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: 7/1/10-6/30/11

 

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, 2010 to June 30, 2011

 

CUSIP

 

Symbol

Company Name

 

 

00484M106

 

ACOR

Acorda Therapeutics, Inc

 

 

Meeting Date:

6/16/2011

 

Meeting Type:

Annual

Record Date:

4/19/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Ron Cohen, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Lorin J. Randall

 

For

 

Yes

 

For

 

Management

1

 

Elect director Steven M. Rauscher

 

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, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the frequency of executive compensation advisory votes.

 

1 Year

 

Yes

 

1 Year

 

Management

 

00817Y108

 

AET

Aetna Inc.

 

 

Meeting Date:

5/20/2011

 

Meeting Type:

Annual

Record Date:

3/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Mark T. Bertolini

 

For

 

Yes

 

For

 

Management

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, M.D.

 

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 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

2

 

Approval of independent registered public accounting firm.

 

For

 

Yes

 

For

 

Management

3

 

Approval of amendment to Aetna Inc. 2010 stock incentive Plan.

 

For

 

Yes

 

For

 

Management

4

 

Approval of Aetna Inc. 2011 employee stock purchase plan.

 

For

 

Yes

 

For

 

Management

5

 

Non-binging advisory vote on executive compensation

 

For

 

Yes

 

For

 

Management

6

 

Non-binging advisory vote on the frequency of the vote on executive compensation.

 

N/A

 

Yes

 

1 Year

 

Management

7

 

Shareholder proposal on cumulative voting.

 

Against

 

Yes

 

Against

 

Stockholder

8

 

Shareholder proposal on independent chairman.

 

Against

 

Yes

 

For

 

Stockholder

 

1



 

009728106

 

AKRX

Akorn Inc

 

 

Meeting Date:

4/29/2011

 

Meeting Type:

Annual

Record Date:

3/11/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To elect John N. Kappor, PH.D.

 

For

 

Yes

 

For

 

Management

1

 

To elect Ronald M. Johnson

 

For

 

Yes

 

For

 

Management

1

 

To elect Brian Tambi

 

For

 

Yes

 

For

 

Management

1

 

To elect Steven J. Meyer

 

For

 

Yes

 

For

 

Management

1

 

To elect Alan Weinstein

 

For

 

Yes

 

For

 

Management

1

 

To elect Kenneth S. Abramowitz

 

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, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Say on pay- an advisory vote approval of the company’s executive compensation program.

 

For

 

Yes

 

For

 

Management

4

 

Say when to pay- an advisory vote on the frequency of future shareholder votes on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

 

015351109

 

ALXN

Alexion Pharmaceuticals, Inc.

 

 

Meeting Date:

5/11/2011

 

Meeting Type:

Annual

Record Date:

3/17/2011

 

 

 

 

#

 

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

 

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 Andreas Rummelt

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ann M. Veneman

 

For

 

Yes

 

For

 

Management

2

 

Approval of the Amendment to Alexion’s amended and restated certificate of incorporation to provide for an increase in the number of shares of common stock authorized for issuance from 145,000,000 to 290,000,000.

 

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

4

 

Approval of a non-binding advisory vote of the compensation paid to Alexion’s named executive officers.

 

For

 

Yes

 

For

 

Management

5

 

Recommend the frequency of future advisory votes on executive compensation.

 

1 Year

 

Yes

 

2 Years

 

Management

 

2



 

016255101

 

ALGN

Align Technology, Inc.

 

 

Meeting Date:

5/19/2011

 

Meeting Type:

Annual

Record Date:

3/23/2011

 

 

 

 

#

 

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, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Approve amendment to 2005 equity incentive plan.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on executive compensation.

 

For

 

Yes

 

For

 

Management

5

 

Advisory vote on the frequency of holding an advisory vote on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

 

018490102

 

AGN

Allergan, Inc.

 

 

Meeting Date:

5/3/2011

 

Meeting Type:

Annual

Record Date:

3/4/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Deborah Dunsire, M.D.

 

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

2

 

Ratify the appointment of Ernst & Young LLP our independent registered public accounting firm for the fiscal year 2011.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on compensation of our named executive officers.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the frequency of an advisory vote on the compensation of our named executive officers.

 

3 Years

 

Yes

 

3 Years

 

Management

5

 

Approve the Allergan, Inc. 2011 Executive Bonus Plan.

 

For

 

Yes

 

For

 

Management

6

 

Approve the Allergan, Inc. 2011 Incentive Award Plan.

 

For

 

Yes

 

For

 

Management

7

 

Approve the amendment and restatement of our amended and restated Certificate of Incorporation to declassify our board of directors.

 

For

 

Yes

 

For

 

Management

 

3



 

031162100

 

AMGN

Amgen Inc.

 

 

Meeting Date:

5/20/2011

 

Meeting Type:

Annual

Record Date:

3/21/2011

 

 

 

 

#

 

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 Dr. Vance D. Coffman

 

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 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

1

 

Elect director Dr. Ronald D. Sugar

 

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, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve the advisory vote on compensation.

 

For

 

Yes

 

For

 

Management

4

 

To set the frequency of future advisory votes on compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

Stockholder proposal #1 (Action by Written Consent).

 

Against

 

Yes

 

Against

 

Stockholder

 

032346108

 

AMLN

Amylin Pharmaceuticals, Inc.

 

 

Meeting Date:

5/24/2011

 

Meeting Type:

Annual

Record Date:

4/1/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Adrian Adams

 

For

 

Yes

 

For

 

Management

1

 

Elect director Teresa Beck

 

For

 

Yes

 

For

 

Management

1

 

Elect director M. Kathleen Behrens

 

For

 

Yes

 

For

 

Management

1

 

Elect director Daniel M. Bradbury

 

For

 

Yes

 

Withheld

 

Management

1

 

Elect director Paul N. Clark

 

For

 

Yes

 

For

 

Management

1

 

Elect director Paulo F. Costa

 

For

 

Yes

 

For

 

Management

1

 

Elect director Alexander Denner

 

For

 

Yes

 

For

 

Management

1

 

Elect director Karin Eastham

 

For

 

Yes

 

For

 

Management

1

 

Elect director James R. Gavin III

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jay S. Skyler

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph P. Sullivan

 

For

 

Yes

 

For

 

Management

2

 

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, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the frequency of future advisory votes on compensation of the company’s named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

 

032346108

 

AMS.L

Antisoma PLC

 

 

Meeting Date:

11/16/2010

 

Meeting Type:

Annual

Record Date:

10/11/10

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To receive financial statements with the Director’s report and independent auditors report

 

For

 

Yes

 

For

 

Management

2

 

To receive the report on the Board on Directors’ renumeration for the year ended June 30, 2010

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Barry Price

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Michael Pappas

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Grahame Cook

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Glyn Edwards

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Birgit Stattin-Norinder

 

For

 

Yes

 

For

 

Management

4

 

To re-appoint PricewaterhouseCoopers LLP as the Company’s auditors.

 

For

 

Yes

 

For

 

Management

5

 

To give directors the authority to determine their renumeration.

 

For

 

Yes

 

For

 

Management

6

 

To authorise the directors to allot shares.

 

For

 

Yes

 

For

 

Management

 

4



 

101137107

 

BSX

Boston Scientific Corporation

 

 

Meeting Date:

5/10/2011

 

Meeting Type:

Annual

Record Date:

3/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Katharine T. Bartlett

 

For

 

Yes

 

For

 

Management

1

 

Elect director Bruce L. Brynes

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nelda J. Connors

 

For

 

Yes

 

For

 

Management

1

 

Elect director J. Raymond Elliott

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kristina M. Johnson

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ernest Mario

 

For

 

Yes

 

For

 

Management

1

 

Elect director N.J. Nicholas, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Uwe E. Reinhardt

 

For

 

Yes

 

For

 

Management

1

 

Elect director John E. Sununu

 

For

 

Yes

 

For

 

Management

2

 

Advisory vote to approve Boston Scientific Corporation’s 2010 executive compensation.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote to recommend the frequency of holding an advisory vote on Boston Scientific’s executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

4

 

Proposal to approve Boston Scientific Corporation’s 2011 Long-Term Incentive Plan.

 

For

 

Yes

 

For

 

Management

5

 

Proposal to approve an amendment and restatement of Boston Scientific Corporation’s 2006 Global Employee Stock Ownership Plan.

 

For

 

Yes

 

For

 

Management

6

 

Proposal to ratify the appointment of Ernst & Young LLP as Boston Scientific Corporation’s independent registered public accounting firm for the 2011 fiscal year.

 

For

 

Yes

 

For

 

Management

 

5


 


 

N/A

 

N/A

 

CardioKintetix, Inc.

 

Action by Written Consent:

 

12/9/2010

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve the Amendment and Restated Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

2

 

Approve the Sale and Issuance of Series D Prefered Stock.

 

For

 

Yes

 

For

 

Management

3

 

Approve the Amendment to the Bylaws of the Company

 

For

 

Yes

 

For

 

Management

4

 

Approve Waiver of Right of First Offer.

 

For

 

Yes

 

For

 

Management

5

 

Approve the Amendment to the 2002 Stock Plan.

 

For

 

Yes

 

For

 

Management

6

 

Approve that all actions by an officer of the Company are authorized if deemed necessary to carry out the foregoing resolutions.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

 

CardioKintetix, Inc.

 

Action by Written Consent:

 

4/19/2011

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve the Amendment and Restated Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

2

 

Approve that all actions by an officer of the Company are authorized if deemed necessary to carry out the foregoing resolutions.

 

For

 

Yes

 

For

 

Management

 

151020104

 

CELG

Celgene Corporation

 

 

Meeting Date:

6/15/2011

 

Meeting Type:

Annual

Record Date:

4/19/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

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 Michael A. Friedman, M.D.

 

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

2

 

Ratification of the appointment of KPMG LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Approval of an amendment to the company’s 2008 stock incentive plan.

 

For

 

Yes

 

For

 

Management

4

 

Approval, by non-binding vote, of executive compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

5

 

To recommend, by non-binding vote, the frequency of executive compensation votes.

 

3 Years

 

Yes

 

1 year

 

Management

 

156708109

 

CEPH

Cephalon, Inc.

 

 

Meeting Date:

5/10/2011

 

Meeting Type:

Annual

Record Date:

3/14/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director J. Kevin Buchi

 

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 Charles J. Homcy, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Vaughn M. Kailian

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kevin E. Moley

 

For

 

Yes

 

For

 

Management

1

 

Elect director Charles A. Sanders, M.D.

 

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 and restatement of the 2011 Equity Compensation Plan.

 

For

 

Yes

 

For

 

Management

3

 

Ratification of the appointment of PricewaterhouseCoopers LLP as independent registered public accountants for the year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

4

 

To approve an advisory resolution regarding executive compensation.

 

For

 

Yes

 

For

 

Management

5

 

To vote on an advisory basis regarding the frequency of advisory stockholder votes regarding executive compensation.

 

2 Years

 

Yes

 

2 years

 

Management

 

6



 

159864107

 

CRL

Charles River Laboratories Intl., Inc.

 

Meeting Date:

5/10/2011

 

Meeting Type:

Annual

Record Date:

3/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director James C. Foster

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert J. Bertolini

 

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 Samuek O. Thier

 

For

 

Yes

 

For

 

Management

1

 

Elect director Richard F. Wallman

 

For

 

Yes

 

For

 

Management

1

 

Elect director William H. Waltrip

 

For

 

Yes

 

For

 

Management

2

 

Proposal to approve an amendment to the company’s 2007 Incentive Plan to increase the number of shares of common stock for issuance thereunder from 8,800,000 to 12,164,000.

 

For

 

Yes

 

For

 

Management

3

 

Say on Pay- an advisory vote on the approval of executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

Say on Pay- an advisory vote on the approval of the frequency of shareholder votes on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

To ratify the appointment of PricewaterhouseCoopers LLP as the company’s independent registered public accountants for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

159864107

 

CRL

Charles River Laboratories Intl., Inc.

 

Meeting Date:

8/5/2010

 

Meeting Type:

Special

Record Date:

6/30/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To approve the issuance of shares of Charles River’s common stock in connection with the transaction contemplated by the agreement and plan of arrangement, dated as of April 26, 2010, between Charles River Laboratories International, Inc. and WUXI Pharmatech (Cayman) Inc.

 

For

 

Yes

 

Against

 

Management

2

 

To approve the adjournment of the special meeting, if necessary, to solicit additional proxies in favor of Proposal 1.

 

For

 

Yes

 

Against

 

Management

 

7



 

G2554F105

 

COV

Covidien PLC

 

 

Meeting Date:

3/15/2011

 

Meeting Type:

Annual

Record Date:

1/12/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1A

 

Elect director Craig Arnold

 

For

 

Yes

 

For

 

Management

1B

 

Elect director Robert H. Burst

 

For

 

Yes

 

For

 

Management

1C

 

Elect director John M. Connors, Jr.

 

For

 

Yes

 

For

 

Management

1D

 

Elect director Christopher J. Coughlin

 

For

 

Yes

 

For

 

Management

1E

 

Elect director Timothy M. Donahue

 

For

 

Yes

 

For

 

Management

1F

 

Elect director Kathy J. Herbert

 

For

 

Yes

 

For

 

Management

1G

 

Elect director Randall J. Hogan, III

 

For

 

Yes

 

For

 

Management

1H

 

Elect director Richard J. Meelia

 

For

 

Yes

 

For

 

Management

1I

 

Elect director Dennis H. Reilley

 

For

 

Yes

 

For

 

Management

1J

 

Elect director Tadataka Yamada

 

For

 

Yes

 

For

 

Management

1K

 

Elect director Joseph A. Zaccagnino

 

For

 

Yes

 

For

 

Management

2

 

Appoint the independent auditors and authorize the audit committee to set the auditors’ remuneration.

 

For

 

Yes

 

For

 

Management

3

 

Effect a one-for-one hundred reverse split followed by a one hundred-for-one forward split of the company’s ordinary shares.

 

For

 

Yes

 

For

 

Management

4

 

An advisory vote to approve executive compensation.

 

For

 

Yes

 

For

 

Management

5

 

An advisory vote on the frequency of executive compensation votes.

 

3 Years

 

Yes

 

1 Year

 

Management

 

229678107

 

CBST

Cubist Pharmaceuticals, Inc.

 

 

Meeting Date:

6/2/2011

 

Meeting Type:

Annual

Record Date:

4/7/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Martin Rosenberg

 

For

 

Yes

 

For

 

Management

1

 

Elect director Matthew Singleton

 

For

 

Yes

 

For

 

Management

1

 

Elect director Micheal Wood

 

For

 

Yes

 

For

 

Management

2

 

To consider and vote whether to approve, on an advisory basis, the compensation paid to our named executive officers.

 

For

 

Yes

 

For

 

Management

3

 

To consider and vote, on an advisory basis, on how frequently we should seek approval from our stockholders, on an adivisory basis, of the compensation paid to our named executive officers.

 

3 Years

 

Yes

 

1 Year

 

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, 2011.

 

For

 

Yes

 

For

 

Management

 

8



 

126650100

 

CVS

CVS Caremark Corporation

 

 

Meeting Date:

5/11/2011

 

Meeting Type:

Annual

Record Date:

3/15/2011

 

 

 

 

#

 

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 Anne M. Finucane

 

For

 

Yes

 

For

 

Management

1

 

Elect director Larry J. Merlo

 

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 Richard J. Swift

 

For

 

Yes

 

For

 

Management

1

 

Elect director Tony L. White

 

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 2011 fiscal year.

 

For

 

Yes

 

For

 

Management

3

 

Proposal to approve the company’s executive compensation as disclosed in the proxy statement.

 

For

 

Yes

 

For

 

Management

4

 

Frequency of future executive compensation votes.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

Stockholder proposal regarding a report on political contributions and expenditures.

 

Against

 

Yes

 

Against

 

Stockholder

6

 

Stockholder proposal regarding stockholder action by written consent.

 

Against

 

Yes

 

Against

 

Stockholder

 

235851102

 

DHR

Danaher Corporation

 

 

Meeting Date:

5/10/2011

 

Meeting Type:

Annual

Record Date:

3/11/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director H. Lawrence Culp, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Mitchell P. Rales

 

For

 

Yes

 

For

 

Management

1

 

Elect director Elias A. Zerhouni, M.D.

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP as Danaher’s independent registered public accounting firm for the year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve an amendment to Danaher’s restated Certificate of Incorporation to declassify the board of directors.

 

For

 

Yes

 

For

 

Management

4

 

To approve an amendment to Danaher’s restated Certificate of Incorporation to allow holders of the twenty-five percent or more of Danaher’s shares to call a special meeting of shareholders.

 

For

 

Yes

 

For

 

Management

5

 

To approve amendments to Danaher’s 2007 Stock Incentive Plan and material terms of plan performance goals.

 

For

 

Yes

 

For

 

Management

6

 

To approve an advisory vote on the company’s executive officer compensation.

 

For

 

Yes

 

For

 

Management

7

 

To approve an advisory vote on the frequency of future shareholder advisory votes on the company’s ececutive officer compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

 

9



 

24823Q107

 

DNDN

Dendreon Corporation

 

 

Meeting Date:

6/21/2011

 

Meeting Type:

Annual

Record Date:

4/21/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Richard B. Brewer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Mitchell H. Gold, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Pedro Granadillo

 

For

 

Yes

 

For

 

Management

1

 

Elect director David C. Stump, M.D.

 

For

 

Yes

 

For

 

Management

2

 

Approval of the ratification of the selection of Ernst & Young LLP as the company’s independent registered public accounting firm for the current year.

 

For

 

Yes

 

For

 

Management

3

 

To recommend, on an advisory basis, the approval of the company’s overall executive compensation program.

 

For

 

Yes

 

For

 

Management

4

 

To recommend, on an advisory basis, the frequency of an advisory vote on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

 

284131208

 

ELN

Elan Corporation, PLC

 

 

Meeting Date:

5/26/2011

 

Meeting Type:

Annual

Record Date:

4/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To receive and consider the financial statements for the year ended December 31, 2011 together with the reports of the directors and auditors thereon.

 

For

 

Yes

 

For

 

Management

2

 

To elect Mr. Robert Ingram who retires from the board in accordance with the Article of Association.

 

For

 

Yes

 

For

 

Management

3

 

To re-elect Mr. Giles Kerr who retires from the board by rotation in accordance with the requirements of the Articles of Association.

 

For

 

Yes

 

For

 

Management

4

 

To re-elect Mr. Kieran McGowan who retires from the board in accordance with the requirements of the combined code.

 

For

 

Yes

 

For

 

Management

5

 

To re-elect Mr. Kyran McLaughlin who retires from the board in accordance with the requirements of the combined code.

 

For

 

Yes

 

For

 

Management

6

 

To re-elect Dr. Dennis Selkoe who retires from the board in accordance with the requirements of the combined code.

 

For

 

Yes

 

For

 

Management

7

 

To authorise the directors to fix remuneration of the auditors.

 

For

 

Yes

 

For

 

Management

8

 

To authorise the directors to allot and issue relevant securities.

 

For

 

Yes

 

For

 

Management

9

 

To authorise the disapplication of pre-emption rights.

 

For

 

Yes

 

For

 

Management

10

 

To authorise the company to make market purchases of its own shares.

 

For

 

Yes

 

For

 

Management

11

 

To set the re-issue price range for treasury shares.

 

For

 

Yes

 

For

 

Management

12

 

To retain a 14 day notice period for extraodinary general meetings.

 

For

 

Yes

 

For

 

Management

 

10


 


 

N/A

 

N/A

 

Eleme Medical, Inc.

 

Action by Written Consent:

 

1/10/2011

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve Consent of Assignment of Eleme Medical, Inc.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

 

Euthymics Biosciences, Inc.

 

Action by Written Consent:

 

11/30/2010

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve Amendment No. 1 to First Amended and Restated Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

2

 

To Increase in Authorized Shares of Series A Preferred Stock.

 

For

 

Yes

 

For

 

Management

3

 

Approve Amendment No. 1 to 2010 Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

 

Euthymics Biosciences, Inc.

 

Action by Written Consent:

 

3/8/2011

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve Amendment No. 2 to Fifth Amended and Restated Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

2

 

Approve Amendment No. 2 to the 2010 Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

3

 

Approve the Waiver of Right of First Refusal under Investor’s Rights Agreement.

 

For

 

Yes

 

For

 

Management

 

N31010106

 

EURX

Eurand N V

 

 

Meeting Date:

1/19/2011

 

Meeting Type:

Special

Record Date:

12/22/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To appoint John J. Fraher as executive director ‘A’ and chief executive officer of the company.

 

For

 

Yes

 

For

 

Management

1

 

To appoint Cecilia Gonzalo as non-executive director ‘B’of the company.

 

For

 

Yes

 

For

 

Management

2

 

To review and approve compensation for John J. Fraher, executive director and chief executive officer of the company.

 

For

 

Yes

 

For

 

Management

2

 

To review and approve compensation for Angelo C. Malahias, chairman of the board of the company.

 

For

 

Yes

 

For

 

Management

2

 

To review and approve compensation for Celcilia Gonzalo as a Director of the company.

 

For

 

Yes

 

For

 

Management

3

 

To grant a discharge to the resigning directors (Gearoid Faherty and Jonathan Cosgrave) in respect of their management.

 

For

 

Yes

 

For

 

Management

4

 

To approve the share purchase agreement by and among the company, Axcan Holdings Inc. and Axcan Pharma Holding B.V.

 

For

 

Yes

 

For

 

Management

5

 

To review & approve sale of all assets & liabilites of company to Axcan Pharma Holding B.V. or one or more of its designees.

 

For

 

Yes

 

For

 

Management

6

 

To review & approve the designation of the members of special committee with respect to sale of assets and liabilities of the company.

 

For

 

Yes

 

For

 

Management

7

 

To appoint Richard Tarte, VP, corporate development and counsel of Axcan, as an executive director ‘A’of the company.

 

For

 

Yes

 

For

 

Management

7

 

To appoint Richard Devleeschouwer, Senior Vice President, CFO of Axcan, as an executive director ‘A’of the company.

 

For

 

Yes

 

For

 

Management

7

 

To appoint Steve Gannon, Senior Vice President, CFO of Axcan, as executive director ‘A’ of the company.

 

For

 

Yes

 

For

 

Management

8

 

To approve the dissolution of the company, effective upon the completion of the subsequent offering period.

 

For

 

Yes

 

For

 

Management

9

 

To approve the appointment of books & records of company upon termination of liquidation.

 

For

 

Yes

 

For

 

Management

10

 

To approve any other resolution tabled in connection with the above.

 

For

 

Yes

 

For

 

Management

 

11



 

302182100

 

ESRX

Express Scripts, Inc.

 

 

Meeting Date:

5/4/2011

 

Meeting Type:

Annual

Record Date:

3/7/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Gary G. Benanav

 

For

 

Yes

 

For

 

Management

1

 

Elect director Maura C. Breen

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nicholas J. Lahowchic

 

For

 

Yes

 

For

 

Management

1

 

Elect director Thomas P. Mac Mahon

 

For

 

Yes

 

For

 

Management

1

 

Elect director Frank Mergenthaler

 

For

 

Yes

 

For

 

Management

1

 

Elect director Woodrow A Myers, Jr., M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect directorJohn O. Parker, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director George Paz

 

For

 

Yes

 

For

 

Management

1

 

Elect director Samuel K. Skinner

 

For

 

Yes

 

For

 

Management

1

 

Elect director Seymour Sternberg

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the appointment of PricewaterhouseCoopers LLP as the company’s independent registered public accounting firm for 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve an amendment to the bylaws regarding calling of a special meeting.

 

For

 

Yes

 

For

 

Management

4

 

To approve, by non-binding vote, executive compensation.

 

For

 

Yes

 

For

 

Management

5

 

To approve, by non-binding vote, the frequency of executive compensation votes.

 

3 Year

 

Yes

 

2 Year

 

Management

6

 

To approve and ratify the Express Scripts, Inc. 2011 Long Term Incentive Plan.

 

For

 

Yes

 

For

 

Management

7

 

Stockholder proposal regarding report on political contributions.

 

Against

 

Yes

 

Against

 

Shareholder

 

345838106

 

FRX

Forest Laboratories, Inc.

 

 

Meeting Date:

8/9/2010

 

Meeting Type:

Annual

Record Date:

6/18/2010

 

 

 

 

#

 

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. 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

1

 

Elect director Peter J. Zimetbaum, MD

 

For

 

Yes

 

For

 

Management

2

 

Approval of the amendment to the 2007 Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

3

 

Approval of the company’s executive compensation philosophy, policies and procedures, all as more fully described in the proxy statement.

 

For

 

Yes

 

For

 

Management

4

 

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

 

For

 

Yes

 

For

 

Management

5

 

Approval of the stockholder proposal to amend the by-laws of the company to provide for reimbursement of expenses incurred by a stockholder or group of stockholders in connection with nominating one or more director candidates in certain circumstances as described in proposal 5. *Note* such other business as may come before the meeting.

 

Against

 

Yes

 

For

 

Shareholder

 

12



 

375558103

 

GILD

Gilead Sciences, Inc.

 

 

Meeting Date:

5/12/2011

 

Meeting Type:

Annual

Record Date:

3/16/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

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, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve the amended and restated Gilead Science, Inc. Code Section 162(M) Bonus Plan and certain performance-based provisions thereunder.

 

For

 

Yes

 

For

 

Management

4

 

To approve amendments to Gilead’s restated certificate of incorporation to adopt majority voting standards.

 

For

 

Yes

 

For

 

Management

5

 

To approve amendments to Gilead’s amended and restated bylaws to permit holders of at least 20% of the voting power of the outstanding capital stock to call a special meeting of stockholders.

 

For

 

Yes

 

For

 

Management

6

 

To vote on an advisory resolution to approve the compensation of Gilead’s named executive officers as presented in its proxy statement.

 

For

 

Yes

 

For

 

Management

7

 

To vote on an advisory basis as to the frequency with which executive compensation will be subject to future advisory stockholder votes.

 

1 Year

 

Yes

 

1 Year

 

Management

 

13



 

436440101

 

HOLX

Hologic, Inc.

 

 

Meeting Date:

3/2/2011

 

Meeting Type:

Annual

Record Date:

1/7/2011

 

 

 

 

#

 

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