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: 7/1/11-6/30/12

 

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.

 


 

ACORDA THERAPEUTICS, INC.

 

Security

00484M106

Meeting Type

Annual

 

 

 

 

Ticker Symbol

ACOR

Meeting Date

06-Jun-2012

 

 

 

 

ISIN

US00484M1062

Agenda

933614364 - Management

 

 

 

 

Record Date

09-Apr-2012

Holding Recon Date

09-Apr-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

05-Jun-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1.

 

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

BARRY GREENE

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2

IAN SMITH

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

2.

 

TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

3.

 

AN ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.

 

For

 

Yes

 

For

 

Management

 

AETNA INC.

 

Security

00817Y108

Meeting Type

Annual

 

 

 

 

Ticker Symbol

AET

Meeting Date

18-May-2012

 

 

 

 

ISIN

US00817Y1082

Agenda

933600149 - Management

 

 

 

 

Record Date

16-Mar-2012

Holding Recon Date

16-Mar-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

17-May-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1A.

 

ELECTION OF DIRECTOR: FERNANDO AGUIRRE

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1B.

 

ELECTION OF DIRECTOR: MARK T. BERTOLINI

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1C.

 

ELECTION OF DIRECTOR: FRANK M. CLARK

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1D.

 

ELECTION OF DIRECTOR: BETSY Z. COHEN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1E.

 

ELECTION OF DIRECTOR: MOLLY J. COYE, M.D.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1F.

 

ELECTION OF DIRECTOR: ROGER N. FARAH

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1G.

 

ELECTION OF DIRECTOR: BARBARA HACKMAN FRANKLIN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1H.

 

ELECTION OF DIRECTOR: JEFFREY E. GARTEN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1I.

 

ELECTION OF DIRECTOR: ELLEN M. HANCOCK

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1J.

 

ELECTION OF DIRECTOR: RICHARD J. HARRINGTON

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1K.

 

ELECTION OF DIRECTOR: EDWARD J. LUDWIG

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1L.

 

ELECTION OF DIRECTOR: JOSEPH P. NEWHOUSE

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

2.

 

APPROVAL OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

3.

 

APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION ON A NON-BINDING ADVISORY BASIS.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

4.

 

SHAREHOLDER PROPOSAL ON CUMULATIVE VOTING.

 

Against

 

Yes

 

Against

 

Shareholder

 

 

 

 

 

 

 

 

 

 

 

5.

 

SHAREHOLDER PROPOSAL ON POLITICAL CONTRIBUTIONS.

 

Against

 

Yes

 

Against

 

Shareholder

 

AKORN, INC.

 

Security

009728106

Meeting Type

Special

 

 

 

 

Ticker Symbol

AKRX

Meeting Date

29-Dec-2011

 

 

 

 

ISIN

US0097281069

Agenda

933536457 - Management

 

 

 

 

Record Date

05-Dec-2011

Holding Recon Date

05-Dec-2011

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

28-Dec-2011

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

01

 

APPROVAL OF AN AMENDMENT TO THE AMENDED AND RESTATED AKORN, INC. 2003 STOCK OPTION PLAN TO INCREASE THE TOTAL NUMBER OF SHARES OF COMMON STOCK AUTHORIZED AND RESERVED FOR ISSUANCE UNDER THE PLAN FROM 11,000,000 TO 19,000,000 SHARES.

 

For

 

Yes

 

For

 

Management

 


 

AKORN, INC.

 

Security

009728106

Meeting Type

Annual

 

 

 

 

Ticker Symbol

AKRX

Meeting Date

04-May-2012

 

 

 

 

ISIN

US0097281069

Agenda

933610760 - Management

 

 

 

 

Record Date

19-Mar-2012

Holding Recon Date

19-Mar-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

03-May-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1.

 

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

JOHN N. KAPOOR, PHD

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2

RONALD M. JOHNSON

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

BRIAN TAMBI

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

STEVEN J. MEYER

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

5

ALAN WEINSTEIN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

6

KENNETH S. ABRAMOWITZ

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

7

ADRIENNE L. GRAVES, PHD

 

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, 2012.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

3.

 

SAY ON PAY - AN ADVISORY VOTE ON APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION PROGRAM.

 

For

 

Yes

 

For

 

Management

 

ALEXION PHARMACEUTICALS, INC.

 

Security

015351109

Meeting Type

Annual

 

 

 

 

Ticker Symbol

ALXN

Meeting Date

07-May-2012

 

 

 

 

ISIN

US0153511094

Agenda

933610772 - Management

 

 

 

 

Record Date

16-Mar-2012

Holding Recon Date

16-Mar-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

04-May-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1.

 

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

LEONARD BELL

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2

MAX LINK

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

WILLIAM R. KELLER

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

JOSEPH A. MADRI

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

5

LARRY L. MATHIS

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

6

R. DOUGLAS NORBY

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

7

ALVIN S. PARVEN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

8

ANDREAS RUMMELT

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

9

ANN M. VENEMAN

 

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

 

 

 

 

 

 

 

 

 

 

 

3.

 

APPROVAL OF A NON-BINDING ADVISORY VOTE OF THE COMPENSATION PAID TO ALEXION’S NAMED EXECUTIVE OFFICERS.

 

For

 

Yes

 

For

 

Management

 

ALKERMES PLC

 

Security

G01767105

Meeting Type

Special

 

 

 

 

Ticker Symbol

ALKS

Meeting Date

08-Dec-2011

 

 

 

 

ISIN

IE00B56GVS15

Agenda

933524604 - Management

 

 

 

 

Record Date

01-Nov-2011

Holding Recon Date

01-Nov-2011

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

07-Dec-2011

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

01

 

TO APPROVE THE ALKERMES PLC 2011 STOCK OPTION AND INCENTIVE PLAN.

 

For

 

Yes

 

For

 

Management

 

ALKERMES, INC.

 

Security

01642T108

Meeting Type

Special

 

 

 

 

Ticker Symbol

ALKS

Meeting Date

08-Sep-2011

 

 

 

 

ISIN

US01642T1088

Agenda

933496019 - Management

 

 

 

 

Record Date

01-Aug-2011

Holding Recon Date

01-Aug-2011

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

07-Sep-2011

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

01

 

TO ADOPT THE BUSINESS COMBINATION AGREEMENT AND PLAN OF MERGER, DATED AS OF MAY 9, 2011, BY AND AMONG ELAN CORPORATION, PLC, ALKERMES, INC., ANTLER SCIENCE TWO LIMITED, ANTLER ACQUISITION CORP. AND CERTAIN OTHER PARTIES AS DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS, PURSUANT TO WHICH ANTLER ACQUISITION CORP. WILL MERGE WITH AND INTO ALKERMES, INC.

 

For

 

Yes

 

For

 

Management

 


 

02

 

TO APPROVE THE CREATION OF DISTRIBUTABLE RESERVES OF ALKERMES PLC THROUGH A REDUCTION OF THE SHARE PREMIUM ACCOUNT OF ALKERMES PLC (THAT WAS PREVIOUSLY APPROVED BY THE CURRENT SHAREHOLDERS OF ALKERMES PLC) AS DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

03

 

TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES IF NECESSARY OR APPROPRIATE, INCLUDING FOR THE PURPOSE OF PERMITTING FURTHER SOLICITATION OF PROXIES.

 

For

 

Yes

 

For

 

Management

 

ALLERGAN, INC.

 

Security

018490102

Meeting Type

Annual

 

 

 

 

Ticker Symbol

AGN

Meeting Date

01-May-2012

 

 

 

 

ISIN

US0184901025

Agenda

933565826 - Management

 

 

 

 

Record Date

08-Mar-2012

Holding Recon Date

08-Mar-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

30-Apr-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1A.

 

ELECTION OF DIRECTOR: DAVID E.I. PYOTT

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1B.

 

ELECTION OF DIRECTOR: HERBERT W. BOYER, PH.D.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1C.

 

ELECTION OF DIRECTOR: DEBORAH DUNSIRE, M.D.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1D.

 

ELECTION OF DIRECTOR: MICHAEL R. GALLAGHER

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1E.

 

ELECTION OF DIRECTOR: DAWN HUDSON

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1F.

 

ELECTION OF DIRECTOR: ROBERT A. INGRAM

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1G.

 

ELECTION OF DIRECTOR: TREVOR M. JONES, PH.D.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1H.

 

ELECTION OF DIRECTOR: LOUIS J. LAVIGNE, JR.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1I.

 

ELECTION OF DIRECTOR: RUSSELL T. RAY

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1J.

 

ELECTION OF DIRECTOR: STEPHEN J. RYAN, M.D.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

2.

 

RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2012.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

3.

 

ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

4.

 

STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE ANNUAL MEETING (SPECIAL STOCKHOLDER MEETINGS).

 

Against

 

Yes

 

Against

 

Shareholder

 

AMARIN CORPORATION PLC

 

Security

023111206

Meeting Type

Annual

 

 

 

 

Ticker Symbol

AMRN

Meeting Date

12-Jul-2011

 

 

 

 

ISIN

US0231112063

Agenda

933458336 - Management

 

 

 

 

Record Date

29-Apr-2011

Holding Recon Date

29-Apr-2011

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

05-Jul-2011

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

O1

 

ORDINARY RESOLUTION TO RE-ELECT DR. JOSEPH ANDERSON AS A DIRECTOR.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

O2

 

ORDINARY RESOLUTION TO RE-ELECT DR. JAMES I. HEALY AS A DIRECTOR.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

O3

 

ORDINARY RESOLUTION TO ELECT MS. KRISTINE PETERSON AS A DIRECTOR.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

O4

 

ORDINARY RESOLUTION TO ELECT DR. DAVID FEIGAL AS A DIRECTOR.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

O5

 

ORDINARY RESOLUTION (ADVISORY, NON- BINDING VOTE) ON THE COMPANY’S EXECUTIVE COMPENSATION.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

O6

 

ORDINARY RESOLUTION (ADVISORY, NON- BINDING VOTE) ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION.

 

1 Year

 

Yes

 

1 Year

 

Management

 

 

 

 

 

 

 

 

 

 

 

O7

 

ORDINARY RESOLUTION (ADVISORY, NON- BINDING VOTE) ON THE DIRECTORS’ REMUNERATION REPORT FOR THE FISCAL YEAR ENDED DECEMBER 31, 2010.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

O8

 

ORDINARY RESOLUTION TO RE-APPOINT DELOITTE & TOUCHE LLP AS AUDITORS OF THE COMPANY AND TO AUTHORISE THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THEIR REMUNERATION.

 

For

 

Yes

 

For

 

Management

 


 

S9

 

SPECIAL RESOLUTION TO ADOPT AND APPROVE THE AMARIN CORPORATION PLC 2011 STOCK INCENTIVE PLAN.

 

For

 

Yes

 

For

 

Management

 

AMGEN INC.

 

Security

031162100

Meeting Type

Annual

 

 

 

 

Ticker Symbol

AMGN

Meeting Date

23-May-2012

 

 

 

 

ISIN

US0311621009

Agenda

933583937 - Management

 

 

 

 

Record Date

26-Mar-2012

Holding Recon Date

26-Mar-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

22-May-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1A.

 

ELECTION OF DIRECTOR: DR. DAVID BALTIMORE

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1B.

 

ELECTION OF DIRECTOR: MR. FRANK J. BIONDI, JR.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1C.

 

ELECTION OF DIRECTOR: MR. ROBERT A. BRADWAY

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1D.

 

ELECTION OF DIRECTOR: MR. FRANCOIS DE CARBONNEL

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1E.

 

ELECTION OF DIRECTOR: DR. VANCE D. COFFMAN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1F.

 

ELECTION OF DIRECTOR: DR. REBECCA M. HENDERSON

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1G.

 

ELECTION OF DIRECTOR: MR. FRANK C. HERRINGER

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1H.

 

ELECTION OF DIRECTOR: DR. TYLER JACKS

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1I.

 

ELECTION OF DIRECTOR: DR. GILBERT S. OMENN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1J.

 

ELECTION OF DIRECTOR: MS. JUDITH C. PELHAM

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1K.

 

ELECTION OF DIRECTOR: ADM. J. PAUL REASON, USN (RETIRED)

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1L.

 

ELECTION OF DIRECTOR: MR. LEONARD D. SCHAEFFER

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1M.

 

ELECTION OF DIRECTOR: MR. KEVIN W. SHARER

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1N.

 

ELECTION OF 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 FISCAL YEAR ENDING DECEMBER 31, 2012.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

3.

 

ADVISORY VOTE TO APPROVE OUR EXECUTIVE COMPENSATION.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

4.

 

TO APPROVE AN AMENDMENT TO OUR RESTATED CERTIFICATE OF INCORPORATION TO AUTHORIZE STOCKHOLDER ACTION BY WRITTEN CONSENT.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

5A.

 

STOCKHOLDER PROPOSAL #1 (INDEPENDENT CHAIRMAN OF THE BOARD).

 

Against

 

Yes

 

For

 

Shareholder

 

 

 

 

 

 

 

 

 

 

 

5B.

 

STOCKHOLDER PROPOSAL #2 (TRANSPARENCY IN ANIMAL USE).

 

Against

 

Yes

 

Against

 

Shareholder

 

 

 

 

 

 

 

 

 

 

 

5C.

 

STOCKHOLDER PROPOSAL #3 (REQUEST FOR DISCLOSURE OF LOBBYING POLICIES AND PRACTICES).

 

Against

 

Yes

 

Against

 

Shareholder

 

 

 

 

 

 

 

 

 

 

 

5D.

 

STOCKHOLDER PROPOSAL #4 (CEO TO SERVE ON A MAXIMUM OF ONE OTHER BOARD).

 

Against

 

Yes

 

Against

 

Shareholder

 

BAXTER INTERNATIONAL INC.

 

Security

071813109

Meeting Type

Annual

 

 

 

 

Ticker Symbol

BAX

Meeting Date

08-May-2012

 

 

 

 

ISIN

US0718131099

Agenda

933574736 - Management

 

 

 

 

Record Date

12-Mar-2012

Holding Recon Date

12-Mar-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

07-May-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1A.

 

ELECTION OF DIRECTOR: JAMES R. GAVIN III, M.D., PH.D.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1B.

 

ELECTION OF DIRECTOR: PETER S. HELLMAN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1C.

 

ELECTION OF DIRECTOR: K.J. STORM

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

2.

 

RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

3.

 

APPROVAL OF NAMED EXECUTIVE OFFICER COMPENSATION

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

4.

 

SHAREHOLDER PROPOSAL TO REPEAL CLASSIFIED BOARD

 

For

 

Yes

 

For

 

Shareholder

 

 

 

 

 

 

 

 

 

 

 

5.

 

SHAREHOLDER PROPOSAL TO ADOPT SIMPLE MAJORITY VOTE

 

For

 

Yes

 

For

 

Shareholder

 


 

BIOGEN IDEC INC.

 

Security

09062X103

Meeting Type

Annual

 

 

 

 

Ticker Symbol

BIIB

Meeting Date

08-Jun-2012

 

 

 

 

ISIN

US09062X1037

Agenda

933618843 - Management

 

 

 

 

Record Date

10-Apr-2012

Holding Recon Date

10-Apr-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

07-Jun-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1A.

 

ELECTION OF DIRECTOR: CAROLINE D. DORSA

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1B.

 

ELECTION OF DIRECTOR: STELIOS PAPADOPOULOS

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1C.

 

ELECTION OF DIRECTOR: GEORGE A. SCANGOS

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1D.

 

ELECTION OF DIRECTOR: LYNN SCHENK

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1E.

 

ELECTION OF DIRECTOR: ALEXANDER J. DENNER

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1F.

 

ELECTION OF DIRECTOR: NANCY L. LEAMING

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1G.

 

ELECTION OF DIRECTOR: RICHARD C. MULLIGAN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1H.

 

ELECTION OF DIRECTOR: ROBERT W. PANGIA

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1I.

 

ELECTION OF DIRECTOR: BRIAN S. POSNER

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1J.

 

ELECTION OF DIRECTOR: ERIC K. ROWINSKY

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1K.

 

ELECTION OF DIRECTOR: STEPHEN A. SHERWIN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1L.

 

ELECTION OF DIRECTOR: WILLIAM D. YOUNG

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

2.

 

TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS BIOGEN IDEC’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

3.

 

SAY ON PAY - AN ADVISORY VOTE ON EXECUTIVE COMPENSATION.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

4.

 

TO APPROVE AN AMENDMENT TO BIOGEN IDEC’S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION ESTABLISHING DELAWARE AS EXCLUSIVE FORUM FOR CERTAIN DISPUTES.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

5.

 

TO APPROVE AN AMENDMENT TO BIOGEN IDEC’S SECOND AMENDED AND RESTATED BYLAWS PERMITTING HOLDERS OF AT LEAST 25% OF COMMON STOCK TO CALL SPECIAL MEETINGS.

 

For

 

Yes

 

For

 

Management

 

BRUKER CORPORATION

 

Security

116794108

Meeting Type

Annual

 

 

 

 

Ticker Symbol

BRKR

Meeting Date

18-May-2012

 

 

 

 

ISIN

US1167941087

Agenda

933602636 - Management

 

 

 

 

Record Date

30-Mar-2012

Holding Recon Date

30-Mar-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

17-May-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1.

 

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

RICHARD D. KNISS

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2

JOERG C. LAUKIEN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

WILLIAM A. LINTON

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

CHRIS VAN INGEN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

2.

 

TO CONSIDER AND ACT UPON A PROPOSAL TO RATIFY, CONFIRM AND APPROVE THE SELECTION OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF BRUKER CORPORATION FOR FISCAL 2012.

 

For

 

Yes

 

For

 

Management

 

CARDIOKINETIX, INC.

 

Security

N/A

Meeting Type

Action by Written Consent

 

 

 

 

Ticker Symbol

N/A

Date

14-Sep-11

 

Item

 

Proposal

 

Management
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 E PREFFERED STOCK

 

For

 

Yes

 

For

 

Management

3

 

APPROVE WAVIER OF RIGHT OF FIRST OFFER

 

For

 

Yes

 

For

 

Management

4

 

APPROVE THE AMENDMENT TO THE 2002 STOCK PLAN

 

For

 

Yes

 

For

 

Management

5

 

ELECT DIRECTORS PAUL LA VIOLETTE AND JEANI DELAGARDELLE

 

For

 

Yes

 

For

 

Management

6

 

APPROVE THE AMENDED AND RESTATED FORM OF IDEMNIFICATION AGREEMENT

 

For

 

Yes

 

For

 

Management

7

 

APPROVE AMENDMENTS TO THE BYLAWS

 

For

 

Yes

 

For

 

Management

8

 

APPROVE THE WAIVER OF ANTI-DILUTION ADJUSTMENTS

 

For

 

Yes

 

For

 

Management

9

 

APPROVE OMNIBUS RESOLUTION

 

For

 

Yes

 

For

 

Management

 

CARDIOKINETIX, INC

 

Security

N/A

Meeting Type

Action by Written Consent

 

 

 

 

Ticker Symbol

N/A

Date

28-Feb-12

 

Item

 

Proposal

 

Management
Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1

 

RATIFICATION OF THE AMENDMENT TO THE 2002 STOCK PLAN

 

For

 

Yes

 

For

 

Management

2

 

APPROVE THE AMENDED AND RESTATED 2002 STOCK PLAN

 

For

 

Yes

 

For

 

Management

3

 

ADOPTION OF THE 2011 EQUITY INCENTIVE PLAN

 

For

 

Yes

 

For

 

Management

4

 

WAVIER ANTI-DILUTION AND PROTECTIVE PROVISIONS

 

For

 

Yes

 

For

 

Management

5

 

WAVIER OF RIGHT OF FIRST OFFER

 

For

 

Yes

 

For

 

Management

6

 

APPROVE OMNIBUS RESOLUTION

 

For

 

Yes

 

For

 

Management

 

CELGENE CORPORATION

 

Security

151020104

Meeting Type

Annual

 

 

 

 

Ticker Symbol

CELG

Meeting Date

13-Jun-2012

 

 

 

 

ISIN

US1510201049

Agenda

933620189 - Management

 

 

 

 

Record Date

18-Apr-2012

Holding Recon Date

18-Apr-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

12-Jun-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1.

 

DIRECTOR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

ROBERT J. HUGIN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2

R.W. BARKER, D. PHIL.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

MICHAEL D. CASEY

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

CARRIE S. COX

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

5

RODMAN L. DRAKE

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

6

M.A. FRIEDMAN, M.D.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

7

GILLA KAPLAN, PH.D.

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

8

JAMES J. LOUGHLIN

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

9

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, 2012.

 

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.

 

STOCKHOLDER PROPOSAL DESCRIBED IN MORE DETAIL IN THE PROXY STATEMENT.

 

Against

 

Yes

 

Against

 

Shareholder

 

CELLADON CORPORATION

 

Security

N/A

Meeting Type

Action by Written Consent

 

 

 

 

Ticker Symbol

N/A

Date

26-Apr-12

 

Item

 

Proposal

 

Management
Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1

 

APPROVE THE AMENDMENT TO THE COMPANY’S 2012 EQUITY INCENTIVE PLAN.

 

For

 

Yes

 

For

 

Management

 

CERES, INC.

 

Security

N/A

Meeting Type

Action by Written Consent

 

 

 

 

Ticker Symbol

N/A

Date

9-Dec-11

 

Item

 

Proposal

 

Management
Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1

 

APPROVAL OF ALL AMENDMENTS TO THE CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION

 

For

 

Yes

 

For

 

Management

2

 

APPROVAL OF THE SPONSORED RESARCH AGREEMENT WITH TEXAS A&M UNIVERSITY (TAMU)

 

For

 

Yes

 

For

 

Management

3

 

APPROVAL TO ISSUE TAMU WARRANT TO PURCHASE SHARES OF THE CORPORATIONS’S COMMON STOCK

 

For

 

Yes

 

For

 

Management

4

 

AUTHORIZATION AND ISSUANCE OF ANY EQUITY SECURITY BY THE CORPORATION PURSUANT TO THE CORPORATION’S RESTATED CERTIFICATE OF INCORPORATION

 

For

 

Yes

 

For

 

Management

5

 

APPROVAL AND CONSENT TO THE ISSUANCE OF WARRANTS TO PURCHASE UP TO AN AGGREGATE OF 200,000 SHARES OF THE CORPORATIONS COMMON STOCK TO TAMU

 

For

 

Yes

 

For

 

Management

6

 

APPROVAL THAT THE OFFICERS OF THE CORPORATION BE AUTHORIZED AND DIRECTED ON BEHALF OF THE CORPORATION, TO EXECUTE ALL DOCUMENTS AND TAKE SUCH FURTHER ACTION AS THEY DEEM NECESSARY, APPROPRIATE OR ADVISABLE.

 

For

 

Yes

 

For

 

Management

7

 

CONVERTIBLE NOTE OFFERING WAIVER

 

For

 

Yes

 

For

 

Management

8

 

AUTHORIZATION TO ISSUE AND SELL CONVERTIBLE NOTES

 

For

 

Yes

 

For

 

Management

9

 

WAIVER AND CONSENT

 

For

 

Yes

 

For

 

Management

 

CERES, INC.

 

Security

N/A

Meeting Type

Annual

 

 

 

 

Ticker Symbol

N/A

Meeting Date

17-Jan-12

 

 

 

 

Record Date

14-Dec-11

 

 

 

Item

 

Proposal

 

Management
Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1

 

TO ELECT ELEVEN DIRECTORS TO SERVE UNTIL THE 2013 ANNUAL STOCKHOLDERS MEETING

 

For

 

Yes

 

For

 

Management

2

 

TO RATIFY KPMG AS INDEPENDENT ACCOUNTANTS FOR THE FISCAL YEAR.

 

For

 

Yes

 

For

 

Management

3

 

TO CONSIDER OTHER SUCH BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING

 

For

 

Yes

 

For

 

Management

 

COMMUNITY HEALTH SYSTEMS, INC.

 

Security

203668108

Meeting Type

Annual

 

 

 

 

Ticker Symbol

CYH

Meeting Date

15-May-2012

 

 

 

 

ISIN

US2036681086

Agenda

933593433 - Management

 

 

 

 

Record Date

23-Mar-2012

Holding Recon Date

23-Mar-2012

 

 

 

 

City / Country

 

/ United States

Vote Deadline Date

14-May-2012

 

 

 

 

 

 

SEDOL(s)

 

Quick Code

 

 

Item

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

 

 

 

 

 

 

 

 

 

 

 

1.1

 

ELECTION OF DIRECTOR: W. LARRY CASH

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1.2

 

ELECTION OF DIRECTOR: JOHN A. CLERICO

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 

 

 

1.3

 

ELECTION OF DIRECTOR: JAMES S. ELY III

 

For

 

Yes

 

For

 

Management

 

 

 

 

 

 

 

 

 </