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UNITED STATES Washington, D.C. 20549 |
OMB APPROVAL |
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OMB Number: 3235-0582 | |
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Expires: March 31, 2018 | |
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Estimated average burden | |
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hours per response........7.2 |
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811- 04889
Tekla Healthcare Investors
(Exact name of registrant as specified in charter)
100 Federal Street, 19th Floor, Boston, MA |
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02110 |
(Address of principal executive offices) |
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(Zip code) |
Laura Woodward
Tekla Healthcare Investors
100 Federal Street, 19th Floor, Boston MA 02110
(Name and address of agent for service)
Registrants telephone number, including area code: 617-772-8500
Date of fiscal year end: September 30
Date of reporting period: 7/1/16-6/30/17
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 registrants 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.
Vote Summary
ABBOTT LABORATORIES
Security |
002824100 |
Meeting Type |
Annual |
Ticker Symbol |
ABT |
Meeting Date |
28-Apr-2017 |
Record Date |
01-Mar-2017 |
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Item |
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Proposal |
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Proposed |
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Vote |
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For/Against |
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1. |
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DIRECTOR |
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Management |
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1 R.J. ALPERN |
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|
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For |
|
For |
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|
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2 R.S. AUSTIN |
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|
|
For |
|
For |
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3 S.E. BLOUNT |
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|
|
For |
|
For |
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|
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4 E.M. LIDDY |
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|
|
For |
|
For |
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|
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5 N. MCKINSTRY |
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|
|
For |
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For |
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6 P.N. NOVAKOVIC |
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|
|
For |
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For |
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7 W.A. OSBORN |
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|
|
For |
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For |
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|
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8 S.C. SCOTT III |
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|
|
For |
|
For |
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9 D.J. STARKS |
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|
|
For |
|
For |
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|
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10 G.F. TILTON |
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|
|
For |
|
For |
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|
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11 M.D. WHITE |
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|
|
For |
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For |
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2. |
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RATIFICATION OF ERNST & YOUNG LLP AS AUDITORS. |
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Management |
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For |
|
For |
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3. |
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SAY ON PAY - AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. |
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Management |
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For |
|
For |
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4. |
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SAY WHEN ON PAY - AN ADVISORY VOTE TO APPROVE THE FREQUENCY OF SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION. |
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Management |
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1 Year |
|
For |
|
5. |
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APPROVAL OF THE ABBOTT LABORATORIES 2017 INCENTIVE STOCK PROGRAM |
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Management |
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For |
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For |
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6. |
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APPROVAL OF THE ABBOTT LABORATORIES 2017 EMPLOYEE STOCK PURCHASE PLAN FOR NON-U.S. EMPLOYEES. |
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Management |
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For |
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For |
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7. |
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SHAREHOLDER PROPOSAL - INDEPENDENT BOARD CHAIRMAN. |
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Shareholder |
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Against |
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For |
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AKORN, INC.
Security |
009728106 |
Meeting Type |
Special |
Ticker Symbol |
AKRX |
Meeting Date |
16-Dec-2016 |
Record Date |
28-Oct-2016 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
PROPOSAL TO APPROVE THE AKORN, INC. 2016 EMPLOYEE STOCK PURCHASE PLAN. |
|
Management |
|
For |
|
For |
|
2. |
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PROPOSAL TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE AKORN, INC. 2014 STOCK OPTION PLAN. |
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Management |
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For |
|
For |
|
AKORN, INC.
Security |
009728106 |
Meeting Type |
Annual |
Ticker Symbol |
AKRX |
Meeting Date |
27-Apr-2017 |
Record Date |
13-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DIRECTOR |
|
Management |
|
|
|
|
|
|
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1 JOHN KAPOOR, PHD |
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|
|
For |
|
For |
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|
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2 KENNETH ABRAMOWITZ |
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|
|
For |
|
For |
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|
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3 ADRIENNE GRAVES, PHD |
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|
|
For |
|
For |
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4 RONALD JOHNSON |
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|
|
For |
|
For |
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5 STEVEN MEYER |
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|
|
For |
|
For |
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6 TERRY ALLISON RAPPUHN |
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|
|
For |
|
For |
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7 BRIAN TAMBI |
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|
|
For |
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For |
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8 ALAN WEINSTEIN |
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|
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For |
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For |
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2. |
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PROPOSAL TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS THE COMPANYS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. |
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Management |
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For |
|
For |
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3. |
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PROPOSAL TO APPROVE THE 2017 OMNIBUS INCENTIVE COMPENSATION PLAN. |
|
Management |
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For |
|
For |
|
4. |
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PROPOSAL TO APPROVE, THROUGH A NON- BINDING ADVISORY VOTE, THE FREQUENCY OF FUTURE NON-BINDING ADVISORY VOTES ON THE COMPANYS EXECUTIVE COMPENSATION PROGRAMS. |
|
Management |
|
1 Year |
|
For |
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5. |
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PROPOSAL TO APPROVE, THROUGH A NON-BINDING ADVISORY VOTE, THE COMPANYS EXECUTIVE COMPENSATION PROGRAM AS DESCRIBED IN THE COMPANYS 2017 PROXY STATEMENT. |
|
Management |
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For |
|
For |
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AKORN, INC.
Security |
009728106 |
Meeting Type |
Special |
Ticker Symbol |
AKRX |
Meeting Date |
19-Jul-2017 |
Record Date |
09-Jun-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
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For/Against |
|
1. |
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TO APPROVE THE AGREEMENT AND PLAN OF MERGER, DATED AS OF APRIL 24, 2017, BY AND AMONG FRESENIUS KABI AG, QUERCUS ACQUISITION, INC., AKORN, INC. AND, SOLELY FOR PURPOSES OF ARTICLE VIII THEREIN, FRESENIUS SE & CO. KGAA. |
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Management |
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For |
|
For |
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2. |
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TO APPROVE, BY NON-BINDING, ADVISORY VOTE, THE COMPENSATION THAT MAY BE PAID OR MAY BECOME PAYABLE TO AKORN, INC.S NAMED EXECUTIVE OFFICERS IN CONNECTION WITH, OR FOLLOWING, THE CONSUMMATION OF THE MERGER CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER. |
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Management |
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For |
|
For |
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3. |
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TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING TO A LATER DATE OR TIME, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING OR ANY ADJOURNMENT OR POSTPONEMENT THEREOF TO ADOPT THE AGREEMENT AND PLAN OF MERGER. |
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Management |
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For |
|
For |
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ALEXION PHARMACEUTICALS, INC.
Security |
015351109 |
Meeting Type |
Annual |
Ticker Symbol |
ALXN |
Meeting Date |
10-May-2017 |
Record Date |
14-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: FELIX J. BAKER |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: DAVID R. BRENNAN |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: M. MICHELE BURNS |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: LUDWIG N. HANTSON |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: JOHN T. MOLLEN |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: R. DOUGLAS NORBY |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: ALVIN S. PARVEN |
|
Management |
|
For |
|
For |
|
1I. |
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ELECTION OF DIRECTOR: ANDREAS RUMMELT |
|
Management |
|
For |
|
For |
|
1J. |
|
ELECTION OF DIRECTOR: ANN M. VENEMAN |
|
Management |
|
For |
|
For |
|
2. |
|
TO APPROVE ALEXIONS 2017 INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
3. |
|
RATIFICATION OF APPOINTMENT BY THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP AS ALEXIONS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. |
|
Management |
|
For |
|
For |
|
4. |
|
APPROVAL OF A NON-BINDING ADVISORY VOTE OF THE 2016 COMPENSATION PAID TO ALEXIONS NAMED EXECUTIVE OFFICERS. |
|
Management |
|
For |
|
For |
|
5. |
|
TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
6. |
|
TO REQUEST THE BOARD IMPLEMENT CONFIDENTIAL SHAREHOLDER VOTING ON EXECUTIVE PAY MATTERS. |
|
Shareholder |
|
Against |
|
For |
|
ALLERGAN PLC
Security |
G0177J108 |
Meeting Type |
Annual |
Ticker Symbol |
AGN |
Meeting Date |
04-May-2017 |
Record Date |
08-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: NESLI BASGOZ, M.D. |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: PAUL M. BISARO |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: JAMES H. BLOEM |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: CHRISTOPHER W. BODINE |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: ADRIANE M. BROWN |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: CATHERINE M. KLEMA |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: PETER J. MCDONNELL, M.D. |
|
Management |
|
For |
|
For |
|
1I. |
|
ELECTION OF DIRECTOR: PATRICK J. OSULLIVAN |
|
Management |
|
For |
|
For |
|
1J. |
|
ELECTION OF DIRECTOR: BRENTON L. SAUNDERS |
|
Management |
|
For |
|
For |
|
1K. |
|
ELECTION OF DIRECTOR: RONALD R. TAYLOR |
|
Management |
|
For |
|
For |
|
1L. |
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ELECTION OF DIRECTOR: FRED G. WEISS |
|
Management |
|
For |
|
For |
|
2. |
|
TO APPROVE, IN A NON-BINDING VOTE, NAMED EXECUTIVE OFFICER COMPENSATION. |
|
Management |
|
For |
|
For |
|
3. |
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TO RECOMMEND, IN A NON-BINDING VOTE, WHETHER A SHAREHOLDER VOTE TO APPROVE THE COMPENSATION OF THE COMPANYS NAMED EXECUTIVE OFFICERS SHOULD OCCUR EVERY ONE, TWO OR THREE YEARS. |
|
Management |
|
1 Year |
|
For |
|
4. |
|
TO RATIFY, IN A NON-BINDING VOTE, THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANYS INDEPENDENT AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017 AND TO AUTHORIZE, IN A BINDING VOTE, THE BOARD OF DIRECTORS, ACTING THROUGH ITS AUDIT AND COMPLIANCE COMMITTEE, TO DETERMINE PRICEWATERHOUSECOOPERS LLPS REMUNERATION. |
|
Management |
|
For |
|
For |
|
5. |
|
TO APPROVE THE MATERIAL TERMS OF THE PERFORMANCE GOALS FOR THE PURPOSES OF SECTION 162(M) UNDER THE ALLERGAN PLC 2017 ANNUAL INCENTIVE COMPENSATION PLAN. |
|
Management |
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For |
|
For |
|
6. |
|
TO CONSIDER A SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT BOARD CHAIRMAN, IF PROPERLY PRESENTED AT THE MEETING. |
|
Shareholder |
|
Against |
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For |
|
ALLIQUA BIOMEDICAL, INC.
Security |
019621200 |
Meeting Type |
Annual |
Ticker Symbol |
ALQA |
Meeting Date |
23-Jun-2017 |
Record Date |
28-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DIRECTOR |
|
Management |
|
|
|
|
|
|
|
1 DAVID JOHNSON |
|
|
|
For |
|
For |
|
|
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2 WINSTON KUNG |
|
|
|
For |
|
For |
|
|
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3 JOSEPH LEONE |
|
|
|
For |
|
For |
|
|
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4 GARY RESTANI |
|
|
|
For |
|
For |
|
|
|
5 JEFFREY SKLAR |
|
|
|
For |
|
For |
|
|
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6 MARK WAGNER |
|
|
|
For |
|
For |
|
|
|
7 JEROME ZELDIS, MD, PHD. |
|
|
|
For |
|
For |
|
2. |
|
APPROVAL TO AUTHORIZE THE BOARD OF DIRECTORS OF THE COMPANY TO AMEND THE COMPANYS CERTIFICATE OF INCORPORATION IN ITS DISCRETION BUT PRIOR TO THE ANNUAL MEETING OF THE COMPANYS STOCKHOLDERS IN 2018, TO EFFECT A REVERSE STOCK SPLIT OF THE COMPANYS COMMON STOCK, AT A RATIO IN THE RANGE OF 1-FOR-3 TO 1-FOR-13. |
|
Management |
|
For |
|
For |
|
3. |
|
APPROVAL OF AN AMENDMENT TO THE COMPANYS 2014 LONG-TERM INCENTIVE PLAN, TO INCREASE THE AGGREGATE NUMBER OF SHARES OF COMMON STOCK RESERVED FOR ISSUANCE UNDER THE 2014 PLAN BY AN ADDITIONAL 4,000,000 SHARES, TO A TOTAL OF 9,500,000 SHARES. |
|
Management |
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For |
|
For |
|
4. |
|
TO APPROVE THE ISSUANCE OF MORE THAN 19.99% OF THE COMPANYS OUTSTANDING COMMON STOCK AT A PRICE PER SHARE LESS THAN BOOK OR MARKET VALUE TO INVESTORS WHO PARTICIPATED IN A PRIVATE PLACEMENT WHICH CLOSED ON FEBRUARY 27, 2017 PURSUANT TO THE MFN ADJUSTMENT. |
|
Management |
|
For |
|
For |
|
5. |
|
TO APPROVE THE ISSUANCE OF SHARES OF THE COMPANYS COMMON STOCK TO JEROME ZELDIS, M.D., PH.D., THE CHAIRMAN OF THE COMPANYS BOARD OF DIRECTORS, PURSUANT TO THE MFN ADJUSTMENT AT A PER SHARE PURCHASE PRICE LESS THAN THE CLOSING BID PRICE OF THE COMMON STOCK ON FEBRUARY 27, 2017. |
|
Management |
|
For |
|
For |
|
6. |
|
TO APPROVE THE ISSUANCE OF SHARES OF THE COMPANYS COMMON STOCK ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). |
|
Management |
|
For |
|
For |
|
7. |
|
RATIFICATION OF THE APPOINTMENT OF MARCUM LLP AS OUR ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). |
|
Management |
|
For |
|
For |
|
8. |
|
AN ADVISORY VOTE ON EXECUTIVE COMPENSATION AS DISCLOSED IN THESE MATERIALS. |
|
Management |
|
For |
|
For |
|
ALNYLAM PHARMACEUTICALS, INC.
Security |
02043Q107 |
Meeting Type |
Annual |
Ticker Symbol |
ALNY |
Meeting Date |
02-May-2017 |
Record Date |
10-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: MICHAEL W. BONNEY |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: JOHN M. MARAGANORE, PH.D. |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: PAUL R. SCHIMMEL, PH.D. |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: PHILLIP A. SHARP, PH.D. |
|
Management |
|
For |
|
For |
|
2. |
|
TO APPROVE THE SECOND AMENDED AND RESTATED 2009 STOCK INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
3. |
|
TO APPROVE THE AMENDED AND RESTATED 2004 EMPLOYEE STOCK PURCHASE PLAN. |
|
Management |
|
For |
|
For |
|
4. |
|
TO APPROVE, IN A NON-BINDING ADVISORY VOTE, THE COMPENSATION OF ALNYLAMS NAMED EXECUTIVE OFFICERS. |
|
Management |
|
For |
|
For |
|
5. |
|
TO RECOMMEND, IN A NON-BINDING ADVISORY VOTE, THE FREQUENCY OF ADVISORY STOCKHOLDER VOTES ON EXECUTIVE COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
6. |
|
TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, AS ALNYLAMS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
AMERISOURCEBERGEN CORPORATION
Security |
03073E105 |
Meeting Type |
Annual |
Ticker Symbol |
ABC |
Meeting Date |
02-Mar-2017 |
Record Date |
03-Jan-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: ORNELLA BARRA |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: STEVEN H. COLLIS |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: DOUGLAS R. CONANT |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: D. MARK DURCAN |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: RICHARD W. GOCHNAUER |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: LON R. GREENBERG |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: JANE E. HENNEY, M.D. |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: KATHLEEN W. HYLE |
|
Management |
|
For |
|
For |
|
1I. |
|
ELECTION OF DIRECTOR: MICHAEL J. LONG |
|
Management |
|
For |
|
For |
|
1J. |
|
ELECTION OF DIRECTOR: HENRY W. MCGEE |
|
Management |
|
For |
|
For |
|
2. |
|
RATIFICATION OF APPOINTMENT OF OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
|
Management |
|
For |
|
For |
|
4. |
|
ADVISORY VOTE ON THE FREQUENCY OF A STOCKHOLDER VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
|
Management |
|
1 Year |
|
For |
|
5. |
|
APPROVAL OF AN AMENDMENT TO OUR CERTIFICATE OF INCORPORATION SO THAT DIRECTORS MAY BE REMOVED WITH OR WITHOUT CAUSE. |
|
Management |
|
For |
|
For |
|
AMGEN INC.
Security |
031162100 |
Meeting Type |
Annual |
Ticker Symbol |
AMGN |
Meeting Date |
19-May-2017 |
Record Date |
20-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: DR. DAVID BALTIMORE |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: MR. ROBERT A. BRADWAY |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: MR. FRANCOIS DE CARBONNEL |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: MR. ROBERT A. ECKERT |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: MR. GREG C. GARLAND |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: MR. FRED HASSAN |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: DR. REBECCA M. HENDERSON |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: MR. FRANK C. HERRINGER |
|
Management |
|
For |
|
For |
|
1I. |
|
ELECTION OF DIRECTOR: MR. CHARLES M. HOLLEY, JR. |
|
Management |
|
For |
|
For |
|
1J. |
|
ELECTION OF DIRECTOR: DR. TYLER JACKS |
|
Management |
|
For |
|
For |
|
1K. |
|
ELECTION OF DIRECTOR: MS. ELLEN J. KULLMAN |
|
Management |
|
For |
|
For |
|
1L. |
|
ELECTION OF DIRECTOR: DR. RONALD D. SUGAR |
|
Management |
|
For |
|
For |
|
1M. |
|
ELECTION OF DIRECTOR: DR. R. SANDERS WILLIAMS |
|
Management |
|
For |
|
For |
|
2. |
|
TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
ADVISORY VOTE TO APPROVE OUR EXECUTIVE COMPENSATION. |
|
Management |
|
For |
|
For |
|
4. |
|
ADVISORY VOTE ON THE FREQUENCY OF FUTURE STOCKHOLDER VOTES TO APPROVE EXECUTIVE COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
5. |
|
STOCKHOLDER PROPOSAL TO ADOPT MAJORITY VOTES CAST STANDARD FOR MATTERS PRESENTED BY STOCKHOLDERS. |
|
Shareholder |
|
Against |
|
For |
|
AURIS MEDICAL HOLDING AG
Security |
H03579101 |
Meeting Type |
Annual |
Ticker Symbol |
EARS |
Meeting Date |
13-Apr-2017 |
Record Date |
10-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS AND THE GROUP CONSOLIDATED FINANCIAL STATEMENTS FOR THE 2016 FINANCIAL YEAR |
|
Management |
|
For |
|
For |
|
2. |
|
DISCHARGE OF LIABILITY FOR THE MEMBERS OF THE BOARD OF DIRECTORS AND THE PERSONS ENTRUSTED WITH THE CORPORATIONS MANAGEMENT |
|
Management |
|
For |
|
For |
|
3. |
|
APPROPRIATION OF FINANCIAL RESULTS |
|
Management |
|
For |
|
For |
|
4.1 |
|
INCREASE OF THE AUTHORIZED SHARE CAPITAL |
|
Management |
|
For |
|
For |
|
4.2 |
|
INCREASE OF THE CONDITIONAL SHARE CAPITAL FOR FINANCING PURPOSES |
|
Management |
|
For |
|
For |
|
4.3 |
|
INCREASE OF THE CONDITIONAL SHARE CAPITAL FOR EQUITY INCENTIVE PLANS |
|
Management |
|
Against |
|
Against |
|
5.1 |
|
APPROVAL OF THE COMPENSATION OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
5.2 |
|
APPROVAL OF THE COMPENSATION OF THE MEMBERS OF THE EXECUTIVE MANAGEMENT COMMITTEE FOR THE 2018 FINANCIAL YEAR |
|
Management |
|
For |
|
For |
|
6.1 |
|
RE-ELECTION OF THOMAS MEYER AS MEMBER AND AS CHAIRMAN OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
6.2 |
|
RE-ELECTION OF ARMANDO ANIDO AS MEMBER OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
6.3 |
|
RE-ELECTION OF OLIVER KUBLI AS MEMBER OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
6.4 |
|
RE-ELECTION OF BERNDT A. MODIG AS MEMBER OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
6.5 |
|
RE-ELECTION OF ANTOINE PAPIERNIK-BERKHAUER AS MEMBER OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
6.6 |
|
RE-ELECTION OF CALVIN W. ROBERTS AS MEMBER OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
6.7 |
|
ELECTION OF MATS PETER BLOM AS MEMBER OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
7.1 |
|
RE-ELECTION OF ARMANDO ANIDO AS MEMBER OF THE COMPENSATION COMMITTEE |
|
Management |
|
For |
|
For |
|
7.2 |
|
RE-ELECTION OF CALVIN W. ROBERTS AS MEMBER OF THE COMPENSATION COMMITTEE |
|
Management |
|
For |
|
For |
|
8. |
|
RE-ELECTION OF DELOITTE AG AS AUDITORS |
|
Management |
|
For |
|
For |
|
9. |
|
RE-ELECTION OF THE INDEPENDENT PROXY |
|
Management |
|
For |
|
For |
|
10. |
|
GENERAL INSTRUCTION ON NEW PROPOSALS OF THE BOARD OF DIRECTORS |
|
Management |
|
For |
|
For |
|
BECTON, DICKINSON AND COMPANY
Security |
075887109 |
Meeting Type |
Annual |
Ticker Symbol |
BDX |
Meeting Date |
24-Jan-2017 |
Record Date |
02-Dec-2016 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: BASIL L. ANDERSON |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: CATHERINE M. BURZIK |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: R. ANDREW ECKERT |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: VINCENT A. FORLENZA |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: CLAIRE M. FRASER |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: CHRISTOPHER JONES |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: MARSHALL O. LARSEN |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: GARY A. MECKLENBURG |
|
Management |
|
For |
|
For |
|
1I. |
|
ELECTION OF DIRECTOR: JAMES F. ORR |
|
Management |
|
For |
|
For |
|
1J. |
|
ELECTION OF DIRECTOR: WILLARD J. OVERLOCK, JR. |
|
Management |
|
For |
|
For |
|
1K. |
|
ELECTION OF DIRECTOR: CLAIRE POMEROY |
|
Management |
|
For |
|
For |
|
1L. |
|
ELECTION OF DIRECTOR: REBECCA W. RIMEL |
|
Management |
|
For |
|
For |
|
1M. |
|
ELECTION OF DIRECTOR: BERTRAM L. SCOTT |
|
Management |
|
For |
|
For |
|
2. |
|
RATIFICATION OF SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. |
|
Management |
|
For |
|
For |
|
3. |
|
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. |
|
Management |
|
For |
|
For |
|
4. |
|
ADVISORY VOTE TO APPROVE THE FREQUENCY OF NAMED EXECUTIVE OFFICER COMPENSATION ADVISORY VOTES. |
|
Management |
|
Abstain |
|
|
|
5. |
|
SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT BOARD CHAIR. |
|
Shareholder |
|
Against |
|
For |
|
BIOCLIN THERAPEUTICS, INC.
Security |
N/A |
Meeting Type |
Written Consent |
Ticker Symbol |
N/A |
Meeting Date |
05-Oct-2016 |
Record Date |
N/A |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DETERMINATION REGARDING SECOND TRANCHE MILESTONE CLOSING OF PREFERRED STOCK FINANCING |
|
Management |
|
For |
|
For |
|
2. |
|
NOTICE OF INTERESTED PARTY TRANSACTIONS |
|
Management |
|
For |
|
For |
|
3. |
|
GENERAL AUTHORIZING RESOLUTION |
|
Management |
|
For |
|
For |
|
BIOCLIN THERAPEUTICS, INC.
Security |
N/A |
Meeting Type |
Written Consent |
Ticker Symbol |
N/A |
Meeting Date |
02-Mar-2017 |
Record Date |
N/A |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
ELECTION OF DIRECTORS |
|
Management |
|
For |
|
For |
|
2. |
|
GENERAL AUTHORIZING RESOLUTION |
|
Management |
|
For |
|
For |
|
BIOCLIN THERAPEUTICS, INC.
Security |
N/A |
Meeting Type |
Written Consent |
Ticker Symbol |
N/A |
Meeting Date |
02-Mar-2017 |
Record Date |
N/A |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
AMENDMENT AND RESTATEMENT OF RESTATED CERTIFICATE OF INCORPORATION |
|
Management |
|
For |
|
For |
|
2. |
|
SERIES B PREFERRED STOCK FINANCING |
|
Management |
|
For |
|
For |
|
3. |
|
WAIVER OF PREEMPTIVE RIGHTS |
|
Management |
|
For |
|
For |
|
4. |
|
NOTICE OF INTERESTED PARTY TRANSACTIONS |
|
Management |
|
For |
|
For |
|
5. |
|
APPROVAL OF INDEMNIFCATION AGREEMENTS |
|
Management |
|
For |
|
For |
|
6. |
|
AMENDMENT OF 2013 STOCK AND OPTION GRANT PLAN |
|
Management |
|
For |
|
For |
|
7. |
|
GENERAL AUTHORIZING RESOLUTION |
|
Management |
|
For |
|
For |
|
BIOGEN INC.
Security |
09062X103 |
Meeting Type |
Annual |
Ticker Symbol |
BIIB |
Meeting Date |
07-Jun-2017 |
Record Date |
10-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: ALEXANDER J. DENNER |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: CAROLINE D. DORSA |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: NANCY L. LEAMING |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: RICHARD C. MULLIGAN |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: ROBERT W. PANGIA |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: STELIOS PAPADOPOULOS |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: BRIAN S. POSNER |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: ERIC K. ROWINSKY |
|
Management |
|
For |
|
For |
|
1I. |
|
ELECTION OF DIRECTOR: LYNN SCHENK |
|
Management |
|
For |
|
For |
|
1J. |
|
ELECTION OF DIRECTOR: STEPHEN A. SHERWIN |
|
Management |
|
For |
|
For |
|
1K. |
|
ELECTION OF DIRECTOR: MICHEL VOUNATSOS |
|
Management |
|
For |
|
For |
|
2. |
|
TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS BIOGEN INC.S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
SAY ON PAY - TO APPROVE AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. |
|
Management |
|
For |
|
For |
|
4. |
|
SAY WHEN ON PAY - TO APPROVE AN ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
5. |
|
TO APPROVE THE BIOGEN INC. 2017 OMNIBUS EQUITY PLAN. |
|
Management |
|
For |
|
For |
|
BIOMARIN PHARMACEUTICAL INC.
Security |
09061G101 |
Meeting Type |
Annual |
Ticker Symbol |
BMRN |
Meeting Date |
06-Jun-2017 |
Record Date |
10-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DIRECTOR |
|
Management |
|
|
|
|
|
|
|
1 JEAN-JACQUES BIENAIME |
|
|
|
For |
|
For |
|
|
|
2 WILLARD DERE |
|
|
|
For |
|
For |
|
|
|
3 MICHAEL GREY |
|
|
|
For |
|
For |
|
|
|
4 ELAINE J. HERON |
|
|
|
For |
|
For |
|
|
|
5 V. BRYAN LAWLIS |
|
|
|
For |
|
For |
|
|
|
6 ALAN J. LEWIS |
|
|
|
For |
|
For |
|
|
|
7 RICHARD A. MEIER |
|
|
|
For |
|
For |
|
|
|
8 DAVID PYOTT |
|
|
|
For |
|
For |
|
|
|
9 DENNIS J. SLAMON |
|
|
|
For |
|
For |
|
2. |
|
TO RATIFY THE SELECTION OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR BIOMARIN FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY OF THE STOCKHOLDERS APPROVAL ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANYS NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT. |
|
Management |
|
1 Year |
|
For |
|
4. |
|
TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANYS NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT. |
|
Management |
|
For |
|
For |
|
5. |
|
TO APPROVE THE 2017 EQUITY INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
6. |
|
TO APPROVE AMENDMENTS TO BIOMARINS AMENDED AND RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED, TO (I) INCREASE THE TOTAL NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 250,000,000 SHARES TO 500,000,000 SHARES, AND (II) MAKE CERTAIN MINOR ADMINISTRATIVE CHANGES. |
|
Management |
|
For |
|
For |
|
CARDINAL HEALTH, INC.
Security |
14149Y108 |
Meeting Type |
Annual |
Ticker Symbol |
CAH |
Meeting Date |
03-Nov-2016 |
Record Date |
06-Sep-2016 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: DAVID J. ANDERSON |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: COLLEEN F. ARNOLD |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: GEORGE S. BARRETT |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: CARRIE S. COX |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: CALVIN DARDEN |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: BRUCE L. DOWNEY |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: PATRICIA A. HEMINGWAY HALL |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: CLAYTON M. JONES |
|
Management |
|
For |
|
For |
|
1I. |
|
ELECTION OF DIRECTOR: GREGORY B. KENNY |
|
Management |
|
For |
|
For |
|
1J. |
|
ELECTION OF DIRECTOR: NANCY KILLEFER |
|
Management |
|
For |
|
For |
|
1K. |
|
ELECTION OF DIRECTOR: DAVID P. KING |
|
Management |
|
For |
|
For |
|
2. |
|
PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT AUDITOR FOR THE FISCAL YEAR ENDING JUNE 30, 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
PROPOSAL TO APPROVE THE AMENDED CARDINAL HEALTH, INC. 2011 LONG-TERM INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
4. |
|
PROPOSAL TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
|
Management |
|
For |
|
For |
|
CARDIOKINETIX INC.
Security |
N/A |
Meeting Type |
Written Consent |
Ticker Symbol |
N/A |
Meeting Date |
20-Jun-2017 |
Record Date |
N/A |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
NOTE FINANCING APPROVAL |
|
Management |
|
For |
|
For |
|
2. |
|
WAIVER OF RIGHT OF FIRST OFFER |
|
Management |
|
For |
|
For |
|
3. |
|
WAIVER OF ANTI-DILUTION ADJUSTMENTS |
|
Management |
|
For |
|
For |
|
4. |
|
GENERAL AUTHROIZING RESOLUTIONS |
|
Management |
|
For |
|
For |
|
CARDIOKINETIX INC.
Security |
N/A |
Meeting Type |
Written Consent |
Ticker Symbol |
N/A |
Meeting Date |
21-Jun-2017 |
Record Date |
N/A |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
CONSENT TO ASSIGNMENT BY THE STOCKHOLDERS |
|
Management |
|
For |
|
For |
|
CELGENE CORPORATION
Security |
151020104 |
Meeting Type |
Annual |
Ticker Symbol |
CELG |
Meeting Date |
14-Jun-2017 |
Record Date |
20-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DIRECTOR |
|
Management |
|
|
|
|
|
|
|
1 ROBERT J. HUGIN |
|
|
|
For |
|
For |
|
|
|
2 MARK J. ALLES |
|
|
|
For |
|
For |
|
|
|
3 RICHARD W BARKER D PHIL |
|
|
|
For |
|
For |
|
|
|
4 MICHAEL W. BONNEY |
|
|
|
For |
|
For |
|
|
|
5 MICHAEL D. CASEY |
|
|
|
For |
|
For |
|
|
|
6 CARRIE S. COX |
|
|
|
For |
|
For |
|
|
|
7 MICHAEL A. FRIEDMAN, MD |
|
|
|
For |
|
For |
|
|
|
8 JULIA A. HALLER, M.D. |
|
|
|
For |
|
For |
|
|
|
9 GILLA S. KAPLAN, PH.D. |
|
|
|
For |
|
For |
|
|
|
10 JAMES J. LOUGHLIN |
|
|
|
For |
|
For |
|
|
|
11 ERNEST MARIO, PH.D. |
|
|
|
For |
|
For |
|
2. |
|
RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANYS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
APPROVAL OF AN AMENDMENT AND RESTATEMENT OF THE COMPANYS STOCK INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
4. |
|
APPROVAL, BY NON-BINDING VOTE, OF EXECUTIVE COMPENSATION OF THE COMPANYS NAMED EXECUTIVE OFFICERS. |
|
Management |
|
For |
|
For |
|
5. |
|
TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. |
|
Management |
|
1 Year |
|
For |
|
6. |
|
STOCKHOLDER PROPOSAL TO REQUEST A BY-LAW PROVISION LIMITING MANAGEMENTS ACCESS TO VOTE TALLIES PRIOR TO THE ANNUAL MEETING WITH RESPECT TO CERTAIN EXECUTIVE PAY MATTERS, DESCRIBED IN MORE DETAIL IN THE PROXY STATEMENT. |
|
Shareholder |
|
Against |
|
For |
|
CENTENE CORPORATION
Security |
15135B101 |
Meeting Type |
Annual |
Ticker Symbol |
CNC |
Meeting Date |
25-Apr-2017 |
Record Date |
24-Feb-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: MICHAEL F. NEIDORFF |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: ROBERT K. DITMORE |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: RICHARD A. GEPHARDT |
|
Management |
|
For |
|
For |
|
2. |
|
ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. |
|
Management |
|
For |
|
For |
|
3. |
|
APPROVAL OF AMENDMENT TO THE 2012 STOCK INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
4. |
|
ADVISORY VOTE ON FREQUENCY OF ADVISORY VOTE ON EXECUTIVE COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
5. |
|
RATIFICATION OF APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
CHARLES RIVER LABORATORIES INTL., INC.
Security |
159864107 |
Meeting Type |
Annual |
Ticker Symbol |
CRL |
Meeting Date |
09-May-2017 |
Record Date |
13-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: JAMES C. FOSTER |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: ROBERT J. BERTOLINI |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: STEPHEN D. CHUBB |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: DEBORAH T. KOCHEVAR |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: GEORGE E. MASSARO |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: GEORGE M. MILNE, JR. |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: C. RICHARD REESE |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: CRAIG B. THOMPSON |
|
Management |
|
For |
|
For |
|
1I. |
|
ELECTION OF DIRECTOR: RICHARD F. WALLMAN |
|
Management |
|
For |
|
For |
|
2. |
|
SAY ON PAY - AN ADVISORY VOTE TO APPROVE OUR EXECUTIVE COMPENSATION. |
|
Management |
|
For |
|
For |
|
3. |
|
SAY WHEN ON PAY - AN ADVISORY VOTE ON THE APPROVAL OF THE FREQUENCY OF SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
4. |
|
APPROVAL OF INCENTIVE COMPENSATION PLAN. |
|
Management |
|
For |
|
For |
|
5. |
|
RATIFICATION OF ACCOUNTANTS (PWC) (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL) |
|
Management |
|
For |
|
For |
|
6. |
|
SHAREHOLDER PROPOSAL SUBMITTED BY PETA TO PROHIBIT CONDUCTING BUSINESS WITH CERTAIN DEALERS AND LABORATORIES WHO VIOLATE THE ANIMAL WELFARE ACT OR ARE UNDER INVESTIGATION BY U.S. DEPARTMENT OF AGRICULTURE INVESTIGATIVE ENFORCEMENT SERVICES. |
|
Shareholder |
|
Against |
|
For |
|
COHERUS BIOSCIENCES INC
Security |
19249H103 |
Meeting Type |
Annual |
Ticker Symbol |
CHRS |
Meeting Date |
17-May-2017 |
Record Date |
24-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DIRECTOR |
|
Management |
|
|
|
|
|
|
|
1 DENNIS M. LANFEAR |
|
|
|
For |
|
For |
|
|
|
2 MATS WAHLSTROM |
|
|
|
For |
|
For |
|
|
|
3 JAMES I. HEALY, MD, PHD |
|
|
|
For |
|
For |
|
2. |
|
TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
A NON-BINDING ADVISORY RESOLUTION TO APPROVE OUR EXECUTIVE COMPENSATION (A SAY ON PAY VOTE). |
|
Management |
|
For |
|
For |
|
CYTOMX THERAPEUTICS, INC.
Security |
23284F105 |
Meeting Type |
Annual |
Ticker Symbol |
CTMX |
Meeting Date |
20-Jun-2017 |
Record Date |
28-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: NEIL EXTER |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: FREDERICK W. GLUCK |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: MATTHEW P. YOUNG |
|
Management |
|
For |
|
For |
|
2. |
|
TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
DERMIRA, INC.
Security |
24983L104 |
Meeting Type |
Annual |
Ticker Symbol |
DERM |
Meeting Date |
13-Jun-2017 |
Record Date |
19-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DIRECTOR |
|
Management |
|
|
|
|
|
|
|
1 MARK D. MCDADE |
|
|
|
For |
|
For |
|
|
|
2 JAKE R. NUNN |
|
|
|
For |
|
For |
|
|
|
3 THOMAS G. WIGGANS |
|
|
|
For |
|
For |
|
2. |
|
APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION PAID BY US TO OUR NAMED EXECUTIVE OFFICERS FOR THE YEAR ENDED DECEMBER 31, 2016. |
|
Management |
|
For |
|
For |
|
3. |
|
VOTE, ON A NON-BINDING ADVISORY BASIS, ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
4. |
|
RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
DEXCOM, INC.
Security |
252131107 |
Meeting Type |
Annual |
Ticker Symbol |
DXCM |
Meeting Date |
31-May-2017 |
Record Date |
07-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: RICHARD COLLINS |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: MARK FOLETTA |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: ERIC J. TOPOL |
|
Management |
|
For |
|
For |
|
2. |
|
TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF OUR BOARD OF DIRECTORS OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. |
|
Management |
|
For |
|
For |
|
4. |
|
TO RECOMMEND A NON-BINDING ADVISORY RESOLUTION ON THE FREQUENCY OF STOCKHOLDER VOTES ON EXECUTIVE COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
5. |
|
TO APPROVE OUR AMENDED AND RESTATED 2015 EQUITY INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
6. |
|
TO APPROVE AN AMENDMENT TO DEXCOMS RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 100 MILLION TO 200 MILLION. |
|
Management |
|
For |
|
For |
|
DYNEX TECHNOLOGIES, INC.
Security |
N/A |
Meeting Type |
Written Consent |
Ticker Symbol |
N/A |
Meeting Date |
24-Mar-2017 |
Record Date |
N/A |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
MERGER AGREEMENT AND OTHER TRANSACTIONS CONTEMPLATED THEREBY |
|
Management |
|
For |
|
For |
|
2. |
|
TERMINATION OF STOCKHOLDERS AGREEMENT AND REGISTRATION RIGHTS AGREEMENT |
|
Management |
|
For |
|
For |
|
3. |
|
APPROVAL UNDER SECTION 144 OF THE DGCL |
|
Management |
|
For |
|
For |
|
4. |
|
WAIVER OF APPRAISAL RIGHTS |
|
Management |
|
For |
|
For |
|
5. |
|
ADDITIONAL AGREEMENTS AND ACKNOWLEDGEMENTS |
|
Management |
|
For |
|
For |
|
6. |
|
WAIVER OF NOTICE REQUIREMENTS |
|
Management |
|
For |
|
For |
|
7. |
|
GENERAL AUTHORIZATION |
|
Management |
|
For |
|
For |
|
DYNEX TECHNOLOGIES, INC.
Security |
N/A |
Meeting Type |
Written Consent |
Ticker Symbol |
N/A |
Meeting Date |
24-Mar-2017 |
Record Date |
N/A |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
APPROVAL OF AMOUNTS PAYABLE TO THE EMPLOYEES PURSUANT TO THE ARRANGEMENTS (AS DESCRIBED IN THE INFORMATION STATEMENT) IN CONNECTION WITH THE PROPOSED TRANSACTION AND OTHER RELATED RESOLUTIONS |
|
Management |
|
For |
|
For |
|
ENDO INTERNATIONAL PLC
Security |
G30401106 |
Meeting Type |
Annual |
Ticker Symbol |
ENDP |
Meeting Date |
08-Jun-2017 |
Record Date |
13-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: ROGER H. KIMMEL |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: PAUL V. CAMPANELLI |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: SHANE M. COOKE |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: NANCY J. HUTSON, PH.D. |
|
Management |
|
For |
|
For |
|
1E. |
|
ELECTION OF DIRECTOR: MICHAEL HYATT |
|
Management |
|
For |
|
For |
|
1F. |
|
ELECTION OF DIRECTOR: DOUGLAS S. INGRAM |
|
Management |
|
For |
|
For |
|
1G. |
|
ELECTION OF DIRECTOR: WILLIAM P. MONTAGUE |
|
Management |
|
For |
|
For |
|
1H. |
|
ELECTION OF DIRECTOR: TODD B. SISITSKY |
|
Management |
|
For |
|
For |
|
1I. |
|
ELECTION OF DIRECTOR: JILL D. SMITH |
|
Management |
|
For |
|
For |
|
2. |
|
TO APPROVE THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANYS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017 AND TO AUTHORIZE THE BOARD OF DIRECTORS, ACTING THROUGH THE AUDIT COMMITTEE, TO DETERMINE THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRMS REMUNERATION. |
|
Management |
|
For |
|
For |
|
3. |
|
TO APPROVE, BY ADVISORY VOTE, NAMED EXECUTIVE OFFICER COMPENSATION. |
|
Management |
|
For |
|
For |
|
4. |
|
TO APPROVE, BY ADVISORY VOTE, THE FREQUENCY OF FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. |
|
Management |
|
1 Year |
|
For |
|
5. |
|
TO APPROVE THE AMENDMENT OF THE COMPANYS MEMORANDUM OF ASSOCIATION. |
|
Management |
|
For |
|
For |
|
6. |
|
TO APPROVE THE AMENDMENT OF THE COMPANYS ARTICLES OF ASSOCIATION. |
|
Management |
|
For |
|
For |
|
7. |
|
TO APPROVE THE AMENDMENT OF THE COMPANYS AMENDED AND RESTATED 2015 STOCK INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
EPIZYME, INC.
Security |
29428V104 |
Meeting Type |
Annual |
Ticker Symbol |
EPZM |
Meeting Date |
22-Jun-2017 |
Record Date |
24-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DIRECTOR |
|
Management |
|
|
|
|
|
|
|
1 ANDREW R ALLEN, MD, PHD |
|
|
|
For |
|
For |
|
|
|
2 KENNETH BATE |
|
|
|
For |
|
For |
|
|
|
3 ROBERT BAZEMORE |
|
|
|
For |
|
For |
|
2. |
|
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS EPIZYMES INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
EUTHYMICS BIOSCIENCE, INC.
Security |
N/A |
Meeting Type |
Written Consent |
Ticker Symbol |
N/A |
Meeting Date |
22-May-2017 |
Record Date |
N/A |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
BRIDGE FINANCING |
|
Management |
|
For |
|
For |
|
EXELIXIS, INC.
Security |
30161Q104 |
Meeting Type |
Annual |
Ticker Symbol |
EXEL |
Meeting Date |
24-May-2017 |
Record Date |
31-Mar-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1A. |
|
ELECTION OF DIRECTOR: MICHAEL M. MORRISSEY, PH.D. |
|
Management |
|
For |
|
For |
|
1B. |
|
ELECTION OF DIRECTOR: STELIOS PAPADOPOULOS, PH.D. |
|
Management |
|
For |
|
For |
|
1C. |
|
ELECTION OF DIRECTOR: GEORGE A. SCANGOS, PH.D. |
|
Management |
|
For |
|
For |
|
1D. |
|
ELECTION OF DIRECTOR: LANCE WILLSEY, M.D. |
|
Management |
|
For |
|
For |
|
2. |
|
TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF ERNST & YOUNG LLP AS EXELIXIS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 29, 2017. |
|
Management |
|
For |
|
For |
|
3. |
|
TO APPROVE THE EXELIXIS, INC. 2017 EQUITY INCENTIVE PLAN. |
|
Management |
|
For |
|
For |
|
4. |
|
TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF EXELIXIS NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE PROXY STATEMENT. |
|
Management |
|
For |
|
For |
|
5. |
|
TO INDICATE, ON AN ADVISORY BASIS, THE PREFERRED FREQUENCY OF STOCKHOLDER VOTES ON THE COMPENSATION OF EXELIXIS NAMED EXECUTIVE OFFICERS. |
|
Management |
|
1 Year |
|
For |
|
FLEX PHARMA INC
Security |
33938A105 |
Meeting Type |
Annual |
Ticker Symbol |
FLKS |
Meeting Date |
01-Jun-2017 |
Record Date |
07-Apr-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |
|
1. |
|
DIRECTOR |
|
Management |
|
|
|
|
|
|
|
1 ROBERT PEREZ |
|
|
|
For |
|
For |
|
|
|
2 STUART RANDLE |
|
|
|
For |
|
For |
|
2. |
|
TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2017. |
|
Management |
|
For |
|
For |
|
FOAMIX PHARMACEUTICALS LTD
Security |
M46135105 |
Meeting Type |
Annual |
Ticker Symbol |
FOMX |
Meeting Date |
13-Jul-2017 |
Record Date |
15-Jun-2017 |
|
|
Item |
|
Proposal |
|
Proposed |
|
Vote |
|
For/Against |