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)

 

Laura Woodward

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: 7/1/08-6/30/09

 

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, 2008 to June 30, 2009

 

CUSIP

 

Symbol

Company Name

 

 

004225108

 

ACAD

ACADIA Pharmaceuticals Inc.

 

 

Meeting Date:

6/12/2009

 

Meeting Type:

Annual

Record Date:

4/13/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Uli Hacksell

 

For

 

Yes

 

For

 

Management

1

 

Elect director Torsten Rasmussen

 

For

 

Yes

 

For

 

Management

1

 

Elect director Alan Walton

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2009

 

For

 

Yes

 

For

 

Management

 

00817Y108

 

AET

Aetna Inc.

 

 

Meeting Date:

5/29/2009

 

Meeting Type:

Annual

Record Date:

3/27/2009

 

 

 

 

#

 

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 Richard J. Harrington

 

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 indepdent registered public accounting firm

 

For

 

Yes

 

For

 

Management

3

 

Shareholder proposal on cumulative voting

 

Against

 

Yes

 

Against

 

Stockholder

4

 

Shareholder proposal on nominating a retired Aetna executive to the board

 

Against

 

Yes

 

Against

 

Stockholder

 


 

00826A109

 

AFFY

Affymax, Inc.

 

 

Meeting Date:

5/28/2009

 

Meeting Type:

Annual

Record Date:

3/31/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Ted W. Love, MD

 

For

 

Yes

 

For

 

Management

1

 

Elect director Arlene M. Morris

 

For

 

Yes

 

For

 

Management

1

 

Elect director Daniel K. Spiegelman

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP as independent registered public accounting firm of Affymax for its fiscal year ending December 31, 2009

 

For

 

Yes

 

For

 

Management

 

015351109

 

ALXN

Alexion Pharmaceuticals, Inc.

 

 

Meeting Date:

5/13/2009

 

Meeting Type:

Annual

Record Date:

3/24/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Leonard Bell

 

For

 

Yes

 

For

 

Management

1

 

Elect director Max Link

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph A. Madri

 

For

 

Yes

 

For

 

Management

1

 

Elect director Larry L. Mathis

 

For

 

Yes

 

For

 

Management

1

 

Elect director R. Douglas Norby

 

For

 

Yes

 

For

 

Management

1

 

Elect director Alvin S. Parven

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ruedi E. Waeger

 

For

 

Yes

 

For

 

Management

2

 

Ratification of appointment by the board of directors of PricewaterhouseCoopers LLP as Alexion’s independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

 

016255101

 

ALGN

Align Technology, Inc.

 

 

Meeting Date:

5/21/2009

 

Meeting Type:

Annual

Record Date:

3/27/2009

 

 

 

 

#

 

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, 2009

 

For

 

Yes

 

For

 

Management

 

2


 

01642T108

 

ALKS

Alkermes, Inc.

 

 

Meeting Date:

10/7/2008

 

Meeting Type:

Annual

Record Date:

7/14/2008

 

 

 

 

#

 

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 Dvid A. Broeckert

 

For

 

Yes

 

For

 

Management

1

 

Elect director Mark B. Skaletsky

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael A. Wall

 

For

 

Yes

 

For

 

Management

1

 

Elect director David W. Anstice

 

For

 

Yes

 

For

 

Management

2

 

To approve the Alkermes 2008 stock option and incentive plan

 

For

 

Yes

 

Against

 

Management

3

 

To ratify PricewaterhouseCoopers LLP as the company’s independent registered public accountant for fiscal year 2009

 

For

 

Yes

 

For

 

Management

 

031162100

 

AMGN

Amgen Inc.

 

 

Meeting Date:

5/6/2009

 

Meeting Type:

Annual

Record Date:

3/9/2009

 

 

 

 

#

 

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 Francois de Carbonnel

 

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 Dr. Gilbert S. Omenn

 

For

 

Yes

 

For

 

Management

1

 

Elect director Judity 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 our independent registered public accountants for the year ending December 31, 2009

 

For

 

Yes

 

For

 

Management

3

 

To approve the proposed 2009 equity incentive plan, which authorizes the issuance of 100,000,000 shares

 

For

 

Yes

 

For

 

Management

4  

 

To approve the proposed amendment to our restated certificate of incorporation, as amended, which reduces the sixty-six and two-thirds percent voting requirement to a simple majority voting requirement for approval of certain business combinations

 

For

 

Yes

 

For

 

Management

5

 

Stockholder proposal #1 to amend our bylaws to permit 10% of our outstanding common stock the ability to call special meetings

 

Against

 

Yes

 

Against

 

Stockholder

5

 

Stockholder proposal #2 to change our jurisdiction of incorporation from Delaware to North Dakota

 

Against

 

Yes

 

Against

 

Stockholder

 

3


 

032346108

 

AMLN

Amylin Pharmaceuticals, Inc.

 

 

Meeting Date:

5/27/2009

 

Meeting Type:

Annual - Contested

Record Date:

4/8/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director M. Kathleen Behrens

 

Unkown

 

Yes

 

For

 

Opposition

1

 

Elect director Charles M. Fleischman

 

Unkown

 

Yes

 

For

 

Opposition

1

 

Elect director Jay Sherwood

 

Unkown

 

Yes

 

Withhold

 

Opposition

1

 

Elect director Dr. A.J. Denner

 

Unkown

 

Yes

 

Withhold

 

Opposition

1

 

Elect director Dr. T.F. Deuel

 

Unkown

 

Yes

 

Withhold

 

Opposition

1

 

Elect director Adrian Adams

 

Unkown

 

Yes

 

For

 

Opposition

1

 

Elect director Teresa Beck

 

Unkown

 

Yes

 

For

 

Opposition

1

 

Elect director D.M. Bradbury

 

Unkown

 

Yes

 

For

 

Opposition

1

 

Elect director Paul N. Clark

 

Unkown

 

Yes

 

For

 

Opposition

1

 

Elect director Paulo F. Costa

 

Unkown

 

Yes

 

For

 

Opposition

1

 

Elect director Karin Eastham

 

Unkown

 

Yes

 

For

 

Opposition

1

 

Elect directo Jay S. Skyler

 

Unkown

 

Yes

 

For

 

Opposition

2

 

Proposal to adopt the company’s 2009 equity incentive plan as described in the proxy statement

 

Unkown

 

Yes

 

For

 

Opposition

3

 

2001 employee stock purchase plan proposal as described in the proxy statement

 

Unkown

 

Yes

 

For

 

Opposition

4

 

Proposal to ratify Ernst & Young LLP as the independent public registered accounting firm for Amylin for the year ending December 31, 2009

 

Unkown

 

Yes

 

For

 

Opposition

5

 

Icahn reincorporation proposal as described in the proxy statement

 

Unkown

 

Yes

 

Against

 

Opposition

 

032346108

 

AMLN

Amylin Pharmaceuticals, Inc.

 

 

Meeting Date:

5/27/2009

 

Meeting Type:

Annual - Contested

Record Date:

4/8/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Adrian Adams

 

For

 

No

 

None

 

Management

1

 

Elect director Steven R. Altman

 

For

 

No

 

None

 

Management

1

 

Elect director Teresa Beck

 

For

 

No

 

None

 

Management

1

 

Elect director Daniel M. Bradbury

 

For

 

No

 

None

 

Management

1

 

Elect director Paul N. Clark

 

For

 

No

 

None

 

Management

1

 

Elect director Joseph C. Cook, Jr.

 

For

 

No

 

None

 

Management

1

 

Elect director Paulo F. Costa

 

For

 

No

 

None

 

Management

1

 

Elect director Karin Eastham

 

For

 

No

 

None

 

Management

1

 

Elect director James R. Gavin III

 

For

 

No

 

None

 

Management

1

 

Elect director Jay S. Skyler

 

For

 

No

 

None

 

Management

1

 

Elect director Joseph P. Sullivan

 

For

 

No

 

None

 

Management

1

 

Elect director James N. Wilson

 

For

 

No

 

None

 

Management

2

 

To approve the company’s 2009 equity incentive plan

 

For

 

No

 

None

 

Management

3 

 

To approve an increase of 1,500,000 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

 

No

 

None

 

Management

4

 

To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of the company for its fiscal year ending December 31, 2009

 

For

 

No

 

None

 

Management

5

 

Stockholder proposal to change the company’s jurisdiction of incorporation from Delaware to North Dakota

 

Against

 

No

 

None

 

Stockholder

 

4


 

032346108

 

AMLN

Amylin Pharmaceuticals, Inc.

 

 

Meeting Date:

5/27/2009

 

Meeting Type:

Annual - Contested

Record Date:

4/8/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Alexander J. Denner

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Thomas F. Deuel

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director M.K. Behrens

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director C.M. Fleischman

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Jay Sherwood

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Adrian Adams

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Teresa Beck

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director D.M. Bradbury

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Paul N. Clark

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Paulo F. Costa

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Karin Eastham

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Jay S. Skyler

 

Unkown

 

No

 

None

 

Opposition

2

 

Amylin’s equity incentive plan

 

Unkown

 

No

 

None

 

Opposition

3

 

Amendment to the 2001 employee stock purchase plan

 

Unkown

 

No

 

None

 

Opposition

4

 

Ratification of appointment of independent registered public accounting firm

 

Unkown

 

No

 

None

 

Opposition

5

 

North Dakota reincorporation proposal

 

Unkown

 

No

 

None

 

Stockholder

 

038149100

 

ABI

Applied Biosystems Inc.

 

 

Meeting Date:

10/16/2008

 

Meeting Type:

Special

Record Date:

9/5/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve and adopt the agreement and plan of merger, as amended, by and among Invitrogen Corporation, Atom Acquisition, LLC, and Applied Biosystems Inc., as such agreement may be amended from time to time, and to approve the merger of Applied Biosystems Inc. with and into Atom Acquisition, LLC, all as more fully described in the proxy statement

 

For

 

Yes

 

For

 

Management

2

 

To adjourn the Applied Biosystems Inc. special meeting of stockholders, if necessary, to solicit additional proxies if there are not sufficient votes for the foregoing proposal

 

For

 

Yes

 

For

 

Management

 

04744L106

 

ATHX

Athersys, Inc.

 

 

Meeting Date:

6/18/2009

 

Meeting Type:

Annual

Record Date:

4/24/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Gil Van Bokkelen

 

For

 

No

 

None

 

Management

1

 

Elect director Jordan S. Davis

 

For

 

No

 

None

 

Management

1

 

Elect director John J. Harrington

 

For

 

No

 

None

 

Management

1

 

Elect director Floyed D. Loop

 

For

 

No

 

None

 

Management

1

 

Elect director George M. Milne, Jr.

 

For

 

No

 

None

 

Management

1

 

Elect director William C. Mulligan

 

For

 

No

 

None

 

Management

1

 

Elect director Lorin J. Randall

 

For

 

No

 

None

 

Management

1

 

Elect director Michael Sheffery

 

For

 

No

 

None

 

Management

2

 

Ratification for Ernst & Young LLP as auditors

 

For

 

No

 

None

 

Management

 

5


 

05334D107

 

AUXL

Auxilium Pharmaceuticals, Inc.

 

 

Meeting Date:

6/10/2009

 

Meeting Type:

Annual

Record Date:

4/16/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Rolf A. Classon

 

For

 

Yes

 

For

 

Management

1

 

Elect director Al Altomari

 

For

 

Yes

 

For

 

Management

1

 

Elect director Armando Anido

 

For

 

Yes

 

For

 

Management

1

 

Elect director Edwin A. Bescherer, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director P.O. Chambon, MD, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Oliver S. Fetzer, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Renato Fuchs, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dennis Langer, MD, JD

 

For

 

Yes

 

For

 

Management

1

 

Elect director William T. McKee

 

For

 

Yes

 

For

 

Management

2

 

Approve amendment and restatement of Auxilium Pharmaceuticals, Inc. 2004 equity compensation plan to increase number of shares of company common stock authorized for issuance under the plan by 2,650,000 shares from 8,000,000 to 10,650,000 shares, subject to limitation that of those 2,650,000 shares only 700,000 shares may be issued pursuant to stock awards, stock units

 

For

 

Yes

 

For

 

Management

4

 

To ratify the selection by the audit and compliance committee of the company’s board of directors of PricewaterhouseCoopers LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2009

 

For

 

Yes

 

For

 

Management

 

05346P106

 

AVRX

Avalon Pharmaceuticals, Inc.

 

 

Meeting Date:

5/28/2009

 

Meeting Type:

Special

Record Date:

4/13/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To consider and vote upon a proposal to adopt the agreement and plan of merger and reorganization, dated as of October 27, 2008, as amended, by and among Clinical Data, Inc., API Acquisition Sub II, LLC, and Avalon Pharmaceuticals, Inc., pursuant to which API will merge with and into Avalon, with Avalon being the surviving corporation

 

For

 

Yes

 

For

 

Management

2

 

To consider and vote upon a proposal to adjourn the special meeting to a later date or time, if necessary or appropriate, to solicit additional proxies in the event there are insufficient votes at the time of the special meeting to adopt the merger agreement

 

For

 

Yes

 

For

 

Management

 

6


 

068306109

 

BRL

Barr Pharmaceuticals, Inc.

 

 

Meeting Date:

11/21/2008

 

Meeting Type:

Special

Record Date:

10/10/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Adoption of the agreement and plan of merger, dated as of July 18, 2008 by and among Barr Pharmaceuticals, Inc., Teva Pharmaceutical Industries, Ltd. and Boron Acquisition Corp., as it may be amended from time to time

 

For

 

Yes

 

For

 

Management

2 

 

Approval of the adjournment of the special meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the special meeting to adopt the agreement and plan of merger referred to in proposal 1

 

For

 

Yes

 

For

 

Management

 

09062X103

 

BIIB

Biogen Idec

 

 

Meeting Date:

6/3/2009

 

Meeting Type:

Annual

Record Date:

4/6/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Lawrence C. Best

 

For

 

Yes

 

For

 

Management

1

 

Elect director Alan B. Glassberg

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert W. Pangia

 

For

 

Yes

 

For

 

Management

1

 

Elect director William D. Young

 

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, 2009

 

For

 

Yes

 

For

 

Management

3

 

To approve amendments to the company’s bylaws to change the voting standard for the election of directors in uncontested elections from a plurality to a majority standard

 

For

 

Yes

 

For

 

Management

4

 

Shareholder proposal to amend the company’s bylaws to fix the size of the board at 13 members and remove the board’s ability to change the size of the board

 

Against

 

Yes

 

Against

 

Stockholder

5

 

Shareholder proposal that the company reincorporate from Deleware to North Dakota and elect to be subject to the North Dakota publicly traded corporations act

 

Against

 

Yes

 

Against

 

Stockholder

 

09062X103

 

BIIB

Biogen Idec

 

 

Meeting Date:

6/3/2009

 

Meeting Type:

Annual - Contested

Record Date:

4/6/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Alexander J. Denner

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Richard C. Mulligan

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director Thomas F. Deuel

 

Unkown

 

No

 

None

 

Opposition

1

 

Elect director David Sidransky

 

Unkown

 

No

 

None

 

Opposition

2

 

Approval of the Icahn bylaws amendments

 

Unkown

 

No

 

None

 

Opposition

3

 

Approval of the North Dakota Reincorporation resolution

 

Unkown

 

No

 

None

 

Opposition

4

 

Ratification of independent registered public accounting firm

 

Unkown

 

No

 

None

 

Opposition

5

 

Approval of the Biogen bylaw amendment

 

Unkown

 

No

 

None

 

Opposition

 

7


 

14159L103

 

BEAT

CardioNet, Inc.

 

 

Meeting Date:

10/23/2008

 

Meeting Type:

Annual

Record Date:

9/10/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Ronald A. Ahrens

 

For

 

Yes

 

For

 

Management

1

 

Elect Fred Middleton

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection by the Audit Committee of our board of directors of Ernst & Young LLP as our independent auditors for the fiscal year ending December 31, 2008

 

For

 

Yes

 

For

 

Management

 

14159L103

 

BEAT

CardioNet, Inc.

 

 

Meeting Date:

5/8/2009

 

Meeting Type:

Annual

Record Date:

3/16/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Randy H. Thurman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kirk E. Gorman

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection by the audit committee of the board of directors of Ernst & Young LLP as the independent auditors for the fiscal year ending December 31, 2009

 

For

 

Yes

 

For

 

Management

3

 

To approve an amendment to the CardioNet, Inc. 2008 non-employee directors’ stock option plan and all outstanding options granted thereunder to date to extend the post-termination exercise period for vested options from three months following director’s termination of service to the remainder of the option term in effect at the time of the director’s termination of service

 

For

 

Yes

 

Against

 

Management

 

14888B103

 

CHSI

Catalyst Health Solutions Inc.

 

 

Meeting Date:

6/1/2009

 

Meeting Type:

Annual

Record Date:

4/3/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Steven B. Epstein

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael R. McDonnell

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dale B. Wolf

 

For

 

Yes

 

For

 

Management

2

 

The approval of reservation of additional 100,000 shares of company stock for issuance under the company’s 2004 employee stock purchase plan

 

For

 

Yes

 

For

 

Management

3

 

The ratification of the appointment of PricewaterhouseCoopers LLP as independent registered public accountants of Catalyst Health Solutions, Inc. for the fiscal year ending December 31, 2009

 

For

 

Yes

 

For

 

Management

 

8


 

151020104

 

CELG

Celgene Corporation

 

 

Meeting Date:

6/17/2009

 

Meeting Type:

Annual

Record Date:

4/21/2009

 

 

 

 

#

 

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.H. 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, 2009

 

For

 

Yes

 

For

 

Management

3

 

Approval of an amendment and restatement of the company’s 2008 stock incentive plan

 

For

 

Yes

 

For

 

Management

4

 

Stockholder proposal regarding the voting standard for director elections

 

Against

 

Yes

 

Against

 

Stockholder

 

156708109

 

CEPH

Cephalon, Inc.

 

 

Meeting Date:

5/12/2009

 

Meeting Type:

Annual

Record Date:

3/17/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director F. Baldino, 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 C.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 2004 equity compensation plan increasing the number of shares authorized for issuance

 

For

 

Yes

 

For

 

Management

3

 

Ratification of the appointment of PricewaterhouseCoopers LLP as independent registered public accountants for the year ending December 31, 2009

 

For

 

Yes

 

For

 

Management

 

9


 

N/A

 

N/A

Concentric Medical, Inc.

 

 

Action by Written Consent:

12/15/2008

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approval of amended and restated certificate of incorporation

 

For

 

Yes

 

For

 

Management

2

 

Approval of issuance of preferred stock

 

For

 

Yes

 

For

 

Management

3

 

Approval of waiver of right of first refusal

 

For

 

Yes

 

For

 

Management

4

 

Approval of increase to stock plan

 

For

 

Yes

 

For

 

Management

5

 

Approval of indemnification agreements

 

For

 

Yes

 

For

 

Management

6

 

Omnibus resolution

 

For

 

Yes

 

For

 

Management

 

222083107

 

CGRB

Cougar Biotechnology, Inc.

 

 

Meeting Date:

10/28/2008

 

Meeting Type:

Special

Record Date:

9/9/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approval of proposed amendments to the company’s 2003 stock option plan as described in the accompanying proxy statement

 

For

 

Yes

 

For

 

Management

 

229678107

 

CBST

Cubist Pharmaceuticals, Inc.

 

 

Meeting Date:

6/4/2009

 

Meeting Type:

Annual

Record Date:

4/9/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Kenneth Bate

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nancy Hutson

 

For

 

Yes

 

For

 

Management

1

 

Elect director Martin Soeters

 

For

 

Yes

 

For

 

Management

2

 

A proposal to amend the amended and restated 1997 employee stock purchase plan, or ESPP, to increase the number of shares issuable under the ESPP by 500,000

 

For

 

Yes

 

For

 

Management

3

 

A proposal to amend out amended and restated 2002 directors’ equity incentive plan to extend the term of the directors’ plan by 3 years and to increase the number of shares issuable under the directors’ plan by 400,000

 

For

 

Yes

 

For

 

Management

4

 

A proposal to ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2009

 

For

 

Yes

 

For

 

Management

 

10


 

122650100

 

CVS

CVS Caremark Corporation

 

 

Meeting Date:

5/6/2009

 

Meeting Type:

Annual

Record Date:

3/12/2009

 

 

 

 

#

 

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 G. 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

 

Proposal to ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the 2009 fiscal year

 

For

 

Yes

 

For

 

Management

3

 

Stockholder proposal regarding special stockholder meetings

 

Against

 

Yes

 

For

 

Stockholder

4

 

Stockholder proposal regarding independent chairman of the board

 

Against

 

Yes

 

For

 

Stockholder

5

 

Stockholder proposal regarding political contributions and expenditures

 

Against

 

Yes

 

For

 

Stockholder

6

 

Stockholder proposal regarding advisory stockholder vote on executive compensation

 

Against

 

Yes

 

For

 

Stockholder

 

278856109

 

ECLP

Eclipsys Corp.

 

 

Meeting Date:

5/13/2009

 

Meeting Type:

Annual

Record Date:

3/20/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director John T. Casey

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jay B. Pieper

 

For

 

Yes

 

For

 

Management

2

 

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

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Eleme Medical, Inc.

 

 

Action by Written Consent:

8/1/2008

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approval of amendment to certificate of incorporation

 

For

 

Yes

 

For

 

Management

2

 

Approval of general authorization

 

For

 

Yes

 

For

 

Management

 

11


 

30161Q104

 

EXEL

Exelixis, Inc.

 

 

Meeting Date:

5/13/2009

 

Meeting Type:

Annual

Record Date:

3/16/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Charles Cohen, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director George Poste, DVM, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jack L. Wyszomierski

 

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 January 1, 2010

 

For

 

Yes

 

For

 

Management

3

 

To approve an amendment to the Exelixis, Inc. 2000 employee stock purchase plan to increase the number of shares of common stock reserved for issuance under the 2000 employee stock purchase plan by 5,000,000 shares

 

For

 

Yes

 

Against

 

Management

4

 

To approve the amendment and restatement of the Exelixis, Inc. 2000 equity incentive plan

 

For

 

Yes

 

Against

 

Management

5

 

To approve a proposed exchange of certain outstanding stock options for a reduced number of replacement stock options to be granted under the 2000 equity incentive plan with an exercise price equal to the fair market value of Exelixis common stock at the time of the exchange

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

FlowCardia, Inc.

 

 

Action by Written Consent:

3/3/2009

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approval of amendment to amend and restated equity incentive plan

 

For

 

No

 

None

 

Management

2

 

General authority and ratification

 

For

 

No

 

None

 

Management

 

345838106

 

FRX

Forest Laboratories, Inc.

 

 

Meeting Date:

8/11/2008

 

Meeting Type:

Annual

Record Date:

6/19/2008

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Howard Solomon

 

For

 

Yes

 

For

 

Management

1

 

Elect director L.S. Olanoff, MD, Ph.D.

 

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

 

Adoption of the amended and restated certificate of incorporation

 

For

 

Yes

 

For

 

Management

3

 

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

 

For

 

Yes

 

For

 

Management

 

12


 

372917104

 

GENZ

Genzyme Coporation

 

 

Meeting Date:

5/21/2009

 

Meeting Type:

Annual

Record Date:

3/31/2009

 

 

 

 

#

 

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 Victor J. Dzau

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Senator Connie Mack III

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Richard F. Syron

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Henri A. Termeer

 

For

 

Yes

 

For

 

Management

 

2

 

A proposal to amend the 2004 equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,500,000 shares

 

For

 

Yes

 

For

 

Management

 

3

 

A proposal to approve the 2009 employee stock purchase plan

 

For

 

Yes

 

For

 

Management

 

4

 

A proposal to ratify the audit committee’s selection of independent auditors for 2009 (PricewaterhouseCoopers LLP)

 

For

 

Yes

 

For

 

Management

 

 

375558103

 

GILD

Gilead Sciences, Inc.

 

 

Meeting Date:

5/6/2009

 

Meeting Type:

Annual

Record Date:

3/9/2009

 

 

 

 

#

 

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 Richard J. Whitley

 

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, 2009

 

For

 

Yes

 

For

 

Management

 

3

 

To approve an amendment to Gilead’s 2004 equity incentive plan

 

For

 

Yes

 

For

 

Management

 

 

13


 

436440101

 

HOLX

Hologic, Inc.

 

 

Meeting Date:

3/4/2009

 

Meeting Type:

Annual

Record Date:

1/16/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Elect director John W. Cumming

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Robert A. Cascella

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director David R. Lavance, Jr.

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Nancy L. Leaming

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Lawrence M. Levy

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Glenn P. Muir

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Elaine S. Ullian

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Sally W. Crawford

 

For

 

Yes

 

For

 

Management

 

1

 

Elect director Wayne Wilson

 

For

 

Yes

 

For

 

Management

 

2

 

To consider and act upon a stock option exchange program for eligible employees

 

For

 

Yes

 

For

 

Management

 

3

 

To consider and act upon the adjournment of the annual meeting, including if necessary, to solicit additional proxies in favor of the foregoing proposals, as described in the accompanying proxy statement

 

For

 

Yes

 

For

 

Management

 

 

45103T107

 

ICLR

Icon Plc

 

 

Meeting Date:

7/21/2008

 

Meeting Type:

Annual

Record Date:

N/A