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

OMB APPROVAL

 

OMB Number:  3235-0578

 

Expires:    April 30, 2013

 

Estimated average burden hours per response........5.6

 

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: 7/1/09-6/30/10

 

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, 2009 to June 30, 2010

 

CUSIP

 

Symbol

Company Name

 

 

002824100

 

ABT

Abbott Laboratories

 

 

Meeting Date:

4/23/2010

 

Meeting Type:

Annual

Record Date:

2/24/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To elect R.J. Alpern

 

For

 

Yes

 

For

 

Management

1

 

To elect R.S. Austin

 

For

 

Yes

 

For

 

Management

1

 

To elect W.M Daley

 

For

 

Yes

 

For

 

Management

1

 

To elect W.J. Farrell

 

For

 

Yes

 

For

 

Management

1

 

To elect H.R. Fuller

 

For

 

Yes

 

For

 

Management

1

 

To elect W.A. Osborn

 

For

 

Yes

 

For

 

Management

1

 

To elect D.A.L Owen

 

For

 

Yes

 

For

 

Management

1

 

To elect R.S. Roberts

 

For

 

Yes

 

For

 

Management

1

 

To elect S.C. Scott III

 

For

 

Yes

 

For

 

Management

1

 

To elect W.D Smithburg

 

For

 

Yes

 

For

 

Management

1

 

To elect G.F Tilton

 

For

 

Yes

 

For

 

Management

1

 

To elect M.D. White

 

For

 

Yes

 

For

 

Management

2

 

Ratification of Deloitte & Touche LLP as Auditors

 

For

 

Yes

 

For

 

Management

3

 

Shareholder proposal-advisory vote

 

Against

 

Yes

 

For

 

Shareholder

4

 

Shareholder proposal-special shareholder meetings

 

Against

 

Yes

 

Against

 

Shareholder

 

00484M106

 

ACOR

Acorda Therapeutics, Inc.

 

 

Meeting Date:

6/9/2010

 

Meeting Type:

Annual

Record Date:

4/14/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To elect John P. Kelley

 

For

 

Yes

 

For

 

Management

1

 

To elect Sandra Panem, Ph.D

 

For

 

Yes

 

For

 

Management

1

 

To elect Wise Young, Ph.D. , M.D.

 

For

 

Yes

 

For

 

Management

2

 

Proposal to ratify the appointment of Ernst & Young LLP as the company’s independent auditors for the fiscal year ending December 31, 2010.

 

For

 

Yes

 

For

 

Management

 

00817Y108

 

AET

Aetna Inc.

 

 

Meeting Date:

5/21/2010

 

Meeting Type:

Annual

Record Date:

3/19/2010

 

 

 

 

#

 

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 independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

3

 

Approval of Aetna Inc. 2010 stock incentive Plan

 

For

 

Yes

 

For

 

Management

4

 

Approval of Aetna Inc. 2010 non-employee director compensation plan

 

For

 

Yes

 

For

 

Management

5

 

Approval of Aetna Inc. 2010 annual incentive plan performance criteria

 

For

 

Yes

 

For

 

Management

6

 

Shareholder proposal on cumulative voting

 

Against

 

Yes

 

Against

 

Stockholder

7

 

Shareholder proposal on independent chairman

 

Against

 

Yes

 

For

 

Stockholder

 

009728106

 

AKRX

Akorn Inc

 

 

Meeting Date:

8/7/2009

 

Meeting Type:

Annual

Record Date:

6/15/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To re-elect John N. Kappor, PH.D

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Jerry N. Ellis

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Ronald M. Johnson

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Subhash Kapre, PH. D

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Brian Tambi

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Steven J. Meyer

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Alan Weinstein

 

For

 

Yes

 

For

 

Management

1

 

To re-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, 2009.

 

For

 

Yes

 

For

 

Management

3

 

Approval of an amendment to the company’s 2003 amended and restated stock option plan to increase the total number of shares authorized and reserved for inssurance by 6,000,000 shares.

 

For

 

Yes

 

For

 

Management

4

 

Approval of an amendment to the company’s amended and restated employee stock purchase plan to increase the total number of shares authorized and reserved for inssurance by 1,000,000 shares.

 

For

 

Yes

 

For

 

Management

 

009728106

 

AKRX

Akorn Inc

 

 

Meeting Date:

5/21/2010

 

Meeting Type:

Annual

Record Date:

4/7/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To re-elect John N. Kappor, PH.D

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Ronald M. Johnson

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Brian Tambi

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Steven J. Meyer

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Alan Weinstein

 

For

 

Yes

 

For

 

Management

1

 

To elect Kenneth S. Abraowitz

 

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, 2010

 

For

 

Yes

 

For

 

Management

3

 

Approval of the grant of non-qualified stock options to Akorn’s interim Chief Executive Officer, Rajat Rai

 

For

 

Yes

 

For

 

Management

 



 

015351109

 

ALXN

Alexion Pharmaceuticals, Inc.

 

 

Meeting Date:

5/12/2010

 

Meeting Type:

Annual

Record Date:

3/17/2010

 

 

 

 

#

 

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 William R. Keller

 

 

 

 

 

 

 

 

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 Andreas Rummelt

 

For

 

Yes

 

For

 

Management

2

 

Approval of the Amendment to 2004 incentive plan, as described in the accompanying proxy statement, including to increase the number of shares of common stock available for issuance by 3 million shares (subject to adjustment in the event of stock splits and other similar events)

 

For

 

Yes

 

For

 

Management

3

 

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:

5/20/2010

 

Meeting Type:

Annual

Record Date:

3/23/2010

 

 

 

 

#

 

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 Dr. David Nagel

 

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, 2010

 

For

 

Yes

 

For

 

Management

3

 

Proposal to approve amended and restated 2005 equity incentive plan

 

For

 

Yes

 

For

 

Management

4

 

Proposal to approve 2010 employee stock purchase plan

 

For

 

Yes

 

For

 

Management

 

01642T108

 

ALKS

Alkermes, Inc.

 

 

Meeting Date:

10/6/2009

 

Meeting Type:

Annual

Record Date:

7/24/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director David W. Anstice

 

For

 

Yes

 

For

 

Management

1

 

Elect director Floyd E. Bloom

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert A. Breyer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dvid A. Broeckert

 

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 Mark B. Skaletsky

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael A. Wall

 

For

 

Yes

 

For

 

Management

2

 

To ratify PricewaterhouseCoopers LLP as the company’s independent registered public accountant for fiscal year 2010

 

For

 

Yes

 

For

 

Management

 

031162100

 

AMGN

Amgen Inc.

 

 

Meeting Date:

5/12/2010

 

Meeting Type:

Annual

Record Date:

3/15/2010

 

 

 

 

#

 

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 Dr. Rebecca M. Henderson

 

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, 2010

 

For

 

Yes

 

For

 

Management

3A

 

Stockholder proposal #1 (Action by Written Consent)

 

Against

 

Yes

 

Against

 

Stockholder

3B

 

Stockholder proposal #2 (Equity retention policy)

 

Against

 

Yes

 

Against

 

Stockholder

 



 

05365U101

 

AVTQY

Aveta Inc,

 

 

Meeting Date:

3/9/2010

 

Meeting Type:

Annual

Record Date:

2/16/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To elect Daniel E. Straus

 

For

 

Yes

 

For

 

Management

1

 

To elect Joseph D. Mark

 

For

 

Yes

 

For

 

Management

1

 

To elect Jonathan Kolatch

 

For

 

Yes

 

For

 

Management

 

75887109

 

BDX

Becton Dickinson and Company

 

 

Meeting Date:

2/2/2010

 

Meeting Type:

Annual

Record Date:

12/11/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To elect Henry P. Becton, Jr.

 

For

 

Yes

 

For

 

Management

1

 

To elect Edward F. Degraan

 

For

 

Yes

 

For

 

Management

1

 

To elect Claire M. Fraser-Liggett

 

For

 

Yes

 

For

 

Management

1

 

To elect Edward J. Ludwig

 

For

 

Yes

 

For

 

Management

1

 

To elect Adel A.F. Mahmoud

 

For

 

Yes

 

For

 

Management

1

 

To elect James F. Orr

 

For

 

Yes

 

For

 

Management

1

 

To elect Willard J. Overlock, Jr.

 

For

 

Yes

 

For

 

Management

1

 

To elect Bertram L. Scott

 

For

 

Yes

 

For

 

Management

2

 

Ratification of selection of independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

3

 

Approval of a by-law amendment regarding special shareholder meetings

 

For

 

Yes

 

For

 

Management

4

 

Approval of an amendment to the 2004 employee and director equity-based compensation plan

 

For

 

Yes

 

For

 

Management

5

 

Approval of material terms of performance goals

 

 

 

 

 

 

 

 

6

 

Majority voting

 

Against

 

Yes

 

For

 

Stockholder

7

 

Cumulative voting

 

Against

 

Yes

 

Against

 

Stockholder

 

151020104

 

CELG

Celgene Corporation

 

 

Meeting Date:

6/16/2010

 

Meeting Type:

Annual

Record Date:

4/20/2010

 

 

 

 

#

 

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 Carrie S. Cox

 

For

 

Yes

 

For

 

Management

1

 

Elect director Rodman L. Drake

 

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, 2010

 

For

 

Yes

 

For

 

Management

 

156708109

 

CEPH

Cephalon, Inc.

 

 

Meeting Date:

5/20/2010

 

Meeting Type:

Annual

Record Date:

3/25/2010

 

 

 

 

#

 

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

 

Approval of Cephalon, Inc.’s 2010 employee stock purchase plan

 

For

 

Yes

 

For

 

Management

4

 

Ratification of the appointment of PricewaterhouseCoopers LLP as independent registered public accountants for the year ending December 31, 2010

 

For

 

Yes

 

For

 

Management

 



 

159864107

 

CRL

Charles River Laboratories, Intl., Inc.

 

Meeting Date:

5/6/2010

 

Meeting Type:

Annual

Record Date:

3/18/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director James C. Foster

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nancy T. Chang

 

For

 

Yes

 

For

 

Management

1

 

Elect director Stephen D. Chubb

 

For

 

Yes

 

For

 

Management

1

 

Elect director Deborah T. Kochevar

 

For

 

Yes

 

For

 

Management

1

 

Elect director George E. Massaro

 

For

 

Yes

 

For

 

Management

1

 

Elect director George M. Milne, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director C. Richard Reese

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Douglas E. Rogers

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Samuel O. Their

 

For

 

Yes

 

For

 

Management

1

 

Elect director William H. Waltrip

 

For

 

Yes

 

For

 

Management

2

 

Proposal to ratify the appointment of PricewaterhouseCoopers LLP as the company’s independent registered public accountants for the year ending December 25, 2010

 

For

 

Yes

 

For

 

Management

 

18725U109

 

CLDA

Clinical Data, Inc.

 

 

Meeting Date:

9/17/2009

 

Meeting Type:

Annual

Record Date:

7/22/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Andrew J. Fromkin

 

For

 

Yes

 

For

 

Management

1

 

Elect director Larry D. Horner

 

For

 

Yes

 

For

 

Management

1

 

Elect director Randal J. Kirk

 

For

 

Yes

 

For

 

Management

1

 

Elect director Arthur B. Malman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Burton E. Sobel, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Scott L. Tarriff

 

For

 

Yes

 

For

 

Management

1

 

Elect director Richard J. Wallace

 

For

 

Yes

 

For

 

Management

2

 

To ratify the appointment of Deloitte & Touche LLP as Clinical Data’s independent registered public accounting firm for the 2010 fiscal year

 

For

 

Yes

 

For

 

Management

 

N/A N/A

Concentric Medical, Inc.

 

 

Action by Written Consent:

9/30/2009

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approval of 2009 Equity Incentive Plan

 

For

 

Yes

 

For

 

Management

 

229678107

 

CBST

Cubist Pharmaceuticals, Inc.

 

 

Meeting Date:

6/10/2010

 

Meeting Type:

Annual

Record Date:

4/15/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Michael Bonney

 

For

 

Yes

 

For

 

Management

1

 

Elect director Mark Corrigan

 

For

 

Yes

 

For

 

Management

1

 

Elect director Sylvie Gregoire

 

For

 

Yes

 

For

 

Management

2

 

A proposal to amend our 2010 equity incentive plan

 

For

 

Yes

 

For

 

Management

3

 

A proposal to approve our performance-based management incentive plan

 

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, 2010

 

For

 

Yes

 

For

 

Management

 

126650100

 

CVS

CVS Caremark Corporation

 

 

Meeting Date:

5/12/2010

 

Meeting Type:

Annual

Record Date:

3/15/2010

 

 

 

 

#

 

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

 

Proposal to ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the 2010 fiscal year

 

For

 

Yes

 

For

 

Management

3

 

Proposal to adopt the company’s 2010 incentive compensation plan

 

For

 

Yes

 

For

 

Management

4

 

Proposal to adopt an amendment to the company’s charter to allow Stockholders to call special meetings

 

For

 

Yes

 

For

 

Management

5

 

Stockholder proposal regarding a report on political contributions and expenditures

 

Against

 

Yes

 

Against

 

Stockholder

6

 

Stockholder proposal regarding principles to stop global warming

 

Against

 

Yes

 

Against

 

Stockholder

 

N/A N/A

Eleme Medical Inc.

 

 

Action by Written Consent:

12/18/2009

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Note financing

 

For

 

Yes

 

For

 

Management

2

 

Wavier of right of first offer

 

For

 

Yes

 

For

 

Management

3

 

General authorization

 

For

 

Yes

 

For

 

Management

 

N/A N/A

Eleme Medical Inc.

 

 

Action by Written Consent:

6/4/2010

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Note financing

 

For

 

Yes

 

For

 

Management

2

 

Wavier of right of first offer

 

For

 

Yes

 

For

 

Management

3

 

General authorization

 

For

 

Yes

 

For

 

Management

 

N/A N/A

FlowCardia, Inc.

 

 

Action by Written Consent:

3/26/2010

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Approval of amendment to fifth amended and restated certificate of incorporation

 

For

 

Yes

 

For

 

Management

 

2

 

General authority and ratification

 

For

 

Yes

 

For

 

Management

 

 



 

345838106

 

FRX

Forest Laboratories

 

 

Meeting Date:

8/10/2009

 

Meeting Type:

Annual

Record Date:

6/19/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Howard Solomon

 

For

 

Yes

 

For

 

Management

1

 

Elect director Lawrence S. Olanoff, MD, Phd

 

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. Cohen

 

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

 

Approval of the company’s executive compensation philosophy, policies and procedures as described in the “Compensation Discussion and Analysis”

 

For

 

Yes

 

For

 

Management

3

 

Ratification of the selection of BDO Seidman, LLP as independent registered public accounting firm for the fiscal year ending March 31, 2010.

 

For

 

Yes

 

For

 

Management

 

372917104

 

GENZ

Genzyme Corporation

 

 

Meeting Date:

6/16/2010

 

Meeting Type:

Contested-Annual

Record Date:

4/9/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Douglas A. Berthiaume

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert J. Bertolini

 

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

1

 

Elect director Ralph V. Witworth

 

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 2,750,000 shares

 

For

 

Yes

 

For

 

Management

3

 

A proposal to approve the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000

 

For

 

Yes

 

For

 

Management

4

 

A proposal to amend the 2007 directors equity plan to increase the number of shares of common stock available for issuance under the plan by  250,000 shares

 

For

 

Yes

 

For

 

Management

5

 

A proposal to amend the restated articles of organization to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40%

 

For

 

Yes

 

For

 

Management

6

 

A proposal to ratify the audit committee’s selection of independent auditors for 2010 (PricewaterhouseCoopers LLP)

 

For

 

Yes

 

For

 

Management

 

372917104

 

GENZ

Genzyme Corporation

 

 

Meeting Date:

6/16/2010

 

Meeting Type:

Contested-Annual

Record Date:

4/9/2010

 

 

 

 

#

 

Proposal

 

Oppostion Rec.

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Dr. Steven Burakoff

 

For

 

No

 

None

 

Opposition

1

 

Elect director Dr. Alexander J. Denner

 

For

 

No

 

None

 

Opposition

1

 

Elect director Carl C. Icahn

 

For

 

No

 

None

 

Opposition

1

 

Elect director Dr. Richard Mulligam

 

For

 

No

 

None

 

Opposition

1

 

Elect director Douglas A. Berthiaume

 

For

 

No

 

None

 

Opposition

1

 

Elect director Robert J. Bertolini

 

For

 

No

 

None

 

Opposition

1

 

Elect director Gail K. Boudreaux

 

For

 

No

 

None

 

Opposition

1

 

Elect director Robert J. Carpenter

 

For

 

No

 

None

 

Opposition

1

 

Elect director Victor J. Dzau

 

For

 

No

 

None

 

Opposition

1

 

Elect director Ralph V. Witworth

 

For

 

No

 

None

 

Opposition

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 2,750,000 shares

 

For

 

No

 

None

 

Management

3

 

A proposal to approve the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000

 

For

 

No

 

None

 

Opposition

4

 

A proposal to amend the 2007 directors equity plan to increase the number of shares of common stock available for issuance under the plan by  250,000 shares

 

For

 

No

 

None

 

Management

5

 

A proposal to amend the restated articles of organization to reduce the  percentage of shares required for shareholders to call a special meeting of  shareholders from 90% to 40%

 

For

 

No

 

None

 

Management

6

 

A proposal to ratify the audit committee’s selection of independent auditors for 2010 (PricewaterhouseCoopers LLP)

 

For

 

No

 

None

 

Management

 



 

375558103

 

GILD

Gilead Sciences, Inc.

 

 

Meeting Date:

5/11/2010

 

Meeting Type:

Annual

Record Date:

3/15/2010

 

 

 

 

#

 

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 Kevin E. Lofton

 

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

1

 

Elect director Per Wold-Olsen

 

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, 2010

 

For

 

Yes

 

For

 

Management

3

 

If properly presented at the meeting, to vote on a stockholder proposal requesting that the board take steps to adopt majority voting standards in Gilead’s certificate of incorporation and by-laws

 

Against

 

Yes

 

Against

 

Stockholder

 

436440101

 

HOLX

Hologic, Inc.

 

 

Meeting Date:

3/3/2010

 

Meeting Type:

Annual

Record Date:

1/8/2010

 

 

 

 

#

 

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 Sally W. Crawford

 

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 Wayne Wilson

 

For

 

Yes

 

For

 

Management

2

 

To consider and act upon ratification of the appointment of Ernst & Young LLP as Hologic’s independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

3

 

To consider and act upon the adjournment of the annual meeting

 

For

 

Yes

 

For

 

Management

 

45103T107

 

ICLR

ICON plc

 

 

Meeting Date:

7/20/2009

 

Meeting Type:

Annual

Record Date:

6/10/2009

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To receive the accounts and reports

 

For

 

Yes

 

For

 

Management

2

 

To re-elect Dr. Ronan Lambe

 

For

 

Yes

 

For

 

Management

3

 

To re-elect Dr. Peter Gray

 

For

 

Yes

 

For

 

Management

4

 

To re-elect Dr. Anthony Murphy

 

For

 

Yes

 

For

 

Management

5

 

To authorize the fixing of the auditor’s renumeration

 

For

 

Yes

 

For

 

Management

6

 

To authorize the company to allot shares

 

For

 

Yes

 

For

 

Management

7

 

To display the statutory pre-emption rights

 

For

 

Yes

 

For

 

Management

8

 

To authorize the company to make market purchases of shares

 

For

 

Yes

 

For

 

Management

 

45168D104

 

IDXX

IDEXX Laboratories, Inc.

 

 

Meeting Date:

5/5/2010

 

Meeting Type:

Annual

Record Date:

3/8/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Jonathan W. Ayers

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert J. Murray

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph V. Vumbacco

 

For

 

Yes

 

For

 

Management

2

 

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

 

For

 

Yes

 

For

 

Management

 

452327109

 

ILMN

Illumina, Inc.

 

 

Meeting Date:

5/12/2010

 

Meeting Type:

Annual

Record Date:

3/19/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Paul C. Grint, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director David R. Walt, Ph.D.

 

For

 

Yes

 

For

 

Management

2

 

Ratify the appointment of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending January 2, 2011

 

For

 

Yes

 

For

 

Management

 



 

46120E602

 

ISRG

Intuitive Surgical, Inc.

 

 

Meeting Date:

4/21/2010

 

Meeting Type:

Annual

Record Date:

2/22/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Alan J. Levy

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director Eric H. Halvorson

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director Amal M. Johnson

 

Yes

 

For

 

Yes

 

Management

2

 

To approve the company’s 2010 incentive award plan

 

Yes

 

For

 

Yes

 

Management

 

4.78E+08

 

JNJ

Johnson & Johnson

 

 

Meeting Date:

4/22/2010

 

Meeting Type:

Annual

Record Date:

2/22/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Mary Sue Coleman

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director James G. Cullen

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director Micheal M.E. Johns

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director Susan L. Lindquist

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director Anne E. Mulcahy

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director Leo F. Mullin

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director William D. Perez

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director Charles Prince

 

Yes

 

For

 

Yes

 

Management

1

 

Elect director David Satcher

 

Yes

 

For

 

Yes

 

Management

2

 

Ratification of appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for 2010

 

Yes

 

For

 

Yes

 

Management

3

 

Advisory vote on executive compensation

 

Against

 

Yes

 

For

 

Stockholder

4

 

Special shareowner meeting

 

Against

 

Yes

 

Against

 

Stockholder

 

N/A N/A

Labcyte Inc.

 

 

Action by Written Consent:

10/1/2009

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

1

 

Approval of the loan agreement

 

For

 

Yes

 

For

 

Management

 

2

 

Approval of issuance of the warrant

 

For

 

Yes

 

For

 

Management

 

3

 

Approval of waiver of right of first offer

 

For

 

Yes

 

For

 

Management

 

4

 

Omnibus resolution

 

For

 

Yes

 

For

 

Management

 

 

50540R409

 

LH

Laboratory Corp. of America Holdings

 

Meeting Date:

5/12/2010

 

Meeting Type:

Annual

Record Date:

3/15/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Thomas P. MacMahon

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kerrii B. Anderson

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jean-Luc Belingard

 

For

 

Yes

 

For

 

Management

1

 

Elect director David P. King

 

For

 

Yes