UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549

OMB APPROVAL

 

OMB Number:  3235-0582

 

Expires:    April 30, 2009

 

Estimated average burden hours per response......14.4

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number  811- 04889

 

H&Q Healthcare Investors

(Exact name of registrant as specified in charter)

 

30 Rowes Wharf,   Boston, MA

 

02110

(Address of principal executive offices)

 

(Zip code)

 

Carolyn Haley
H&Q Healthcare Investors
30 Rowes Wharf, Boston MA 02110
(Name and address of agent for service)

 

Registrant’s telephone number, including area code:  617 772-8500

 

Date of fiscal year end:  September 30

 

Date of reporting period:  7/1/06-6/30/07

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss.239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

 

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.

 

 


 

Item 1. Proxy Voting Record.

 


 

HQH N-PX for the period July 1, 2006 to June 30, 2007

 

 

 

 

 

CUSIP

 

Symbol

Company Name

 

 

 

 

 

 

 

 

004225108

 

ACAD

Acadia Pharmaceuticals, Inc.

 

 

Meeting Date:

6/15/2007

Meeting Type:

Annual

Record Date:

4/16/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Gordon Binder

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Leslie L. Iversen

 

For

 

Yes

 

For

 

Management

 

2

 

To ratify the selection by the audit committee of our board of directors of Pricewaterhousecoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

Agensys, Inc.

 

 

Action by Written Consent:

6/29/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Approval of amended and restated articles of incorporation

 

For

 

Yes

 

For

 

Management

 

2

 

Disclosure of interested parties in stock financing

 

For

 

Yes

 

For

 

Management

 

3

 

Waiver of notice and right of first refusal

 

For

 

Yes

 

For

 

Management

 

4

 

General authorization

 

For

 

Yes

 

For

 

Management

 

 

009728106

 

AKRX

Akorn, Inc.

 

 

Meeting Date:

5/24/2007

Meeting Type:

Annual

Record Date:

4/12/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director John N. Kapoor, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Arthur S. Przybyl

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Jerry N. Ellis

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Ronald M. Johnson

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Jerry I. Treppel

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Subhash Kapre, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Randall J. Wall

 

For

 

Yes

 

For

 

Management

 

2

 

Proposal to ratify the selection of BDO Seidman, LLP to serve as Akorn’s independent registered public accounting firm for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

1


 

016255101

 

ALGN

Align Technology, Inc.

 

 

Meeting Date:

5/23/2007

Meeting Type:

Annual

Record Date:

3/30/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director H. Kent Bowen

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director David E. Collins

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Joseph Lacob

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director C. Raymond Larking, Jr.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director George J. Morrow

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Thomas M. Prescott

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Greg J. Santora

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Warren S. Thaler

 

For

 

Yes

 

For

 

Management

 

2

 

Proposal to ratify the appointment of Pricewatershousecoopers LLP as Algin Technology, Inc.’s independent registered public accountants for the fiscal year dending December 31, 2007.

 

For

 

Yes

 

For

 

Management

 

 

018490102

 

AGN

Allergan, Inc.

 

 

Meeting Date:

5/1/2007

Meeting Type:

Annual

Record Date:

3/14/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Michael R. Gallagher

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Gavin S. Herbert

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Stephen J. Ryan, MD

 

For

 

Yes

 

For

 

Management

 

2

 

To ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year 2007

 

For

 

Yes

 

For

 

Management

 

 

01988P108

 

MDRX

Allscripts Healthcare Solutions, Inc.

 

 

Meeting Date:

6/19/2007

Meeting Type:

Annual

Record Date:

4/23/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Robert A. Compton

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Michael J. Kluger

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director John P. McConnell

 

For

 

Yes

 

For

 

Management

 

2

 

Approval of the amendment to the Allscripts Healthcare Solutions, Inc. amended and restated 1993 stock incentive plan

 

For

 

Yes

 

For

 

Management

 

3

 

Ratification of the appointment of Grant Thornton LLP as independent accountants for 2007

 

For

 

Yes

 

For

 

Management

 

 

2


 

02744M108

 

AMMD

American Medical Systems Holdings, Inc.

 

Meeting Date:

5/30/2007

Meeting Type:

Annual

Record Date:

4/2/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Martin J. Emerson

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Albert Jay Graf

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Robert Mclellan, MD

 

For

 

Yes

 

For

 

Management

 

2

 

Proposal to ratify the selection of Ernst & Young LLP as independent auditors for 2007.

 

For

 

Yes

 

For

 

Management

 

 

031162100

 

AMGN

Amgen, Inc.

 

 

Meeting Date:

5/9/2007

Meeting Type:

Annual

Record Date:

3/12/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Frank J. Biondi, Jr.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Jerry D. Choate

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Frank C. Herringer

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Gilbert S. Omenn

 

For

 

Yes

 

For

 

Management

 

2

 

Ratify the selection of Ernst & Young LLP as the company’s independent registered public accountants for the year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

3

 

To approve the amendments to the company’s restated certificate of incorporation eliminating the classification of the board of directors

 

For

 

Yes

 

For

 

Management

 

4

 

To approve the amendments to the company’s amended and restated bylaws eliminating the classification of the board of directors

 

For

 

Yes

 

For

 

Management

 

5

 

Shareholder proposal #1 on animal welfare policy

 

Against

 

Yes

 

Against

 

Shareholder

 

6

 

Shareholder proposal #2 on sustainability report

 

Against

 

Yes

 

Against

 

Shareholder

 

 

032346108

 

AMLN

Amylin Pharmaceuticals, Inc.

 

 

Meeting Date:

5/23/2007

Meeting Type:

Annual

Record Date:

3/30/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Steven R. Altman

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Teresa Beck

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Daniel M. Bradbury

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Joseph C. Cook, Jr.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Karin Eastham

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director James R. Gavin III

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Ginger L. Graham

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Howard E. Greene, Jr.

 

For

 

Yes

 

For

 

Management

 

 

3


 

1

 

Elect Director Jay S. Skyler

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Joseph P. Sullivan

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director James N. Wilson

 

For

 

Yes

 

For

 

Management

 

2

 

To approve an increase of 250,000 shares in the aggregate number of shares of the company’s common stock authorized for issuance under the company’s amended and restated certificate of incorporation

 

For

 

Yes

 

For

 

Management

 

3

 

To approve an increase of 1,000,000 shares in the aggregate number of shares of the company’s common stock authorized for issuance under the company’s 2001 employee stock purchase plan

 

For

 

Yes

 

For

 

Management

 

4

 

To ratify the selection of Ernst & Young LLP as independent auditors of the company for its fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

04538T109

 

ASPV

Aspreva Pharmaceuticals Corporation

 

Meeting Date:

5/31/2007

Meeting Type:

Annual and Special

Record Date:

4/19/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Richard M. Glickman

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Noel F. Hall

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Kirk K. Calhoun

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Ronald M. Hunter

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director William L. Hunter

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Julia G. Levy

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director R. Hector Mackay-Dunn

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director George M. Milne

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Arnold L. Oronsky

 

For

 

Yes

 

For

 

Management

 

2

 

To appoint Ernst & Young LLP as our auditor and independent registered public accounting firm for the ensuing year

 

For

 

Yes

 

For

 

Management

 

3

 

To amend the Aspreva 2002 incentive stock option plan to increase from 4,031,000 to 5,281,000 common shares in respect of which awards may be granted thereunder

 

For

 

Yes

 

For

 

Management

 

4

 

To amend the Aspreva 2002 incentive stock option plan to (I) comply with recent policies of the Toronto stock exchange: (II) premit the award to tandem stock

appreciation rights, restricted stock units and deferred stock units: and (III) certain other changes

 

For

 

Yes

 

For

 

Management

 

5

 

To transact such other business as may properly come before the meeting, or any adjournments or postponements thereof

 

For

 

Yes

 

For

 

Management

 

 

4


 

05346P106

 

AVRX

Avalon Pharmacetucals, Inc.

 

 

Meeting Date:

6/7/2007

Meeting Type:

Annual

Record Date:

4/20/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director K.C. Carter, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director D.S. Kabakoff, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Michael R. Kurman, MD

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Bradley G. Lorimier

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Ivor Royston, MD

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director William A. Scott, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director A.G. Walton, Ph.D., D.Sc.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director William H. Washecka

 

For

 

Yes

 

For

 

Management

 

2 

 

To approve the amendment of the company’s 2005 omnibus long-term incentive plan (the “incentive plan”) to increase the number of shares available for issuance under the incentive plan from 1,581,582 shares to 2,381,582 shares

 

For

 

Yes

 

For

 

Management

 

3

 

To ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

05365U101

 

AVTQY

Aveta Inc. 144A

 

 

Meeting Date:

10/20/2006

Meeting Type:

Annual

Record Date:

9/19/2006

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Christina Foglio

 

For

 

Yes

 

For

 

Management

 

1

 

elect Director George Zoffinger

 

For

 

Yes

 

For

 

Management

 

2

 

To approve the Aveta Inc. amended and restated 2005 stock incentive plan

 

For

 

Yes

 

For

 

Management

 

 

068306109

 

BRL

Barr Pharmaceuticals, Inc.

 

 

Meeting Date:

11/9/2006

Meeting Type:

Annual

Record Date:

9/15/2006

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Bruce L. Downey

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Paul M. Bisaro

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director George P. Stephan

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Harold N. Chefitz

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Richard R. Frankovic

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Peter R. Seaver

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director James S. Gilmore, III

 

For

 

Yes

 

For

 

Management

 

2

 

Ratification of the selection of Deloitte & Touche LLP as the independent auditor of the company for the six month period ending Decmeber 31, 2006

 

For

 

Yes

 

For

 

Management

 

 

5


 

068306109

 

BRL

Barr Pharmaceuticals, Inc.

 

 

Meeting Date:

5/17/2007

Meeting Type:

Annual

Record Date:

3/30/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Bruce L. Downey

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Paul M. Bisaro

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director George P. Stephan

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Harold N. Chefitz

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Richard R. Frankovic

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Peter R. Seaver

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director James S. Gilmore, III

 

For

 

Yes

 

For

 

Management

 

2

 

To ratify the Audit Committee’s selection of the company’s independent registered public accounting firm for the year ending December 31, 2007.

 

For

 

Yes

 

For

 

Management

 

3

 

To approve the Barr Pharmaceuticals, Inc. 2007 stock and incentive award plan

 

For

 

Yes

 

For

 

Management

 

4

 

To approve the Barr Pharmaceuticals, Inc. 2007 executive officer incentive plan

 

For

 

Yes

 

For

 

Management

 

 

06850R108

 

BTRX

Barrier Therapeutics, Inc.

 

 

Meeting Date:

6/6/2007

Meeting Type:

Annual

Record Date:

4/16/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director S. Akkaraju, MD, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Robert E. Campbell

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Geert Cauwenbergh, Ph.D.

 

For

 

Yes

 

For

 

Management

 

2 

 

To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of the company for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

09062X103

 

BIIB

Biogen Idec, Inc.

 

 

Meeting Date:

5/31/2007

Meeting Type:

Annual

Record Date:

4/13/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director James C. Mullen

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Bruce R. Ross

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Marijn E. Dekkers

 

For

 

Yes

 

For

 

Management

 

2

 

To ratify the selection of Pricewaterhousecoopers LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

6


 

 

 

 

CardioNet, Inc.

 

 

Action by Written Consent:

8/21/2006

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Approve financing; articles of incorporation

 

For

 

Yes

 

For

 

Management

 

2

 

Waiver of rights of first offer

 

For

 

Yes

 

For

 

Management

 

3

 

Additional filings

 

For

 

Yes

 

For

 

Management

 

4

 

Ratification; general authorizing resolution

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

CardioNet, Inc.

 

 

Action by Written Consent:

1/11/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Increase in share reserve under equity incentive plan

 

For

 

Yes

 

For

 

Management

 

2

 

Approval of amendment and restatement of articles of incorporation

 

For

 

Yes

 

For

 

Management

 

3

 

General authorizing resolution; ratification of past acts

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

CardioNet, Inc.

 

 

Action by Written Consent:

3/30/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Approval of financing

 

For

 

Yes

 

For

 

Management

 

2

 

Approval of amendment and restatement of articles of incorporation

 

For

 

Yes

 

For

 

Management

 

3

 

Approval of additional filings

 

For

 

Yes

 

For

 

Management

 

4

 

General authorizing resolution

 

For

 

Yes

 

For

 

Management

 

 

151020104

 

CELG

Celgene Corporation

 

 

Meeting Date:

6/12/2007

Meeting Type:

Annual

Record Date:

4/26/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Sol J. Barer, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Robert J. Hugin

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Michael D. Casey

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Rodman L. Drake

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director A. Hull Hayes, Jr., MD

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Gilla Kaplan, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director James J. Loughlin

 

For

 

Yes

 

For

 

Management

 

 

7


 

1

 

Elect Director Richard C.E. Morgan

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Walter L. Robb, Ph.D.

 

For

 

Yes

 

For

 

Management

 

2

 

To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

156708109

 

CEPH

Cephalon, Inc.

 

 

Meeting Date:

5/17/2007

Meeting Type:

Annual

Record Date:

3/22/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Frank Bladino, Jr., Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director William P. Egan

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Martyn D. Greenacre

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Vaughn M. Kailian

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Kevin E. Moley

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Charles A. Sanders, MD

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Gail R. Wilensky, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Dennis L. Winger

 

For

 

Yes

 

For

 

Management

 

2

 

Approval of amendment to the certificate of incorporation increasing the number of shares of common stock authorized for issuance

 

For

 

Yes

 

For

 

Management

 

3

 

Approval of amendment to the 2004 equity compensation plan increasing the number of shares of common stock authorized for issuance

 

For

 

Yes

 

For

 

Management

 

4

 

Ratification of appointment of Pricewaterhousecoopers LLP as independent registered public accountants for the year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

N/A

 

N/A

Ceres, Inc.

 

 

Meeting Date:

5/31/2007

Meeting Type:

Annual

Record Date:

4/26/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Walter De Logi

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Pascal Brandys

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Frank Bulens

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Raymond Debbane

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Robert Goldberg

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Richard Hamilton

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Thomas Kiley

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Edmund Olivier

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Floris Vansina

 

For

 

Yes

 

For

 

Management

 

2

 

Ratification of the appointment of KPMG LLP as independent public accountants

 

For

 

Yes

 

For

 

Management

 

 

8


 

 

 

 

Ceres, Inc.

 

 

Action by Written Consent:

5/8/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Election of Directors

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

Concentric Medical, Inc.

 

 

Action by Written Consent:

8/30/2006

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Appointment of Secretary and Assistant Secretary

 

For

 

Yes

 

For

 

Management

 

2

 

Omnibus resolutions

 

For

 

Yes

 

For

 

Management

 

 

208264101

 

CONR

Conor Medsystems, Inc.

 

 

Meeting Date:

1/31/2007

Meeting Type:

Special

Record Date:

12/15/2006

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

To adopt the agreement and plan of merger, dated as of November 16, 2006, by and among Conor Medsystems, Inc., Johnson & Johnson and Cypress Acquisition Sub, Inc., a wholly owned subsidiary of Johnson & Johnson, pursuant to which Merger Sub will be merged with and into Conor Medsystems all as more fully described in the proxy statement

 

For

 

Yes

 

For

 

Management

 

2

 

To approve the postponement or adjournment of the special meeting, if necessary, to solicit additional proxies in the event that there are insufficient votes at the time of the special meeting to adopt the merger agreement.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

Corus Pharma, Inc.

 

 

Action by Written Consent:

8/30/2006

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Approval of benefits to employee

 

For

 

Yes

 

For

 

Management

 

 

222083107

 

CGRB

Cougar Biotechnology, Inc.

 

 

Meeting Date:

6/11/2007

Meeting Type:

Annual

Record Date:

4/23/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Arie S. Belldegrun, MD, FACS

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Alan H. Auerbach

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Lindsay A. Rosenwald, MD

 

For

 

Yes

 

For

 

Management

 

 

9


 

1

 

Elect Director Harold J. Meyers

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Michael S. Richman

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Russell H. Ellison, MD, MSC

 

For

 

Yes

 

For

 

Management

 

2

 

Proposal to ratify the appointment of JH Cohn LLP as the company’s independent registered public accounting firm for 2007

 

For

 

Yes

 

For

 

Management

 

3

 

Proposal to ratify an amendment to the company’s 2003 stock option plan

 

For

 

Yes

 

For

 

Management

 

 

229678107

 

CBST

Cubist Pharmaceuticals, Inc.

 

 

Meeting Date:

6/7/2007

Meeting Type:

Annual

Record Date:

4/12/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Michael W. Bonney

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Walter R. Maupay, Jr.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Sylvie Gregoire

 

For

 

Yes

 

For

 

Management

 

2

 

A proposal to amend our restated certificate of incorporation to increase the number of authorized shares of common stock from 100,000 shares to 150,000,000 shares

 

For

 

Yes

 

For

 

Management

 

3

 

A proposal to amend our amended and restated 1997 employee stock purchase plan to extend the plan for an additional ten years and increase the number of shares issuable under the plan by 250,000

 

For

 

Yes

 

For

 

Management

 

4

 

A proposal to amend our amended and restated 2002 directors’ equity incentive plan to allow for the issuance of stock awards and to increase the number of shares issuable under the plan by 300,000

 

For

 

Yes

 

For

 

Management

 

5

 

A proposal to ratify the selection of Pricewaterhousecoopers LLP as our independent auditor for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

259858108

 

DOVP

DOV Pharmaceutical, Inc.

 

 

Meeting Date:

5/11/2007

Meeting Type:

Special

Record Date:

4/2/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Approve an amendment to DOV Pharmaceutical, Inc.’s fourth amended and restated certificate of incorporation to increase the number of authorized shares of common stock by 200,000,000, from 60,000,000 to 260,000,000, together with a corresponding increase in the number of authorized shares of capital stock from 66,905,000 to 266,905,000

 

For

 

Yes

 

For

 

Management

 

 

10


 

23325G104

 

DJO

DJO, Inc.

 

 

Meeting Date:

6/4/2007

Meeting Type:

Annual

Record Date:

4/18/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Jack R. Blair

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Mitchell J. Blutt, MD

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director W. Thomas Mitchell

 

For

 

Yes

 

For

 

Management

 

2

 

To approve an amendment to the company’s amended and restated certificate of incorporation to increase the authorized number of shares of common stock from 39,000,000 to 79,000,000 shares

 

For

 

Yes

 

For

 

Management

 

3

 

To ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

29076V109

 

EMAG

Emageon, Inc.

 

 

Meeting Date:

5/24/2007

Meeting Type:

Annual

Record Date:

4/25/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Mylle H. Mangum

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Hugh H. Williamson, III

 

For

 

Yes

 

For

 

Management

 

1

 

Proposal to ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the current fiscal year

 

For

 

Yes

 

For

 

Management

 

 

290849108

 

HLTH

Emdeon Corporation

 

 

Meeting Date:

9/12/2006

Meeting Type:

Annual

Record Date:

7/25/2006

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Paul A. Brooke

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director James V. Manning

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Martin J. Wygod

 

For

 

Yes

 

For

 

Management

 

2

 

To approve an amendment to Emdeon’s 2000 long-term incentive plan to increase the number of shares reserved for issuance.

 

For

 

Yes

 

For

 

Management

 

3

 

To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm to serve as Emdeon’s independent auditor for the fiscal year ending December 31, 2006.

 

For

 

Yes

 

For

 

Management

 

 

11


 

30161Q104

 

EXEL

Exelixis, Inc.

 

 

Meeting Date:

5/1/2007

Meeting Type:

Annual

Record Date:

3/5/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Alan M. Garber

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Vincent T. Marchesi

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Carl B. Feldbaum

 

For

 

Yes

 

For

 

Management

 

2

 

To ratify the selection of Ernst & Young LLP as Exelixis’ independent registered public accounting firm for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

345838106

 

FRX

Forest Laboratories, Inc.

 

 

Meeting Date:

8/7/2006

Meeting Type:

Annual

Record Date:

6/20/2006

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Howard Solomon

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Nesli Basgoz, MD

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director William J. Candee, III

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director George S. Cohan

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Dan L. Goldwasser

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Kenneth E. Goodman

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Lester B. Salans, MD

 

For

 

Yes

 

For

 

Management

 

2

 

Ratification of BDO Seidman, LLP as independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

 

 

368710406

 

DNA

Genentech, Inc.

 

 

Meeting Date:

4/20/2007

Meeting Type:

Annual

Record Date:

2/20/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Herbert W. Boyer

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director William M. Burns

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Erich Hunziker

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Jonathan K.C. Knowles

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Arthur D. Levinson

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Debra L. Reed

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Charles A. Sanders

 

For

 

Yes

 

For

 

Management

 

2

 

To ratify the selection of Ernst & Young LLP as independent registrered public accounting firm of Genentech for the year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

12


 

372917104

 

GENZ

Genzyme Corporation

 

 

Meeting Date:

5/24/2007

Meeting Type:

Annual

Record Date:

3/30/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Douglas A. Berthiaume

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Gail K. Boureaux

 

For

 

Yes

 

For

 

Management

 

2

 

A proposal to amend the 2004 equity incentive plan to increase the number of shares of common stock covered by the plan by 3,500,000 shares and to merge our 1997 equity incentive plan into the 2004 plan

 

For

 

Yes

 

For

 

Management

 

3

 

A proposal to approve the 2007 director equity plan

 

For

 

Yes

 

For

 

Management

 

4

 

A proposal to amend the 1999 employee stock purchase plan to increase the number of shares of common stock covered by the plan by 1,500,000 shares

 

For

 

Yes

 

For

 

Management

 

5

 

A proposal to amend our bylaws to provide for majority voting for the election of directors in uncontested elections

 

For

 

Yes

 

For

 

Management

 

6

 

A proposal to ratify the selection of independent auditors for 2007

 

For

 

Yes

 

For

 

Management

 

7

 

A shareholder proposal that executive severance agreements be approved by shareholders

 

Against

 

Yes

 

Against

 

Management

 

 

375558103

 

GILD

Gilead Sciences, Inc.

 

 

Meeting Date:

5/9/2007

Meeting Type:

Annual

Record Date:

3/22/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Paul Berg

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director John F. Cogan

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Etienne F. Davignon

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director James M. Denny

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Carla A. Hills

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director John W. Madigan

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director John C. Martin

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Gordon E. Moore

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Nicholas G. Moore

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Gayle E. Wilson

 

For

 

Yes

 

For

 

Management

 

2

 

To ratify the selection of Ernst & Young LLP by the Audit Committee of the board of directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

3

 

To approve the proposed amendment to Gilead’s 2004 equity incentive plan

 

For

 

Yes

 

For

 

Management

 

4

 

To approve the proposed amendment to Gilead’s employee stock purchase plan

 

For

 

Yes

 

For

 

Management

 

 

13


 

422211102

 

HLEX

Healthextras, Inc.

 

 

Meeting Date:

6/5/2007

Meeting Type:

Annual

Record Date:

4/13/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director Thomas L. Blair

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director William E. Brock

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Edward S. Civera

 

For

 

Yes

 

For

 

Management

 

2

 

Approval of the Healthextras, Inc. management non-equity incentive compensation plan

 

For

 

Yes

 

For

 

Management

 

3

 

The ratification of the appointment of Pricewatershousecoopers LLP as independent registered public accountants of Healthextras, Inc. for the fiscal year ending December 31, 2007

 

For

 

Yes

 

For

 

Management

 

 

45166R204

 

IDIX

Idenix Pharmaceuticals, Inc.

 

 

Meeting Date:

5/31/2007

Meeting Type:

Annual

Record Date:

4/5/2007

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect Director J-P Sommadossi, Ph.D.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Charles W. Cramb

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director Thomas Ebeling

 

For

 

Yes

 

For

 

Management

 

1

 

Elect Director W.T. Hockmeyer, Ph.D.