Gregoire | Mgmt | For | For | For | |||||
| 5 | Elect Rohit Kapoor | Mgmt | For | For | For | |||||
| 6 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
| 7 | Elect Christopher B. Lofgren | Mgmt | For | For | For | |||||
| 8 | Elect Richard Sulpizio | Mgmt | For | For | For | |||||
| 9 | Elect Laura S. Unger | Mgmt | For | For | For | |||||
| 10 | Elect Arthur F. 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 | Adoption of Stockholder Protection Rights Agreement | Mgmt | For | Against | Against |
Page 7
Campbell Soup Company
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CPB | CUSIP 134429109 | 11/20/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Edmund M. Carpenter | Mgmt | For | For | For | |||||
| 1.2 | Elect Paul R. Charron | Mgmt | For | For | For | |||||
| 1.3 | Elect Bennett Dorrance | Mgmt | For | For | For | |||||
| 1.4 | Elect Lawrence C. Karlson | Mgmt | For | For | For | |||||
| 1.5 | Elect Randall W. Larrimore | Mgmt | For | For | For | |||||
| 1.6 | Elect Mary Alice D. Malone | Mgmt | For | For | For | |||||
| 1.7 | Elect Sara Mathew | Mgmt | For | For | For | |||||
| 1.8 | Elect Denise M. Morrison | Mgmt | For | For | For | |||||
| 1.9 | Elect Charles R. Perrin | Mgmt | For | For | For | |||||
| 1.10 | Elect A. Barry Rand | Mgmt | For | For | For | |||||
| 1.11 | Elect Nick Shreiber | Mgmt | For | For | For | |||||
| 1.12 | Elect Tracey Travis | Mgmt | For | For | For | |||||
| 1.13 | Elect Archbold D. van Beuren | Mgmt | For | For | For | |||||
| 1.14 | Elect Les C. Vinney | Mgmt | For | For | For | |||||
| 1.15 | Elect Charlotte C. Weber | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Chevron Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CVX | CUSIP 166764100 | 05/28/2014 | 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 Jon M. Huntsman, Jr. | Mgmt | For | For | For | |||||
| 6 | Elect George L. Kirkland | Mgmt | For | For | For | |||||
| 7 | Elect Charles W. Moorman, IV | Mgmt | For | For | For | |||||
| 8 | Elect Kevin W. Sharer | Mgmt | For | For | For | |||||
| 9 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
| 10 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||||
| 11 | Elect Carl Ware | Mgmt | For | For | For | |||||
| 12 | Elect John S. Watson | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 8
| 15 | Shareholder Proposal Regarding Charitable Contributions | ShrHoldr | Against | Against | For | |||||
| 16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
| 17 | Shareholder Proposal Regarding Hydraulic Fracturing | ShrHoldr | Against | For | Against | |||||
| 18 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
| 19 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
| 20 | Shareholder Proposal Regarding Environmental Expertise on Board | ShrHoldr | Against | Against | For | |||||
| 21 | Shareholder Proposal Regarding Country Selection Guidelines | ShrHoldr | Against | For | Against |
Cisco Systems, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CSCO | CUSIP 17275R102 | 11/19/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Carol A. Bartz | Mgmt | For | For | For | |||||
| 2 | Elect Marc Benioff | Mgmt | For | For | For | |||||
| 3 | Elect Gregory Q. Brown | Mgmt | For | For | For | |||||
| 4 | Elect M. Michele Burns | Mgmt | For | For | For | |||||
| 5 | Elect Michael D. Capellas | Mgmt | For | For | For | |||||
| 6 | Elect John T. Chambers | Mgmt | For | For | For | |||||
| 7 | Elect Brian L. Halla | Mgmt | For | For | For | |||||
| 8 | Elect John L. Hennessy | Mgmt | For | For | For | |||||
| 9 | Elect Kristina M. Johnson | Mgmt | For | For | For | |||||
| 10 | Elect Roderick C. McGeary | Mgmt | For | For | For | |||||
| 11 | Elect Arun Sarin | Mgmt | For | For | For | |||||
| 12 | Elect Steven M. West | Mgmt | For | For | For |
Page 9
| 13 | Amendment to the 2005 Stock Incentive Plan | Mgmt | For | For | For | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 15 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 16 | Shareholder Proposal Regarding Proxy Advice Contest | ShrHoldr | Against | Against | For |
Citigroup Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| C | CUSIP 172967424 | 04/22/2014 | 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 Duncan P. Hennes | Mgmt | For | For | For | |||||
| 3 | Elect Franz B. Humer | Mgmt | For | For | For | |||||
| 4 | Elect Eugene M. McQuade | Mgmt | For | For | For | |||||
| 5 | Elect Michael E. O’Neill | Mgmt | For | For | For | |||||
| 6 | Elect Gary M. Reiner | Mgmt | For | For | For | |||||
| 7 | Elect Judith Rodin | Mgmt | For | For | For | |||||
| 8 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
| 9 | Elect Anthony M. Santomero | Mgmt | For | For | For | |||||
| 10 | Elect Joan E. Spero | Mgmt | For | For | For | |||||
| 11 | Elect Diana L. Taylor | Mgmt | For | For | For | |||||
| 12 | Elect William S. Thompson, Jr. | Mgmt | For | For | For | |||||
| 13 | Elect James S. Turley | Mgmt | For | For | For | |||||
| 14 | Elect Ernesto Zedillo Ponce de Leon | Mgmt | For | For | For | |||||
| 15 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 17 | Approval of the 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
| 18 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
| 19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 10
| 20 | Shareholder Proposal Regarding Director Indemnification | ShrHoldr | Against | Against | For | |||||
| 21 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Comcast Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| CMCSA | CUSIP 20030N200 | 05/21/2014 | 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 Edward D. Breen | Mgmt | For | For | For | |||||
| 1.4 | Elect Joseph J. Collins | Mgmt | For | For | For | |||||
| 1.5 | Elect J. Michael Cook | Mgmt | For | For | For | |||||
| 1.6 | Elect Gerald L. Hassell | Mgmt | For | For | For | |||||
| 1.7 | Elect Jeffrey A. Honickman | Mgmt | For | For | For | |||||
| 1.8 | Elect Eduardo G. Mestre | Mgmt | For | For | For | |||||
| 1.9 | Elect Brian L. Roberts | Mgmt | For | For | For | |||||
| 1.10 | Elect Ralph J. Roberts | Mgmt | For | For | For | |||||
| 1.11 | Elect Johnathan A. Rodgers | Mgmt | For | For | For | |||||
| 1.12 | Elect Judith Rodin | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 4 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
| 5 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | For | Against |
Dell Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| DELL | CUSIP 24702R101 | 10/17/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Donald J. Carty | Mgmt | For | For | For |
Page 11
| 2 | Elect Janet F. Clark | Mgmt | For | For | For | |||||
| 3 | Elect Laura Conigliaro | Mgmt | For | For | For | |||||
| 4 | Elect Michael S. Dell | Mgmt | For | For | For | |||||
| 5 | Elect Kenneth M. Duberstein | Mgmt | For | For | For | |||||
| 6 | Elect Gerard Kleisterlee | Mgmt | For | For | For | |||||
| 7 | Elect Klaus S. Luft | Mgmt | For | For | For | |||||
| 8 | Elect Alex J. Mandl | Mgmt | For | For | For | |||||
| 9 | Elect Shantanu Narayen | Mgmt | For | For | For | |||||
| 10 | Elect H. Ross Perot, Jr. | Mgmt | For | For | For | |||||
| 11 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Devon Energy Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| DVN | CUSIP 25179M103 | 06/04/2014 | Take No Action | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Barbara M. Baumann | Mgmt | For | TNA | N/A | |||||
| 1.2 | Elect John E. Bethancourt | Mgmt | For | TNA | N/A | |||||
| 1.3 | Elect Robert H. Henry | Mgmt | For | TNA | N/A | |||||
| 1.4 | Elect John A. Hill | Mgmt | For | TNA | N/A | |||||
| 1.5 | Elect Michael M. Kanovsky | Mgmt | For | TNA | N/A | |||||
| 1.6 | Elect Robert A. Mosbacher, Jr. | Mgmt | For | TNA | N/A | |||||
| 1.7 | Elect J. Larry Nichols | Mgmt | For | TNA | N/A | |||||
| 1.8 | Elect Duane C. Radtke | Mgmt | For | TNA | N/A | |||||
| 1.9 | Elect Mary P. Ricciardello | Mgmt | For | TNA | N/A | |||||
| 1.10 | Elect John Richels | Mgmt | For | TNA | N/A | |||||
| 2 | Advisory Vote on Executive Compensation | Mgmt | For | TNA | N/A | |||||
| 3 | Ratification of Auditor | Mgmt | For | TNA | N/A | |||||
| 4 | Shareholder Proposal Regarding Carbon Asset Risk Report | ShrHoldr | Against | TNA | N/A | |||||
| 5 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | TNA | N/A | |||||
| 6 | Shareholder Proposal Regarding Report on Lobbying Activities Related to Energy Policy and Climate Change | ShrHoldr | Against | TNA | N/A |
Page 12
Dynegy Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| DYN | CUSIP 26817R108 | 05/29/2014 | 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 | Security ID: | Meeting Date | Meeting Status | |||
| DD | CUSIP 263534109 | 04/23/2014 | 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 |
Page 13
| 10 | Elect Ellen J. Kullman | Mgmt | For | For | For | |||||
| 11 | Elect Lee M. Thomas | Mgmt | For | For | For | |||||
| 12 | Elect Patrick J. Ward | 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 Prohibition of Political Spending | ShrHoldr | Against | Against | For | |||||
| 16 | Shareholder Proposal Regarding Herbicide Use | ShrHoldr | Against | Against | For | |||||
| 17 | Shareholder Proposal Regarding Report on Impact of Plant Closures | ShrHoldr | Against | Against | For | |||||
| 18 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Ensco plc
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| ESV | CUSIP G3157S106 | 05/19/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect J. Roderick Clark | Mgmt | For | For | For | |||||
| 2 | Elect Roxanne J. Decyk | Mgmt | For | For | For | |||||
| 3 | Elect Mary Francis | Mgmt | For | For | For | |||||
| 4 | Elect C. Christopher Gaut | Mgmt | For | For | For | |||||
| 5 | Elect Gerald W. Haddock | Mgmt | For | For | For | |||||
| 6 | Elect Francis S Kalman | Mgmt | For | For | For | |||||
| 7 | Elect Daniel W. Rabun | Mgmt | For | For | For | |||||
| 8 | Elect Keith O. Rattie | Mgmt | For | For | For | |||||
| 9 | Elect Paul E. Rowsey III | Mgmt | For | For | For | |||||
| 10 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
| 11 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 12 | Ratification of Statutory Auditor | Mgmt | For | For | For | |||||
| 13 | Authority to Set Auditor’s Fees | Mgmt | For | For | For |
Page 14
| 14 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
| 15 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
| 16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 17 | Accounts and Reports | Mgmt | For | For | For | |||||
| 18 | Approval of Capital Reorganisation | Mgmt | For | For | For | |||||
| 19 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Foot Locker, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| FL | CUSIP 344849104 | 05/21/2014 | Take No Action | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Nicholas DiPaolo | Mgmt | For | TNA | N/A | |||||
| 2 | Elect Matthew M. McKenna | Mgmt | For | TNA | N/A | |||||
| 3 | Elect Steven Oakland | Mgmt | For | TNA | N/A | |||||
| 4 | Elect Cheryl N. Turpin | Mgmt | For | TNA | N/A | |||||
| 5 | Ratification of Auditor | Mgmt | For | TNA | N/A | |||||
| 6 | Repeal of Classified Board | Mgmt | For | TNA | N/A | |||||
| 7 | Amendment to the 2007 Stock Incentive Plan | Mgmt | For | TNA | N/A | |||||
| 8 | Advisory Vote on Executive Compensation | Mgmt | For | TNA | N/A |
Gap Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| GPS | CUSIP 364760108 | 05/20/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Domenico De Sole | Mgmt | For | For | For | |||||
| 2 | Elect Robert J. Fisher | Mgmt | For | For | For | |||||
| 3 | Elect William S. Fisher | Mgmt | For | For | For | |||||
| 4 | Elect Isabella D. Goren | Mgmt | For | For | For | |||||
| 5 | Elect Bob L. Martin | Mgmt | For | For | For | |||||
| 6 | Elect Jorge P. Montoya | Mgmt | For | For | For | |||||
| 7 | Elect Glenn K. Murphy | Mgmt | For | For | For | |||||
| 8 | Elect Mayo A. Shattuck III | Mgmt | For | For | For |
Page 15
| 9 | Elect Katherine Tsang | Mgmt | For | For | For | |||||
| 10 | Elect Padmasree Warrior | 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 | 04/23/2014 | 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 | For | For | |||||
| 2 | Elect John J. Brennan | Mgmt | For | For | For | |||||
| 3 | Elect James I. Cash, Jr. | Mgmt | For | For | For | |||||
| 4 | Elect Francisco D’Souza | Mgmt | For | For | For | |||||
| 5 | Elect Marijn E. Dekkers | Mgmt | For | For | For | |||||
| 6 | Elect Ann M. Fudge | Mgmt | For | For | For | |||||
| 7 | Elect Susan Hockfield | Mgmt | For | For | For | |||||
| 8 | Elect Jeffrey R. Immelt | Mgmt | For | For | For | |||||
| 9 | Elect Andrea Jung | Mgmt | For | For | For | |||||
| 10 | Elect Robert W. Lane | Mgmt | For | For | For | |||||
| 11 | Elect Rochelle B. Lazarus | Mgmt | For | For | For | |||||
| 12 | Elect James J. Mulva | Mgmt | For | For | For | |||||
| 13 | Elect James E. Rohr | Mgmt | For | For | For | |||||
| 14 | Elect Mary L. Schapiro | Mgmt | For | For | For | |||||
| 15 | Elect Robert J. Swieringa | Mgmt | For | For | For | |||||
| 16 | Elect James S. Tisch | Mgmt | For | For | For | |||||
| 17 | Elect Douglas A. Warner III | Mgmt | For | For | For | |||||
| 18 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 19 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 20 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against | |||||
| 21 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
| 22 | Shareholder Proposal Regarding Double Board Nominees | ShrHoldr | Against | Against | For | |||||
| 23 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | Against | For |
Page 16
| 24 | Shareholder Proposal Regarding Cessation of All Stock Options and Bonuses | ShrHoldr | Against | Against | For | |||||
| 25 | Shareholder Proposal Regarding Sale of Company | ShrHoldr | Against | Against | For |
Home Depot, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| HD | CUSIP 437076102 | 05/22/2014 | 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 Helena B. Foulkes | Mgmt | For | For | For | |||||
| 9 | Elect Wayne M. Hewett | Mgmt | For | For | For | |||||
| 10 | Elect Karen Katen | Mgmt | For | For | For | |||||
| 11 | Elect Mark Vadon | 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 Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
| 15 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | Against | For |
Honeywell International Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| HON | CUSIP 438516106 | 04/28/2014 | 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 |
Page 17
| 3 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
| 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 | For | For | |||||
| 7 | Elect Judd Gregg | Mgmt | For | For | For | |||||
| 8 | Elect 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 | Against | For | |||||
| 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 | |||||
| 18 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Intel Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| INTC | CUSIP 458140100 | 05/22/2014 | 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 Brian M. Krzanich | Mgmt | For | For | For | |||||
| 7 | Elect James D. Plummer | Mgmt | For | For | For | |||||
| 8 | Elect David S. Pottruck | Mgmt | For | For | For | |||||
| 9 | Elect Frank D. Yeary | Mgmt | For | For | For | |||||
| 10 | Elect David B. Yoffie | Mgmt | For | For | For | |||||
| 11 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 18
Johnson & Johnson
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| JNJ | CUSIP 478160104 | 04/24/2014 | 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 Susan L. Lindquist | Mgmt | For | For | For | |||||
| 6 |
Elect Mark B. McClellan | 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 |
JPMorgan Chase & Co.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| JPM | CUSIP 46625H100 | 05/20/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Linda B. Bammann | Mgmt | For | For | For | |||||
| 2 | Elect James A. Bell | Mgmt | For | For | For | |||||
| 3 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||||
| 4 | Elect Stephen B. Burke | 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 Laban P. Jackson, Jr. | Mgmt | For | For | For | |||||
| 9 | Elect Michael A. Neal | Mgmt | For | For | For | |||||
| 10 | Elect Lee R. Raymond | Mgmt | For | For | For | |||||
| 11 | Elect William C. Weldon | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For |
Page 19
| 14 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
| 15 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
| 16 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against |
Kimberly-Clark Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| KMB | CUSIP 494368103 | 05/01/2014 | Unvoted | |||
| 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 | N/A | N/A | |||||
| 2 |
Elect John F. Bergstrom | Mgmt | For | N/A | N/A | |||||
| 3 |
Elect Abelardo E. Bru | Mgmt | For | N/A | N/A | |||||
| 4 |
Elect Robert W. Decherd | Mgmt | For | N/A | N/A | |||||
| 5 |
Elect Thomas J. Falk | Mgmt | For | N/A | N/A | |||||
| 6 |
Elect Fabian T. Garcia | Mgmt | For | N/A | N/A | |||||
| 7 |
Elect Mae C. Jemison | Mgmt | For | N/A | N/A | |||||
| 8 |
Elect James M. Jenness | Mgmt | For | N/A | N/A | |||||
| 9 |
Elect Nancy J. Karch | Mgmt | For | N/A | N/A | |||||
| 10 |
Elect Ian C. Read | Mgmt | For | N/A | N/A | |||||
| 11 |
Elect Linda Johnson Rice | Mgmt | For | N/A | N/A | |||||
| 12 |
Elect Marc J. Shapiro | Mgmt | For | N/A | N/A | |||||
| 13 |
Ratification of Auditor | Mgmt | For | N/A | N/A | |||||
| 14 |
Advisory Vote on Executive Compensation | Mgmt | For | N/A | N/A | |||||
| 15 |
Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | N/A | N/A |
Kimco Realty Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| KIM | CUSIP 49446R109 | 05/06/2014 | 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 |
Page 20
| 1.9 | Elect Richard Saltzman | Mgmt | For | For | For | |||||
| 2 | Elimination of Supermajority Requirement | Mgmt | For | For | For | |||||
| 3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 4 | Ratification of Auditor | Mgmt | For | For | For |
Koninklijke Philips Electronics N.V.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| PHIA | CUSIP 500472303 | 05/01/2014 | 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 Orit Gadiesh to the Supervisory Board | Mgmt | For | For | For | |||||
| 6 | Appointment of Auditor | Mgmt | For | For | For | |||||
| 7 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
| 8 | Authority to Suppress Preemptive Rights | Mgmt | For | For | For | |||||
| 9 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
| 10 | Authority to Cancel Shares | Mgmt | For | For | For |
Page 21
Lennar Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| LEN | CUSIP 526057302 | 04/09/2014 | 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 Teri P. McClure | Mgmt | For | For | For | |||||
| 1.9 | Elect Jeffrey A. Sonnenfeld | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Maxim Integrated Products, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MXIM | CUSIP 57772K101 | 11/13/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Tunc Doluca | Mgmt | For | For | For | |||||
| 1.2 | Elect B. Kipling Hagopian | Mgmt | For | For | For | |||||
| 1.3 | Elect James R. Bergman | Mgmt | For | For | For | |||||
| 1.4 | Elect Joseph R. Bronson | Mgmt | For | For | For | |||||
| 1.5 | Elect Robert E. Grady | Mgmt | For | For | For | |||||
| 1.6 | Elect William D. Watkins | Mgmt | For | For | For | |||||
| 1.7 | Elect A.R. Frank Wazzan | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
| 4 | Amendment to the 1996 Stock Incentive Plan | Mgmt | For | For | For | |||||
| 5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 22
MeadWestvaco Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MWV | CUSIP 583334107 | 04/28/2014 | Unvoted | |||
| 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 | N/A | N/A | |||||
| 2 | Elect James G. Kaiser | Mgmt | For | N/A | N/A | |||||
| 3 | Elect Richard B. Kelson | Mgmt | For | N/A | N/A | |||||
| 4 | Elect Susan J. Kropf | Mgmt | For | N/A | N/A | |||||
| 5 | Elect John A. Luke, Jr. | Mgmt | For | N/A | N/A | |||||
| 6 | Elect Gracia C. Martore | Mgmt | For | N/A | N/A | |||||
| 7 | Elect Timothy H. Powers | Mgmt | For | N/A | N/A | |||||
| 8 | Elect Jane L. Warner | Mgmt | For | N/A | N/A | |||||
| 9 | Elect Alan D. Wilson | Mgmt | For | N/A | N/A | |||||
| 10 | Ratification of Auditor | Mgmt | For | N/A | N/A | |||||
| 11 | Advisory Vote on Executive Compensation | Mgmt | For | N/A | N/A |
Medtronic, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MDT | CUSIP 585055106 | 08/22/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Richard H. Anderson | Mgmt | For | For | For | |||||
| 1.2 | Elect Scott C. Donnelly | Mgmt | For | For | For | |||||
| 1.3 | Elect Victor J. Dzau | Mgmt | For | For | For | |||||
| 1.4 | Elect Omar Ishrak | Mgmt | For | For | For | |||||
| 1.5 | Elect Shirley A. Jackson | Mgmt | For | For | For | |||||
| 1.6 | Elect Michael O. Leavitt | Mgmt | For | For | For | |||||
| 1.7 | Elect James T. Lenehan | Mgmt | For | For | For | |||||
| 1.8 | Elect Denise M. O’Leary | Mgmt | For | For | For | |||||
| 1.9 | Elect Kendall J. Powell | Mgmt | For | For | For | |||||
| 1.10 | Elect Robert C. Pozen | Mgmt | For | For | For | |||||
| 1.11 | Elect Preetha Reddy | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 4 | 2013 Stock Award and Incentive Plan | Mgmt | For | For | For | |||||
| 5 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For | |||||
| 6 | Elimination of Supermajority Requirement for Changes to Board Size | Mgmt | For | For | For |
Page 23
| 7 | Elimination of Supermajority Requirement for Removal of Directors | Mgmt | For | For | For | |||||
| 8 | Elimination of Conforming Language Regarding Supermajority Requirements | Mgmt | For | For | For | |||||
| 9 | Repeal of Fair Price Provision | Mgmt | For | For | For |
Microchip Technology Incorporated
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MCHP | CUSIP 595017104 | 08/16/2013 | 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 Matthew W. Chapman | Mgmt | For | For | For | |||||
| 1.3 | Elect L. B. Day | Mgmt | For | For | For | |||||
| 1.4 | Elect Albert J. Hugo-Martinez | Mgmt | For | For | For | |||||
| 1.5 | Elect Wade F. Meyercord | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Mondelez International Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| MDLZ | CUSIP 50075N104 | 05/21/2014 | 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 Nelson Peltz | Mgmt | For | For | For | |||||
| 7 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
| 8 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
| 9 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
| 10 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
| 11 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
| 12 | Elect Jean-Francois M. L. van Boxmeer | Mgmt | For | For | For |
Page 24
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Amendment to the 2005 Performance Incentive Plan | Mgmt | For | For | For | |||||
| 15 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 16 | Shareholder Proposal Regarding Reporting on the Use of Non-Recyclable Packaging | ShrHoldr | Against | Against | For |
Nabors Industries Ltd.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| NBR | CUSIP G6359F103 | 06/03/2014 | 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 John P. Kotts | Mgmt | For | For | For | |||||
| 1.3 | Elect Michael C. Linn | Mgmt | For | For | For | |||||
| 1.4 | Elect John V. Lombardi | Mgmt | For | For | For | |||||
| 1.5 | Elect Anthony G. Petrello | Mgmt | For | For | For | |||||
| 1.6 | Elect Howard Wolf | Mgmt | For | For | For | |||||
| 1.7 | Elect John Yearwood | Mgmt | For | For | For | |||||
| 2 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 3 | Amendment to Shareholder Rights Plan | Mgmt | For | Against | Against | |||||
| 4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 5 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHoldr | Against | Against | For | |||||
| 6 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
| 7 | Shareholder Proposal Regarding Sustainability Report | ShrHoldr | Against | For | Against |
Page 25
| 8 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
| 9 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
| 10 | Shareholder Proposal Regarding Counting Broker Non-Votes | ShrHoldr | Against | Against | For |
New York Community Bancorp, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| NYCB | CUSIP 649445103 | 06/04/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Dominick Ciampa | Mgmt | For | For | For | |||||
| 2 | Elect Max L. Kupferberg | Mgmt | For | For | For | |||||
| 3 | Elect Spiros J. Voutsinas | Mgmt | For | For | For | |||||
| 4 | Elect Robert Wann | Mgmt | For | For | For | |||||
| 5 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Packaging Corporation of America
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| PKG | CUSIP 695156109 | 05/13/2014 | 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 Thomas P. Maurer | Mgmt | For | For | For | |||||
| 6 | Elect Samuel Mencoff | Mgmt | For | For | For | |||||
| 7 | Elect Roger B. Porter | Mgmt | For | For | For | |||||
| 8 | Elect Thomas S. Souleles | Mgmt | For | For | For | |||||
| 9 | Elect Paul T. Stecko | Mgmt | For | For | For | |||||
| 10 | Elect James D. Woodrum | Mgmt | For | For | For | |||||
| 11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For |
Page 26
PepsiCo, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| PEP | CUSIP 713448108 | 05/07/2014 | 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 Rona A. Fairhead | 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 | |||||
| 16 | Approval of Executive Incentive Compensation Plan | Mgmt | For | For | For | |||||
| 17 | Shareholder Proposal Regarding Approval of Political Contributions Policy | ShrHoldr | Against | Against | For | |||||
| 18 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Pfizer Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| PFE | CUSIP 717081103 | 04/24/2014 | 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 W. Don Cornwell | Mgmt | For | For | For | |||||
| 3 | Elect Frances D. Fergusson | Mgmt | For | For | For | |||||
| 4 | Elect Helen H. Hobbs | Mgmt | For | For | For | |||||
| 5 | Elect Constance J. Horner | Mgmt | For | For | For | |||||
| 6 | Elect James M. Kilts | Mgmt | For | For | For | |||||
| 7 | Elect George A. Lorch | Mgmt | For | For | For | |||||
| 8 | Elect Shantanu Narayen | Mgmt | For | For | For |
Page 27
| 9 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
| 10 | Elect Ian C. Read | Mgmt | For | For | For | |||||
| 11 | Elect Stephen W. Sanger | Mgmt | For | For | For | |||||
| 12 | Elect Marc Tessier-Lavigne | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 15 | 2014 Stock Plan | Mgmt | For | For | For | |||||
| 16 | SHAREHOLDER PROPOSAL REGARDING APPROVAL OF POLITICAL CONTRIBUTIONS POLICY | ShrHoldr | Against | Against | For | |||||
| 17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | Against | For | |||||
| 18 | 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 | 05/07/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1.1 | Elect Stephen A. Kaplan | Mgmt | For | For | For | |||||
| 1.2 | Elect Jack Tyrrell | Mgmt | For | For | For | |||||
| 1.3 | Elect Nestor R. Weigand, Jr. | Mgmt | For | For | For | |||||
| 2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 3 | Ratification of Auditor | Mgmt | For | For | For |
Seagate Technology
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| STX | CUSIP G7945M107 | 10/30/2013 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Stephen J. Luczo | Mgmt | For | For | For | |||||
| 2 | Elect Frank J. Biondi, Jr. | Mgmt | For | For | For |
Page 28
| 3 | Elect Michael R. Cannon | Mgmt | For | For | For | |||||
| 4 | Elect Mei-Wei Cheng | Mgmt | For | For | For | |||||
| 5 | Elect William T. Coleman | Mgmt | For | For | For | |||||
| 6 | Elect Jay L. Geldmacher | Mgmt | For | For | For | |||||
| 7 | Elect Seh-Woong Jeong | Mgmt | For | For | For | |||||
| 8 | Elect Lydia M. Marshall | Mgmt | For | For | For | |||||
| 9 | Elect Kristen M. Onken | Mgmt | For | For | For | |||||
| 10 | Elect Chong Sup Park | Mgmt | For | For | For | |||||
| 11 | Elect Gregorio Reyes | Mgmt | For | For | For | |||||
| 12 | Elect Edward Zander | Mgmt | For | For | For | |||||
| 13 | Amendment to the Executive Officer Performance Bonus Plan | Mgmt | For | For | For | |||||
| 14 | Price Range for Issuance of Treasury Shares | Mgmt | For | For | For | |||||
| 15 | Authorize Shareholder Outside of Ireland | Mgmt | For | For | For | |||||
| 16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 17 | Amendments to Articles Regarding Annual Meeting Location | Mgmt | For | For | For | |||||
| 18 | Amendments to Articles Regarding Right to Multiple Proxies | Mgmt | For | For | For | |||||
| 19 | Amendments to Articles Regarding Escheatment | Mgmt | For | For | For | |||||
| 20 | Amendments to Articles Regarding Share Repurchases | Mgmt | For | For | For | |||||
| 21 | Ratification of Auditor | Mgmt | For | For | For |
State Street Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| STT | CUSIP 857477103 | 05/14/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Jose E. Almeida | Mgmt | For | For | For | |||||
| 2 | Elect Kennett F. Burnes | Mgmt | For | For | For | |||||
| 3 | Elect Peter Coym | Mgmt | For | For | For | |||||
| 4 | Elect Patrick de Saint-Aignan | Mgmt | For | For | For |
Page 29
| 5 | Elect Amelia C. Fawcett | Mgmt | For | For | For | |||||
| 6 | Elect Linda A. Hill | Mgmt | For | For | For | |||||
| 7 | Elect Joseph L. Hooley | Mgmt | For | For | For | |||||
| 8 | Elect Robert S. Kaplan | Mgmt | For | For | For | |||||
| 9 | Elect Richard P. Sergel | Mgmt | For | For | For | |||||
| 10 | Elect Ronald L. Skates | Mgmt | For | For | For | |||||
| 11 | Elect Gregory L. Summe | Mgmt | For | For | For | |||||
| 12 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Ratification of Auditor | Mgmt | For | For | For |
TE Connectivity Ltd.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TEL | ISIN BMG9144P1059 | 03/04/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Pierre R. Brondeau | Mgmt | For | For | For | |||||
| 2 | Elect Juergen W. Gromer | Mgmt | For | For | For | |||||
| 3 | Elect William A. Jeffrey | Mgmt | For | For | For | |||||
| 4 | Elect Thomas J. Lynch | Mgmt | For | For | For | |||||
| 5 | Elect Yong Nam | Mgmt | For | For | For | |||||
| 6 | Elect Daniel J. Phelan | Mgmt | For | For | For | |||||
| 7 | Elect Frederic M. Poses | Mgmt | For | For | For | |||||
| 8 | Elect Lawrence S. Smith | Mgmt | For | For | For | |||||
| 9 | Elect Paula A. Sneed | Mgmt | For | For | For | |||||
| 10 | Elect David P. Steiner | Mgmt | For | For | For | |||||
| 11 | Elect John C. Van Scoter | Mgmt | For | For | For | |||||
| 12 | Elect Laura H. Wright | Mgmt | For | For | For | |||||
| 13 | Election of Chairman of the Board | Mgmt | For | For | For | |||||
| 14 | Election of Daniel J. Phelan | Mgmt | For | For | For | |||||
| 15 | Election of Paula A. Sneed | Mgmt | For | For | For | |||||
| 16 | Election of David P. Steiner | Mgmt | For | For | For | |||||
| 17 | Election of Independent Proxy | Mgmt | For | For | For | |||||
| 18 | Approval of Annual Report | Mgmt | For | For | For | |||||
| 19 | Approval of Statutory Financial Statement | Mgmt | For | For | For | |||||
| 20 | Approval of Consolidated Financial Statements | Mgmt | For | For | For |
Page 30
| 21 | Release of Board of Directors and Executive Officers | Mgmt | For | For | For | |||||
| 22 | Deloitte and Touche | Mgmt | For | For | For | |||||
| 23 | Deloitte AG, Zurich | Mgmt | For | For | For | |||||
| 24 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
| 25 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 26 | Transfer of Reserves | Mgmt | For | For | For | |||||
| 27 | Declaration of Dividend | Mgmt | For | For | For | |||||
| 28 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
| 29 | Reduction of Share Capital Under the Share Repurchase Program | Mgmt | For | For | For | |||||
| 30 | Right to Adjourn Meeting | Mgmt | For | For | For |
Teleflex Incorporated
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TFX | CUSIP 879369106 | 05/02/2014 | Unvoted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect George Babich, Jr. | Mgmt | For | N/A | N/A | |||||
| 2 | Elect William R. Cook | Mgmt | For | N/A | N/A | |||||
| 3 | Elect Stephen K. Klasko | Mgmt | For | N/A | N/A | |||||
| 4 | Elect Benson F. Smith | Mgmt | For | N/A | N/A | |||||
| 5 | Approval of the Teleflex Incorporated 2014 Stock Incentive Plan | Mgmt | For | N/A | N/A | |||||
| 6 | Advisory Vote on Executive Compensation | Mgmt | For | N/A | N/A | |||||
| 7 | Ratification of Auditor | Mgmt | For | N/A | N/A |
Page 31
Textron Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TXT | CUSIP 883203101 | 04/23/2014 | 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 | |||||
| 8 | Elect Dain M. Hancock | Mgmt | For | For | For | |||||
| 9 | Elect Lord Powell of Bayswater KCMG | 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 | Against | Against | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 14 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Thermo Fisher Scientific Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TMO | CUSIP 883556102 | 05/20/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Marc N. Casper | Mgmt | For | For | For | |||||
| 2 | Elect Nelson J. Chai | Mgmt | For | For | For | |||||
| 3 | Elect C. Martin Harris | Mgmt | For | For | For | |||||
| 4 | Elect Tyler Jacks | Mgmt | For | For | For | |||||
| 5 | Elect Judy C. Lewent | Mgmt | For | For | For | |||||
| 6 | Elect Thomas J. Lynch | Mgmt | For | For | For | |||||
| 7 | Elect Jim P. Manzi | Mgmt | For | For | For | |||||
| 8 | Elect William G. Parrett | Mgmt | For | For | For | |||||
| 9 | Elect Lars R. Sorenson | Mgmt | For | For | For | |||||
| 10 | Elect Scott M. Sperling | Mgmt | For | For | For | |||||
| 11 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
| 12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 13 | Ratification of Auditor | Mgmt | For | For | For |
Page 32
Tyco International Ltd.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| TYC | CUSIP H89128104 | 03/05/2014 | 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 | Elect Edward D. Breen | Mgmt | For | For | For | |||||
| 4 | Elect Herman E. Bulls | Mgmt | For | For | For | |||||
| 5 | Elect Michael E. Daniels | Mgmt | For | For | For | |||||
| 6 | Elect Frank M. Drendel | Mgmt | For | For | For | |||||
| 7 | Elect Brian Duperreault | Mgmt | For | For | For | |||||
| 8 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
| 9 | Elect George R. Oliver | Mgmt | For | For | For | |||||
| 10 | Elect Brendan R. O’Neill | Mgmt | For | For | For | |||||
| 11 | Elect Jurgen Tinggren | Mgmt | For | For | For | |||||
| 12 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
| 13 | Elect R. David Yost | Mgmt | For | For | For | |||||
| 14 | Election of Chairman of the Board | Mgmt | For | For | For | |||||
| 15 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
| 16 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
| 17 | Elect R. David Yost | Mgmt | For | For | For | |||||
| 18 | Appointment of Deloitte AG | Mgmt | For | For | For | |||||
| 19 | Appointment of Deloitte and Touche | Mgmt | For | For | For | |||||
| 20 | Appointment of PricewaterhouseCoopers AG as Special Auditor | Mgmt | For | For | For | |||||
| 21 | Election Of Independent Proxy | Mgmt | For | For | For | |||||
| 22 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
| 23 | Approval of Ordinary Cash Dividend | Mgmt | For | For | For | |||||
| 24 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 33
Valero Energy Corporation
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| VLO | CUSIP 91913Y100 | 05/01/2014 | 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 Joseph W Gorder | Mgmt | For | For | For | |||||
| 3 | Elect William R. Klesse | Mgmt | For | For | For | |||||
| 4 | Elect Deborah P. Majoras | Mgmt | For | For | For | |||||
| 5 | Elect Donald L. Nickles | Mgmt | For | For | For | |||||
| 6 | Elect Phillip J. Pfeiffer | Mgmt | For | For | For | |||||
| 7 | Elect Robert A. Profusek | Mgmt | For | For | For | |||||
| 8 | Elect Susan K. Purcell | Mgmt | For | For | For | |||||
| 9 | Elect Stephen M. Waters | Mgmt | For | For | For | |||||
| 10 | Elect Randall J. Weisenburger | Mgmt | For | For | For | |||||
| 11 | Elect Rayford Wilkins Jr. | Mgmt | For | For | For | |||||
| 12 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
| 14 | Stockholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
| 15 | Shareholder Proposal Regarding Greenhouse Gas Emissions Reporting and Reduction Targets | ShrHoldr | Against | Against | For | |||||
| 16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Windstream Holdings, Inc.
| Ticker | Security ID: | Meeting Date | Meeting Status | |||
| WIN | CUSIP 97381W104x | 05/07/2014 | Voted | |||
| Meeting Type | Country of Trade | |||||
| Annual | United States | |||||
| Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
| 1 | Elect Carol B. Armitage | Mgmt | For | For | For | |||||
| 2 | Elect Samuel E. Beall III | Mgmt | For | For | For | |||||
| 3 | Elect Dennis E. Foster | Mgmt | For | For | For | |||||
| 4 | Elect Francis X. Frantz | Mgmt | For | For | For | |||||
| 5 | Elect Jeffery R. Gardner | Mgmt | For | For | For | |||||
| 6 | Elect Jeffrey T. Hinson | Mgmt | For | For | For | |||||
| 7 | Elect Judy K. Jones | Mgmt | For | For | For | |||||
| 8 | Elect William A. Montgomery | Mgmt | For | For | For | |||||
| 9 | Elect Alan L. Wells | Mgmt | For | For | For | |||||
| 10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 34
| 11 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
| 12 | Amendment to Certificate of Incorporation to Remove Voting Rights Relating to Company Subsidiaries | Mgmt | For | For | For | |||||
| 13 | Allow Stockholders to Call Special Meetings | Mgmt | For | For | For | |||||
| 14 | Elimination of Supermajority Voting Requirements | Mgmt | For | For | For | |||||
| 15 | Ratification of Auditor | Mgmt | For | For | For | |||||
| 16 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | For | Against | |||||
| 17 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 35
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/ David DeVito | |
| David DeVito | ||
| President and Chief Executive Officer | ||
| Date: August 20, 2014 | ||