U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-266
Tri-Continental Corporation
(Exact name of registrant as specified charter)
100 Park Avenue, New York, NY 10017
(Address of principal executive offices) (Zip code)
Lawrence P. Vogel, Treasurer
100 Park Avenue, New York, NY 10017
(Name and address of agent for service)
Registrant's telephone number, including area code: 212-850-1864
Toll Free: 800-221-2450
Date of fiscal year end: December 31, 2004
Date of reporting period: July 1, 2003 - June 30, 2004
Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (ss.ss. 239.24
and 274.5 of this chapter), to file reports with the Commission, not later than
August 31 of each year, containing the registrant's proxy voting record for the
most recent twelve-month period ended June 30, pursuant to section 30 of the
Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4).
The Commission may use the information provided on Form N-PX in its regulatory,
disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and
the Commission will make this information public. A registrant is not required
to respond to the collection of information contained in Form N-PX unless the
Form displays a currently valid Office of Management and Budget ("OMB") control
number. Please direct comments concerning the accuracy of the information
collection burden estimate and any suggestions for reducing the burden to the
Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington,
DC 20549-0609. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. ss. 3507.
Tri-Continental Corporation
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DELL COMPUTER CORPORATION DELL Meeting Date: 07/18/2003
Issuer: 247025
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
MICHAEL A. MILES Management Withheld Against
ALEX J. MANDL Management Withheld Against
MORTON L. TOPFER Management Withheld Against
02 ELIMINATION OF CLASSIFIED BOARD Management For For
03 CHANGE OF COMPANY NAME TO DELL INC. Management For For
04 APPROVAL OF EXECUTIVE ANNUAL INCENTIVE BONUS PLAN Management For For
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FOREST LABORATORIES, INC. FRX Meeting Date: 08/11/2003
Issuer: 345838
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
HOWARD SOLOMON Management Withheld Against
WILLIAM J. CANDEE, III Management Withheld Against
GEORGE S. COHAN Management Withheld Against
DAN L. GOLDWASSER Management Withheld Against
LESTER B. SALANS Management Withheld Against
KENNETH E. GOODMAN Management Withheld Against
PHILLIP M. SATOW Management Withheld Against
02 RATIFICATION OF AMENDMENT OF THE COMPANYS Management Against Against
CERTIFICATE OF INCORPORATION TO AUTHORIZE
ADDITIONAL SHARES OF THE COMPANY S COMMON STOCK.
03 RATIFICATION OF BDO SEIDMAN, LLP AS INDEPENDENT Management For For
AUDITORS.
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BMC SOFTWARE, INC. BMC Meeting Date: 08/21/2003
Issuer: 055921
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
B. GARLAND CUPP Management For For
ROBERT E. BEAUCHAMP Management For For
JON E. BARFIELD Management For For
JOHN W. BARTER Management For For
MELDON K. GAFNER Management For For
L.W. GRAY Management For For
KATHLEEN A. O'NEIL Management For For
GEORGE F. RAYMOND Management For For
TOM C. TINSLEY Management For For
02 PROPOSAL TO RATIFY THE BOARD S APPOINTMENT OF Management For For
ERNST & YOUNG LLP AS INDEPENDENT AUDITORS OF
THE COMPANY FOR FISCAL YEAR ENDING
MARCH 31, 2004.
Tri-Continental Corporation
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NATIONAL SEMICONDUCTOR CORPORATION NSM Meeting Date: 09/26/2003
Issuer: 637640
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
BRIAN L. HALLA Management Withheld Against
STEVEN R. APPLETON Management Withheld Against
GARY P. ARNOLD Management Withheld Against
RICHARD J. DANZIG Management Withheld Against
ROBERT J. FRANKENBERG Management Withheld Against
E. FLOYD KVAMME Management Withheld Against
MODESTO A. MAIDIQUE Management Withheld Against
EDWARD R. MCCRACKEN Management Withheld Against
02 TO APPROVE KPMG LLP AS AUDITORS OF THE COMPANY. Management For For
03 TO APPROVE THE ADOPTION OF THE 2003 EMPLOYEES Management Against Against
STOCK PURCHASE PLAN.
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ORACLE CORPORATION ORCL Meeting Date: 10/13/2003
Issuer: 68389X
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
LAWRENCE J. ELLISON Management Withheld Against
DONALD L. LUCAS Management Withheld Against
MICHAEL J. BOSKIN Management Withheld Against
JEFFREY O. HENLEY Management Withheld Against
JACK F. KEMP Management Withheld Against
JEFFREY BERG Management Withheld Against
SAFRA CATZ Management Withheld Against
HECTOR GARCIA-MOLINA Management Withheld Against
JOSEPH A. GRUNDFEST Management Withheld Against
H. RAYMOND BINGHAM Management Withheld Against
02 PROPOSAL FOR THE APPROVAL OF THE ADOPTION OF Management For For
THE FISCAL YEAR 2004 EXECUTIVE BONUS PLAN
03 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For For
YOUNG LLP AS INDEPENDENT AUDITORS OF THE COMPANY
FOR THE FISCAL YEAR ENDING MAY 31, 2004
04 PROPOSAL FOR THE APPROVAL OF THE AMENDED AND Management Against Against
RESTATED 1993 DIRECTORS STOCK PLAN
05 PROPOSAL TO ADOPT THE CHINA BUSINESS PRINCIPLES Shareholder Abstain Against
FOR RIGHTS OF WORKERS IN CHINA
Tri-Continental Corporation
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THE PROCTER & GAMBLE COMPANY PG Meeting Date: 10/14/2003
Issuer: 742718
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
NORMAN R. AUGUSTINE Management Withheld Against
A.G. LAFLEY Management Withheld Against
JOHNATHAN A. RODGERS Management Withheld Against
JOHN F. SMITH, JR. Management Withheld Against
MARGARET C. WHITMAN Management Withheld Against
02 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Management For For
03 APPROVE THE PROCTER & GAMBLE 2003 NON-EMPLOYEE Management Against Against
DIRECTORS STOCK PLAN
04 SHAREHOLDER PROPOSAL NO. 1 BOARD OF DIRECTORS Shareholder For Against
TERMS
05 SHAREHOLDER PROPOSAL NO. 2 LABEL GENETICALLY Shareholder Abstain Against
ENGINEERED FOODS
--------------------------------------------------------------------------------
PARKER-HANNIFIN CORPORATION PH Meeting Date: 10/22/2003
Issuer: 701094
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
DUANE E. COLLINS Management Withheld Against
ROBERT J. KOHLHEPP Management Withheld Against
GIULIO MAZZALUPI Management Withheld Against
KLAUS-PETER MULLER Management Withheld Against
ALLAN L. RAYFIELD Management Withheld Against
02 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
PUBLIC ACCOUNTING FIRM FOR FY04.
03 APPROVAL OF THE PARKER-HANNIFIN CORPORATION 2003 Management Against Against
STOCK INCENTIVE PLAN.
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TEVA PHARMACEUTICAL INDUSTRIES LIMIT TEVA Meeting Date: 10/27/2003
Issuer: 881624
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 TO APPOINT PROF. GABRIELA SHALEV AS A STATUTORY Management For For
INDEPENDENT DIRECTOR FOR A THREE-YEAR TERM,
REPLACING MR. ORI SLONIM WHOSE TERM ENDS
ON OCTOBER 17, 2003.
02 TO APPROVE AN INCREASE IN THE REMUNERATION OF Management For For
THE DIRECTORS OF THE COMPANY (OTHER THAN THE
CHAIRMAN). SUCH ANNUAL REMUNERATION IS TO BE
SET AT NIS 100,000 WITH AN ADDITIONAL NIS 3,000
PER MEETING. DIRECTORS WHO ARE ALSO COMMITTEE
CHAIRPERSONS SHALL RECEIVE ANNUAL REMUNERATION
OF NIS 125,000. SUCH REMUNERATION SHALL BE
ADJUSTED IN ACCORDANCE WITH THE ISRAELI PRICE
INDEX.
Tri-Continental Corporation
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KLA-TENCOR CORPORATION KLAC Meeting Date: 11/05/2003
Issuer: 482480
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
H. RAYMOND BINGHAM Management For For
ROBERT T. BOND Management For For
RICHARD J. ELKUS, JR. Management For For
MICHAEL E. MARKS Management For For
02 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
ACCOUNTANTS OF THE COMPANY FOR THE FISCAL YEAR
ENDING JUNE 30, 2004.
--------------------------------------------------------------------------------
CISCO SYSTEMS, INC. CSCO Meeting Date: 11/11/2003
Issuer: 17275R
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
CAROL A. BARTZ Management Withheld Against
LARRY R. CARTER Management Withheld Against
JOHN T. CHAMBERS Management Withheld Against
DR. JAMES F. GIBBONS Management Withheld Against
DR. JOHN L. HENNESSY Management Withheld Against
RODERICK C. MCGEARY Management Withheld Against
JAMES C. MORGAN Management Withheld Against
JOHN P. MORGRIDGE Management Withheld Against
DONALD T. VALENTINE Management Withheld Against
STEVEN M. WEST Management Withheld Against
JERRY YANG Management Withheld Against
02 TO APPROVE AN AMENDMENT AND RESTATEMENT OF THE Management Against Against
EMPLOYEE STOCK PURCHASE PLAN, INCLUDING AN
INCREASE OF 100,000,000 SHARES AUTHORIZED FOR
ISSUANCE UNDER THE PLAN AND A 5-YEAR EXTENSION OF
THE PLAN, AS MORE FULLY SET FORTH IN THE
ACCOMPANYING PROXY STATEMENT.
03 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS CISCO S INDEPENDENT
AUDITORS FOR THE FISCAL YEAR ENDING
JULY 31, 2004.
04 PROPOSAL SUBMITTED BY A SHAREHOLDER THAT THE Shareholder Abstain Against
BOARD PREPARE A REPORT EACH FISCAL YEAR ON CISCO
HARDWARE AND SOFTWARE PROVIDED TO GOVERNMENT
AGENCIES AND STATE-OWNED COMMUNICATIONS OR
INFORMATION TECHNOLOGY ENTITIES IN ANY COUNTRY,
AS MORE FULLY SET FORTH IN THE ACCOMPANYING PROXY
STATEMENT.
05 PROPOSAL SUBMITTED BY SHAREHOLDERS THAT THE BOARD Shareholder Against For
S COMPENSATION COMMITTEE PREPARE AND MAKE
AVAILABLE BY JANUARY 1, 2004, A REPORT COMPARING
TOTAL COMPENSATION OF THE COMPANY S TOP
EXECUTIVES AND ITS LOWEST PAID WORKERS IN THE
U.S. AND ABROAD AS OF SPECIFIC DATES, AS MORE
FULLY SET FORTH IN THE ACCOMPANYING PROXY
STATEMENT.
Tri-Continental Corporation
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MICROSOFT CORPORATION MSFT Meeting Date: 11/11/2003
Issuer: 594918
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
WILLIAM H. GATES III Management Withheld Against
STEVEN A. BALLMER Management Withheld Against
JAMES I. CASH JR. Management Withheld Against
RAYMOND V. GILMARTIN Management Withheld Against
A. MCLAUGHLIN KOROLOGOS Management Withheld Against
DAVID F. MARQUARDT Management Withheld Against
CHARLES H. NOSKI Management Withheld Against
HELMUT PANKE Management Withheld Against
WM. G. REED JR. Management Withheld Against
JON A. SHIRLEY Management Withheld Against
02 ADOPTION OF THE AMENDMENTS TO THE 2001 STOCK PLAN Management For For
03 ADOPTION OF THE AMENDMENTS TO THE 1999 STOCK Management For For
OPTION PLAN FOR NON-EMPLOYEE DIRECTORS
04 SHAREHOLDER PROPOSAL (THE BOARD RECOMMENDS A Shareholder Abstain Against
VOTE AGAINST THIS PROPOSAL)
--------------------------------------------------------------------------------
MAXIM INTEGRATED PRODUCTS, INC. MXIM Meeting Date: 11/13/2003
Issuer: 57772K
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
JAMES R. BERGMAN Management Withheld Against
JOHN F. GIFFORD Management Withheld Against
B. KIPLING HAGOPIAN Management Withheld Against
M.D. SAMPELS Management Withheld Against
A.R. FRANK WAZZAN Management Withheld Against
02 TO RATIFY AND APPROVE AN AMENDMENT TO THE COMPANY Management Against Against
S 1996 STOCK INCENTIVE PLAN, AS AMENDED,
INCREASING THE NUMBER OF SHARES AVAILABLE FOR
ISSUANCE THEREUNDER BY 9,400,000 SHARES FROM
95,200,000 SHARES TO 104,600,000 SHARES.
03 TO RATIFY AND APPROVE AN AMENDMENT TO THE COMPANY Management Against Against
S 1987 EMPLOYEE STOCK PARTICIPATION PLAN, AS
AMENDED, INCREASING THE NUMBER OF SHARES
AVAILABLE FOR ISSUANCE THEREUNDER BY 400,000
SHARES FROM 14,651,567 SHARES TO 15,051,567
SHARES.
04 TO RATIFY THE RETENTION OF ERNST & YOUNG LLP Management For For
AS THE COMPANY S INDEPENDENT AUDITORS FOR THE
FISCAL YEAR ENDING JUNE 26, 2004.
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SUN MICROSYSTEMS, INC. SUNW Meeting Date: 11/13/2003
Issuer: 866810
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
SCOTT G. MCNEALY Management Withheld Against
JAMES L. BARKSDALE Management Withheld Against
L. JOHN DOERR Management Withheld Against
ROBERT J. FISHER Management Withheld Against
MICHAEL E. LEHMAN Management Withheld Against
ROBERT L. LONG Management Withheld Against
M. KENNETH OSHMAN Management Withheld Against
NAOMI O. SELIGMAN Management Withheld Against
LYNN E. TURNER Management Withheld Against
02 AMENDMENTS TO THE 1990 EMPLOYEE STOCK PURCHASE Management Against Against
PLAN. PROPOSAL TO APPROVE AMENDMENTS TO SUN S
1990 EMPLOYEE STOCK PURCHASE PLAN, INCLUDING AN
INCREASE IN THE NUMBER OF SHARES OF COMMON STOCK
RESERVED FOR ISSUANCE THEREUNDER BY 170,000,000
SHARES OF COMMON STOCK TO AN AGGREGATE OF
616,400,000 SHARES
03 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
AUDITORS. PROPOSAL TO RATIFY THE APPOINTMENT OF
ERNST & YOUNG LLP, AS SUN S INDEPENDENT AUDITORS
FOR THE CURRENT FISCAL YEAR
04 STOCKHOLDER PROPOSAL ENTITLED CHINA BUSINESS Shareholder Abstain Against
PRINCIPLES FOR RIGHTS OF WORKERS IN CHINA .
PROPOSAL REQUESTING IMPLEMENTATION OF PRINCIPLES
EMBODIED IN CHINA BUSINESS PRINCIPLES FOR RIGHTS
OF WORKERS IN CHINA
Tri-Continental Corporation
--------------------------------------------------------------------------------
MICRON TECHNOLOGY, INC. MU Meeting Date: 11/21/2003
Issuer: 595112
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
--------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
STEVEN R. APPLETON Management Withheld Against
JAMES W. BAGLEY Management Withheld Against
ROBERT A. LOTHROP Management Withheld Against
THOMAS T. NICHOLSON Management Withheld Against
GORDON C. SMITH Management Withheld Against
WILLIAM P. WEBER Management Withheld Against
02 PROPOSAL BY THE COMPANY TO APPROVE AN AMENDMENT Management Against Against
TO THE COMPANY S 1989 EMPLOYEE STOCK PURCHASE
PLAN INCREASING THE NUMBER OF SHARES OF COMMON
STOCK RESERVED FOR ISSUANCE THEREUNDER BY
5,000,000 AND MAKING CERTAIN OTHER CHANGES
AS DESCRIBED IN THE PROXY STATEMENT
03 PROPOSAL BY THE COMPANY TO APPROVE AN AMENDMENT Management Against Against
TO THE COMPANY S 2001 STOCK OPTION PLAN
INCREASING THE NUMBER OF SHARES OF COMMON
STOCK RESERVED FOR ISSUANCE THEREUNDER BY
17,000,000
04 PROPOSAL BY THE COMPANY TO RATIFY THE APPOINTMENT Management For For
OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY
S INDEPENDENT ACCOUNTANTS FOR FISCAL 2004
--------------------------------------------------------------------------------
JABIL CIRCUIT, INC. JBL Meeting Date: 01/13/2004
Issuer: 466313
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
WILLIAM D. MOREAN Management Withheld Against
THOMAS A. SANSONE Management Withheld Against
TIMOTHY L. MAIN Management Withheld Against
LAWRENCE J. MURPHY Management Withheld Against
MEL S. LAVITT Management Withheld Against
STEVEN A. RAYMUND Management Withheld Against
FRANK A. NEWMAN Management Withheld Against
LAURENCE S. GRAFSTEIN Management Withheld Against
02 TO APPROVE AMENDMENTS TO THE JABIL CIRCUIT, INC. Management Against Against
2002 STOCK INCENTIVE PLAN TO (I) PROVIDE FOR
AN INCREASE IN THE AGGREGATE SHARES OF COMMON
STOCK THAT MAY BE SUBJECT TO FUTURE AWARDS FROM
1,512,705 TO 11,512,705 SHARES, (II) PROHIBIT THE
REPRICING OF OUTSTANDING STOCK OPTIONS, AND (III)
REQUIRE STOCKHOLDER APPROVAL FOR CERTAIN
AMENDMENTS TO THE PLAN.
03 TO RATIFY THE SELECTION OF KPMG LLP AS Management For For
INDEPENDENT AUDITORS FOR JABIL.
Tri-Continental Corporation
--------------------------------------------------------------------------------
NOVARTIS AG NVS Meeting Date: 02/24/2004
Issuer: 66987V
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL Management Against Against
STATEMENTS OF NOVARTIS AG AND THE GROUP
CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR
2003.
02 APPROVAL OF THE ACTIVITIES OF THE BOARD OF Management Against Against
DIRECTORS.
03 APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS Management For For
AG AS PER BALANCE SHEET AND DECLARATION OF
DIVIDEND.
04 CONVERSION OF GENERAL RESERVES INTO FREE Management For For
RESERVES.
05 REDUCTION OF SHARE CAPITAL. Management For For
06 FURTHER SHARE REPURCHASE PROGRAM. Management For For
07 AMENDMENT TO THE ARTICLES OF INCORPORATION. Management For For
8A ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management Abstain Against
OF PROF. DR. HELMUT SIHLER FOR A THREE-YEAR TERM.
8B ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management Abstain Against
OF MR. HANS-JORG RUDLOFF FOR A THREE-YEAR TERM.
8C ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management Abstain Against
OF DR. DANIEL VASELLA FOR A THREE-YEAR TERM.
9 APPOINTMENT OF THE AUDITORS AND THE GROUP Management For For
AUDITORS.
Tri-Continental Corporation
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DEERE & COMPANY DE Meeting Date: 02/25/2004
Issuer: 244199
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
ROBERT W. LANE Management For For
ANTONIO MADERO B. Management For For
AULANA L. PETERS Management For For
JOHN R. WALTER Management For For
--------------------------------------------------------------------------------
INTERNATIONAL GAME TECHNOLOGY IGT Meeting Date: 03/02/2004
Issuer: 459902
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
G. THOMAS BAKER Management Withheld Against
NEIL BARSKY Management Withheld Against
ROBERT A. BITTMAN Management Withheld Against
RICHARD R. BURT Management Withheld Against
LESLIE S. HEISZ Management Withheld Against
ROBERT A. MATHEWSON Management Withheld Against
THOMAS J. MATTHEWS Management Withheld Against
ROBERT MILLER Management Withheld Against
FREDERICK B. RENTSCHLER Management Withheld Against
02 APPROVAL OF THE AMENDMENT TO THE INTERNATIONAL Management For For
GAME TECHNOLOGY EMPLOYEE STOCK PURCHASE PLAN.
03 RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE Management For For
LLP AS IGT S INDEPENDENT AUDITORS FOR THE FISCAL
YEAR ENDING SEPTEMBER 30, 2004.
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BANK OF AMERICA CORPORATION BAC Meeting Date: 03/17/2004
Issuer: 060505
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 ADOPTION OF THE MERGER AGREEMENT Management For For
02 ADOPTION OF BANK OF AMERICA S AMENDED STOCK PLAN Management Against Against
03 ADOPTION OF AN AMENDMENT TO INCREASE THE NUMBER Management Against Against
OF AUTHORIZED SHARES OF BANK OF AMERICA COMMON
STOCK
04 APPROVAL OF PROPOSAL TO ADJOURN THE BANK OF Management For For
AMERICA SPECIAL MEETING, IF NECESSARY, TO SOLICIT
ADDITIONAL PROXIES
Tri-Continental Corporation
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HEWLETT-PACKARD COMPANY HPQ Meeting Date: 03/17/2004
Issuer: 428236
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
L.T. BABBIO, JR. Management Withheld Against
P.C. DUNN Management Withheld Against
C.S. FIORINA Management Withheld Against
R.A. HACKBORN Management Withheld Against
G.A. KEYWORTH II Management Withheld Against
R.E. KNOWLING, JR. Management Withheld Against
S.M. LITVACK Management Withheld Against
R.L. RYAN Management Withheld Against
L.S. SALHANY Management Withheld Against
02 PROPOSAL TO RATIFY ERNST & YOUNG LLP AS Management For For
HEWLETT-PACKAD COMPANY S INDEPENDENT AUDITORS FOR
THE FISCAL YEAR ENDING OCTOBER 31, 2004.
03 APPROVAL OF THE HEWLETT-PACKARD COMPANY 2004 Management Against Against
STOCK INCENTIVE PLAN
04 SHAREOWNER PROPOSAL ENTITLED STOCK OPTION Shareholder For Against
EXPENSING PROPOSAL
--------------------------------------------------------------------------------
TYCO INTERNATIONAL LTD. TYC Meeting Date: 03/25/2004
Issuer: 902124
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
DENNIS C. BLAIR Management Withheld Against
EDWARD D. BREEN Management Withheld Against
GEORGE W. BUCKLEY Management Withheld Against
BRIAN DUPERREAULT Management Withheld Against
BRUCE S. GORDON Management Withheld Against
JOHN A. KROL Management Withheld Against
MACKEY J. MCDONALD Management Withheld Against
H. CARL MCCALL Management Withheld Against
BRENDAN R. O'NEILL Management Withheld Against
SANDRA S. WIJNBERG Management Withheld Against
JEROME B. YORK Management Withheld Against
02 APPOINTMENT OF DELOITTE & TOUCHE LLP AS TYCO Management For For
S INDEPENDENT AUDITORS AND AUTHORIZATION FOR THE
AUDIT COMMITTEE OF THE BOARD OF DIRECTORS TO SET
THE AUDITORS REMUNERATION.
03 ADOPTION OF THE AMENDED AND RESTATED BYE-LAWS. Management For For
04 APPROVAL OF TYCO 2004 STOCK AND INCENTIVE PLAN. Management Against Against
05 SHAREHOLDER PROPOSAL REGARDING ENVIRONMENTAL Shareholder Abstain Against
REPORTING.
06 SHAREHOLDER PROPOSAL TO CHANGE TYCO S Shareholder For Against
JURISDICTION OF INCORPORATION FROM BERMUDA TO A
U.S. STATE.
07 SHAREHOLDER PROPOSAL ON COMMON SENSE EXECUTIVE Shareholder Against For
COMPENSATION.
Tri-Continental Corporation
--------------------------------------------------------------------------------
FEDERAL HOME LOAN MORTGAGE CORPORATI FRE Meeting Date: 03/31/2004
Issuer: 313400
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
JOAN E. DONOGHUE Management For For
MICHELLE ENGLER Management For For
RICHARD KARL GOELTZ Management For For
GEORGE D. GOULD Management For For
HENRY KAUFMAN Management For For
JOHN B. MCCOY Management For For
SHAUN F. O'MALLEY Management For For
RONALD F. POE Management For For
STEPHEN A. ROSS Management For For
DONALD J. SCHUENKE Management For For
CHRISTINA SEIX Management For For
RICHARD F. SYRON Management For For
WILLIAM J. TURNER Management For For
02 RATIFICATION OF APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
AUDITORS FOR THE YEAR 2003
--------------------------------------------------------------------------------
THE GOLDMAN SACHS GROUP, INC. GS Meeting Date: 03/31/2004
Issuer: 38141G
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
LLOYD C. BLANKFEIN Management For For
LD BROWNE OF MADINGLEY Management For For
CLAES DAHLBACK Management For For
JAMES A. JOHNSON Management For For
LOIS D. JULIBER Management For For
02 RATIFICATION OF THE APPOINTMENT BY THE AUDIT Management For For
COMMITTEE OF THE BOARD OF DIRECTORS OF
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
AUDITORS FOR THE 2004 FISCAL YEAR.
03 ANNUAL ELECTION OF ALL DIRECTORS TO THE BOARD Shareholder For Against
OF DIRECTORS.
Tri-Continental Corporation
--------------------------------------------------------------------------------
THE BANK OF NEW YORK COMPANY, INC. BK Meeting Date: 04/13/2004
Issuer: 064057
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
MR. BIONDI Management Withheld Against
MR. DONOFRIO Management Withheld Against
MR. GRIFFITH Management Withheld Against
MR. HASSELL Management Withheld Against
MR. KOGAN Management Withheld Against
MR. KOWALSKI Management Withheld Against
MR. LUKE Management Withheld Against
MR. MALONE Management Withheld Against
MR. MYNERS Management Withheld Against
MR. POZEN Management Withheld Against
MS. REIN Management Withheld Against
MR. RENYI Management Withheld Against
MR. RICHARDSON Management Withheld Against
MR. ROBERTS Management Withheld Against
MR. SCOTT Management Withheld Against
02 RATIFICATION OF AUDITORS Management For For
03 APPROVAL OF AN AMENDMENT TO THE 2004 MANAGEMENT Management For For
INCENTIVE COMPENSATION PLAN
04 SHAREHOLDER PROPOSAL WITH RESPECT TO POLITICAL Shareholder For Against
CONTRIBUTIONS
05 SHAREHOLDER PROPOSAL WITH RESPECT TO EXECUTIVE Shareholder Against For
COMPENSATION
06 SHAREHOLDER PROPOSAL WITH RESPECT TO THE Shareholder For Against
COMPOSITION OF THE RISK COMMITTEE
07 SHAREHOLDER PROPOSAL WITH RESPECT TO THE COMPANY Shareholder For Against
S RIGHTS PLAN
--------------------------------------------------------------------------------
WEYERHAEUSER COMPANY WY Meeting Date: 04/13/2004
Issuer: 962166
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
STEVEN R. ROGEL Management Withheld Against
WILLIAM D. RUCKELSHAUS Management Withheld Against
RICHARD H. SINKFIELD Management Withheld Against
JAMES N. SULLIVAN Management Withheld Against
02 APPROVAL OF THE WEYERHAEUSER COMPANY 2004 LONG Management Against Against
TERM INCENTIVE PLAN
03 PROPOSAL TO AMEND THE COMPANY S RESTATED ARTICLES Shareholder For Against
OF INCORPORATION TO AUTHORIZE ANNUAL ELECTION
OF THE BOARD OF DIRECTORS
04 SHAREHOLDER PROPOSAL RELATING TO ACCOUNTING FOR Shareholder For Against
STOCK OPTIONS
05 SHAREHOLDER PROPOSAL RELATING TO EQUITY Shareholder For Against
COMPENSATION
06 SHAREHOLDER PROPOSAL RELATING TO ENVIRONMENTAL Shareholder Abstain Against
REPORTING
07 SHAREHOLDER PROPOSAL RELATING TO OLD GROWTH AND Shareholder Abstain Against
ENDANGERED FORESTS
08 APPROVAL ON AN ADVISORY BASIS, OF THE APPOINTMENT Management For For
OF AUDITORS
Tri-Continental Corporation
--------------------------------------------------------------------------------
BP P.L.C. BP Meeting Date: 04/15/2004
Issuer: 055622
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
LORD BROWNE Management Withheld Against
DR B E GROTE Management Withheld Against
MR H M P MILES Management Withheld Against
SIR ROBIN NICHOLSON Management Withheld Against
MR R L OLVER Management Withheld Against
SIR IAN PROSSER Management Withheld Against
07 TO ELECT MR A BURGMANS AS A DIRECTOR Management Against Against
08 TO REAPPOINT ERNST & YOUNG LLP AS AUDITORS Management For For
09 TO AMEND THE ARTICLES OF ASSOCIATION OF THE Management For For
COMPANY
10 TO GIVE AUTHORITY TO ALLOT SHARES UP TO A Management For For
SPECIFIED AMOUNT
11 SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT Management For For
A LIMITED NUMBER OF SHARES FOR CASH WITHOUT
MAKING AN OFFER TO SHAREHOLDERS
12 SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY Management For For
FOR THE PURCHASE OF ITS OWN SHARES BY THE COMPANY
13 TO AUTHORISE THE USE OF TREASURY SHARES FOR Management For For
EMPLOYEE SHARE SCHEMES
14 TO APPROVE THE DIRECTORS REMUNERATION REPORT Management For For
15 TO DETERMINE THE LIMIT FOR THE AGGREGATE Management For For
REMUNERATION OF THE NON-EXECUTIVE DIRECTORS
16 TO RECEIVE THE DIRECTORS ANNUAL REPORT AND THE Management For For
ACCOUNTS
17 SPECIAL SHAREHOLDER RESOLUTION: TO INSTRUCT THE Shareholder Abstain Against
COMPANY TO PREPARE A REPORT MAKING CERTAIN
DISCLOSURES ON MATTERS OF CONTROL AND RISK IN
PROTECTED AND SENSITIVE AREAS
--------------------------------------------------------------------------------
CITIGROUP INC. C Meeting Date: 04/20/2004
Issuer: 172967
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
C. MICHAEL ARMSTRONG Management Withheld Against
ALAIN J.P. BELDA Management Withheld Against
GEORGE DAVID Management Withheld Against
KENNETH T. DERR Management Withheld Against
JOHN M. DEUTCH Management Withheld Against
R. HERNANDEZ RAMIREZ Management Withheld Against
ANN DIBBLE JORDAN Management Withheld Against
DUDLEY C. MECUM Management Withheld Against
RICHARD D. PARSONS Management Withheld Against
ANDRALL E. PEARSON Management Withheld Against
CHARLES PRINCE Management Withheld Against
ROBERT E. RUBIN Management Withheld Against
FRANKLIN A. THOMAS Management Withheld Against
SANFORD I. WEILL Management Withheld Against
ROBERT B. WILLUMSTAD Management Withheld Against
02 PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP Management For For
AS CITIGROUP S INDEPENDENT AUDITORS FOR 2004.
03 STOCKHOLDER PROPOSAL REQUESTING A CURB ON Shareholder Against For
EXECUTIVE COMPENSATION, NO FUTURE STOCK OPTION
GRANTS AND NO RENEWALS OR EXTENSIONS OF OPTION
PLANS.
04 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder For Against
POLITICAL CONTRIBUTIONS.
05 STOCKHOLDER PROPOSAL REQUESTING A DISCONTINUATION Shareholder Against For
OF ALL RIGHTS, OPTIONS, SAR S AND POSSIBLE
SEVERANCE PAYMENTS TO THE TOP 5 OF MANAGEMENT.
06 STOCKHOLDER PROPOSAL REQUESTING THAT THE CHAIRMAN Shareholder For Against
OF THE BOARD HAVE NO MANAGEMENT DUTIES, TITLES
OR RESPONSIBILITIES.
Tri-Continental Corporation
--------------------------------------------------------------------------------
MORGAN STANLEY MWD Meeting Date: 04/20/2004
Issuer: 617446
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
JOHN W. MADIGAN Management For For
DR. KLAUS ZUMWINKEL Management For For
SIR HOWARD DAVIES Management For For
02 TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Management For For
LLP AS INDEPENDENT AUDITORS
03 SHAREHOLDER PROPOSAL TO DECLASSIFY THE BOARD Shareholder For Against
OF DIRECTORS
04 SHAREHOLDER PROPOSAL TO REQUIRE SHAREHOLDER Shareholder For Against
APPROVAL OF GOLDEN PARACHUTE AGREEMENTS
05 SHAREHOLDER PROPOSAL TO DISCLOSE POLITICAL Shareholder For Against
CONTRIBUTION
--------------------------------------------------------------------------------
U.S. BANCORP USB Meeting Date: 04/20/2004
Issuer: 902973
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
V. BUYNISKI GLUCKMAN Management For For
ARTHUR D. COLLINS, JR. Management For For
JERRY W. LEVIN Management For For
THOMAS E. PETRY Management For For
RICHARD G. REITEN Management For For
02 RATIFY SELECTION OF ERNST & YOUNG LLP AS Management For For
INDEPENDENT AUDITORS FOR THE 2004 FISCAL YEAR.
03 SHAREHOLDER PROPOSAL: COMPENSATION SYSTEM FOR Shareholder Against For
SENIOR EXECUTIVES.
04 SHAREHOLDER PROPOSAL: SUPPLEMENTAL EXECUTIVE Shareholder Against For
RETIREMENT BENEFITS.
05 SHAREHOLDER PROPOSAL: SIMPLE MAJORITY VOTING. Shareholder For Against
--------------------------------------------------------------------------------
WACHOVIA CORPORATION WB Meeting Date: 04/20/2004
Issuer: 929903
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
JAMES S. BALLOUN Management For For
JOHN T. CASTEEN, III Management For For
JOSEPH NEUBAUER Management For For
LANTY L. SMITH Management For For
DONA DAVIS YOUNG Management For For
02 A WACHOVIA PROPOSAL TO RATIFY THE APPOINTMENT Management For For
OF KPMG LLP AS AUDITORS FOR THE YEAR 2004.
03 A STOCKHOLDER PROPOSAL, WHICH MANAGEMENT OPPOSES, Shareholder Against For
REGARDING NOMINATING DIRECTORS.
04 A STOCKHOLDER PROPOSAL, WHICH MANAGEMENT OPPOSES, Shareholder For Against
REGARDING REPORTING POLITICAL INFORMATION.
05 A STOCKHOLDER PROPOSAL, WHICH MANAGEMENT OPPOSES, Shareholder For Against
REGARDING SEPARATING THE OFFICES OF CHAIRMAN
AND CHIEF EXECUTIVE OFFICER.
Tri-Continental Corporation
--------------------------------------------------------------------------------
CARNIVAL CORPORATION CCL Meeting Date: 04/22/2004
Issuer: 143658
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
MICKY ARISON Management Withheld Against
AMB RICHARD G. CAPEN JR Management Withheld Against
ROBERT H. DICKINSON Management Withheld Against
ARNOLD W. DONALD Management Withheld Against
PIER LUIGI FOSCHI Management Withheld Against
HOWARD S. FRANK Management Withheld Against
BARONESS HOGG Management Withheld Against
A. KIRK LANTERMAN Management Withheld Against
MODESTO A. MAIDIQUE Management Withheld Against
JOHN P. MCNULTY Management Withheld Against
PETER RATCLIFFE Management Withheld Against
SIR JOHN PARKER Management Withheld Against
STUART SUBOTNICK Management Withheld Against
UZI ZUCKER Management Withheld Against
02 TO APPOINT PRICEWATERHOUSECOOPERS AS INDEPENDENT Management For For
AUDITORS FOR CARNIVAL PLC AND TO RATIFY THE
SELECTION OF PRICEWATERHOUSECOOPERS LLP AS
INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS FOR
CARNIVAL CORPORATION.
03 TO AUTHORIZE THE AUDIT COMMITTEE OF CARNIVAL Management For For
PLC TO AGREE THE REMUNERATION OF THE INDEPENDENT
AUDITORS.
04 TO RECEIVE THE ACCOUNTS AND REPORTS FOR CARNIVAL Management For For
PLC FOR THE FINANCIAL PERIOD ENDED NOVEMBER 30,
2003.
05 TO APPROVE THE DIRECTORS REMUNERATION REPORT Management For For
OF CARNIVAL PLC.
06 TO APPROVE LIMITS ON THE AUTHORITY TO ALLOT Management For For
SHARES BY CARNIVAL PLC.
07 TO APPROVE THE DISAPPLICATION OF PRE-EMPTION Management For For
RIGHTS FOR CARNIVAL PLC SHARES.
--------------------------------------------------------------------------------
JOHNSON & JOHNSON JNJ Meeting Date: 04/22/2004
Issuer: 478160
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
GERARD N. BURROW Management For For
MARY S. COLEMAN Management For For
JAMES G. CULLEN Management For For
ROBERT J. DARRETTA Management For For
M. JUDAH FOLKMAN Management For For
ANN D. JORDAN Management For For
ARNOLD G. LANGBO Management For For
SUSAN L. LINDQUIST Management For For
LEO F. MULLIN Management For For
STEVEN S REINEMUND Management For For
DAVID SATCHER Management For For
HENRY B. SCHACHT Management For For
WILLIAM C. WELDON Management For For
02 RATIFICATION OF APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS AS INDEPENDENT AUDITORS
03 PROPOSAL ON CHARITABLE CONTRIBUTIONS Shareholder Abstain Against
Tri-Continental Corporation
--------------------------------------------------------------------------------
NOBLE CORPORATION NE Meeting Date: 04/22/2004
Issuer: G65422
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
MICHAEL A. CAWLEY Management Withheld Against
LUKE R. CORBETT Management Withheld Against
JACK E. LITTLE Management Withheld Against
02 APPROVAL OF THE APPOINTMENT OF INDEPENDENT Management For For
AUDITORS FOR 2004.
--------------------------------------------------------------------------------
PFIZER INC. PFE Meeting Date: 04/22/2004
Issuer: 717081
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
MICHAEL S. BROWN Management Withheld Against
M. ANTHONY BURNS Management Withheld Against
ROBERT N. BURT Management Withheld Against
W. DON CORNWELL Management Withheld Against
WILLIAM H. GRAY III Management Withheld Against
CONSTANCE J. HORNER Management Withheld Against
WILLIAM R. HOWELL Management Withheld Against
STANLEY O. IKENBERRY Management Withheld Against
GEORGE A. LORCH Management Withheld Against
HENRY A. MCKINNELL Management Withheld Against
DANA G. MEAD Management Withheld Against
FRANKLIN D. RAINES Management Withheld Against
RUTH J. SIMMONS Management Withheld Against
WILLIAM C. STEERE, JR. Management Withheld Against
JEAN-PAUL VALLES Management Withheld Against
02 A PROPOSAL TO APPROVE THE APPOINTMENT OF KPMG Management For For
LLP AS INDEPENDENT AUDITORS FOR 2004.
03 A PROPOSAL TO APPROVE THE PFIZER INC. 2004 STOCK Management Against Against
PLAN.
04 SHAREHOLDER PROPOSAL REQUESTING REVIEW OF THE Shareholder Abstain Against
ECONOMIC EFFECTS OF THE HIV/AIDS, TB AND MALARIA
PANDEMICS ON THE COMPANY S BUSINESS STRATEGY.
05 SHAREHOLDER PROPOSAL RELATING TO POLITICAL Shareholder Abstain Against
CONTRIBUTIONS.
06 SHAREHOLDER PROPOSAL RELATING TO AN ANNUAL REPORT Shareholder For Against
ON CORPORATE RESOURCES DEVOTED TO SUPPORTING
POLITICAL ENTITIES OR CANDIDATES.
07 SHAREHOLDER PROPOSAL SEEKING TO IMPOSE TERM LIMITS Shareholder Against For
ON DIRECTORS.
08 SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder Abstain Against
INCREASING ACCESS TO PFIZER PRODUCTS.
09 SHAREHOLDER PROPOSAL ON STOCK OPTIONS. Shareholder Against For
10 SHAREHOLDER PROPOSAL ON IN VITRO TESTING. Shareholder Abstain Against
Tri-Continental Corporation
--------------------------------------------------------------------------------
WENDY'S INTERNATIONAL, INC. WEN Meeting Date: 04/22/2004
Issuer: 950590
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
JANET HILL Management Withheld Against
PAUL D. HOUSE Management Withheld Against
JOHN R. THOMPSON Management Withheld Against
J. RANDOLPH LEWIS Management Withheld Against
02 RATIFICATION OF THE SELECTION OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT
PUBLIC ACCOUNTANTS OF THE COMPANY FOR THE CURRENT
YEAR.
03 APPROVAL OF THE COMPANY S 2003 STOCK INCENTIVE Management Against Against
PLAN.
--------------------------------------------------------------------------------
WYETH WYE Meeting Date: 04/22/2004
Issuer: 983024
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
C.L. ALEXANDER, JR. Management For For
F.A. BENNACK, JR. Management For For
R.L. CARRION Management For For
R. ESSNER Management For For
J.D. FEERICK Management For For
R. LANGER Management For For
J.P. MASCOTTE Management For For
M.L. POLAN Management For For
I.G. SEIDENBERG Management For For
W.V. SHIPLEY Management For For
J.R. TORELL III Management For For
02 RATIFICATION OF PRINCIPAL INDEPENDENT PUBLIC Management For For
ACCOUNTANTS
03 ADOPTION OF THE STOCKHOLDER PROPOSAL ON ACCESS Shareholder Abstain Against
TO AND AFFORDABILITY OF PRESCRIPTION DRUGS
04 ADOPTION OF STOCKHOLDER PROPOSAL ON ANIMAL Shareholder Abstain Against
TESTING
Tri-Continental Corporation
--------------------------------------------------------------------------------
DOMINION RESOURCES, INC. D Meeting Date: 04/23/2004
Issuer: 25746U
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
SUSAN B. ALLEN Management Withheld Against
PETER W. BROWN Management Withheld Against
RONALD J. CALISE Management Withheld Against
THOS. E. CAPPS Management Withheld Against
GEORGE A. DAVIDSON, JR. Management Withheld Against
JOHN W. HARRIS Management Withheld Against
ROBERT S. JEPSON, JR. Management Withheld Against
BENJAMIN J. LAMBERT III Management Withheld Against
RICHARD L. LEATHERWOOD Management Withheld Against
MARGARET A. MCKENNA Management Withheld Against
KENNETH A. RANDALL Management Withheld Against
FRANK S. ROYAL Management Withheld Against
S. DALLAS SIMMONS Management Withheld Against
ROBERT H. SPILMAN Management Withheld Against
DAVID A. WOLLARD Management Withheld Against
02 RETENTION OF AUDITORS Management For For
03 SHAREHOLDER PROPOSAL Shareholder Against For
--------------------------------------------------------------------------------
MERRILL LYNCH & CO., INC. MER Meeting Date: 04/23/2004
Issuer: 590188
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
DAVID K. NEWBIGGING Management For For
JOSEPH W. PRUEHER Management For For
02 RATIFY APPOINTMENT OF DELOITTE & TOUCHE LLP AS Management For For
INDEPENDENT AUDITOR
03 INSTITUTE CUMULATIVE VOTING Shareholder Against For
04 INDEPENDENT CHAIRMAN SEPARATE FROM CHIEF Shareholder For Against
EXECUTIVE OFFICER
--------------------------------------------------------------------------------
ROWAN COMPANIES, INC. RDC Meeting Date: 04/23/2004
Issuer: 779382
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
WILLIAM T. FOX III Management Withheld Against
SIR GRAHAM HEARNE Management Withheld Against
H.E. LENTZ Management Withheld Against
P. DEXTER PEACOCK Management Withheld Against
--------------------------------------------------------------------------------
AMERICAN EXPRESS COMPANY AXP Meeting Date: 04/26/2004
Issuer: 025816
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
D.F. AKERSON Management For For
C. BARSHEFSKY Management For For
W.G. BOWEN Management For For
U.M. BURNS Management For For
K.I. CHENAULT Management For For
P.R. DOLAN Management For For
V.E. JORDAN, JR. Management For For
J. LESCHLY Management For For
R.A. MCGINN Management For For
E.D. MILLER Management For For
F.P. POPOFF Management For For
R.D. WALTER Management For For
02 PROPOSAL TO RATIFY SELECTION OF ERNST & YOUNG Management For For
LLP AS INDEPENDENT AUDITORS.
03 SHAREHOLDER PROPOSAL TO ESTABLISH SIX-YEAR TERM Shareholder Against For
LIMITS FOR DIRECTORS.
04 SHAREHOLDER PROPOSAL REQUESTING A SEPARATE ANNUAL Shareholder For Against
REPORT DESCRIBING THE COMPANY S POLITICAL
CONTRIBUTIONS.
Tri-Continental Corporation
--------------------------------------------------------------------------------
INTERNATIONAL BUSINESS MACHINES CORP IBM Meeting Date: 04/27/2004
Issuer: 459200
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
C. BLACK Management Withheld Against
K.I. CHENAULT Management Withheld Against
C. GHOSN Management Withheld Against
N.O. KEOHANE Management Withheld Against
C.F. KNIGHT Management Withheld Against
L.A. NOTO Management Withheld Against
S.J. PALMISANO Management Withheld Against
J.B. SLAUGHTER Management Withheld Against
J.E. SPERO Management Withheld Against
S. TAUREL Management Withheld Against
C.M. VEST Management Withheld Against
L.H. ZAMBRANO Management Withheld Against
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
ACCOUNTANTS (PRICEWATERHOUSECOOPERS LLP)
(PAGE 22)
03 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
ACCOUNTANTS FOR THE BUSINESS CONSULTING SERVICES
UNIT (ERNST & YOUNG LLP) (PAGE 22)
04 APPROVAL OF LONG-TERM INCENTIVE PERFORMANCE TERMS Management Against Against
FOR CERTAIN EXECUTIVES (PAGE 23)
05 STOCKHOLDER PROPOSAL ON: CUMULATIVE VOTING (PAGE Shareholder Against For
25)
06 STOCKHOLDER PROPOSAL ON: PENSION AND RETIREMENT Shareholder Against For
MEDICAL (PAGE 25)
07 STOCKHOLDER PROPOSAL ON: EXECUTIVE COMPENSATION Shareholder Against For
(PAGE 26)
08 STOCKHOLDER PROPOSAL ON: EXPENSING STOCK OPTIONS Shareholder For Against
(PAGE 28)
09 STOCKHOLDER PROPOSAL ON: DISCLOSURE OF EXECUTIVE Shareholder Against For
COMPENSATION (PAGE 29)
10 STOCKHOLDER PROPOSAL ON: CHINA BUSINESS Shareholder Abstain Against
PRINCIPLES (PAGE 30)
11 STOCKHOLDER PROPOSAL ON: POLITICAL CONTRIBUTIONS Shareholder For Against
(PAGE 31)
12 STOCKHOLDER PROPOSAL ON: A REVIEW OF EXECUTIVE Shareholder Against For
COMPENSATION POLICIES (PAGE 32)
Tri-Continental Corporation
--------------------------------------------------------------------------------
L-3 COMMUNICATIONS HOLDINGS, INC. LLL Meeting Date: 04/27/2004
Issuer: 502424
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
CLAUDE R. CANIZARES Management Withheld Against
THOMAS A. CORCORAN Management Withheld Against
ALAN H. WASHKOWITZ Management Withheld Against
02 APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS Management For For
INDEPENDENT AUDITORS.
03 APPROVAL OF AMENDMENT TO THE 1999 LONG TERM Management Against Against
PERFORMANCE PLAN.
04 RATIFICATION OF THE TERMS OF PERFORMANCE-BASED Management Against Against
COMPENSATION UNDER THE 1999 LONG TERM PERFORMANCE
PLAN.
--------------------------------------------------------------------------------
NOBLE ENERGY, INC. NBL Meeting Date: 04/27/2004
Issuer: 655044
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
MICHAEL A. CAWLEY Management Withheld Against
EDWARD F. COX Management Withheld Against
CHARLES D. DAVIDSON Management Withheld Against
KIRBY L. HEDRICK Management Withheld Against
DALE P. JONES Management Withheld Against
BRUCE A. SMITH Management Withheld Against
02 PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP Management For For
AS THE COMPANY S INDEPENDENT AUDITOR.
03 PROPOSAL TO APPROVE THE AMENDMENT TO THE 1988 Management Against Against
NONQUALIFIED STOCK OPTION PLAN FOR NON-EMPLOYEE
DIRECTORS TO INCREASE THE NUMBER OF SHARES OF
COMMON STOCK OF THE COMPANY THAT MAY BE AWARDED
BY STOCK OPTION GRANTS FROM 550,000 TO 750,000.
04 PROPOSAL TO APPROVE THE MATERIAL TERMS OF THE Management Against Against
PERFORMANCE GOALS APPLICABLE TO FUTURE GRANTS OF
RESTRICTED STOCK AND PERFORMANCE UNITS UNDER THE
2004 LONG-TERM INCENTIVE PLAN FOR PURPOSES OF
SECTION 162(M) OF THE INTERNAL REVENUE CODE.
--------------------------------------------------------------------------------
PRAXAIR, INC. PX Meeting Date: 04/27/2004
Issuer: 74005P
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
ALEJANDRO ACHAVAL Management For For
RONALD L. KUEHN, JR. Management For For
H. MITCHELL WATSON, JR. Management For For
02 PROPOSAL TO AMEND THE LONG TERM INCENTIVE PLAN. Management For For
03 PROPOSAL TO AMEND THE CERTIFICATE OF Management For For
INCORPORATION.
04 PROPOSAL TO APPROVE A STOCKHOLDER PROTECTION Management Against Against
RIGHTS AGREEMENT.
Tri-Continental Corporation
--------------------------------------------------------------------------------
WELLS FARGO & COMPANY WFC Meeting Date: 04/27/2004
Issuer: 949746
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
J.A. BLANCHARD III Management Withheld Against
SUSAN E. ENGEL Management Withheld Against
ENRIQUE HERNANDEZ, JR. Management Withheld Against
ROBERT L. JOSS Management Withheld Against
REATHA CLARK KING Management Withheld Against
RICHARD M. KOVACEVICH Management Withheld Against
RICHARD D. MCCORMICK Management Withheld Against
CYNTHIA H. MILLIGAN Management Withheld Against
PHILIP J. QUIGLEY Management Withheld Against
DONALD B. RICE Management Withheld Against
JUDITH M. RUNSTAD Management Withheld Against
STEPHEN W. SANGER Management Withheld Against
SUSAN G. SWENSON Management Withheld Against
MICHAEL W. WRIGHT Management Withheld Against
02 PROPOSAL TO APPROVE THE COMPANY S SUPPLEMENTAL Management For For
401(K) PLAN.
03 PROPOSAL TO RATIFY APPOINTMENT OF KPMG LLP AS Management For For
INDEPENDENT AUDITORS FOR 2004.
04 STOCKHOLDER PROPOSAL REGARDING EXPENSING STOCK Shareholder For Against
OPTIONS.
05 STOCKHOLDER PROPOSAL REGARDING RESTRICTED STOCK. Shareholder For Against
06 STOCKHOLDER PROPOSAL REGARDING EXECUTIVE Shareholder Against For
COMPENSATION AND PREDATORY LENDING.
07 STOCKHOLDER PROPOSAL REGARDING POLITICAL Shareholder For Against
CONTRIBUTIONS.
--------------------------------------------------------------------------------
CHEVRONTEXACO CORPORATION CVX Meeting Date: 04/28/2004
Issuer: 166764
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
S.H. ARMACOST Management Withheld Against
R.E. DENHAM Management Withheld Against
R.J. EATON Management Withheld Against
S. GINN Management Withheld Against
C.A. HILLS Management Withheld Against
F.G. JENIFER Management Withheld Against
J.B. JOHNSTON Management Withheld Against
S. NUNN Management Withheld Against
D.J. O'REILLY Management Withheld Against
P.J. ROBERTSON Management Withheld Against
C.R. SHOEMATE Management Withheld Against
C. WARE Management Withheld Against
02 RATIFICATION OF INDEPENDENT ACCOUNTANTS Management For For
03 SHOW SUPPORT FOR THE STOCKHOLDER RIGHTS Management For For
PLAN POLICY
04 APPROVAL OF THE LONG-TERM INCENTIVE PLAN Management Against Against
05 HIV/AIDS, TUBERCULOSIS, AND MALARIA Shareholder Abstain Against
06 POLITICAL DISCLOSURE Shareholder For Against
07 DIRECTOR ELECTION VOTE THRESHOLD Shareholder Against For
08 REPORT ON ECUADOR Shareholder Abstain Against
09 RENEWABLE ENERGY Shareholder Abstain Against
Tri-Continental Corporation
--------------------------------------------------------------------------------
CLEAR CHANNEL COMMUNICATIONS, INC. CCU Meeting Date: 04/28/2004
Issuer: 184502
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
ALAN D. FELD Management Withheld Against
THOMAS O. HICKS Management Withheld Against
PERRY J. LEWIS Management Withheld Against
L. LOWRY MAYS Management Withheld Against
MARK P. MAYS Management Withheld Against
RANDALL T. MAYS Management Withheld Against
B.J. MCCOMBS Management Withheld Against
PHYLLIS B. RIGGINS Management Withheld Against
THEORDORE H. STRAUSS Management Withheld Against
J.C. WATTS Management Withheld Against
JOHN H. WILLIAMS Management Withheld Against
02 RATIFICATION OF THE SELECTION OF ERNST & YOUNG Management For For
LLP AS INDEPENDENT AUDITORS FOR THE YEAR ENDING
DECEMBER 31, 2004.
--------------------------------------------------------------------------------
GENERAL ELECTRIC COMPANY GE Meeting Date: 04/28/2004
Issuer: 369604
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
0A DIRECTOR Management Withheld Against
JAMES I. CASH, JR. Management Withheld Against
DENNIS D. DAMMERMAN Management Withheld Against
ANN M. FUDGE Management Withheld Against
CLAUDIO X. GONZALEZ Management Withheld Against
JEFFREY R. IMMELT Management Withheld Against
ANDREA JUNG Management Withheld Against
ALAN G. LAFLEY Management Withheld Against
KENNETH G. LANGONE Management Withheld Against
RALPH S. LARSEN Management Withheld Against
ROCHELLE B. LAZARUS Management Withheld Against
SAM NUNN Management Withheld Against
ROGER S. PENSKE Management Withheld Against
ROBERT J. SWIERINGA Management Withheld Against
DOUGLAS A. WARNER III Management Withheld Against
ROBERT C. WRIGHT Management Withheld Against
0B INDEPENDENT AUDITOR Management For For
0C REVENUE MEASUREMENT ADDED TO EXECUTIVE OFFICER Management For For
PERFORMANCE GOALS
01 CUMULATIVE VOTING Shareholder Against For
02 ANIMAL TESTING Shareholder Abstain Against
03 NUCLEAR RISK Shareholder Abstain Against
04 REPORT ON PCB CLEANUP COSTS Shareholder Abstain Against
05 OFFSHORE SOURCING Shareholder Abstain Against
06 SUSTAINABILITY INDEX Shareholder Abstain Against
07 COMPENSATION COMMITTEE INDEPENDENCE Shareholder Against For
08 PAY DISPARITY Shareholder Abstain Against
09 END STOCK OPTIONS AND BONUSES Shareholder Against For
10 LIMIT OUTSIDE DIRECTORSHIPS Shareholder Against For
11 INDEPENDENT BOARD CHAIRMAN Shareholder For Against
12 EXPLORE SALE OF COMPANY Shareholder Against For
13 HOLDING STOCK FROM STOCK OPTIONS Shareholder Against For
14 BOARD INDEPENDENCE Shareholder For Against
15 POLITICAL CONTRIBUTIONS Shareholder For Against
Tri-Continental Corporation
--------------------------------------------------------------------------------
ALTRIA GROUP, INC. MO Meeting Date: 04/29/2004
Issuer: 02209S
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
ELIZABETH E. BAILEY Management For For
MATHIS CABIALLAVETTA Management For For
LOUIS C. CAMILLERI Management For For
J. DUDLEY FISHBURN Management For For
ROBERT E. R. HUNTLEY Management For For
THOMAS W. JONES Management For For
LUCIO A. NOTO Management For For
JOHN S. REED Management For For
CARLOS SLIM HELU Management For For
STEPHEN M. WOLF Management For For
02 RATIFICATION OF THE SELECTION OF INDEPENDENT Management For For
AUDITORS
03 STOCKHOLDER PROPOSAL NO. 1 Shareholder Abstain Against
04 STOCKHOLDER PROPOSAL NO. 2 Shareholder Abstain Against
05 STOCKHOLDER PROPOSAL NO. 3 Shareholder For Against
06 STOCKHOLDER PROPOSAL NO. 4 Shareholder Abstain Against
07 STOCKHOLDER PROPOSAL NO. 5 Shareholder Abstain Against
08 STOCKHOLDER PROPOSAL NO. 6 Shareholder For Against
--------------------------------------------------------------------------------
CAPITAL ONE FINANCIAL CORPORATION COF Meeting Date: 04/29/2004
Issuer: 14040H
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
W. RONALD DIETZ Management Withheld Against
LEWIS HAY, III Management Withheld Against
MAYO A. SHATTUCK, III Management Withheld Against
02 RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT Management For For
AUDITORS OF THE CORPORATION FOR 2004.
03 APPROVAL OF CAPITAL ONE S 2004 STOCK INCENTIVE Management Against Against
PLAN.
--------------------------------------------------------------------------------
AETNA INC. AET Meeting Date: 04/30/2004
Issuer: 00817Y
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
BETSY Z. COHEN Management For For
BARBARA H. FRANKLIN Management For For
JEFFREY E. GARTEN Management For For
EARL G. GRAVES Management For For
GERALD GREENWALD Management For For
ELLEN M. HANCOCK Management For For
MICHAEL H. JORDAN Management For For
JACK D. KUEHLER Management For For
EDWARD J. LUDWIG Management For For
JOSEPH P. NEWHOUSE Management For For
JUDITH RODIN Management For For
JOHN W. ROWE, M.D. Management For For
RONALD A. WILLIAMS Management For For
R. DAVID YOST Management For For
02 APPROVAL OF KPMG LLP AS INDEPENDENT AUDITORS Management For For
03 SHAREHOLDER PROPOSAL ON CUMULATIVE VOTING Shareholder Against For
04 SHAREHOLDER PROPOSAL ON EXECUTIVE COMPENSATION Shareholder Against For
Tri-Continental Corporation
--------------------------------------------------------------------------------
APARTMENT INVESTMENT AND MANAGEMENT AIV Meeting Date: 04/30/2004
Issuer: 03748R
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
TERRY CONSIDINE Management Withheld Against
PETER K. KOMPANIEZ Management Withheld Against
JAMES N. BAILEY Management Withheld Against
RICHARD S. ELLWOOD Management Withheld Against
J. LANDIS MARTIN Management Withheld Against
THOMAS L. RHODES Management Withheld Against
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP Management For For
TO SERVE AS INDEPENDENT AUDITORS FOR THE COMPANY
FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004.
03 TO APPROVE THE SALE OF HIGH PERFORMANCE UNITS. Management For For
04 TO URGE THE COMPENSATION AND HUMAN RESOURCES Shareholder For Against
COMMITTEE OF THE BOARD TO ESTABLISH A POLICY TO
SEEK STOCKHOLDER APPROVAL OF CERTAIN EXECUTIVE
SEVERANCE ARRANGEMENTS.
--------------------------------------------------------------------------------
OCCIDENTAL PETROLEUM CORPORATION OXY Meeting Date: 04/30/2004
Issuer: 674599
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
RONALD W. BURKLE Management For For
JOHN S. CHALSLY Management For For
EDWARD P. DJEREJIAN Management For For
R. CHAD DREIER Management For For
JOHN E. FEICK Management For For
RAY R. IRANI Management For For
DALE R. LAURANCE Management For For
IRVIN W. MALONEY Management For For
RODOLFO SEGOVIA Management For For
AZIZ D. SYRIANI Management For For
ROSEMARY TOMICH Management For For
WALTER L. WEISMAN Management For For
02 THE RATIFICATION OF THE SELECTION OF KPMG AS Management For For
INDEPENDENT AUDITORS.
03 APPROVAL OF AMENDMENT TO THE RESTRICTED STOCK Management For For
PLAN FOR NON-EMPLOYEE DIRECTORS.
04 DISCONTINUANCE OF OPTIONS, RIGHTS AND SEVERANCE Shareholder Against For
PAYMENTS.
Tri-Continental Corporation
--------------------------------------------------------------------------------
THE SERVICEMASTER COMPANY SVM Meeting Date: 04/30/2004
Issuer: 81760N
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
LORD GRIFFITHS Management Withheld Against
SIDNEY E. HARRIS Management Withheld Against
JAMES D. MCLENNAN Management Withheld Against
02 APPROVE THE SERVICEMASTER 2004 EMPLOYEE STOCK Management Against Against
PURCHASE PLAN.
03 RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP Management For For
AS INDEPENDENT AUDITORS.
04 SHAREHOLDER PROPOSAL REGARDING THE RIGHTS Shareholder For Against
AGREEMENT.
--------------------------------------------------------------------------------
MBNA CORPORATION KRB Meeting Date: 05/03/2004
Issuer: 55262L
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
JAMES H. BERICK Management Withheld Against
BENJAMIN R. CIVILETTI Management Withheld Against
BRUCE L. HAMMONDS Management Withheld Against
WILLIAM L. JEWS Management Withheld Against
RANDOLPH D. LERNER Management Withheld Against
STUART L. MARKOWITZ Management Withheld Against
WILLIAM B. MILSTEAD Management Withheld Against
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
AUDITORS
03 STOCKHOLDER PROPOSAL (ITEM 3 IN PROXY STATEMENT) Shareholder For Against
04 STOCKHOLDER PROPOSAL (ITEM 4 IN PROXY STATEMENT) Shareholder For Against
--------------------------------------------------------------------------------
CONOCOPHILLIPS COP Meeting Date: 05/05/2004
Issuer: 20825C
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
DAVID L. BOREN Management For For
JAMES E. COPELAND, JR. Management For For
KENNETH M. DUBERSTEIN Management For For
RUTH R. HARKIN Management For For
WILLIAM R. RHODES Management For For
J. STAPLETON ROY Management For For
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
AUDITORS
03 AUTHORIZE THE 2004 OMNIBUS STOCK AND PERFORMANCE Management Against Against
INCENTIVE PLAN
04 OFFICER & DIRECTOR COMPENSATION Shareholder Against For
05 COMMONSENSE EXECUTIVE COMPENSATION Shareholder Against For
06 ANWR DRILLING Shareholder Abstain Against
Tri-Continental Corporation
--------------------------------------------------------------------------------
GENERAL DYNAMICS CORPORATION GD Meeting Date: 05/05/2004
Issuer: 369550
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
N.D. CHABRAJA Management For For
J.S. CROWN Management For For
L. CROWN Management For For
W.P. FRICKS Management For For
C.H. GOODMAN Management For For
J.L. JOHNSON Management For For
G.A. JOULWAN Management For For
P.G. KAMINSKI Management For For
J.M. KEANE Management For For
L.L. LYLES Management For For
C.E. MUNDY, JR. Management For For
R. WALMSLEY Management For For
02 APPROVAL OF THE EQUITY COMPENSATION PLAN. Management For For
03 SHAREHOLDER PROPOSAL WITH REGARD TO POISON PILLS. Shareholder For Against
04 SHAREHOLDER PROPOSAL WITH REGARD TO FOREIGN Shareholder Abstain Against
MILITARY SALES.
--------------------------------------------------------------------------------
PEPSICO, INC. PEP Meeting Date: 05/05/2004
Issuer: 713448
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
J.F. AKERS Management For For
R.E. ALLEN Management For For
R.L. HUNT Management For For
A.C. MARTINEZ Management For For
I.K. NOOYI Management For For
F.D. RAINES Management For For
S.S. REINEMUND Management For For
S.P. ROCKEFELLER Management For For
J.J. SCHIRO Management For For
F.A. THOMAS Management For For
C.M. TRUDELL Management For For
S.D. TRUJILLO Management For For
D. VASELLA Management For For
02 APPROVAL OF AUDITORS Management For For
03 APPROVAL OF THE 2004 EXECUTIVE INCENTIVE Management For For
COMPENSATION PLAN
04 SHAREHOLDER PROPOSAL (PROXY STATEMENT P.22) Shareholder Against For
05 SHAREHOLDER PROPOSAL (PROXY STATEMENT P.23) Shareholder Abstain Against
Tri-Continental Corporation
--------------------------------------------------------------------------------
AMERICAN TOWER CORPORATION AMT Meeting Date: 05/06/2004
Issuer: 029912
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
RAYMOND P. DOLAN Management For For
CAROLYN F. KATZ Management For For
FRED R. LUMMIS Management For For
PAMELA D.A. REEVE Management For For
JAMES D. TAICLET, JR. Management For For
02 RATIFICATION OF THE SELECTION OF DELOITTE & Management For For
TOUCHE LLP AS INDEPENDENT AUDITORS FOR 2004.
--------------------------------------------------------------------------------
FREEPORT-MCMORAN COPPER & GOLD INC. FCX Meeting Date: 05/06/2004
Issuer: 35671D
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
MR. ALLISON Management Withheld Against
MR. CLIFFORD Management Withheld Against
MR. MOFFETT Management Withheld Against
MR. RANKIN Management Withheld Against
MR. WHARTON Management Withheld Against
02 RATIFICATION OF APPOINTMENT OF ERNST & YOUNG Management For For
LLP AS INDEPENDENT AUDITORS.
03 APPROVAL OF THE PROPOSED 2004 DIRECTOR Management Against Against
COMPENSATION PLAN.
04 STOCKHOLDER PROPOSAL REGARDING FINANCIAL SUPPORT Shareholder Abstain Against
OF INDONESIAN GOVERNMENT SECURITY PERSONNEL
--------------------------------------------------------------------------------
ILLINOIS TOOL WORKS INC. ITW Meeting Date: 05/07/2004
Issuer: 452308
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
WILLIAM F. ALDINGER Management For For
MICHAEL J. BIRCK Management For For
MARVIN D. BRAILSFORD Management For For
JAMES R. CANTALUPO Management For For
SUSAN CROWN Management For For
DON H. DAVIS, JR. Management For For
W. JAMES FARRELL Management For For
ROBERT C. MCCORMACK Management For For
ROBERT S. MORRISON Management For For
HAROLD B. SMITH Management For For
02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For For
TOUCHE LLP.
Tri-Continental Corporation
--------------------------------------------------------------------------------
MASCO CORPORATION MAS Meeting Date: 05/11/2004
Issuer: 574599
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
PETER A. DOW* Management For For
ANTHONY F. EARLEY, JR.* Management For For
WAYNE B. LYON* Management For For
DAVID L. JOHNSTON** Management For For
J. MICHAEL LOSH** Management For For
02 PROPOSAL TO APPROVE THE MASCO CORPORATION 2004 Management For For
RESTRICTED STOCK AWARD PROGRAM.
03 RATIFICATION OF THE SELECTION OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
AUDITORS FOR THE COMPANY FOR THE YEAR 2004.
--------------------------------------------------------------------------------
RADIAN GROUP INC. RDN Meeting Date: 05/11/2004
Issuer: 750236
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
JAMES W. JENNINGS Management Withheld Against
ROY J. KASMAR Management Withheld Against
HERBERT WENDER Management Withheld Against
JAN NICHOLSON Management Withheld Against
02 TO AMEND AND RESTATE RADIAN S EQUITY COMPENSATION Management For For
PLAN.
03 TO ADOPT RADIAN S AMENDED AND RESTATED Management For For
CERTIFICATE OF INCORPORATION.
04 TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Management For For
LLP AS RADIAN S INDEPENDENT AUDITORS FOR THE
YEAR ENDING DECEMBER 31, 2004.
--------------------------------------------------------------------------------
TAIWAN SEMICONDUCTOR MFG. CO. LTD. TSM Meeting Date: 05/11/2004
Issuer: 874039
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
05 TO ACCEPT 2003 BUSINESS REPORT AND FINANCIAL Management For For
STATEMENTS.
06 TO APPROVE THE PROPOSAL FOR DISTRIBUTION OF 2003 Management For For
PROFITS.
07 TO APPROVE THE CAPITALIZATION OF 2003 DIVIDENDS Management Against Against
AND EMPLOYEE PROFIT SHARING.
Tri-Continental Corporation
--------------------------------------------------------------------------------
LABORATORY CORP. OF AMERICA HOLDINGS LH Meeting Date: 05/12/2004
Issuer: 50540R
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
THOMAS P. MAC MAHON Management For For
JEAN-LUC BELINGARD Management For For
WENDY E. LANE Management For For
R.E. MITTELSTAEDT, JR. Management For For
ANDREW G. WALLACE, M.D. Management For For
M. KEITH WEIKEL Management For For
CRAIG M. WATSON Management For For
02 APPROVAL OF THE AMENDMENTS TO THE 1997 EMPLOYEE Management For For
STOCK PURCHASE PLAN (THE ESPP AMENDMENT )
03 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS LABORATORY
CORPORATION OF AMERICA HOLDINGS
INDEPENDENT ACCOUNTANTS FOR 2004.
--------------------------------------------------------------------------------
ST. JUDE MEDICAL, INC. STJ Meeting Date: 05/12/2004
Issuer: 790849
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
MICHAEL A. ROCCA Management For For
DAVID A. THOMPSON Management For For
STEFAN K. WIDENSOHLER Management For For
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For For
YOUNG LLP AS THE COMPANY S INDEPENDENT AUDITORS
FOR 2004.
03 PROPOSAL TO APPROVE THE COMPANY S MANAGEMENT Management For For
INCENTIVE COMPENSATION PLAN.
04 PROPOSAL TO INCREASE THE COMPANY S AUTHORIZED Management For For
SHARES OF COMMON STOCK TO 500 MILLION SHARES.
05 SHAREHOLDER PROPOSAL TO ADOPT THE COMMONSENSE Shareholder Against For
EXECUTIVE COMPENSATION PROPOSAL.
--------------------------------------------------------------------------------
TRIBUNE COMPANY TRB Meeting Date: 05/12/2004
Issuer: 896047
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
JEFFREY CHANDLER Management Withheld Against
WILLIAM A. OSBORN Management Withheld Against
KATHRYN C. TURNER Management Withheld Against
02 RATIFICATION OF INDEPENDENT PUBLIC ACCOUNTANTS. Management For For
03 APPROVAL OF AMENDMENTS TO THE TRIBUNE COMPANY Management Against Against
1997 INCENTIVE COMPENSATION PLAN.
Tri-Continental Corporation
--------------------------------------------------------------------------------
UNIVISION COMMUNICATIONS INC. UVN Meeting Date: 05/12/2004
Issuer: 914906
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
A. JERROLD PERENCHIO Management Withheld Against
FERNANDO AGUIRRE Management Withheld Against
HAROLD GABA Management Withheld Against
ALAN F. HORN Management Withheld Against
JOHN G. PERENCHIO Management Withheld Against
RAY RODRIGUEZ Management Withheld Against
MCHENRY T. TICHENOR, JR Management Withheld Against
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management Against Against
YOUNG LLP AS INDEPENDENT AUDITORS FOR
FISCAL 2004.
03 PROPOSAL TO ADOPT THE 2004 PERFORMANCE AWARD Management Against Against
PLAN.
--------------------------------------------------------------------------------
AMGEN INC. AMGN Meeting Date: 05/13/2004
Issuer: 031162
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
MR. FRANK J. BIONDI, JR Management Withheld Against
MR. JERRY D. CHOATE Management Withheld Against
MR. FRANK C. HERRINGER Management Withheld Against
DR. GILBERT S. OMENN Management Withheld Against
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP Management For For
AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE
YEAR ENDING DECEMBER 31, 2004.
3A STOCKHOLDER PROPOSAL #1 (EEO-1 REPORT). Shareholder Abstain Against
3B STOCKHOLDER PROPOSAL #2 (STOCK OPTION EXPENSING). Shareholder For Against
--------------------------------------------------------------------------------
DUKE ENERGY CORPORATION DUK Meeting Date: 05/13/2004
Issuer: 264399
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
PAUL M. ANDERSON Management For For
ANN M. GRAY Management For For
MICHAEL E.J. PHELPS Management For For
JAMES T. RHODES Management For For
02 RATIFICATION OF DELOITTE & TOUCHE LLP AS DUKE Management For For
ENERGY S INDEPENDENT AUDITORS FOR 2004.
03 A SHAREHOLDER PROPOSAL RELATING TO Shareholder For Against
DECLASSIFICATION OF DUKE ENERGY S BOARD OF
DIRECTORS, IF PROPERLY PRESENTED AT THE ANNUAL
MEETING.
Tri-Continental Corporation
--------------------------------------------------------------------------------
LEAR CORPORATION LEA Meeting Date: 05/13/2004
Issuer: 521865
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vot For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
LARRY W. MCCURDY Management Withheld Against
ROY E. PARROTT Management Withheld Against
RICHARD F. WALLMAN Management Withheld Against
02 RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS Management For For
OUR INDEPENDENT AUDITORS FOR 2004.
03 STOCKHOLDER PROPOSAL REGARDING OUR SHAREHOLDER Shareholder For Against
RIGHTS PLAN.
--------------------------------------------------------------------------------
PARTNERRE LTD. PRE Meeting Date: 05/13/2004
Issuer: G6852T
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
VITO H. BAUMGARTNER Management For For
JEAN-PAUL MONTUPET Management For For
JOHN A. ROLLWAGEN Management For For
LUCIO STANCA Management For For
02 TO APPROVE AN INCREASE IN THE MAXIMUM NUMBER Management For For
OF DIRECTORS FROM TEN TO ELEVEN, WITH THE MINIMUM
NUMBER OF DIRECTORS SET AT THREE, AND FOR THE
BOARD TO BE AUTHORIZED TO FILL ANY VACANCIES AS
AND WHEN THEY DEEM EXPEDIENT.
03 TO AMEND THE BYE-LAWS OF THE COMPANY TO REMOVE Management For For
THE EXEMPTION WHICH EXCLUDES SWISS REINSURANCE
COMPANY AND ITS AFFILIATES FROM THE PROHIBITION
ON OBTAINING OR EXERCISING MORE THAN 9.9% OF THE
VOTING RIGHTS ATTACHED TO THE COMPANY S ISSUED
AND OUTSTANDING SHARES.
04 TO INCREASE THE NUMBER OF COMMON SHARES RESERVED Management For For
FOR ISSUANCE UNDER THE PARTNERRE LTD. EMPLOYEE
INCENTIVE PLAN FROM 3,500,000 COMMON SHARES TO
5,000,000 COMMON SHARES.
05 TO REAPPOINT THE FIRM OF DELOITTE & TOUCHE TO Management For For
SERVE AS INDEPENDENT AUDITORS OF THE COMPANY
UNTIL THE COMPANY S 2005 ANNUAL GENERAL MEETING
AND TO REFER TO THE BOARD OF DIRECTORS THE
AUTHORITY TO DETERMINE THE REMUNERATION OF
DELOITTE & TOUCHE.
06 OTHER - IN THEIR DISCRETION UPON SUCH OTHER Management Against Against
MATTERS, INCLUDING WITHHOLDING A QUORUM, IF
NECESSARY, AS MAY PROPERLY COME BEFORE THE ANNUAL
GENERAL MEETING.
Tri-Continental Corporation
--------------------------------------------------------------------------------
PULTE HOMES, INC. PHM Meeting Date: 05/13/2004
Issuer: 745867
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
RICHARD J. DUGAS, JR.* Management Withheld Against
DAVID N. MCCAMMON* Management Withheld Against
WILLIAM J. PULTE* Management Withheld Against
FRANCIS J. SEHN* Management Withheld Against
MICHAEL E. ROSSI** Management Withheld Against
02 A PROPOSAL TO ADOPT THE PULTE HOMES, INC. 2004 Management Against Against
STOCK INCENTIVE PLAN.
03 A PROPOSAL BY A SHAREHOLDER REQUESTING THAT PULTE Shareholder For Against
HOMES, INC. ADOPT A POLICY THAT THE SELECTION
OF ITS INDEPENDENT AUDITOR BE SUBMITTED TO THE
SHAREHOLDERS FOR RATIFICATION AT ANNUAL MEETINGS.
--------------------------------------------------------------------------------
TRANSOCEAN INC. RIG Meeting Date: 05/13/2004
Issuer: G90078
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
ROBERT L. LONG Management Withheld Against
MARTIN B. MCNAMARA Management Withheld Against
ROBERT M. SPRAGUE Management Withheld Against
J. MICHAEL TALBERT Management Withheld Against
02 APPROVAL OF THE AMENDMENT OF OUR LONG-TERM Management For For
INCENTIVE PLAN AS DESCRIBED IN THE PROXY
STATEMENT.
03 APPROVAL OF THE APPOINTMENT OF ERNST & YOUNG Management For For
LLP TO SERVE AS INDEPENDENT AUDITORS.
--------------------------------------------------------------------------------
ANTHEM, INC. ATH Meeting Date: 05/17/2004
Issuer: 03674B
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
VICTOR S. LISS Management For For
JAMES W. MCDOWELL, JR. Management For For
GEORGE A. SCHAEFER, JR. Management For For
JACKIE M. WARD Management For For
--------------------------------------------------------------------------------
WATSON PHARMACEUTICALS, INC. WPI Meeting Date: 05/17/2004
Issuer: 942683
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
ALLEN CHAO, PH.D. Management Withheld Against
MICHEL J. FELDMAN Management Withheld Against
FRED G. WEISS Management Withheld Against
02 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITOR
FOR THE 2004 FISCAL YEAR.
03 STOCKHOLDER PROPOSAL ON EXECUTIVE COMPENSATION Shareholder Against For
Tri-Continental Corporation
--------------------------------------------------------------------------------
DEAN FOODS COMPANY DF Meeting Date: 05/18/2004
Issuer: 242370
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
ALAN J. BERNON Management Withheld Against
GREGG L. ENGLES Management Withheld Against
JOSEPH S. HARDIN, JR. Management Withheld Against
RONALD KIRK Management Withheld Against
JOHN S. LLEWELLYN, JR. Management Withheld Against
02 PROPOSAL TO RATIFY DELOITTE & TOUCHE LLP AS Management For For
INDEPENDENT AUDITOR.
--------------------------------------------------------------------------------
ADVANCE AUTO PARTS, INC. AAP Meeting Date: 05/19/2004
Issuer: 00751Y
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
LAWRENCE P. CASTELLANI Management Withheld Against
JOHN C. BROUILLARD Management Withheld Against
GILBERT T. RAY Management Withheld Against
JOHN M. ROTH Management Withheld Against
CARLOS A. SALADRIGAS Management Withheld Against
WILLIAM L. SALTER Management Withheld Against
FRANCESCA SPINELLI Management Withheld Against
NICHOLAS F. TAUBMAN Management Withheld Against
02 APPROVAL OF AN AMENDMENT TO OUR CERTIFICATE OF Management For For
INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED
SHARES OF OUR COMMON STOCK TO 200 MILLION SHARES.
03 APPROVAL OF THE 2004 LONG-TERM INCENTIVE PLAN. Management Against Against
04 RATIFICATION OF THE APPOINTMENT BY OUR AUDIT Management For For
COMMITTEE OF DELOITTE & TOUCHE LLP AS OUR
INDEPENDENT PUBLIC ACCOUNTANTS FOR 2004.
--------------------------------------------------------------------------------
AMERICAN INTERNATIONAL GROUP, INC. AIG Meeting Date: 05/19/2004
Issuer: 026874
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
M. AIDINOFF Management Withheld Against
P. CHIA Management Withheld Against
M. COHEN Management Withheld Against
W. COHEN Management Withheld Against
M. FELDSTEIN Management Withheld Against
E. FUTTER Management Withheld Against
M. GREENBERG Management Withheld Against
C. HILLS Management Withheld Against
F. HOENEMEYER Management Withheld Against
R. HOLBROOKE Management Withheld Against
D. KANAK Management Withheld Against
H. SMITH Management Withheld Against
M. SULLIVAN Management Withheld Against
E. TSE Management Withheld Against
F. ZARB Management Withheld Against
02 ADOPT CHIEF EXECUTIVE OFFICER ANNUAL COMPENSATION Management For For
PLAN
03 ADOPT A DIRECTOR STOCK PLAN Management For For
04 RATIFICATION OF INDEPENDENT ACCOUNTANTS Management For For
05 SHAREHOLDER PROPOSAL I DESCRIBED IN THE PROXY Shareholder For Against
STATEMENT
06 SHAREHOLDER PROPOSAL II DESCRIBED IN THE PROXY Shareholder Abstain Against
STATEMENT
07 SHAREHOLDER PROPOSAL III DESCRIBED IN THE PROXY Shareholder Abstain Against
STATEMENT
Tri-Continental Corporation
--------------------------------------------------------------------------------
INTEL CORPORATION INTC Meeting Date: 05/19/2004
Issuer: 458140
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
CRAIG R. BARRETT Management Withheld Against
CHARLENE BARSHEFSKY Management Withheld Against
E. JOHN P. BROWNE Management Withheld Against
ANDREW S. GROVE Management Withheld Against
D. JAMES GUZY Management Withheld Against
REED E. HUNDT Management Withheld Against
PAUL S. OTELLINI Management Withheld Against
DAVID S. POTTRUCK Management Withheld Against
JANE E. SHAW Management Withheld Against
JOHN L. THORNTON Management Withheld Against
DAVID B. YOFFIE Management Withheld Against
02 RATIFICATION OF SELECTION OF INDEPENDENT AUDITORS Management For For
03 APPROVAL OF THE 2004 EQUITY INCENTIVE PLAN Management Against Against
04 STOCKHOLDER PROPOSAL REQUESTING THE EXPENSING Shareholder For Against
OF STOCK OPTIONS
05 STOCKHOLDER PROPOSAL REQUESTING THE USE OF Against For
PERFORMANCE-VEShareholder STOCK
06 STOCKHOLDER PROPOSAL REQUESTING THE USE OF For Against
PERFORMANCE-BAShareholder STOCK OPTIONS
--------------------------------------------------------------------------------
TARGET CORPORATION TGT Meeting Date: 05/19/2004
Issuer: 87612E
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
CALVIN DARDEN Management Withheld Against
MICHELE J. HOOPER Management Withheld Against
ANNE M. MULCAHY Management Withheld Against
STEPHEN W. SANGER Management Withheld Against
WARREN R. STALEY Management Withheld Against
02 APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT Management For For
AUDITORS.
03 APPROVAL OF THE TARGET CORPORATION LONG-TERM Management Against Against
INCENTIVE PLAN.
Tri-Continental Corporation
--------------------------------------------------------------------------------
MEDIMMUNE, INC. MEDI Meeting Date: 05/20/2004
Issuer: 584699
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
WAYNE T. HOCKMEYER Management Withheld Against
DAVID M. MOTT Management Withheld Against
DAVID BALTIMORE Management Withheld Against
M. JAMES BARRETT Management Withheld Against
MELVIN D. BOOTH Management Withheld Against
JAMES H. CAVANAUGH Management Withheld Against
BARBARA H. FRANKLIN Management Withheld Against
GORDON S. MACKLIN Management Withheld Against
ELIZABETH H.S. WYATT Management Withheld Against
02 TO APPROVE THE 2004 STOCK INCENTIVE PLAN Management Against Against
03 TO APPROVE AND RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
AUDITORS FOR 2004
--------------------------------------------------------------------------------
TEVA PHARMACEUTICAL INDUSTRIES LIMIT TEVA Meeting Date: 05/20/2004
Issuer: 881624
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 TO RECEIVE AND DISCUSS THE COMPANY S CONSOLIDATED Management For For
BALANCE SHEET AS OF DECEMBER 31, 2003 AND THE
CONSOLIDATED STATEMENTS.
02 TO APPROVE THE BOARD OF DIRECTORS RECOMMENDATION Management For For
THAT THE CASH DIVIDEND FOR THE YEAR ENDED
DECEMBER 31, 2003, WHICH WAS PAID IN FOUR
INSTALLMENTS AND AGGREGATED NIS 1.44
(APPROXIMATELY US$0.322) PER ORDINARY SHARE, BE
DECLARED FINAL.
3A TO ELECT ABRAHAM E. COHEN TO SERVE FOR A Management Against Against
THREE-YEAR TERM.
3B TO ELECT LESLIE DAN TO SERVE FOR A THREE-YEAR Management Against Against
TERM.
3C TO ELECT PROF. MEIR HETH TO SERVE FOR A Management Against Against
THREE-YEAR TERM.
3D TO ELECT PROF. MOSHE MANY TO SERVE FOR A Management Against Against
THREE-YEAR TERM.
3E TO ELECT DOV SHAFIR TO SERVE FOR A THREE-YEAR Management Against Against
TERM.
04 TO APPROVE THE PURCHASE OF DIRECTOR S AND OFFICER Management For For
S LIABILITY INSURANCE FOR THE DIRECTORS AND
OFFICERS OF THE COMPANY.
05 TO APPOINT KESSELMAN & KESSELMAN, A MEMBER OF Management For For
PRICEWATERHOUSECOOPERS INTERNATIONAL LTD., AS
THE COMPANY S INDEPENDENT AUDITORS FOR THE YEAR
ENDING DECEMBER 31, 2004 AND AUTHORIZE THE AUDIT
COMMITTEE TO DETERMINE THEIR COMPENSATION.
Tri-Continental Corporation
--------------------------------------------------------------------------------
THE HARTFORD FINANCIAL SVCS GROUP, I HIG Meeting Date: 05/20/2004
Issuer: 416515
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
RAMANI AYER Management Withheld Against
RONALD E. FERGUSON Management Withheld Against
EDWARD J. KELLY, III Management Withheld Against
PAUL G. KIRK, JR. Management Withheld Against
THOMAS M. MARRA Management Withheld Against
GAIL J. MCGOVERN Management Withheld Against
ROBERT W. SELANDER Management Withheld Against
CHARLES B. STRAUSS Management Withheld Against
H. PATRICK SWYGERT Management Withheld Against
GORDON I. ULMER Management Withheld Against
DAVID K. ZWIENER Management Withheld Against
02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For For
TOUCHE LLP AS INDEPENDENT AUDITORS OF THE COMPANY
FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004.
03 PROPOSAL BY SHAREHOLDER RELATING TO EXECUTIVE Shareholder Against For
COMPENSATION.
Tri-Continental Corporation
--------------------------------------------------------------------------------
TIME WARNER INC. Meeting Date: 05/21/2004
Issuer: 887317
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
JAMES L. BARKSDALE Management Withheld Against
STEPHEN F. BOLLENBACH Management Withheld Against
STEPHEN M. CASE Management Withheld Against
FRANK J. CAUFIELD Management Withheld Against
ROBERT C. CLARK Management Withheld Against
MILES R. GILBURNE Management Withheld Against
CARLA A. HILLS Management Withheld Against
REUBEN MARK Management Withheld Against
MICHAEL A. MILES Management Withheld Against
KENNETH J. NOVACK Management Withheld Against
RICHARD D. PARSONS Management Withheld Against
R.E. TURNER Management Withheld Against
FRANCIS T. VINCENT, JR. Management Withheld Against
02 RATIFICATION OF AUDITORS. Management For For
03 STOCKHOLDER PROPOSAL REGARDING CHINA BUSINESS Shareholder Abstain Against
PRINCIPLES.
04 STOCKHOLDER PROPOSAL REGARDING REPORT ON PAY Shareholder Abstain Against
DISPARITY.
--------------------------------------------------------------------------------
FANNIE MAE FNM Meeting Date: 05/25/2004
Issuer: 313586
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
S.B. ASHLEY Management Withheld Against
K.M. DUBERSTEIN Management Withheld Against
T.P. GERRITY Management Withheld Against
T. HOWARD Management Withheld Against
A. KOROLOGOS Management Withheld Against
F.V. MALEK Management Withheld Against
D.B. MARRON Management Withheld Against
D.H. MUDD Management Withheld Against
A.M. MULCAHY Management Withheld Against
J.K. PICKETT Management Withheld Against
L. RAHL Management Withheld Against
F.D. RAINES Management Withheld Against
H.P. SWYGERT Management Withheld Against
02 RATIFICATION OF THE SELECTION OF AUDITORS Management For For
03 APPROVAL OF AN AMENDMENT TO THE FANNIE MAE Management For For
EMPLOYEE STOCK PURCHASE PLAN
04 STOCKHOLDER PROPOSAL TO REINSTATE CUMULATIVE Shareholder Against For
VOTING
Tri-Continental Corporation
--------------------------------------------------------------------------------
GILEAD SCIENCES, INC. GILD Meeting Date: 05/25/2004
Issuer: 375558
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
PAUL BERG Management Withheld Against
ETIENNE F. DAVIGNON Management Withheld Against
JAMES M. DENNY Management Withheld Against
JOHN C. MARTIN Management Withheld Against
GORDON E. MOORE Management Withheld Against
NICHOLAS G. MOORE Management Withheld Against
GEORGE P. SHULTZ Management Withheld Against
GAYLE E. WILSON Management Withheld Against
02 TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE Management For For
OF THE BOARD OF DIRECTORS OF ERNST & YOUNG LLP
AS INDEPENDENT AUDITORS OF GILEAD FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2004.
03 TO APPROVE THE ADOPTION OF GILEAD S 2004 EQUITY Management Against Against
INCENTIVE PLAN.
04 TO APPROVE AN AMENDMENT TO GILEAD S RESTATED Management For For
CERTIFICATE OF INCORPORATION TO INCREASE THE
AUTHORIZED NUMBER OF SHARES OF GILEAD COMMON
STOCK FROM 500,000,000 TO 700,000,000 SHARES.
--------------------------------------------------------------------------------
J.P. MORGAN CHASE & CO. JPM Meeting Date: 05/25/2004
Issuer: 46625H
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 MERGER PROPOSAL Management For For
02 DIRECTOR Management Withheld Against
HANS W. BECHERER Management Withheld Against
FRANK A. BENNACK, JR. Management Withheld Against
JOHN H. BIGGS Management Withheld Against
LAWRENCE A. BOSSIDY Management Withheld Against
ELLEN V. FUTTER Management Withheld Against
WILLIAM H. GRAY, III Management Withheld Against
WILLIAM B. HARRISON, JR Management Withheld Against
HELENE L. KAPLAN Management Withheld Against
LEE R. RAYMOND Management Withheld Against
JOHN R. STAFFORD Management Withheld Against
03 APPOINTMENT OF EXTERNAL AUDITOR Management For For
04 RE-APPROVAL OF KEY EXECUTIVE PERFORMANCE PLAN Management Against Against
05 ADJOURNMENT OF MEETING, IF NECESSARY, TO SOLICIT Management For For
ADDITIONAL PROXIES
06 DIRECTOR TERM LIMIT Shareholder Against For
07 CHARITABLE CONTRIBUTIONS Shareholder Against For
08 POLITICAL CONTRIBUTIONS Shareholder For Against
09 SEPARATION OF CHAIRMAN AND CEO Shareholder For Against
10 DERIVATIVE DISCLOSURE Shareholder Against For
11 AUDITOR INDEPENDENCE Shareholder Against For
12 DIRECTOR COMPENSATION Shareholder Against For
13 PAY DISPARITY Shareholder Against For
Tri-Continental Corporation
--------------------------------------------------------------------------------
ROYAL CARIBBEAN CRUISES LTD. RCL Meeting Date: 05/25/2004
Issuer: V7780T
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
TOR B. ARNEBERG Management Withheld Against
WILLIAM L. KIMSEY Management Withheld Against
GERT W. MUNTHE Management Withheld Against
THOMAS J. PRITZKER Management Withheld Against
02 APPROVAL OF THE AMENDED AND RESTATED 2000 STOCK Management Against Against
AWARD PLAN.
03 RATIFICATION OF APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY S
INDEPENDENT ACCOUNTANTS FOR 2004.
--------------------------------------------------------------------------------
WEATHERFORD INTERNATIONAL LTD. WFT Meeting Date: 05/25/2004
Issuer: G95089
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
PHILIP BURGUIERES Management For For
NICHOLAS F. BRADY Management For For
DAVID J. BUTTERS Management For For
BERNARD J. DUROC-DANNER Management For For
SHELDON B. LUBAR Management For For
WILLIAM E. MACAULAY Management For For
ROBERT B. MILLARD Management For For
ROBERT K. MOSES, JR. Management For For
ROBERT A. RAYNE Management For For
02 APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT Management For For
AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004,
AND AUTHORIZATION OF THE AUDIT COMMITTEE OF THE
BOARD OF DIRECTORS TO SET ERNST & YOUNG LLP S
REMUNERATION.
--------------------------------------------------------------------------------
BANK OF AMERICA CORPORATION BAC Meeting Date: 05/26/2004
Issuer: 060505
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
-------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
WILLIAM BARNET, III Management Withheld Against
CHARLES W. COKER Management Withheld Against
JOHN T. COLLINS Management Withheld Against
GARY L. COUNTRYMAN Management Withheld Against
PAUL FULTON Management Withheld Against
CHARLES K. GIFFORD Management Withheld Against
DONALD E. GUINN Management Withheld Against
JAMES H. HANCE, JR. Management Withheld Against
KENNETH D. LEWIS Management Withheld Against
WALTER E. MASSEY Management Withheld Against
THOMAS J. MAY Management Withheld Against
C. STEVEN MCMILLAN Management Withheld Against
EUGENE M. MCQUADE Management Withheld Against
PATRICIA E. MITCHELL Management Withheld Against
EDWARD L. ROMERO Management Withheld Against
THOMAS M. RYAN Management Withheld Against
O. TEMPLE SLOAN, JR. Management Withheld Against
MEREDITH R. SPANGLER Management Withheld Against
JACKIE M. WARD Management Withheld Against
02 RATIFICATION OF INDEPENDENT PUBLIC ACCOUNTANTS Management For For
03 STOCKHOLDER PROPOSAL - ANNUAL MEETING DATE Shareholder Against For
04 STOCKHOLDER PROPOSAL - NOMINATION OF DIRECTORS Shareholder Against For
05 STOCKHOLDER PROPOSAL - CHARITABLE CONTRIBUTIONS Shareholder Abstain Against
06 STOCKHOLDER PROPOSAL - MUTUAL FUND TRADING Shareholder Against For
POLICIES
07 STOCKHOLDER PROPOSAL - PRIVACY AND INFORMATION Shareholder Abstain Against
SECURITY
Tri-Continental Corporation
--------------------------------------------------------------------------------
CROWN CASTLE INTERNATIONAL CORP. CCI Meeting Date: 05/26/2004
Issuer: 228227
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
RANDALL A. HACK Management Withheld Against
EDWARD C. HUTCHESON, JR Management Withheld Against
J. LANDIS MARTIN Management Withheld Against
02 APPROVAL OF COMPANY S 2004 STOCK INCENTIVE PLAN. Management Against Against
03 THE RATIFICATION OF THE APPOINTMENT OF KPMG LLP Management For For
AS THE COMPANY S INDEPENDENT CERTIFIED PUBLIC
ACCOUNTANTS FOR 2004.
04 STOCKHOLDER PROPOSAL REGARDING MACBRIDE PRINCIPLES. Shareholder Against For
--------------------------------------------------------------------------------
EXXON MOBIL CORPORATION XOM Meeting Date: 05/26/2004
Issuer: 30231G
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
M.J. BOSKIN Management Withheld Against
J.R. HOUGHTON Management Withheld Against
W.R. HOWELL Management Withheld Against
R.C. KING Management Withheld Against
P.E. LIPPINCOTT Management Withheld Against
H.J. LONGWELL Management Withheld Against
H.A. MCKINNELL, JR. Management Withheld Against
M.C. NELSON Management Withheld Against
L.R. RAYMOND Management Withheld Against
W.V. SHIPLEY Management Withheld Against
R.W. TILLERSON Management Withheld Against
02 RATIFICATION OF INDEPENDENT AUDITORS (PAGE 27). Management For For
03 APPROVAL OF 2004 NON-EMPLOYEE DIRECTOR RESTRICTED Management For For
STOCK PLAN (PAGE 28).
04 POLITICAL CONTRIBUTIONS (PAGE 30). Shareholder Abstain Against
05 POLITICAL CONTRIBUTIONS REPORT (PAGE 32). Shareholder For Against
06 MEDIA RESPONSE ON EQUATORIAL GUINEA (PAGE 34). Shareholder Abstain Against
07 BOARD CHAIRMAN AND CEO (PAGE 37). Shareholder For Against
08 EXECUTIVE COMPENSATION (PAGE 39). Shareholder Against For
09 EQUITY COMPENSATION REPORT (PAGE 40). Shareholder Abstain Against
10 AMENDMENT OF EEO POLICY (PAGE 42). Shareholder Abstain Against
11 CLIMATE SCIENCE REPORT (PAGE 44). Shareholder Abstain Against
Tri-Continental Corporation
--------------------------------------------------------------------------------
SYNOPSYS, INC. SNPS Meeting Date: 05/26/2004
Issuer: 871607
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
AART J. DE GEUS Management Withheld Against
ANDY D. BRYANT Management Withheld Against
CHI-FOON CHAN Management Withheld Against
BRUCE R. CHIZEN Management Withheld Against
DEBORAH A. COLEMAN Management Withheld Against
A. RICHARD NEWTON Management Withheld Against
SASSON SOMEKH Management Withheld Against
ROY VALLEE Management Withheld Against
STEVEN C. WALSKE Management Withheld Against
02 PROPOSAL TO APPROVE AN AMENDMENT TO THE COMPANY Management Against Against
S 1994 NON- EMPLOYEE DIRECTORS STOCK OPTION PLAN
TO EXTEND THE TERM OF SUCH PLAN BY FIVE YEARS.
03 PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP Management For For
AS INDEPENDENT AUDITORS OF SYNOPSYS FOR FISCAL
2004.
--------------------------------------------------------------------------------
WAL-MART STORES, INC. WMT Meeting Date: 06/04/2004
Issuer: 931142
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
JAMES W. BREYER Management Withheld Against
M. MICHELE BURNS Management Withheld Against
THOMAS M. COUGHLIN Management Withheld Against
DAVID D. GLASS Management Withheld Against
ROLAND A. HERNANDEZ Management Withheld Against
DAWN G. LEPORE Management Withheld Against
JOHN D. OPIE Management Withheld Against
J. PAUL REASON Management Withheld Against
H. LEE SCOTT, JR. Management Withheld Against
JACK C. SHEWMAKER Management Withheld Against
JOSE H. VILLARREAL Management Withheld Against
JOHN T. WALTON Management Withheld Against
S. ROBSON WALTON Management Withheld Against
CHRISTOPHER J. WILLIAMS Management Withheld Against
02 APPROVAL OF THE ASDA COLLEAGUE SHARE OWNERSHIP Management Against Against
PLAN 1999
03 APPROVAL OF THE ASDA SHARESAVE PLAN 2000 Management Against Against
04 APPROVAL OF THE WAL-MART STORES, INC. 2004 Management For For
ASSOCIATE STOCK PURCHASE PLAN
05 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For For
ACCOUNTANTS
06 A SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT Shareholder For Against
CHAIRMAN
07 A SHAREHOLDER PROPOSAL REGARDING A Shareholder Abstain Against
SUSTAINABILITY REPORT
08 A SHAREHOLDER PROPOSAL REGARDING EQUITY Shareholder Abstain Against
COMPENSATION
09 A SHAREHOLDER PROPOSAL REGARDING GENETICALLY Shareholder Abstain Against
ENGINEERED FOOD PRODUCTS
10 A SHAREHOLDER PROPOSAL REGARDING AN EQUAL Shareholder Abstain Against
EMPLOYMENT OPPORTUNITY REPORT
11 A SHAREHOLDER PROPOSAL REGARDING SHAREHOLDER Shareholder Against For
APPROVAL OF PARTICIPATION IN THE OFFICER DEFERRED
COMPENSATION PLAN
Tri-Continental Corporation
--------------------------------------------------------------------------------
PRUDENTIAL FINANCIAL, INC. PRU Meeting Date: 06/08/2004
Issuer: 744320
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
ARTHUR F. RYAN Management For For
GASTON CAPERTON Management For For
GILBERT F. CASELLAS Management For For
KARL J. KRAPEK Management For For
IDA F.S. SCHMERTZ Management For For
02 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004.
03 A SHAREHOLDER PROPOSAL REGARDING CHARITABLE Shareholder Abstain Against
CONTRIBUTIONS
04 A SHAREHOLDER PROPOSAL REGARDING THE ANNUAL Shareholder For Against
ELECTION \OF DIRECTORS.
--------------------------------------------------------------------------------
BIOGEN IDEC INC. Meeting Date: 06/16/2004
Issuer: 09062X
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
ALAN BELZER Management For For
MARY L. GOOD Management For For
JAMES C. MULLEN Management For For
BRUCE R. ROSS Management For For
02 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS Management For For
LLP AS THE COMPANY S INDEPENDENT ACCOUNTANTS
FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004.
--------------------------------------------------------------------------------
AUTODESK, INC. ADSK Meeting Date: 06/17/2004
Issuer: 052769
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For For
CAROL A. BARTZ Management For For
MARK A. BERTELSEN Management For For
CRAWFORD W. BEVERIDGE Management For For
J. HALLAM DAWSON Management For For
MICHAEL J. FISTER Management For For
PER-KRISTIAN HALVORSEN Management For For
STEVEN SCHEID Management For For
MARY ALICE TAYLOR Management For For
LARRY W. WANGBERG Management For For
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For For
YOUNG LLP AS THE INDEPENDENT AUDITORS OF
AUTODESK, INC. FOR THE FISCAL YEAR ENDING
JANUARY 31, 2005.
03 TO CONSIDER A STOCKHOLDER PROPOSAL IF PROPERLY Shareholder Against For
PRESENTED AT THE MEETING.
Tri-Continental Corporation
--------------------------------------------------------------------------------
MICHAELS STORES, INC. MIK Meeting Date: 06/17/2004
Issuer: 594087
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
CHARLES J. WYLY, JR. Management Withheld Against
SAM WYLY Management Withheld Against
RICHARD E. HANLON Management Withheld Against
RICHARD C. MARCUS Management Withheld Against
LIZ MINYARD Management Withheld Against
CECE SMITH Management Withheld Against
02 RATIFICATION OF THE AUDIT COMMITTEE S SELECTION Management Against Against
OF ERNST & YOUNG LLP AS OUR INDEPENDENT AUDITORS
FOR FISCAL 2004.
03 ADOPTION OF THE AMENDMENT TO THE RESTATED Management For For
CERTIFICATE OF INCORPORATION.
--------------------------------------------------------------------------------
ONYX PHARMACEUTICALS, INC. ONXX Meeting Date: 06/23/2004
Issuer: 683399
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
NICOLE VITULLO Management Withheld Against
02 TO APPROVE AN AMENDMENT TO THE COMPANY S 1996 Management Against Against
EQUITY INCENTIVE PLAN TO INCREASE THE AGGREGATE
NUMBER OF SHARES OF COMMON STOCK AUTHORIZED FOR
ISSUANCE UNDER THE PLAN BY 600,000 SHARES.
03 TO APPROVE AN AMENDMENT TO THE COMPANY S 1996 Management Against Against
NON-EMPLOYEE DIRECTORS STOCK OPTION PLAN TO
INCREASE THE NUMBER OF SHARES OF COMMON STOCK
SUBJECT TO THE ANNUAL OPTION GRANT TO EACH
NON-EMPLOYEE DIRECTOR UNDER THE PLAN TO 10,000
SHARES FROM 5,000 SHARES.
04 TO RATIFY SELECTION OF ERNST & YOUNG LLP AS Management For For
INDEPENDENT AUDITORS OF THE COMPANY FOR ITS
FISCAL YEAR ENDING DECEMBER 31, 2004.
--------------------------------------------------------------------------------
EBAY INC. EBAY Meeting Date: 06/24/2004
Issuer: 278642
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Against
PHILIPPE BOURGUIGNON Management Withheld Against
THOMAS J. TIERNEY Management Withheld Against
MARGARET C. WHITMAN Management Withheld Against
02 APPROVAL OF AMENDMENTS TO OUR 1999 GLOBAL EQUITY Management Against Against
INCENTIVE PLAN, INCLUDING AN AMENDMENT TO
INCREASE BY 6,000,000 THE NUMBER OF SHARES OF
COMMON STOCK THAT MAY BE ISSUED UNDER OUR
1999 PLAN.
03 APPROVAL OF AN AMENDMENT TO OUR 2001 EQUITY Management Against Against
INCENTIVE PLAN TO INCREASE BY 18,000,000 THE
NUMBER OF SHARES OF COMMON STOCK THAT MAY BE
ISSUED UNDER OUR 2001 PLAN.
04 APPROVAL OF AN AMENDMENT TO OUR CERTIFICATE OF Management For For
INCORPORATION TO INCREASE THE AUTHORIZED NUMBER
OF SHARES OF COMMON STOCK FROM 900,000,000 TO
1,790,000,000 SHARES.
05 RATIFICATION OF SELECTION OF Management For For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
AUDITORS FOR OUR FISCAL YEAR ENDING DECEMBER 31,
2004.
06 STOCKHOLDER PROPOSAL REQUESTING THE EXPENSING Shareholder For Against
OF STOCK OPTIONS.
Tri-Continental Corporation
--------------------------------------------------------------------------------
ANTHEM, INC. ATH Meeting Date: 06/28/2004
Issuer: 03674B
SEDOL:
--------------------------------------------------------------------------------
Proposal Proposal Vote For or Against
Number Proposal Type Cast Mgmt.
---------------------------------------------------------------------------------------------------------
01 TO APPROVE THE ISSUANCE OF SHARES OF ANTHEM, Management For For
INC. COMMON STOCK PURSUANT TO THE AMENDED AND
RESTATED AGREEMENT AND PLAN OF MERGER, EFFECTIVE
AS OF OCTOBER 26, 2003, AMONG ANTHEM, ANTHEM
HOLDING CORP. AND WELLPOINT, AS MORE FULLY
DESCRIBED IN THE ACCOMPANYING JOINT PROXY
STATEMENT/PROSPECTUS.
02 TO APPROVE THE AMENDMENT OF ANTHEM S ARTICLES Management For For
OF INCORPORATION, AS MORE FULLY DESCRIBED IN
THE ACCOMPANYING JOINT PROXY
STATEMENT/PROSPECTUS.
TRI-CONTINENTAL CORPORATION
Pursuant to this requirement 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 on the 31st day of August, 2004.
Signature Title
----------------- -----------------------------
/s/ Brian T. Zino Chief Executive Officer
----------------- (Principal Executive Officer)
Brian T. Zino