The Swiss Helvetia Fund, Inc.

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM N-PX

 

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number 811-05128

 

 

The Swiss Helvetia Fund, Inc.

(Exact name of registrant as specified in charter)

 

 

1270 Avenue of the Americas, Suite 400

New York, NY 10020

(Address of principal executive offices) (Zip code)

 

 

Rudolf Millisits, CEO

Hottinger Capital Corp.

1270 Avenue of the Americas, Suite 400

New York, NY 10020

(Name and address of agent for service)

 

 

Registrant’s telephone number, including area code: 212-332-2760

Date of fiscal year end: December 31

Date of reporting period: July 1, 2011 through June 30, 2012

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 (§§ 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. § 3507.

 

 

 

PROXY VOTING RECORD

FOR PERIOD JULY 1, 2011 TO JUNE 30, 2012

6/30/11- 6/30/12—ORDINARY GENERAL MEETINGS

 

Ticker    ISIN    HOLDINGS    Date of AGM
2012		    Agenda   

Proposed by
the issuer (I)

or the
shareholder
(S)

    Whether
the fund
cast its
vote on the
matter		    How did the
Fund vote		    Whether the
fund cast its
vote For or
Against board
     

Banks

                  

CSGN

    CH0012138530    Credit Suisse Group    4/27/2012       I    Yes       For
            1.2 Consultative vote on the 2011 remuneration report          Yes   
            1.3 Approval of the annual report, the parent company’s 2011 financial statements and the Group’s 2011 consolidated financial statements          Yes   
            2. Discharge of the acts of the Members of the Board of Directors and Executive Board          Yes   
            3.1 Resolution on the appropriation of retained earnings          Yes   
            3.2 Resolution on the distribution Against reserves from capital contributions in the Form of either a scrip dividend or a cash distribution          Yes   
            4.1 Creation of conversion capital          Yes   
            4.2 Increase of and amendment to the authorized capital          Yes   
            5.1 Re-election of Walter B. Kielholz to the Board of Directors          Yes   
            5.1.2 Re-election of Andreas N. Koopmann to the Board of Directors          Yes   
            5.1.3 Re-election of Richard E. Thornburgh to the Board of Directors          Yes   
            5.1.4 Re-election of John I. Tiner to the Board of Directors          Yes   
            5.1.5 Re-election of Urs Rohner to the Board of Directors          Yes   
            5.1.6 Election of Iris Bohnet to the Board of Directors          Yes   
            5.1.7 Election of Jean-Daniel Gerber to the Board of Directors          Yes   
            5.2 Election of the independent auditors          Yes   
            5.3 Election of the special auditors          Yes   
            6. If voting or elections take place on proposals submitted during the Annual General Meeting itself as defined in art. 700 paras. 3 and 4 of the Swiss Code of Obligations, I hereby instruct the independent proxy to vote in favor of the proposal of the Board of Directors          Against   

UBSN

    CH0024899483    UBS AG    5/3/2012       I    Yes       For
            1.1 Approval of annual report and group and parent bank accounts          Yes   
            1.2 Advisory vote on the compensation report 2011          Yes   
            2. Appropriation of retained earnings and distribution          Yes   
            3. Discharge of the members of the board of directors and the group executive board For the financial year 2011          Yes   
            4.1.1 Re-election of director: Mr. Michel Demare          Yes   
            4.1.2 Re-election of director: Mr. David Sidwell          Yes   
            4.1.3 Re-election of director: Mr. Rainer Marc Frey          Yes   
            4.1.4 Re-election of director: Mrs. Ann F. Godbehere          Yes   
            4.1.5 Re-election of director: Mr. Axel P. Lehmann          Yes   
            4.1.6 Re-election of director: Mr. Wolfgang Mayrhuber          Yes   
            4.1.7 Re-election of director: Mr. Helmut Panke          Yes   
            4.1.8 Re-election of director: Mr. William G. Parrett          Yes   
            4.1.9 Re-election of director: Mr. Joseph Yam          Yes   
            4.2.1 Election of director: Mrs. Isabelle Romy          Yes   
            4.2.2 Election of director: Mrs. Beatrice Weder di Mauro          Yes   
            4.2.3 Election of director: Mr Axel A. Weber          Yes   
            4.3 Re-election of the auditors, Ernst & Young Ltd., Basel          Yes   
            4.4 Re-election of the special auditors BDO AG, Zurich          Yes   
            5. Increase of conditional capital and approval of amended article 4a para.1 of the articles of association          Yes   
            6.1 Amendments of the articles of association: deletion of article 37 of the articles of association          Yes   
            6.2 Amendments of the articles of association: deletion of article 38 of the articles of association          Yes   
            7. In case of ad-hoc motions during the annual general meeting, I/we authorize my/our proxy to act          Against   

     

Biotechnology

                  

ADXN

    CH0029850754    Addex Pharmaceuticals    5/9/2012       I    Yes       For
            1. Approval of the Annual Report, the Annual Financial Statements and the Consolidated Financial Statements For the business year 2011          Yes   
            2. Appropriation of the results          Yes   
            3. Discharge to the members of the Board of Directors and the Executive Management          Yes   
            4.1.1 The Board of Directors proposes to re-elect: Andre J. Mueller For a term of 3 years          Yes   
            4.1.2 The Board of Directors proposes to re-elect: Vincent Lawton For a term of 3 years          Yes   
            4.2 The Board of Directors proposes to elect Bharatt Chowrira For a term of 3 years as new member of the Board of Directors          Yes   
            5. The Board of Directors proposes the re-election of PricewaterhouseCoopers SA, Geneva, as Auditors For the business year 2012          Yes   
            6.1 Change of Name (Article 1 of the Articles ofAssociation): The Board of Directors proposes to change the name of the Company to Addex Therapeutics Ltd (Addex Therapeutics SA) and accordingly to amend Article 1 of the Articles of Association          Yes   
            6.2 Increase of the Authorized Share Capital (Article 3b of the Articles of Association)          Yes   
            6.3 Extension and increase of the Conditional Share Capital (Article 3c of the Articles of Association)          Yes   
            6.4 Creation and issue of new bons de jouissance(Genussscheine) (Article 3a of the Articles ofAssociation)          Yes   
            7. Miscellaneous          Against   

BTHIV

    FI0009011571    Biotie Therapies    3/29/2012       I    Yes       For
            7. Adoption of the financial statements          Yes   
            8. Booking of the loss of the financial year. Board proposes that the loss shall be transferred to the unrestricted equity and no dividend be paid          Yes   
            9. Resolution on the discharge of the members of the board of directors and the managing director from liability          Yes   
            10. Resolution on the remuneration of the members of the board of directors          Yes   
            11. Resolution on the number of members of the board of directors. Basis of the recommendation of the nomination and remuneration committee, the board proposes that number of members would be seven (7)          Yes   
            12. Election of members of the board of directors. Basis of the recommendation of the nomination and remuneration committee, the board proposes that P.Fellner, W.M.Burns, M.Karhapaa, B.Kastler, I.Kola, G.Magni and J.S.Shannon be re-elected          Yes   
            13.Resolution on the remuneration of the auditors          Yes   
            14. Election of the auditors. Basis of the recommendation of the audit committee the board proposes that PricewaterhouseCoopers Oy be re-elected as auditor          Yes   
            15. Authorising the board of directors to decide on the issuance of shares as well as the issuance of options and other rights entitling to shares          Yes   
     

Chemicals

                  

CLN

    CH0012142631    Clarient AG    3/27/2012       I    Yes       For
            1.1 Approval of the Annual Report and Financial Statements of Clariant Ltd including the Group’s Consolidated Financial Statements For the financial year 2011, and acknowledgment of the reports of the statutory auditor          Yes   
            1.2 Consultative vote on the 2011 Compensation Report          Yes   
            2. Discharge of the company’s corporate bodies          Yes   
            3. Appropriation of the annual profit of Clariant Ltd          Yes   
            4. Reduction of share capital via par value repayment          Yes   
            5. Motion to amend the Articles of Association: Waiving of the restriction on voting rights: Article12 para. 1 - 3          Yes   
            6. Re-election of the Auditors For 2012: the Board of Directors proposes the reelection of PricewaterhouseCoopers AG as auditor For 2012          Yes   

GIVN

    CH0010645932    Givaudan SA    3/22/2012       I    Yes       For
            1. Approval of the annual report, including the annual financial statements, the compensation report and the consolidated financial statements 2011          Yes   
            2. Consultative vote on the compensation policy asset out in the compensation report          Yes   
            3. Discharge of the Board of Directors          Yes   
            4. Decision regarding the appropriation of available earnings and distribution out of reserves For additional paid-in capital          Yes   
            5.1 Election of member of the Board of Directors: To re-elect Dr Jurg Witmer For a term of three years in accordance with the Articles of Incorporation          Yes   
            5.2 Election of member of the Board of Directors: To re-elect Mr. Andre Hoffmann For a term of three years in accordance with the Articles of Incorporation          Yes   
            5.3 Election of member of the Board of Director: To re-elect Mr. Thomas Rufer For a term of three years in accordance with the Articles of Incorporation          Yes   
            6. Election of the statutory auditors: To re-elect Deloitte SA as the statutory auditors For the financial year 2012          Yes   
            7. Ad-Hoc          Against   

SYNN

    CH0011037489    Syngenta AG    4/24/2012       I    Yes       For
            1.1 Approval of the annual report, including the annual financial statements and the group consolidated financial statements For the year 2011          Yes   
            1.2 Consultative vote on the compensation system          Yes   
            2. Discharge of the members of the board of directors and the executive committee          Yes   
            3. Reduction of share capital by cancellation of repurchased shares          Yes   
            4. Appropriation of the available earnings as per balance sheet 2011 and dividend decision          Yes   
            5. Approval of a share repurchase program          Yes   
            6. Partial revision of the articles of incorporation: Deletion of provisions concerning contribution in kind and merger          Yes   
            7.1 Re-election of the board of director: Stefan Borgas          Yes   
            7.2 Re-election of the board of director: Peggy Bruzelius          Yes   
            7.3 Re-election of the board of director: David Lawrence          Yes   
            7.4 Re-election of the board of director: Juerg Witmer          Yes   
            7.5 Election of the board of director: Vinita Bali          Yes   
            7.6 Election of the board of director: Gunnar Brock          Yes   
            7.7 Election of the board of director: Michel Demare          Yes   
            8. Election of the external auditor: Ernst and Young AG          Yes   
            9. Ad-Hoc          Against   
     

Financial Services

                  

ALLN

    CH0008837566    Allreal Holding AG    3/30/2012       I    Yes       For
            1. Approval of the annual report, the annual accounts and the consolidated accounts 2011          Yes   
            2. Distribution of balance sheet profit 2011          Yes   
            3. Shareholder distribution          Yes   
            4. Discharge to the board of directors and of the management          Yes   
            5.1.1 Election of the board of directors: Re-election of Dr. Thomas Lustenberger          Yes   
            5.1.2 Election of the board of directors: Re-election of Dr. Rudolf W. Hug          Yes   
            5.1.3 Election of the board of directors: New-election of Dr. Rer. Pol. Ralph-Thomas Honegger          Yes   
            5.2 Re-election of the auditors: KPMG Ag, Zurich          Yes   
            6. Amendments of the articles of incorporation          Yes   

     

Construction and Materials

                  

BEAN

    CH0001503199    Belimo Holding AG    4/2/2012       I    Yes       For
            1. Approval of the annual report including the financial statements, management report and consolidated financial statements For 2011. Acceptance of the reports of the statutory auditor KPMG AG          Yes   
            2. Resolution on the appropriation of available earnings          Yes   
            3. Advisory vote on compensation system and compensation For the financial year 2011          Yes   
            4. Discharge of the Board of Directors          Yes   
            5.1 Election of the Board of Directors: Mr. Werner Buck          Yes   
            5.2 Election of the Board of Directors: Mr. Martin Hess          Yes   
            5.3 Election of the Board of Directors: Mr. Walter Linsi          Yes   
            5.4 Election of the Board of Directors: Mr. Prof. Dr. Hans Peter Wehrli          Yes   
            5.5 Election of the Board of Directors: Mr. Dr. Martin Zwyssig          Yes   
            6. The Board of Directors proposes that the mandate of KPMG AG as statutory auditor For the financial statements and the consolidated financial statements of BELIMO Holding AG be renewed For a further year          Yes   

GEBN

    CH0030170408    Geberit AG    4/4/2012       I    Yes       For
            1.1 Approval of the annual report, the financial statements and the consolidated financial statements For 2011, acceptance of the auditor’s report          Yes   
            1.2 Consultative vote on the remuneration system and the remunerations For 2011          Yes   
            2. Resolution on the appropriation of available earnings and distribution from capital contribution reserves          Yes   
            3. Formal approval of the actions of the board of directors          Yes   
            4.1 Elections to the board of director: Re-election of Susanne Ruoff          Yes   
            4.2 Elections to the board of director: Election of Jorgen Tang-Jensen          Yes   
            4.3 Elections to the board of director: Election of Jeff Song          Yes   
            5. Appointment of the auditors / PricewaterhouseCoopers AG          Yes   
            6. Reduction in capital          Yes   
            7. Ad-Hoc          Against   

HOLN

    CH0012214059    Holcin Ltd    4/12/2012       I    Yes       For
            1.1 Approval of the annual report, annual consolidated financial statements of the Group and annual financial statements of Holcim Ltd          Yes   
            1.2 Advisory vote on remuneration report          Yes   
            2. Discharge of the members of the Board of Directors and the persons entrusted with management          Yes   
            3.1 Appropriation of retained earnings          Yes   
            3.2 Determination of the payout from capital contribution reserves          Yes   
            4.1.1 Re-election of member of the Board of Directors : Mr. Adrian Loader          Yes   
            4.1.2 Re-election of member of the Board of Directors : Dr. h.c. Thomas Schmidheiny          Yes   
            4.1.3 Re-election of member of the Board of Directors : Dr. Dieter Spalti          Yes   
            4.2 Election to the Board of Directors : Prof. Dr. Ing. Wolfgang Reitzle          Yes   
            4.3 Re-election of the auditors: Ernst & Young Ltd          Yes   

SIK

    CH0000587979    Sika AG    4/17/2012       I    Yes       For
            1. Approval of the Annual Report, annual financial statements and consolidated financial statements For 2011          Yes   
            2. Proposed appropriation of the retained earnings of Sika AG          Yes   
            3. Granting discharge to the administrative bodies          Yes   
            4.1.1 The Board of Directors proposes that incumbent member of the Board Paul Halg be re-elected For a further three-year term of office          Yes   
            4.1.2 The Board of Directors proposes that incumbent member of the Board Daniel J. Sauter be re-elected For a further three-year term of office          Yes   
            4.1.3 The Board of Directors proposes that incumbent member of the Board Ulrich W. Suter be re-elected For a further three-year term of office          Yes   
            4.2 The Board of Directors proposes that Frits van Dijk be elected to the Board of Directors For the first time For a three-year term of office. Frits van Dijk was Executive Vice President and Member of Executive Board of Nestle with responsibility For Asia, Oceania, Africa and Middle East          Yes   
            4.3 The Board of Directors proposes that Ernst &Young AG be elected as statutory auditors For the 2012 financial year          Yes   
            5. Varia          Against   

ZEH

    CH0132557338    Zehnder Group AG    4/24/2012       I    Yes       For
            1. Approval of the annual report 2011          Yes   
            2. Discharge to the board of directors          Yes   
            3. Appropriation of retained earnings          Yes   
            4. Repayment of par value and reduction of share capital          Yes   
            5. Change of articles of association due to the resolution under item 4 on the agenda          Yes   
            6. Re-election of Dr. Peter Wiesendanger as board of directors          Yes   
            7. Election of the auditors: KPMG Ag, Basel          Yes   
     

Food and Beverages

                  

LISN

    CH0010570759    Lindt & Spruengli    4/26/2012       I    Yes       For
            1. Approval of the annual report, the annual accounts and the consolidated accounts 2011          Yes   
            2. Discharge to the board of directors          Yes   
            3.1 Appropriation of balance sheet profit          Yes   
            3.2 Conversion of reserves and dividend distribution          Yes   
            4.1 Re-election to the board of directors: Mrs. Elisabeth Guertler          Yes   
            4.2 Re-election to the board of directors: Mr. Franz Peter Oesch          Yes   
            5. Re-election of the auditors PricewaterhouseCoopers AG, Zurich          Yes   
            6. Reduction of the stock and participation capital          Yes   
            7. Ad-Hoc          Against   

NESN

    CH0038863350    Nestle SA    4/19/2012       I    Yes       For
            1.1 Approval of the annual report, the financial statements of Nestle S.A. and the consolidated financial statements of the Nestle Group For 2011          Yes   
            1.2 Acceptance of the compensation report 2011(advisory vote)          Yes   
            2. Release of the members of the board of directors and of the management          Yes   
            3. Appropriation of profits resulting from the balance sheet of Nestle S.A. (proposed dividend) For the financial year 2011          Yes   
            4.1 Re-election to the board of directors of Mr. Daniel Borel          Yes   
            4.2 Election to the board of directors of Mr. Henri De Castries          Yes   
            4.3 Re-election of the statutory auditors KPMG SA, Geneva Branch          Yes   
            5. Capital reduction (by cancellation of shares)          Yes   
            6. In the event of a new or modified proposal by a shareholder during the General Meeting, I instruct the independent representative to vote in favour of the proposal of the Board of Directors          Against   
     

Industrial Goods and Services

                  

ABBN

    CH0012221716    ABB Ltd    4/26/2012       I    Yes       For
            2.1 Approval of the annual report, the consolidated financial statements, and the annual financial statements For 2011          Yes   
            2.2 Consultative vote on the 2011 remuneration report          Yes   
            3. Discharge of the Board of Directors and the persons entrusted with management          Yes   
            4. Appropriation of available earnings and distribution of capital contribution reserve          Yes   
            5.1 Re-election to the Board of Directors: Roger Agnelli, Brazilian          Yes   
            5.2 Re-election to the Board of Directors: Louis R. Hughes, American          Yes   
            5.3 Re-election to the Board of Directors: Hans Ulrich Marki, Swiss          Yes   
            5.4 Re-election to the Board of Directors: Michel de Rosen, French          Yes   
            5.5 Re-election to the Board of Directors: Michael Treschow, Swedish          Yes   
            5.6 Re-election to the Board of Directors: Jacob Wallenberg, Swedish          Yes   
            5.7 Re-election to the Board of Directors: Ying Yeh, Chinese          Yes   
            5.8 Re-election to the Board of Directors: Hubertus von Grunberg, German          Yes   
            6. The Board of Directors proposes that Ernst & Young AG be re-elected as auditors For fiscal year 2012          Yes   
            7. Ad-Hoc          Against   

BUCN

    CH0002432174    Bucher Industries AG    4/12/2012       I    Yes       For
            1.1 To approve the annual report and the consolidated and statutory financial statements For 2011          Yes   
            1.2 To acknowledge the 2011 remuneration report          Yes   
            2. To ratify the acts of the board of directors and group management For the 2011 financial year          Yes   
            3. To approve the appropriation of retained earnings          Yes   
            4. To approve the reduction of capital through cancellation of shares          Yes   
            5.1 Re-election of Claude R. Cornaz as a board of director          Yes   
            5.2 Re-election of Heinrich Spoerry as a board of director          Yes   
            6. To appoint the auditors/PricewaterhouseCoopers AG, Zurich          Yes   
            7. Ad-Hoc          Against   

BCHN

    CH0025536027    Burckhardt Compression Holding    7/2/2011       I    Yes       For
            1. Welcoming and statements to the general meeting          Yes   
            2.1 Approval of the annual report 2010          Yes   
            2.2 Approval of the compensation reports. (Consultative election)          Yes   
            3. Appropriation of the balance sheet Profit          Yes   
            4. Release of the board of directors and of the management          Yes   
            5. Renewal of the approved capital          Yes   
            6. Election of the auditors PricewaterhouseCoopers          Yes   
            7. Ad-Hoc          ABSTAIN   

BCHN

    CH0025536027    Burckhardt Compression Holding    6/29/2012       I    Yes       For
            2.1 Approval of the annual report 2011          Yes   
            2.2 Approval of the compensation report          Yes   
            3. Appropriation of retained earnings          Yes   
            4. Discharge of the board of directors and the executive board          Yes   
            5.1 The Board of Directors proposes that Urs Fankhauser, Swiss, member of the Board of Directors since 2006, be re-elected to the Board For the period from 2012-2015          Yes   
            5.2 The Board of Directors proposes that Urs Leinhauser, Swiss, member of the Board of Directors since 2006, be re-elected to the Board For the period from 2012-2015          Yes   
            5.3 The Board of Directors proposes that Dr. Monika Krusi Schadle, Swiss/Italian, be elected to the Board For the period from 2012-2014          Yes   
            6. The Board of Directors proposes that PricewaterhouseCoopers AG be reappointed as the statutory auditor For the fiscal year 2012          Yes   
            7. Ad-Hoc          ABSTAIN   

FI/N

    CH0001752309    Georg Fischer AG    3/21/2012       I    Yes       For
            2.1 Annual Report, Financial Statements, and Consolidated Financial Statements For 2011          Yes   
            2.2 Advisory vote on the Compensation Report For 2011          Yes   
            3.1 Appropriation of retained earnings          Yes   
            3.2 Appropriation of capital contribution reserves (dividend from capital contribution reserves)          Yes   
            4. Discharge of the Board of Directors and the Executive Committee          Yes   
            5.1 Amendment to the Articles of Association: Deletion of the possibility of granting exceptions          Yes   
            5.2 Amendment to the Articles of Association: Reduction of Board members’ term of office to three years          Yes   

KABN

    CH0011795959    Kaba Holding AG    10/25/2011       I    Yes       For
            1. Approval of the Annual Report For 2010/2011          Yes   
            2.1 Appropriation of Retained Earnings          Yes   
            2.2 Conversion and Distribution of Reserves from Capital Contributions free of Withholding Tax          Yes   
            3. Ratification of acts of the Board of Directors and of the Management          Yes   
            4.1 Election to the Board of Directors : The Board of Directors proposes the re-election of Ulrich Graf For a further term of three years          Yes   
            4.2 Election to the Board of Directors : The Board of Directors proposes the election of Thomas Pleines For a first term of three years          Yes   
            5. The Board of Directors proposes the re-election of PricewaterhouseCoopers AG, Zurich, as statutory auditors For a further term of one year          Yes   

KNIN

    CH0025238863    Kuehne & Nagel International AG    5/8/2012       I    Yes       For
            1. Approval of the annual report, the business report and the consolidated financial statements For the business year 2011          Yes   
            2. Resolution Regarding the Appropriation of the Balance Sheet Profit          Yes   
            3. Discharge of the members of the Board of Directors and the members of the Management Board          Yes   
            4.1 The Board of Directors proposes to re-elect Dr. Renato Fassbind For a new tenure of one year to the Board of Directors          Yes   
            4.2 The Board of Directors proposes to re-elect Juergen Fitschen For a new tenure of one year to the Board of Directors          Yes   
            4.3 The Board of Directors proposes to re-elect Karl Gernandt For a new tenure of one year to the Board of Directors          Yes   
            4.4 The Board of Directors proposes to re-elect Hans-Joerg Hager For a new tenure of one year to the Board of Directors          Yes   
            4.5 The Board of Directors proposes to re-elect Klaus-Michael Kuehne For a new tenure of one year to the Board of Directors          Yes   
            4.6 The Board of Directors proposes to re-elect Hans Lerch For a new tenure of one year to the Board of Directors          Yes   
            4.7 The Board of Directors proposes to re-elect Dr. Thomas Staehelin For a new tenure of one year to the Board of Directors          Yes   
            4.8 The Board of Directors proposes to re-elect Dr. Joerg Wolle For a new tenure of one year to the Board of Directors          Yes   
            4.9 The Board of Directors proposes to re-elect Bernd Wrede For a new tenure of one year to the Board of Directors          Yes   
            5. The Board of Directors proposes to re-elect KPMG AG, Zurich, as auditors For the business year 2012          Yes   
            6.1 The Board of Directors proposes to maintain the authorized share capital by renewing article 3.3 of the Articles of Association as specified          Yes   
            6.2 The Board of Directors proposes to add the following new article 3.5 to the Articles of Association as specified          Yes   
            6.3 The Board of Directors proposes to amend article 4 of the Articles of Association as specified          Yes   
            6.4 The Board of Directors proposes article 17.4 of the Articles of Association to be reworded as specified          Yes   
            6.5 The Board of Directors proposes deletion of Article 24 of the Articles of Association          Yes   

SGSN

    CH0002497458    SGS SA    3/12/2012       I    Yes       For
            1. Approval of the 2011 annual report and accounts of SGS SA and of the consolidated accounts of the SGS Group          Yes   
            2. Approval of the Group 2011 report on remuneration (corporate governance)          Yes   
            3. Release of the members of the Board of Directors and of the Management          Yes   
            4. Decision on the appropriation of profits resulting from the balance sheet of SGS SA as specified          Yes   
            5. Re-election of Deloitte SA, Geneva, as Auditors of SGS SA and Group Auditors For the year 2012          Yes   
     

Insurance

                  

SREN

    CH0126881561    Swiss Re    4/13/2012       I    Yes       For
            1.1 Annual Report, annual and consolidated financial statements For the 2011 financial year :Consultative vote on the compensation report          Yes   
            1.2 Annual Report, annual and consolidated financial statements For the 2011 financial year: Approval of the Annual Report, annual and consolidated financial statements For the 2011 financial year          Yes   
            2. Allocation of disposable profit          Yes   
            3. Withholding tax exempt repayment of legal reserves from capital contributions of CHF 3.00per registered share and a prior reclassification into other reserves          Yes   
            4. Discharge of the members of the Board of Directors          Yes   
            5.1.1 Election of Board of Directors: Re-election of Jakob Baer          Yes   
            5.1.2 Election of Board of Directors: Re-election of John R. Coomber          Yes   
            5.1.3 Election of Board of Directors: Election of C. Robert Henrikson          Yes   
            5.2 Re-election of the Auditor: PricewaterhouseCoopers Ltd (PwC), Zurich          Yes   

ZURN

    CH0011075394    Zurich Financial Services AG    3/29/2012       I    Yes       For
            1.1 Approval of the annual report, the annual financial statements and the consolidated financial statements For 2011          Yes   
            1.2 Advisory vote on the remuneration system according to the remuneration report          Yes   
            2.1 Appropriation of available earnings For 2011          Yes   
            2.2 Approve transfer of CHF 2.5 Billion from capital contribution reserves to free reserves and dividend of CHF 17.00 per share          Yes   
            3. Discharge of members of the board of directors and of the group executive committee          Yes   
            4. Extend duration of existing CHF 1 million pool of capital without preemptive rights          Yes   
            5.1 Further changes to the articles of incorporation: change of company name to Zurich Insurance Group AG          Yes   
            5.2 Further changes to the articles of incorporation: change of purpose (article 4)          Yes   
            6.1.1 Election of the board of director: Ms. Alison Carnwath          Yes   
            6.1.2 Election of the board of director: Mr. Rafael Del Pino          Yes   
            6.1.3 Re-election of the board of director: Mr. Josef Ackermann          Yes   
            6.1.4 Re-election of the board of director: Mr. Thomas Escher          Yes   
            6.1.5 Re-election of the board of director: Mr. Don Nicolaisen          Yes   
            6.2 Re-election of auditors: PricewaterhouseCoopers Ltd, Zurich          Yes   
            7. Ad-Hoc          Against   
     

Energy

                  

RIG

    CH0048265513    Transocean Ltd    5/18/2012       I    Yes       For
            1. Approval of the 2011 annual report, including the consolidated financial statements of Transocean Ltd. For fiscal year 2011 and the statutory financial statements of Transocean Ltd. For fiscal year 2011          Yes   
            2. Appropriation of the available earnings For fiscal year 2011          Yes   
            3.1.1 Election of Mr. Glyn Barker as a Director          Yes   
            3.1.2 Election of Mrs. Vanessa C.L. Chang as a Director          Yes   
            3.1.3 Election of Mr. Chad Deaton as a Director          Yes   
            3.2.1 Re-election of Mr. Edward R. Muller as a Director          Yes   
            3.2.2 Re-election of Mr. Tan Ek Kia as a Director          Yes   
            4. Appointment of Ernst and Young LLP as the company’s independent registered public accounting firm For fiscal year 2012 and reelection of Ernst and Young Ltd., Zurich, as the company’s auditor For a further one-year term          Yes   
            5. Advisory vote on executive compensation          Yes   

WFT

    CH0038838394    WeatherFord International Ltd    5/23/2012       I    Yes       For
            1. Accept Financial Statements and Statutory Reports          Yes   
            2. Approve Discharge of Board and Senior Management          Yes   
            3.1 Re-elect Bernard J. Duroc Danner as Director          Yes   
            3.2 Re-elect Samuel W. Bodman, III as Director          Yes   
            3.3 Re-elect Nicholas F. Brady as Director          Yes   
            3.4 Re-elect David J. Butters as Director          Yes   
            3.5 Re-elect William E. Macaulay as Director          Yes   
            3.6 Re-elect Robert K. Moses, Jr. as Director          Yes   
            3.7 Re-elect Guillermo Ortiz as Director          Yes   
            3.8 Re-elect Emyr Jones Parry as Director          Yes   
            3.9 Re-elect Robert A. Rayne as Director          Yes   
            4. Ratify the appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm For year ending December 31, 2012 and the re-election of Ernst & Young Ltd, Zurich as Statutory Auditor For year ending December 31, 2012          Yes   
            5. Authorize Capital Increase For Future Acquisitions          Yes   
            6. Amend Omnibus Stock Plan          Yes   
            7. Advisory Vote to Ratify Named Executive Officers’ Compensation          Yes   

     

Personal and Household Goods

                  

CFR

    CH0045039655    Cie Financiere Richemont SA    9/9/2011       I    Yes       For
            1.1 The Board of Directors proposes that the General Meeting, having taken note of the reports of the auditors, approve the consolidated financial statements of the Group, the financial statements of the Company and the directors’ report For the\business year ended 31 March, 2011          Yes   
            1.2 The Board of Directors proposes that the 2011 compensation report as per pages 46 to 51 of the Annual Report and Accounts 2011 be ratified(non-binding consultative vote)          Yes   
            2. Appropriation of profits: At 31 March 2011, the retained earnings available For distribution amounted to CHF 1 840 684 549. The Board of Directors proposes that a dividend of CHF 0.45 be paid per Richemont share. This is equivalent to CHF 0.450 per ‘A’ bearer share in the Company and CHF 0.045 per ‘B’ registered share in the Company. This represents a total dividend payable of CHF 258 390 000, subject to a waiver by Richemont Employee Benefits Limited, a wholly owned subsidiary, of its entitlement to receive dividends on an estimated 28 million Richemont ‘A’ shares held in treasury. The Board of Directors proposes that the remaining available retained earnings of the Company at 31 March, 2011 after payment of the dividend be carried Forward to the following business year          Yes   
            3. Discharge of the Board of Directors: The Board of Directors proposes that its members be discharged from their obligations in respect of the business year ended 31 March 2011          Yes   
            4.1 To re-elect Johann Rupert as a board of director to serve For a term of one year          Yes   
            4.2 To re-elect Dr Franco Cologni as a board of director to serve For a term of one year          Yes   
            4.3 To re-elect Lord Douro as a board of director to serve For a term of one year          Yes   
            4.4 To re-elect Yves-Andre Istel as a board of director to serve For a term of one year          Yes   
            4.5 To re-elect Richard Lepeu as a board of director to serve For a term of one year          Yes   
            4.6 To re-elect Ruggero Magnoni as a board of director to serve For a term of one year          Yes   
            4.7 To re-elect Josua Malherbe as a board of director to serve For a term of one year          Yes   
            4.8 To re-elect Simon Murray as a board of director to serve For a term of one year          Yes   
            4.9 To re-elect Dr Frederick Mostert as a board of director to serve For a term of one year          Yes   
            4.10 To re-elect Alain Dominique Perrin as a board of director to serve For a term of one year          Yes   
            4.11 To re-elect Guillaume Pictet as a board of director to serve For a term of one year          Yes   
            4.12 To re-elect Norbert Platt as a board of director to serve For a term of one year          Yes   
            4.13 To re-elect Alan Quasha as a board of director to serve For a term of one year          Yes   
            4.14 To re-elect Lord Renwick of Clifton as a board of director to serve For a term of one year          Yes   
            4.15 To re-elect Dominique Rochat as a board of director to serve For a term of one year          Yes   
            4.16 To re-elect Jan Rupert as a board of director to serve For a term of one year          Yes   
            4.17 To re-elect Gary Saage as a board of director to serve For a term of one year          Yes   
            4.18 To re-elect Jurgen Schrempp as a board of director to serve For a term of one year          Yes   
            4.19 To re-elect Martha Wikstrom as a board of director to serve For a term of one year          Yes   
            4.20 The Board further proposes that Maria Ramos be elected to the Board For a term of one year: her biographical details are to be found on page 40 of the Annual Report and Accounts 2011          Yes   
            5. The Board of Directors proposes that PricewaterhouseCoopers be reappointed For a further term of one year as auditors of the company          Yes   

UHR

    CH0012255151    The Swatch Group    5/16/2012       I    Yes       For
            1. Annual report 2011: 2011 annual report of the board of directors, 2011 financial statements(balance sheet, income statement and notes) and 2011 consolidated financial statements, statutory auditor’s report, approval of the reports and the financial statements          Yes   
            2. Discharge of the board of directors          Yes   
            3. Resolution For the appropriation of the net income          Yes   
            4. Nomination of the statutory auditors/PricewaterhouseCoopers LTD          Yes   
            5. Ad-Hoc          Against   
     

Pharmaceuticals

                  

NOVN

    CH0012005267    Novartis    2/23/2012       I    Yes       For
            1.1 Approval of the annual report, the financial statements of Novartis AG and the group consolidated financial statements For the business year 2011          Yes   
            1.2 Discharge from liability of the members of the board of directors and the Executive Committee          Yes   
            1.3 Appropriation of available earnings of Novartis AG and declaration of dividend: Balance brought Forward: NIL; Net income of 2011: CHF 5,370,749,043; Partial use of free reserves: CHF 477,787,917; Available earnings at the disposal of the AGM: CHF 5,848,536,960; The Board of Directors proposed appropriation of available earnings as follows: Gross dividend of CHF 2.25 per dividend bearing share of CHF 0.50 nominal value: CHF -5,848,536,960; Balance to be carried Forward: NIL          Yes   
            1.4 Reduction of share capital          Yes   
            1.5.1.1 Re-election of William Brody, M.D., PH.D.          Yes   
            1.5.1.2 Re-election of Srikant Datar, PH.D.          Yes   
            1.5.1.3 Re-election of Andreas Von Planta, PH.D.          Yes   
            1.5.1.4 Re-election of Dr. Ing. Wendelin Wiedeking          Yes   
            1.5.1.5 Re-election of Rolf M. Zinkernagel, M.D.          Yes   
            1.5.2 New-election of Dimitri Azar, M.D.1.6 Appointment of the auditor, PricewaterhouseCoopers AG          Yes   
            2. If shareholders at the annual general meeting propose additional and/or counter-proposals, I/we instruct the Independent Proxy to vote according to the proposal of the Board of Directors          ABSTAIN   

ROG

    CH0012032048    Roche Holding    3/6/2012       I    NO       N/A
     

Retail

                  

DUFN

    CH0023405456    Dufry Group    5/2/2012       I    Yes       For
            1. Approval of the Annual Report, the Consolidated Financial Statements and the Annual Financial Statements 2011          Yes   
            2. Appropriation of Available Earnings          Yes   
            3. Discharge of the Board of Directors and the Persons entrusted with Management          Yes   
            4. Election of the Auditors: Ernst And Young Ltd.          Yes   
            5. Creation of Additional Conditional Share Capital          Yes   
            6. Creation of Authorized Share Capital          Yes   

GALN

    CH0015536466    Galenica AG    5/3/2012       I    Yes       For
            1. Approval of annual report, annual financial statement 2011 of Galenica Ltd and financial statements of the Galenica Group For 2011, reports of the auditors          Yes   
            2. Compensation report          Yes   
            3. Discharge of the board of directors and the corporate executive committee          Yes   
            4. Allocation of available earnings For 2011          Yes   
            5.1 Amendment of the article 3a, paragraph 1 of the articles of incorporation (authorised share capital)          Yes   
            5.2 Amendment of the article 17, paragraph 1 of the articles of incorporation (composition, election and term of office)          Yes   
            6.1.1 Re-election of Daniela Bosshardt-Hengartner          Yes   
            6.1.2 Re-election of Stefano Pessina          Yes   
            6.2 Election of Fritz Hirsbrunner          Yes   
            6.3 Re-election of the auditors Ernst and Young AG, Bern          Yes   
            7. Ad-Hoc          Against   

SIGNATURES

Pursuant to the requirements of the Investment Company Act of 1940, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Registrant:  

The Swiss Helvetia Fund, Inc.

By:  

/s/ Rudolf Millisits

  Rudolf Millisits, Chief Executive Officer

Date   August 17, 2012