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)

 

2 Liberty Square, 9th Floor, Boston, MA

 

02109

(Address of principal executive offices)

 

(Zip code)

 

Carolyn Haley

H&Q Healthcare Investors

2 Liberty Square, 9th Floor, Boston MA 02109

(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:  7/1/07-6/30/08

 

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, 2007 to June 30, 2008

 

CUSIP

 

Symbol

Company Name

 

 

004225108

 

ACAD

Acadia Pharmaceuticals, Inc.

 

 

Meeting Date:

6/13/2008

 

Meeting Type:

Annual

Record Date:

4/18/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Michael Borer

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Mary Ann Gray

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Lester J. Kaplan

 

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, 2008

 

For

 

Yes

 

For

 

Management

 

00817Y108

 

AET

Aetna Inc.

 

 

Meeting Date:

5/30/2008

 

Meeting Type:

Annual

Record Date:

3/28/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Frank M. Clark

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Betsy Z. Cohen

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Molly J. Coye, MD

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Roger N. Farah

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Barbara Hackman Franklin

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Jeffrey E. Garten

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Earl G. Graves

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Gerald Greenwald

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Ellen M. Hancock

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Edward J. Ludwig

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Joseph P. Newhouse

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Ronald A. Williams

 

For

 

Yes

 

For

 

Management

2

 

Approval of the independent registered public accounting firm, KPMG LLP

 

 

 

 

 

 

 

 

3

 

Shareholder proposal on cumulative voting

 

For

 

Yes

 

For

 

Management

4

 

Shareholder proposal on nominating a retired Aetna executive to the board

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Agensys, Inc.

 

 

Meeting Date:

10/22/2007

 

Meeting Type:

Annual

Record Date:

9/14/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Election of directors

 

For

 

Yes

 

For

 

Management

2

 

Selection of independent auditors

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Agensys, Inc.

 

 

Action by Written Consent:

11/27/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Adoption of merger agreement

 

For

 

Yes

 

For

 

Management

2

 

Disclosure of interested parties

 

For

 

Yes

 

For

 

Management

3

 

Waiver of dissenters’ rights

 

For

 

Yes

 

For

 

Management

4

 

General authority

 

For

 

Yes

 

For

 

Management

 

009728106

 

AKRX

Akorn, Inc.

 

 

Meeting Date:

5/22/2008

 

Meeting Type:

Annual

Record Date:

4/2/2008

 

 

 

 

#

 

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 Ernst & Young LLP to serve as Akorn’s independent registered public accounting firm for the fiscal year ending December 31, 2008

 

For

 

Yes

 

For

 

Management

 


 

016255101

 

ALGN

Align Technology, Inc.

 

 

Meeting Date:

5/15/2008

 

Meeting Type:

Annual

Record Date:

3/19/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director David E. Collins

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Joseph Lacob

 

For

 

Yes

 

For

 

Management

1

 

Elect Director C. Raymond Larkin, 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 Pricewaterhousecoopers LLP as Align Technology, Inc.’s independent registered public accountants for the fiscal year ending December 31, 2008

 

For

 

Yes

 

For

 

Management

 

01642T108

 

ALKS

Alkermes, Inc.

 

 

Meeting Date:

10/9/2007

 

Meeting Type:

Annual

Record Date:

7/16/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Floyd E. Bloom

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Robert A. Breyer

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Geraldine Henwood

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Paul J. Mitchell

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Richard F. Pops

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Alexander Rich

 

For

 

Yes

 

For

 

Management

1

 

Elect Director David A. Broecker

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Mark B. Skaletsky

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Michael A. Wall

 

For

 

Yes

 

For

 

Management

2

 

To approve an amended and restated 1999 stock option plan

 

For

 

Yes

 

For

 

Management

3

 

To approve an amendment to the 2002 restricted stock award plan to increase the number of shares authorized for issuance thereunder, by 700,000 shares

 

For

 

Yes

 

For

 

Management

4

 

To approve an amendment to the 2006 stock option plan for non-employee directors to increase the number of shares issuable upon exercise of options granted thereunder, by 240,000 shares

 

For

 

Yes

 

For

 

Management

5

 

To ratify Pricewaterhousecoopers LLP as the company’s independent registered public accountants for fiscal year 2008

 

For

 

Yes

 

For

 

Management

 

018490102

 

AGN

Allergan, Inc.

 

 

Meeting Date:

5/6/2008

 

Meeting Type:

Annual

Record Date:

3/14/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Deborah Dunsire, MD

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Trevor M. Jones, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Louis J. Lavigne, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Leonard D. Schaeffer

 

For

 

Yes

 

For

 

Management

2

 

To approve the Allergan, Inc. 2008 incentive award plan

 

For

 

Yes

 

For

 

Management

3

 

To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal year 2008

 

For

 

Yes

 

For

 

Management

4

 

To approve stockholder proposal No. 1 regarding the adoption of a pay-for-superior-performance executive compensation plan

 

Against

 

Yes

 

Against

 

Sharholder

4

 

To approve stockholder proposal No. 2 regarding additional animal testing disclosure

 

Against

 

Yes

 

Against

 

Sharholder

 


 

031162100

 

AMGN

Amgen Inc.

 

 

Meeting Date:

5/7/2008

 

Meeting Type:

Annual

Record Date:

3/10/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Dr. David Baltimore

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Frank J. Biondi, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Jerry D. Choate

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Dr. Vance D. Coffman

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Frederick W. Gluck

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Frank C. Herringer

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Gilbert S. Omenn

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Judith C. Pelham

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Adm. J. Paul Reason, USN

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Leonard D. Schaeffer

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Kevin W. Sharer

 

For

 

Yes

 

For

 

Management

2 

 

To ratify the selection of Ernst & Young LLP as the company’s independent registered public accountants for the fiscal year

 

For

 

Yes

 

For

 

Management

3

 

Stockholder proposal on simple majority vote

 

Against

 

Yes

 

Against

 

Shareholder

3

 

Stockholder proposal on animal welfare

 

Against

 

Yes

 

Against

 

Shareholder

 

038020103

 

ABI

Applera Corporation - Applied Biosystems Group

 

Meeting Date:

10/18/2007

 

Meeting Type:

Annual

Record Date:

8/31/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Richard H. Ayers

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Jean-Luc Belingard

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Robert H. Hayes

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Arnold J. Levine

 

For

 

Yes

 

For

 

Management

1

 

Elect Director William H. Longfield

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Elaine R. Mardis

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Theodore E. Martin

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Carolyn W. Slayman

 

For

 

Yes

 

For

 

Management

1

 

Elect Director James R. Tobin

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Tony L. White

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the selection of Pricewaterhousecoopers LLP as independent registered public accounting firm for the fiscal year ending June 30, 2008

 

For

 

Yes

 

For

 

Management

3

 

Approval of an extension of the term of the Applera Corporation 1999 employee stock purchase plan

 

For

 

Yes

 

For

 

Management

 

04744L106

 

ATHX

Athersys, Inc.

 

 

Meeting Date:

6/20/2008

 

Meeting Type:

Annual

Record Date:

4/24/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Gil Van Bokkelen

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Jordan S. Davis

 

For

 

Yes

 

For

 

Management

1

 

Elect Director John J. Harrington

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Floyd D. Loop

 

For

 

Yes

 

For

 

Management

1

 

Elect Director George M. Milne, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director William C. Mulligan

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Lorin J. Randall

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Michael Sheffery

 

For

 

Yes

 

For

 

Management

2

 

Ratification of Ernst & Young LLP as independent auditors

 

For

 

Yes

 

For

 

Management

 

04744L106

 

ATHX

Athersys, Inc.

 

 

Action by Written Consent:

7/17/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Amendment to certificate of incorporation

 

For

 

Yes

 

For

 

Management

2

 

General authorizing resolution

 

For

 

Yes

 

For

 

Management

 


 

05346P106

 

AVRX

Avalon Pharmaceuticals, Inc.

 

 

Meeting Date:

6/4/2008

 

Meeting Type:

Annual

Record Date:

4/18/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

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

 

For

 

Yes

 

For

 

Management

1

 

Elect Director P. Frost, MD, 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 William H. Washecka

 

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 ending December 31, 2008

 

For

 

Yes

 

For

 

Management

 

05365U101

 

AVTQY

Aveta, Inc.

 

 

Meeting Date:

1/15/2008

 

Meeting Type:

Annual

Record Date:

12/17/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Stuart H. Altman

 

For

 

Yes

 

For

 

Management

1

 

Elect Director David Roberts

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Alan D. Solomont

 

For

 

Yes

 

For

 

Management

2

 

To approve the Aveta Inc. restated certificate of incorporation

 

For

 

Yes

 

Abstain

 

Management

3

 

To approve the Aveta Inc. 2007 key employee retention plan

 

For

 

Yes

 

Abstain

 

Management

 

068306109

 

BRL

Barr Pharmaceuticals, Inc.

 

 

Meeting Date:

5/15/2008

 

Meeting Type:

Annual

Record Date:

3/28/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Bruce L. Downey

 

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 ended December 31, 2008

 

For

 

Yes

 

For

 

Management

3

 

To approve the company’s proposal to amend the certificate of incorporation to delete the plurality voting standard for the election of directors

 

For

 

Yes

 

For

 

Management

 

071813109

 

BAX

Baxter International Inc.

 

 

Meeting Date:

5/6/2008

 

Meeting Type:

Annual

Record Date:

3/7/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Wayne T. Hockmeyer, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Joseph B. Martin, MD, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Robert L. Parkinson, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Thomas T. Stallkamp

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Albert P.L. Stroucken

 

For

 

Yes

 

For

 

Management

2

 

Ratification of independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

 

075887109

 

BDX

Becton, Dickinson and Company

 

 

Meeting Date:

1/29/2008

 

Meeting Type:

Annual

Record Date:

12/7/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Basil L. Anderson

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Marshall O. Larsen

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Gary A. Mecklenburg

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Cathy E. Minehan

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Alfred Sommer

 

For

 

Yes

 

For

 

Management

2

 

Ratification of selection of independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

3

 

Annual election of directors

 

Against

 

Yes

 

Against

 

Shareholder

4

 

Cumulative voting

 

Against

 

Yes

 

Against

 

Shareholder

5

 

Environmental Report

 

Against

 

Yes

 

Against

 

Shareholder

 


 

09062X103

 

BIIB

Biogen Idec Inc.

 

 

Meeting Date:

6/19/2008

 

Meeting Type:

Annual

Record Date:

4/21/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Stelios Papadopoulos

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Cecil Pickett

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Lynn Schenk

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Phillip Sharp

 

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, 2008

 

For

 

Yes

 

For

 

Management

3

 

To approve the 2008 omnibus equity plan

 

For

 

Yes

 

For

 

Management

4

 

To approve the 2008 performance-based management incentive plan

 

For

 

Yes

 

Against

 

Management

5

 

Shareholder proposal to amend the company’s by-laws

 

Against

 

Yes

 

Against

 

Shareholder

 

N/A

 

N/A

CardioNet, Inc.

 

 

Action by Written Consent:

8/1/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Appointment of director

 

For

 

Yes

 

For

 

Management

2

 

General authorizing resolution

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

CardioNet, Inc.

 

 

Action by Written Consent:

11/29/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Increase in share reserve under equity incentive plan

 

For

 

Yes

 

For

 

Management

2

 

Amendment of amended and restated articles of incorporation

 

For

 

Yes

 

For

 

Management

3

 

Additional filings

 

For

 

Yes

 

For

 

Management

4

 

General authorizing resolution

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

CardioNet, Inc.

 

 

Action by Written Consent:

12/5/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Appointment of director

 

For

 

Yes

 

For

 

Management

2

 

General authorizing resolution

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

CardioNet, Inc.

 

 

Action by Written Consent:

2/19/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Reincorporation in Delaware

 

For

 

Yes

 

For

 

Management

2

 

Approval of adoption of employee benefit and related plans

 

For

 

Yes

 

For

 

Management

3

 

General authorizing resolution

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

CardioNet, Inc.

 

 

Action by Written Consent:

3/1/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Reverse split of company’s common stock

 

For

 

Yes

 

For

 

Management

2

 

General authorizing resolution

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

CardioNet, Inc.

 

 

Action by Written Consent:

3/1/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Amended and restated certificate of incorporation

 

For

 

Yes

 

For

 

Management

2

 

Amended and restated bylaws

 

For

 

Yes

 

For

 

Management

3

 

Approval of 2008 equity incentive plan

 

For

 

Yes

 

For

 

Management

4

 

Approval of 2008 employee stock purchase plan

 

For

 

Yes

 

For

 

Management

5

 

Approval of 2008 non-employee directors’ stock option plan

 

For

 

Yes

 

For

 

Management

6

 

Indemnity agreements

 

For

 

Yes

 

For

 

Management

7

 

General authorizing resolution

 

For

 

Yes

 

For

 

Management

 


 

151020104

 

CELG

Celgene Corporation

 

 

Meeting Date:

6/18/2008

 

Meeting Type:

Annual

Record Date:

4/22/2008

 

 

 

 

#

 

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

1

 

Elect Director Ernest Mario, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Walter L. Robb, Ph.D.

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the appointment of KPMG LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2008

 

For

 

Yes

 

For

 

Management

3

 

Approval of the amendment and restatement of the company’s 1998 stock incentive plan (to be renamed the 2008 stock incentive plan)

 

For

 

Yes

 

For

 

Management

 

15135B101

 

CNC

Centene Corporation

 

 

Meeting Date:

4/22/2008

 

Meeting Type:

Annual

Record Date:

2/22/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Michael F. Neidorff

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Richard A. Gephardt

 

For

 

Yes

 

For

 

Management

1

 

Elect Director John R. Roberts

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the appointment of KPMG LLP as our independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

3

 

Approval of amendments to the 2003 stock incentive plan

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Ceres, Inc.

 

 

Action by Written Consent:

8/29/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Issuance of warrants

 

For

 

Yes

 

For

 

Management

2

 

Approval of stock option/stock issuance plan

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Ceres, Inc.

 

 

Action by Written Consent:

8/31/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Amended and restated certificate of incorporation

 

For

 

Yes

 

For

 

Management

2

 

Ratification of appointment of independent public accountants

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Ceres, Inc.

 

 

Action by Written Consent:

9/4/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approval of financing

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Ceres, Inc.

 

 

Meeting Date:

5/28/2008

 

Meeting Type:

Annual

Record Date:

4/16/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Election of Directors

 

For

 

Yes

 

For

 

Management

2

 

Ratification of appointment of independent public accountants

 

For

 

Yes

 

For

 

Management

 


 

N/A

 

N/A

Concentric Medical, Inc.

 

 

Action by Written Consent:

8/15/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Amendment and restatement of certificate of incorporation

 

For

 

Yes

 

For

 

Management

2

 

Amendment and restatement of bylaws

 

For

 

Yes

 

For

 

Management

3

 

Appointment of members of the board of directors and size

 

For

 

Yes

 

For

 

Management

4

 

Amendment of stock plan

 

For

 

Yes

 

For

 

Management

5

 

Approval of adoption of equity incentive plan

 

For

 

Yes

 

For

 

Management

6

 

Approval of adoption of employee stock purchase plan

 

For

 

Yes

 

For

 

Management

7

 

Conversion of stock

 

For

 

Yes

 

For

 

Management

8

 

Amendment and restatement of certificate of incoporation prior to corporate action

 

For

 

Yes

 

For

 

Management

9

 

Termination of right of first refusal and co-sale agreement

 

For

 

Yes

 

For

 

Management

10

 

Adoption of form of indemnification agreement

 

For

 

Yes

 

For

 

Management

11

 

Omnibus resolution

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Concentric Medical, Inc.

 

 

Action by Written Consent:

2/1/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Issuance of warrants

 

For

 

Yes

 

For

 

Management

2

 

Certificate of amendment of the amended and restated certificate of incorporation

 

For

 

Yes

 

For

 

Management

3

 

Amendment of amended and restated investors’ rights agreement

 

For

 

Yes

 

For

 

Management

4

 

Omnibus resolution

 

For

 

Yes

 

For

 

Management

 

126650100

 

CVS

CVS/Caremark Corporation

 

 

Meeting Date:

5/7/2008

 

Meeting Type:

Annual

Record Date:

3/12/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Edwin M. Banks

 

For

 

Yes

 

For

 

Management

1

 

Elect Director C. David Brown II

 

For

 

Yes

 

For

 

Management

1

 

Elect Director David W. Dorman

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Kristen Gibney Williams

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Marian L. Heard

 

For

 

Yes

 

For

 

Management

1

 

Elect Director William H. Joyce

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Jean-Pierre Millon

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Terrence Murray

 

For

 

Yes

 

For

 

Management

1

 

Elect Director C.A. Lance Piccolo

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Sheli Z. Rosenberg

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Thomas M. Ryan

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Richard J. Swift

 

For

 

Yes

 

For

 

Management

2

 

To ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the 2008 fiscal year

 

For

 

Yes

 

For

 

Management

3

 

Stockholder proposal regarding special shareholder meetings

 

For

 

Yes

 

For

 

Management

4

 

Stockholder proposal regarding tax gross-up payments

 

For

 

Yes

 

For

 

Management

5

 

Stockholder proposal regarding political contributions and expenditures

 

For

 

Yes

 

For

 

Management

 


 

232946103

 

CYTC

Cytyc Corporation

 

 

Meeting Date:

10/18/2007

 

Meeting Type:

Special

Record Date:

8/22/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To adopt the agreement and plan of merger, dated as of May 20, 2007, among Cytyc, Hologic, Inc. and Nor’easter Corp., a wholly owned subsidiary of Hologic formed for the purpose of the merger, and the transactions contemplated thereby, including the merger, all as more fully described in the proxy statement

 

For

 

Yes

 

For

 

Management

2

 

If submitted to a vote of Cytyc stockholders, to approve an adjournment of the Cytyc special meeting, including, if necessary, to solicit additional proxies in favor of the proposal to adopt the merger agreement if there are not sufficient votes for that proposal at the time of the meeting

 

For

 

Yes

 

For

 

Management

 

259858108

 

DOVP

DOV Pharmaceuticals, Inc.

 

 

Meeting Date:

7/30/2007

 

Meeting Type:

Annual

Record Date:

6/7/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Zola Horovitz, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Joseph S. Zakrzewski

 

For

 

Yes

 

For

 

Management

2

 

To approve the 2007 stock award and incentive plan

 

For

 

Yes

 

For

 

Management

3

 

To authorize the board of directors, in its discretion, to amend the fourth amended and restated certificate of incorporation, to effect a reverse stock split of the shares of DOV Pharmaceutical, Inc.’s common stock issued and outstanding or held in treasury

 

For

 

Yes

 

For

 

Management

4

 

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

 

For

 

Yes

 

For

 

Management

 

278856109

 

ECLP

Eclipsys Corporation

 

 

Meeting Date:

7/11/2007

 

Meeting Type:

Annual

Record Date:

5/29/2007

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Dan L. Crippen

 

Yes

 

Yes

 

For

 

Management

1

 

Elect Director Edward A. Kangas

 

Yes

 

Yes

 

For

 

Management

2

 

To approve the company’s incentive compensation plan for specified officers

 

Yes

 

Yes

 

For

 

Management

3

 

To ratify the selection of Pricewaterhousecoopers LLP as the company’s independent registered certified public accounting firm for the current fiscal year

 

Yes

 

Yes

 

For

 

Management

 

278856109

 

ECLP

Eclipsys Corporation

 

 

Meeting Date:

6/11/2008

 

Meeting Type:

Annual

Record Date:

4/14/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director R. Andrew Eckert

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Eugene V. Fife

 

For

 

Yes

 

For

 

Management

2

 

To approve the 2008 omnibus incentive plan

 

For

 

Yes

 

For

 

Management

3

 

To ratify the selection of Pricewaterhousecoopers LLP by the board of directors as the company’s independent registered certified public accounting firm for the current fiscal year

 

For

 

Yes

 

For

 

Management

 


 

30161Q104

 

EXEL

Exelixis, Inc.

 

 

Meeting Date:

5/1/2008

 

Meeting Type:

Annual

Record Date:

3/5/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director S. Papadopoulos, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director G.A. Scangos, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Frank McCormick, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Lance Willsey, MD

 

For

 

Yes

 

For

 

Management

2

 

Ratify the selection of Ernst & Young LLP as Exelixis’ independent registered public accounting firm for the fiscal year ending January 2, 2009

 

For

 

Yes

 

For

 

Management

 

368710406

 

DNA

Genentech, Inc.

 

 

Meeting Date:

4/15/2008

 

Meeting Type:

Annual

Record Date:

2/19/2008

 

 

 

 

#

 

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 approve an amendment to the Genentech, Inc. 1991 employee stock plan to authorize the sale of an additional 10,000,000 shares

 

For

 

Yes

 

For

 

Management

3

 

To ratify the selection of Ernst & Young LLP as independent registered public accounting firm of Genentech for the year ending December 31, 2008

 

For

 

Yes

 

For

 

Management

 

372917104

 

GENZ

Genzyme Corporation

 

 

Meeting Date:

5/22/2008

 

Meeting Type:

Annual

Record Date:

3/31/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Douglas A. Berthiaume

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Gail K. Boudreaux

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Robert J. Carpenter

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Charles L. Cooney

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Richard F. Syron

 

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 2,250,000 shares

 

For

 

Yes

 

For

 

Management

3

 

A proposal to amend the 2007 director equity plan to specify the automatic grant provisions under the plan

 

For

 

Yes

 

For

 

Management

4

 

A proposal to ratify the audit committee’s selection of independent auditors for 2008

 

For

 

Yes

 

For

 

Management

 


 

375558103

 

GILD

Gilead Sciences, Inc.

 

 

Meeting Date:

5/8/2008

 

Meeting Type:

Annual

Record Date:

3/19/2008

 

 

 

 

#

 

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