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: 811-21712
CLOUGH GLOBAL EQUITY FUND
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1100, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
Erin D. Nelson
Clough Global Equity Fund
1290 Broadway, Suite 1100
Denver, Colorado 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: March 31
Date of reporting period: July 1, 2012 – June 30, 2013
Item 1 – Proxy Voting Record.
-2-
Vote Summary
| LENOVO GROUP LTD | ||||||||
| Security | Y5257Y107 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 03-Jul-2012 | ||||||
| ISIN | HK0992009065 | Agenda | 703878011 - Management | |||||
| Record Date | 28-Jun-2012 | Holding Recon Date | 28-Jun-2012 | |||||
| City / Country | HONG KONG / Hong Kong | Vote Deadline Date | 26-Jun-2012 | |||||
| SEDOL(s) | 5924279 - 6218089 - B01DLP9 - B175X83 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/0531/LTN20120531246.pdf | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF “ABSTAIN” WILL BE TREATED-THE SAME AS A “TAKE NO ACTION” VOTE. | Non-Voting | ||||||||||
| 1 | To receive and consider the audited accounts for the year ended March 31, 2012 together with the reports of the directors and auditor thereon | Management | For | For | ||||||||
| 2 | To declare a final dividend for the issued ordinary shares for the year ended March 31, 2012 | Management | For | For | ||||||||
| 3(a) | To re-elect Mr. Zhao John Huan as director | Management | For | For | ||||||||
| 3(b) | To re-elect Mr. Nobuyuki Idei as director | Management | For | For | ||||||||
| 3(c) | To re-elect Mr. Zhu Linan as director | Management | For | For | ||||||||
| 3(d) | To re-elect Ms. Ma Xuezheng as director | Management | For | For | ||||||||
| 3(e) | To re-elect Mr. Ting Lee Sen as director | Management | For | For | ||||||||
| 3(f) | To re-elect Mr. William O. Grabe as director | Management | For | For | ||||||||
| 3(g) | To authorize the board of directors to fix directors’ fees | Management | For | For | ||||||||
| 4 | To re-appoint PricewaterhouseCoopers as auditor and authorize the board of directors to fix auditor’s remuneration | Management | For | For | ||||||||
| 5 | Ordinary Resolution - To grant a general mandate to the directors to allot, issue and deal with additional ordinary shares not exceeding 20% of the aggregate nominal amount of the issued ordinary share capital of the Company | Management | For | For | ||||||||
| 6 | Ordinary Resolution - To grant a general mandate to the directors to repurchase ordinary shares not exceeding 10% of the aggregate nominal amount of the issued ordinary share capital of the Company | Management | For | For | ||||||||
| 7 | Ordinary Resolution - To extend the general mandate to the directors to issue new ordinary shares of the Company by adding the number of the shares repurchased | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 3,179,040 | 0 | 26-Jun-2012 | 28-Jun-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 745,819 | 0 | 26-Jun-2012 | 28-Jun-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 1,216,869 | 0 | 26-Jun-2012 | 28-Jun-2012 | |||||||||||
| GT CAPITAL HOLDINGS INC | ||||||||
| Security | Y29045104 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 11-Jul-2012 | ||||||
| ISIN | PHY290451046 | Agenda | 703943096 - Management | |||||
| Record Date | 24-May-2012 | Holding Recon Date | 24-May-2012 | |||||
| City / Country | MAKATI CITY / Philippines | Vote Deadline Date | 22-Jun-2012 | |||||
| SEDOL(s) | B77H110 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 101275 DUE TO CHANGE IN SE-QUENCE OF AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARD-ED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ ONLY-FOR RESOLUTION “6” AND ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR RESOLUTION NUMBERS “1-.1 TO 1.9”. THANK YOU. | Non-Voting | ||||||||||
| 1.1 | Election of Director: Dr. George S.K. TY | Management | For | For | ||||||||
| 1.2 | Election of Director: Arthur V. TY | Management | For | For | ||||||||
| 1.3 | Election of Director: Alfred V. TY | Management | For | For | ||||||||
| 1.4 | Election of Director: Carmelo Maria Luza Bautista | Management | For | For | ||||||||
| 1.5 | Election of Director: Roderico V. Puno | Management | For | For | ||||||||
| 1.6 | Election of Director: Solomon S. Cua | Management | For | For | ||||||||
| 1.7 | Election of Director: Manuel Q. Bengson | Management | For | For | ||||||||
| 1.8 | Election of Independent Director: Jaime Miguel G. Belmonte | Management | For | For | ||||||||
| 1.9 | Election of Independent Director: Renato C. Valencia | Management | For | For | ||||||||
| 2 | Approval of minutes of previous annual and special stockholders’ meetings | Management | For | For | ||||||||
| 3 | Approval of annual report | Management | For | For | ||||||||
| 4 | Ratification of all acts and resolutions of the Board of Directors and Executive Officers | Management | For | For | ||||||||
| 5 | Election of Sycip Gorres Velayo & Co. as independent auditors | Management | For | For | ||||||||
| 6 | At their discretion, the proxies named above are authorized to vote upon such other matters as may properly come before the meeting | Management | Abstain | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN TEXT OF RESOLUTIONS 4 AND-6. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 62,400 | 0 | 26-Jun-2012 | 28-Jun-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 14,800 | 0 | 26-Jun-2012 | 28-Jun-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 24,200 | 0 | 26-Jun-2012 | 28-Jun-2012 | |||||||||||
| MAN WAH HOLDINGS LTD | ||||||||
| Security | G5800U107 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 19-Jul-2012 | ||||||
| ISIN | BMG5800U1071 | Agenda | 703939263 - Management | |||||
| Record Date | 18-Jul-2012 | Holding Recon Date | 18-Jul-2012 | |||||
| City / Country | TBD / Bermuda | Vote Deadline Date | 05-Jul-2012 | |||||
| SEDOL(s) | B58VHF3 - B58YWF7 - B5WN7S8 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR-ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/0618/LTN20120618664.pdf | Non-Voting | ||||||||||
| 1 | To receive, consider and adopt the reports of the directors and the auditors and the audited consolidated financial statements of the Company for the year ended 31 March 2012 | Management | For | For | ||||||||
| 2 | To declare a final dividend of HK7 cents per share for the year ended 31 March 2012 | Management | For | For | ||||||||
| 3 | To approve the re-election of Mr. Alan Marnie as an executive director of the Company and the terms of his appointment (including remuneration) | Management | For | For | ||||||||
| 4 | To approve the re-election of Mr. Wong Man Li as an executive director of the Company and the terms of his appointment (including remuneration) | Management | For | For | ||||||||
| 5 | To approve the re-election of Ms. Hui Wai Hing as an executive director of the Company and the terms of her appointment (including remuneration) | Management | For | For | ||||||||
| 6 | To approve the re-election of Mr. Chau Shing Yim, David as an independent non-executive director of the Company and the terms of his appointment (including remuneration) | Management | For | For | ||||||||
| 7 | To authorise the board of directors to approve and confirm the remuneration for Mr. Lee Teck Leng, Robson | Management | For | For | ||||||||
| 8 | To authorise the board of directors to approve and confirm the remuneration for Mr. Ong Chor Wei | Management | For | For | ||||||||
| 9 | To re-appoint Deloitte Touche Tohmatsu as auditors of the Company and to authorise the board of directors of the Company to fix their remuneration | Management | For | For | ||||||||
| 10 | To grant a general mandate to the directors of the Company to allot, issue and deal with new shares of the Company not exceeding 20% of its issued share capital | Management | For | For | ||||||||
| 11 | To grant a general mandate to the directors of the Company to repurchase shares of the Company not exceeding 10% of its issued share capital | Management | For | For | ||||||||
| 12 | To extend the general mandate granted to the directors of the Company to allot, issue and deal with new shares by an amount not exceeding the amount of the shares repurchased by the Company | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 6,430,900 | 0 | 26-Jun-2012 | 11-Jul-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,498,600 | 0 | 26-Jun-2012 | 11-Jul-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,456,000 | 0 | 26-Jun-2012 | 11-Jul-2012 | |||||||||||
| ROWAN COMPANIES PLC | ||||||||
| Security | G7665A101 | Meeting Type | Annual | |||||
| Ticker Symbol | RDC | Meeting Date | 25-Jul-2012 | |||||
| ISIN | GB00B6SLMV12 | Agenda | 933659534 - Management | |||||
| Record Date | 04-Jun-2012 | Holding Recon Date | 04-Jun-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 23-Jul-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO RE-ELECT THOMAS R. HIX AS A CLASS III DIRECTOR FOR A TERM TO EXPIRE AT THE ANNUAL GENERAL MEETING TO BE HELD IN 2015. | Management | For | For | ||||||||
| 2. | TO RE-ELECT SUZANNE P. NIMOCKS AS A CLASS III DIRECTOR FOR A TERM TO EXPIRE AT THE ANNUAL GENERAL MEETING TO BE HELD IN 2015. | Management | For | For | ||||||||
| 3. | TO RE-ELECT P. DEXTER PEACOCK AS A CLASS III DIRECTOR FOR A TERM TO EXPIRE AT THE ANNUAL GENERAL MEETING TO BE HELD IN 2015. | Management | For | For | ||||||||
| 4. | AN ORDINARY RESOLUTION TO RATIFY THE AUDIT COMMITTEE’S APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR U.S. INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012. | Management | For | For | ||||||||
| 5. | AN ORDINARY RESOLUTION TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE UK LLP AS OUR U.K. STATUTORY AUDITORS UNDER THE COMPANIES ACT 2006(TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY). | Management | For | For | ||||||||
| 6. | AN ORDINARY RESOLUTION TO RATIFY THAT THE AUDIT COMMITTEE IS AUTHORIZED TO DETERMINE OUR U.K. STATUTORY AUDITORS’ REMUNERATION. | Management | For | For | ||||||||
| 7. | A NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 44,922 | 0 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| 000260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 10,559 | 0 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 17,295 | 0 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| TE CONNECTIVITY LTD | ||||||||
| Security | H84989104 | Meeting Type | Special | |||||
| Ticker Symbol | TEL | Meeting Date | 25-Jul-2012 | |||||
| ISIN | CH0102993182 | Agenda | 933660133 - Management | |||||
| Record Date | 06-Jun-2012 | Holding Recon Date | 06-Jun-2012 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 23-Jul-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO APPROVE THE REALLOCATION OF LEGAL RESERVES (FROM CAPITAL CONTRIBUTIONS) (CHF 9,745 MILLION) TO FREE RESERVES | Management | For | For | ||||||||
| 2. | TO APPROVE ANY ADJOURNMENTS OR POSTPONEMENTS OF THE EXTRAORDINARY GENERAL MEETING | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 3,600 | 20,000 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 100 | 38,500 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 500 | 100,000 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| TE CONNECTIVITY LTD | ||||||||
| Security | H84989104 | Meeting Type | Special | |||||
| Ticker Symbol | TEL | Meeting Date | 25-Jul-2012 | |||||
| ISIN | CH0102993182 | Agenda | 933668141 - Management | |||||
| Record Date | 05-Jul-2012 | Holding Recon Date | 05-Jul-2012 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 23-Jul-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO APPROVE THE REALLOCATION OF LEGAL RESERVES (FROM CAPITAL CONTRIBUTIONS) (CHF 9,745 MILLION) TO FREE RESERVES | Management | For | For | ||||||||
| 2. | TO APPROVE ANY ADJOURNMENTS OR POSTPONEMENTS OF THE EXTRAORDINARY GENERAL MEETING | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 11,800 | 0 | 11-Jul-2012 | 11-Jul-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 19,300 | 0 | 11-Jul-2012 | 11-Jul-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 50,200 | 0 | 11-Jul-2012 | 11-Jul-2012 | |||||||||||
| SABMILLER PLC, WOKING SURREY | ||||||||
| Security | G77395104 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 26-Jul-2012 | ||||||
| ISIN | GB0004835483 | Agenda | 703947929 - Management | |||||
| Record Date | Holding Recon Date | 24-Jul-2012 | ||||||
| City / Country | SURREY / United Kingdom | Vote Deadline Date | 17-Jul-2012 | |||||
| SEDOL(s) | 0483548 - 5837708 - 6145240 - B01DQ76 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | To receive and adopt the financial statements for the year ended 31 March 2012, together with the reports of the directors and auditors therein | Management | For | For | ||||||||
| 2 | To receive and, if thought fit, to approve the Directors’ Remuneration Report 2012 contained in the Annual Report for the year ended 31 March 2012 | Management | For | For | ||||||||
| 3 | To elect Dr A J Clark as a director of the Company | Management | For | For | ||||||||
| 4 | To re-elect Mr M H Armour as a director of the Company | Management | For | For | ||||||||
| 5 | To re-elect Mr G C Bible as a director of the Company | Management | For | For | ||||||||
| 6 | To re-elect Mr D S Devitre as a director of the Company | Management | For | For | ||||||||
| 7 | To re-elect Mrs L M S Knox as a director of the Company | Management | For | For | ||||||||
| 8 | To re-elect Mr E A G Mackay as a director of the Company | Management | For | For | ||||||||
| 9 | To re-elect Mr P J Manser as a director of the Company | Management | For | For | ||||||||
| 10 | To re-elect Mr J A Manzoni as a director of the Company | Management | For | For | ||||||||
| 11 | To re-elect Mr M Q Morland as a director of the Company | Management | For | For | ||||||||
| 12 | To re-elect Dr D F Moyo as a director of the Company | Management | For | For | ||||||||
| 13 | To re-elect Mr C A Perez Davila as a director of the Company | Management | For | For | ||||||||
| 14 | To re-elect Mr M C Ramaphosa as a director of the Company | Management | For | For | ||||||||
| 15 | To re-elect Mr A Santo Domingo Davila as a director of the Company | Management | For | For | ||||||||
| 16 | To re-elect Ms H A Weir as director of the Company | Management | For | For | ||||||||
| 17 | To re-elect Mr H A Willard as a director of the Company | Management | For | For | ||||||||
| 18 | To re-elect Mr J S Wilson as a director of the Company | Management | For | For | ||||||||
| 19 | To declare a final dividend of 69.5 US cents per share | Management | For | For | ||||||||
| 20 | To re-appoint PricewaterhouseCoopers LLP as auditors of the Company | Management | For | For | ||||||||
| 21 | To authorise the directors to determine the remuneration of the auditors | Management | For | For | ||||||||
| 22 | To give a general power and authority to the directors to allot shares | Management | For | For | ||||||||
| 23 | To give a general power and authority to the directors to allot shares for cash otherwise than pro rata to all shareholders | Management | For | For | ||||||||
| 24 | To give a general authority to the directors to make market purchases of ordinary shares of USD 0.10 each in the capital of the Company | Management | For | For | ||||||||
| 25 | To approve the calling of general meetings, other than an annual general meeting, on not less than 14 clear days’ notice | Management | For | For | ||||||||
| PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN THE TEXT OF RESOLUT-ION 8.IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY-FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | |||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 63,300 | 0 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 14,900 | 0 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 24,300 | 0 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| ASCOTT RESIDENCE TRUST | ||||||||
| Security | Y0261Y102 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 27-Jul-2012 | ||||||
| ISIN | SG1T08929278 | Agenda | 703962399 - Management | |||||
| Record Date | Holding Recon Date | 25-Jul-2012 | ||||||
| City / Country | SINGAPORE / Singapore | Vote Deadline Date | 23-Jul-2012 | |||||
| SEDOL(s) | B10SSL7 - B12TY87 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | The divestment of an interest in a serviced residence property in Singapore and the acquisition of interests in serviced residence properties in Singapore and the people’s Republic of China | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 1,781,824 | 0 | 16-Jul-2012 | 24-Jul-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 416,874 | 0 | 16-Jul-2012 | 24-Jul-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 682,302 | 0 | 16-Jul-2012 | 24-Jul-2012 | |||||||||||
| NATIONAL GRID PLC | ||||||||
| Security | 636274300 | Meeting Type | Annual | |||||
| Ticker Symbol | NGG | Meeting Date | 30-Jul-2012 | |||||
| ISIN | US6362743006 | Agenda | 933661402 - Management | |||||
| Record Date | 01-Jun-2012 | Holding Recon Date | 01-Jun-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 17-Jul-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | TO RECEIVE THE ANNUAL REPORT AND ACCOUNTS | Management | No Action | |||||||||
| 2 | TO DECLARE A FINAL DIVIDEND | Management | No Action | |||||||||
| 3 | TO ELECT SIR PETER GERSHON | Management | No Action | |||||||||
| 4 | TO RE-ELECT STEVE HOLLIDAY | Management | No Action | |||||||||
| 5 | TO RE-ELECT ANDREW BONFIELD | Management | No Action | |||||||||
| 6 | TO RE-ELECT TOM KING | Management | No Action | |||||||||
| 7 | TO RE-ELECT NICK WINSER | Management | No Action | |||||||||
| 8 | TO RE-ELECT KEN HARVEY | Management | No Action | |||||||||
| 9 | TO RE-ELECT LINDA ADAMANY | Management | No Action | |||||||||
| 10 | TO RE-ELECT PHILIP AIKEN | Management | No Action | |||||||||
| 11 | TO ELECT NORA BROWNELL | Management | No Action | |||||||||
| 12 | TO ELECT PAUL GOLBY | Management | No Action | |||||||||
| 13 | TO ELECT RUTH KELLY | Management | No Action | |||||||||
| 14 | TO RE-ELECT MARIA RICHTER | Management | No Action | |||||||||
| 15 | TO RE-ELECT GEORGE ROSE | Management | No Action | |||||||||
| 16 | TO REAPPOINT THE AUDITORS PRICEWATERHOUSECOOPERS LLP | Management | No Action | |||||||||
| 17 | TO AUTHORISE THE DIRECTORS TO SET THE AUDITORS’ REMUNERATION | Management | No Action | |||||||||
| 18 | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT | Management | No Action | |||||||||
| 19 | TO AUTHORISE THE DIRECTORS TO ALLOT ORDINARY SHARES | Management | No Action | |||||||||
| S20 | TO DISAPPLY PRE-EMPTION RIGHTS | Management | No Action | |||||||||
| S21 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES | Management | No Action | |||||||||
| S22 | TO AUTHORISE THE DIRECTORS TO HOLD GENERAL MEETINGS ON 14 CLEAR DAYS’ NOTICE | Management | No Action | |||||||||
| S23 | TO AMEND THE EXISTING ARTICLES OF ASSOCIATION | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 11,300 | 47,372 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 4,900 | 100,499 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 51,729 | 199,000 | 26-Jun-2012 | 26-Jun-2012 | |||||||||||
| MONRO MUFFLER BRAKE, INC. | ||||||||
| Security | 610236101 | Meeting Type | Annual | |||||
| Ticker Symbol | MNRO | Meeting Date | 07-Aug-2012 | |||||
| ISIN | US6102361010 | Agenda | 933668280 - Management | |||||
| Record Date | 19-Jun-2012 | Holding Recon Date | 19-Jun-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 06-Aug-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 RICHARD A. BERENSON |
For | For | ||||||||||
| 2 DONALD GLICKMAN |
For | For | ||||||||||
| 3 JAMES R. WILEN |
For | For | ||||||||||
| 4 ELIZABETH A. WOLSZON |
For | For | ||||||||||
| 5 JOHN W. VAN HEEL |
For | For | ||||||||||
| 2. | TO APPROVE AN AMENDMENT TO THE COMPANY’S RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 45,000,000 TO 65,000,000. | Management | For | For | ||||||||
| 3. | TO APPROVE, ON A NON-BINDING BASIS, THE COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4. | TO RATIFY THE RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING MARCH 30, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 9,200 | 0 | 16-Jul-2012 | 16-Jul-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 15,000 | 0 | 16-Jul-2012 | 16-Jul-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 39,000 | 0 | 16-Jul-2012 | 16-Jul-2012 | |||||||||||
| LIBERTY MEDIA CORPORATION | ||||||||
| Security | 530322106 | Meeting Type | Annual | |||||
| Ticker Symbol | LMCA | Meeting Date | 08-Aug-2012 | |||||
| ISIN | US5303221064 | Agenda | 933668533 - Management | |||||
| Record Date | 25-Jun-2012 | Holding Recon Date | 25-Jun-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 07-Aug-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 DONNE F. FISHER |
For | For | ||||||||||
| 2 GREGORY B. MAFFEI |
For | For | ||||||||||
| 3 ANDREA L. WONG |
For | For | ||||||||||
| 2. | THE SAY-ON-PAY PROPOSAL, TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 3. | THE SAY-ON-FREQUENCY PROPOSAL, TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY AT WHICH STOCKHOLDERS ARE PROVIDED AN ADVISORY VOTE ON THE COMPENSATION OF NAMED EXECUTIVE OFFICERS. | Management | 3 Years | For | ||||||||
| 4. | A PROPOSAL TO ADOPT THE LIBERTY MEDIA CORPORATION 2011 INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | A PROPOSAL TO ADOPT THE LIBERTY MEDIA CORPORATION 2011 NONEMPLOYEE DIRECTOR INCENTIVE PLAN. | Management | For | For | ||||||||
| 6. | A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,170 | 18,000 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,387 | 40,000 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,546 | 83,300 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| LIBERTY INTERACTIVE CORPORATION | ||||||||
| Security | 53071M104 | Meeting Type | Annual | |||||
| Ticker Symbol | LINTA | Meeting Date | 08-Aug-2012 | |||||
| ISIN | US53071M1045 | Agenda | 933668545 - Management | |||||
| Record Date | 25-Jun-2012 | Holding Recon Date | 25-Jun-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 07-Aug-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | A PROPOSAL (THE “TRACKING STOCK PROPOSAL”) TO AMEND AND RESTATE OUR CERTIFICATE OF INCORPORATION TO CREATE A NEW TRACKING STOCK TO BE DESIGNATED THE LIBERTY VENTURES COMMON STOCK AND TO MAKE CERTAIN CONFORMING CHANGES TO OUR EXISTING LIBERTY INTERACTIVE COMMON STOCK. | Management | For | For | ||||||||
| 2. | A PROPOSAL TO AUTHORIZE THE ADJOURNMENT OF THE ANNUAL MEETING BY LIBERTY INTERACTIVE CORPORATION TO PERMIT FURTHER SOLICITATION OF PROXIES, IF NECESSARY OR APPROPRIATE, IF SUFFICIENT VOTES ARE NOT REPRESENTED AT THE ANNUAL MEETING TO APPROVE THE TRACKING STOCK PROPOSAL. | Management | For | For | ||||||||
| 3. | DIRECTOR | Management | ||||||||||
| 1 MICHAEL A. GEORGE |
For | For | ||||||||||
| 2 GREGORY B. MAFFEI |
For | For | ||||||||||
| 3 M. LAVOY ROBISON |
For | For | ||||||||||
| 4. | A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 112 | 78,800 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 72,186 | 123,400 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 35,802 | 299,100 | 20-Jul-2012 | 20-Jul-2012 | |||||||||||
| CONTINENTAL RESOURCES, INC. | ||||||||
| Security | 212015101 | Meeting Type | Special | |||||
| Ticker Symbol | CLR | Meeting Date | 10-Aug-2012 | |||||
| ISIN | US2120151012 | Agenda | 933667478 - Management | |||||
| Record Date | 29-Jun-2012 | Holding Recon Date | 29-Jun-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 09-Aug-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | APPROVE ISSUANCE OF SHARES OF COMMON STOCK PURSUANT TO THE TERMS AND CONDITIONS OF A REORGANIZATION AND PURCHASE AND SALE AGREEMENT, DATED AS OF MARCH 27, 2012 (THE AGREEMENT ), IN ACCORDANCE WITH SECTION 312.03(B) OF THE NEW YORK STOCK EXCHANGE LISTED COMPANY MANUAL AND THE REQUIREMENTS OF THE AGREEMENT. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 4,689 | 0 | 11-Jul-2012 | 11-Jul-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,200 | 5,500 | 11-Jul-2012 | 11-Jul-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 281 | 19,600 | 11-Jul-2012 | 11-Jul-2012 | |||||||||||
| BOSIDENG INTERNATIONAL HOLDINGS LTD | ||||||||
| Security | G12652106 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 28-Aug-2012 | ||||||
| ISIN | KYG126521064 | Agenda | 703984357 - Management | |||||
| Record Date | 22-Aug-2012 | Holding Recon Date | 22-Aug-2012 | |||||
| City / Country | HONG KONG / Cayman Islands | Vote Deadline Date | 21-Aug-2012 | |||||
| SEDOL(s) | B24FZ32 - B28GHL3 - B3B7XR8 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR-ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/SEH K/2012/0726/LTN20120726123.pdf | Non-Voting | ||||||||||
| 1 | To adopt the financial statements and reports of the directors and auditors for the year ended March 31, 2012 | Management | For | For | ||||||||
| 2 | To declare a final dividend of HKD 12 cents per ordinary share | Management | For | For | ||||||||
| 3.i | To re-elect Dr. Kong Shengyuan as an executive director | Management | For | For | ||||||||
| 3.ii | To re-elect Ms. Huang Qiaolian as an executive director | Management | For | For | ||||||||
| 3.iii | To re-elect Mr. Shen Jingwu as a non-executive director | Management | For | For | ||||||||
| 3.iv | To re-elect Mr. Dong Binggen as an independent non-executive director | Management | For | For | ||||||||
| 3.v | To authorise the board of directors to fix the directors’ remuneration | Management | For | For | ||||||||
| 4 | To appoint the auditors and to authorise the board of directors to fix the remuneration of the auditors | Management | For | For | ||||||||
| 5.A | To grant a general mandate to the directors to allot, issue and deal with the shares in accordance with ordinary resolution number 5(A) as set out in the notice of the Annual General Meeting | Management | For | For | ||||||||
| 5.B | To grant a general mandate to the directors to repurchase the shares in accordance with ordinary resolution number 5(B) as set out in the notice of the Annual General Meeting | Management | For | For | ||||||||
| 5.C | Conditional upon ordinary resolutions number 5(A) and 5(B) being passed, to extend the general mandate to the directors to allot, issue and deal with additional shares by the number of shares repurchased in accordance with ordinary resolution number 5(C) as set out in the notice of the Annual General Meeting | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 22,744,000 | 0 | 08-Aug-2012 | 24-Aug-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 5,330,000 | 0 | 08-Aug-2012 | 24-Aug-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 8,708,000 | 0 | 08-Aug-2012 | 24-Aug-2012 | |||||||||||
| M. DIAS BRANCO SA INDUSTRIA E COMERCIO DE ALIMENTO | ||||||||
| Security | P64876108 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 31-Aug-2012 | ||||||
| ISIN | BRMDIAACNOR7 | Agenda | 704018844 - Management | |||||
| Record Date | Holding Recon Date | 29-Aug-2012 | ||||||
| City / Country | EUSEBIO / Brazil | Vote Deadline Date | 22-Aug-2012 | |||||
| SEDOL(s) | B1FRH89 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| I.A | To vote, in accordance with the terms of article 256 and its respective paragraphs of law number 6404.76, regarding the purchase by the company of the business companies Pelagio Participacoes S.A., a closely held Share Corporation, Incorporated and existing in accordance with Brazilian Law, with its head office at Rua Rufino De Alencar 121, room 2 Altos, Downtown in the municipality of Fortaleza, State of Ceara, zip code 60060.620, with corporate taxpayer Id Number, CNPJ.MF, 11.788.655.0001.92 and with its founding documents filed with the Ceara State Board of trade under business identification number, Nire, 23.300.029.658, which has full control over Pelagio Oliveira S.A., a closely held share corporation, with its head office at Avenida Parque Oeste 2101, Distrito Industrial, Municipality of Maracanau, State of Ceara, CONTD | Management | No Action | |||||||||
| CONT | CONTD with corporate taxpayer Id Number, CNPJ.MF, 07.224.090.0001.43 and its-founding documents filed with the Ceara State Board of trade under business-identification number, Nire, 23300017153 | Non-Voting | ||||||||||
| I.B | JBrandao Comercio E Industria Ltda., a limited company, with its head office at Avenida Parque Oeste 2113, Distrito Industrial, Municipality of Maracanau, State of Ceara, with corporate taxpayer Id number, CNPJ.MF, 06.822.340.0001.84 and its founding documents filed with the Ceara State Board of trade under business identification number, Nire, 23200219684, done on December 23, 2011 | Management | No Action | |||||||||
| II.A | To discuss and vote regarding the proposal for the merger, into the company, of the company under its full control Pelagio Oliveira S.A. and, in this regard, to discuss and vote regarding the protocol and justification of merger of Pelagio Oliveira S.A. into the company, which was signed on August 15, 2012, by the managers of both the companies, as well as of the acts and measures contemplated in it | Management | No Action | |||||||||
| II.B | To appoint the appraisers charged with valuing the equity of Pelagio Oliveira S.A. that is to be merged into the company | Management | No Action | |||||||||
| II.C | To discuss and vote regarding the valuation report confirming the equity value of Pelagio Oliveira S.A. prepared by the appraisers who were appointed | Management | No Action | |||||||||
| II.D | To approve the merger of Pelagio Oliveira S.A. into the company | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 12,300 | 0 | 23-Aug-2012 | 28-Aug-2012 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 20,100 | 0 | 23-Aug-2012 | 28-Aug-2012 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 52,200 | 0 | 23-Aug-2012 | 28-Aug-2012 | |||||||||||
| H&R BLOCK, INC. | ||||||||
| Security | 093671105 | Meeting Type | Annual | |||||
| Ticker Symbol | HRB | Meeting Date | 13-Sep-2012 | |||||
| ISIN | US0936711052 | Agenda | 933673370 - Management | |||||
| Record Date | 12-Jul-2012 | Holding Recon Date | 12-Jul-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 12-Sep-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: PAUL J. BROWN | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: WILLIAM C. COBB | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: MARVIN R. ELLISON | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: ROBERT A. GERARD | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: DAVID BAKER LEWIS | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: VICTORIA J. REICH | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: BRUCE C. ROHDE | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: TOM D. SEIP | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: CHRISTIANNA WOOD | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: JAMES F. WRIGHT | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF THE COMPANY’S NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 4. | APPROVAL OF THE 2013 LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | APPROVAL OF THE AMENDED AND RESTATED 2000 EMPLOYEE STOCK PURCHASE PLAN. | Management | For | For | ||||||||
| 6. | SHAREHOLDER PROPOSAL CONCERNING PROXY ACCESS, IF PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,263 | 207,800 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 759 | 340,000 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 227,212 | 662,100 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| SAMSONITE INTERNATIONAL S.A, LUXEMBOURG | ||||||||
| Security | L80308106 | Meeting Type | Ordinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 14-Sep-2012 | ||||||
| ISIN | LU0633102719 | Agenda | 704024708 - Management | |||||
| Record Date | 11-Sep-2012 | Holding Recon Date | 11-Sep-2012 | |||||
| City / Country | LUXEMBOURG / Luxembourg | Vote Deadline Date | 07-Sep-2012 | |||||
| SEDOL(s) | B4KW2N0 - B4Q1532 - B7T3RP2 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ ONLY-FOR ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| 1 | To approve and adopt the rules of the share award scheme pursuant to which the Company intends to attract skilled and experienced personnel, to incentivize them to remain with the Company’s group and to motivate them to strive for the future development and expansion of the Company’s group by providing them with the opportunity to acquire shares in the Company, a copy of which marked “A” is produced to the meeting and for the purpose of identification signed by the Chairman thereof (the “Share Award Scheme”) | Management | For | For | ||||||||
| 2 | To authorize the board of directors of the Company (the “Board”) to grant awards of options or restricted share units (“RSUs”) pursuant to the Share Award Scheme and to allot and issue shares, direct and procure any professional trustee as may be appointed by the Company to assist with the administration, exercise and vesting of options and RSUs to transfer shares and otherwise deal with shares underlying the options and/or RSUs granted pursuant to the Share Award Scheme as and when they vest or are exercised (as case may be) | Management | For | For | ||||||||
| 3 | To approve the grant of a mandate authorizing the Board to grant awards of RSUs pursuant to the Share Award Scheme in respect of a maximum number of new shares equal to 10 per cent. of the shares in issue as at the date of adoption of the Share Award Scheme during the period from the date of adoption until the earliest of (a) the conclusion of the Company’s next annual general meeting, (b) the end of the period within which the Company is required by any applicable law or its articles of incorporation to hold its next annual general meeting and (c) the date on which the resolution granting such authorization is varied or revoked by ordinary resolution of the Shareholders in general meeting (the “Applicable Period”) and to allot, issue and deal with shares underlying the RSUs granted pursuant to the Share Award Scheme during the Applicable Period as and when such RSUs vest | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 1,077,000 | 0 | 05-Sep-2012 | 10-Sep-2012 | |||||||||||
| BRAZIL PHARMA SA | ||||||||
| Security | P1815Q108 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 17-Sep-2012 | ||||||
| ISIN | BRBPHAACNOR6 | Agenda | 704042489 - Management | |||||
| Record Date | Holding Recon Date | 13-Sep-2012 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 06-Sep-2012 | |||||
| SEDOL(s) | B3Q1YB6 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| A | To authorize the preparation of the minutes of the extraordinary general meeting in summary form, in accordance with the terms of article 130, paragraph 1, of law number 6404 of December 15, 1976, as amended, from here onwards the Brazilian corporate law | Management | No Action | |||||||||
| B | To ratify the appointment made by the managers of the company of Famais Franchising S.A. a closely held share corporation with its head office at Rua Gomes De Carvalho 1629, sixth floor, vila olimpia, zip code 04547.006, in the city of Sao Paulo, state of Sao Paulo, with corporate taxpayer id number, CNPJ.MF, 00.259.932.0001.53, from here onwards Farmais, of the specialized company Deloitte Touche Tohmatsu Consultores Ltda. a limited company duly established in accordance with the laws of the federative republic of Brazil, with corporate taxpayer id number, CNPJ.MF, 02.189.924.0001.03, with its head office at Rua Alexandre Dumas 1981, zip code 04717.906, in the city of Sao Paulo, state of Sao Paulo, from here onwards Deloitte Consultores, for the preparation of the valuation report for the shares of Farmais, on the basis CONTD | Management | No Action | |||||||||
| CONT | CONTD of their respective economic value, from here onwards the valuation-report, to serve as the basis for the increase of the share capital of the-company as a result of the Farmais share merger, as defined below | Non-Voting | No Action | |||||||||
| C | To consider and vote regarding the valuation report referred to in item B above | Management | No Action | |||||||||
| D | To consider and vote regarding the protocol of share merger and instrument of justification, from here onwards the protocol, signed by the management of the company and of Farmais, which reflects the terms of the merger of the shares of Farmais into the company, from here onwards the Farmais share merger | Management | No Action | |||||||||
| E | To consider and vote regarding the substitution ratio of the shares issued by Farmais for new shares to be issued by the company | Management | No Action | |||||||||
| F | To vote regarding the Farmais share merger | Management | No Action | |||||||||
| G | To vote regarding the increase of the share capital of the company resulting from the Farmais share merger, as well as the consequent amendment of the main part of article 5 of its corporate bylaws | Management | No Action | |||||||||
| H | To vote regarding the amendment of article 6 of the corporate bylaws of the company, for the purpose of reflecting the new position of the authorized capital of the company, taking into account the capital increases carried out within the limits of the authorized capital approved at the meetings of the board of directors of the company held on March 28, June 21, July 6 and July 25, 2012, as well as the consequent amendment of the main part of article 5 of the corporate bylaws of the company because of the mentioned capital increases carried out within the limits of the authorized capital | Management | No Action | |||||||||
| I | The vote regarding the amendment of article 2 of the corporate bylaws of the company to reflect the opening of a new administrative office of the company | Management | No Action | |||||||||
| J | To approve the amendment and restatement of the corporate bylaws of the company, as a result of the resolutions above | Management | No Action | |||||||||
| K | To authorize the managers of the company to do all the acts that are necessary for the formalization of the Farmais share merger and of the other matters approved | Management | No Action | |||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE NO-T ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE A-LLOWED. THANK YOU | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ADDITIONAL COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 164,340 | 0 | 04-Sep-2012 | 04-Sep-2012 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 269,033 | 0 | 04-Sep-2012 | 04-Sep-2012 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 704,707 | 0 | 04-Sep-2012 | 04-Sep-2012 | |||||||||||
| VIASAT, INC. | ||||||||
| Security | 92552V100 | Meeting Type | Annual | |||||
| Ticker Symbol | VSAT | Meeting Date | 20-Sep-2012 | |||||
| ISIN | US92552V1008 | Agenda | 933672455 - Management | |||||
| Record Date | 23-Jul-2012 | Holding Recon Date | 23-Jul-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 19-Sep-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 ROBERT JOHNSON |
For | For | ||||||||||
| 2 JOHN STENBIT |
For | For | ||||||||||
| 2. | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS VIASAT’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 4. | APPROVAL OF AMENDMENT TO THE 1996 EQUITY PARTICIPATION PLAN | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 9,920 | 19,800 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 56,252 | 0 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 113,928 | 12,400 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| SEADRILL LIMITED | ||||||||
| Security | G7945E105 | Meeting Type | Annual | |||||
| Ticker Symbol | SDRL | Meeting Date | 21-Sep-2012 | |||||
| ISIN | BMG7945E1057 | Agenda | 933674980 - Management | |||||
| Record Date | 16-Jul-2012 | Holding Recon Date | 16-Jul-2012 | |||||
| City / Country | / Bermuda | Vote Deadline Date | 20-Sep-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | TO RE-ELECT JOHN FREDRIKSEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 2 | TO RE-ELECT TOR OLAV TROIM AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 3 | TO RE-ELECT KATE BLANKENSHIP AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 4 | TO RE-ELECT KATHRINE FREDRIKSEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 5 | TO RE-ELECT CARL ERIK STEEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 6 | PROPOSAL TO RE-APPOINT PRICEWATERHOUSECOOPERS, AS OF OSLO, NORWAY AS AUDITORS AND TO AUTHORIZE THE DIRECTORS TO DETERMINE THEIR REMUNERATION. | Management | For | For | ||||||||
| 7 | PROPOSAL TO APPROVE THE REMUNERATION OF THE COMPANY’S BOARD OF DIRECTORS OF A TOTAL AMOUNT OF FEES NOT TO EXCEED US$800,000 FOR THE YEAR ENDED DECEMBER 31, 2012. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,200 | 25,000 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,800 | 40,000 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 1,600 | 110,000 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| GOLAR LNG LIMITED | ||||||||
| Security | G9456A100 | Meeting Type | Annual | |||||
| Ticker Symbol | GLNG | Meeting Date | 21-Sep-2012 | |||||
| ISIN | BMG9456A1009 | Agenda | 933675007 - Management | |||||
| Record Date | 16-Jul-2012 | Holding Recon Date | 16-Jul-2012 | |||||
| City / Country | / Bermuda | Vote Deadline Date | 20-Sep-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | TO RE-ELECT JOHN FREDRIKSEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 2 | TO RE-ELECT KATE BLANKENSHIP AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 3 | TO RE-ELECT HANS PETTER AAS AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 4 | TO RE-ELECT KATHRINE FREDRIKSEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 5 | TO RE-ELECT TOR OLAV TROIM AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 6 | PROPOSAL TO RE-APPOINT PRICEWATERHOUSECOOPERS OF LONDON, ENGLAND AS AUDITORS AND TO AUTHORIZE THE DIRECTORS TO DETERMINE THEIR REMUNERATION. | Management | For | For | ||||||||
| 7 | PROPOSAL TO APPROVE THE REMUNERATION OF THE COMPANY’S BOARD OF DIRECTORS OF A TOTAL AMOUNT OF FEES NOT TO EXCEED US$550,000 FOR THE YEAR ENDED DECEMBER 31, 2012. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 3,352 | 85,800 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 3,919 | 134,400 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 15,132 | 368,000 | 08-Aug-2012 | 08-Aug-2012 | |||||||||||
| GOLAR LNG PARTNERS LP | ||||||||
| Security | Y2745C102 | Meeting Type | Annual | |||||
| Ticker Symbol | GMLP | Meeting Date | 21-Sep-2012 | |||||
| ISIN | MHY2745C1021 | Agenda | 933679992 - Management | |||||
| Record Date | 15-Aug-2012 | Holding Recon Date | 15-Aug-2012 | |||||
| City / Country | / Bermuda | Vote Deadline Date | 20-Sep-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | TO ELECT BART VELDHUIZEN AS A CLASS I DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2013 ANNUAL MEETING. | Management | For | For | ||||||||
| 2 | TO ELECT CARL ERIK STEEN AS A CLASS II DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2014 ANNUAL MEETING. | Management | For | For | ||||||||
| 3 | TO ELECT HANS PETTER AAS AS A CLASS III DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2015 ANNUAL MEETING. | Management | For | For | ||||||||
| 4 | TO ELECT PAUL LEAND JR., AS A CLASS III DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2015 ANNUAL MEETING. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,471 | 21,700 | 21-Aug-2012 | 21-Aug-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 39,524 | 0 | 21-Aug-2012 | 21-Aug-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 102,759 | 0 | 21-Aug-2012 | 23-Aug-2012 | |||||||||||
| CHINA TELECOM CORP LTD, BEIJING | ||||||||
| Security | Y1505D102 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 16-Oct-2012 | ||||||
| ISIN | CNE1000002V2 | Agenda | 704040500 - Management | |||||
| Record Date | 14-Sep-2012 | Holding Recon Date | 14-Sep-2012 | |||||
| City / Country | BEIJING / China | Vote Deadline Date | 05-Oct-2012 | |||||
| SEDOL(s) | 3226944 - 6559335 - B01XKW9 - B06KKC5 - B16PQ74 | Quick Code | 515617000 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR-ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/SEH K/2012/0830/LTN20120830609.pdf A-ND http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/0830/LTN20120830363.pd-f | Non-Voting | ||||||||||
| 1 | Ordinary resolution numbered 1 of the Notice of EGM dated 30 August 2012 (to approve the agreement in relation to the acquisition of certain assets and associated liabilities of the CDMA Network) | Management | For | For | ||||||||
| 2 | Ordinary resolution numbered 2 of the Notice of EGM dated 30 August 2012 (to approve the continuing connected transactions contemplated under the Engineering Framework Agreement and the proposed Annual Caps) | Management | For | For | ||||||||
| 3 | Ordinary resolution numbered 3 of the Notice of EGM dated 30 August 2012 (to approve the continuing connected transactions contemplated under the Ancillary Telecommunications Services Framework Agreement and the proposed Annual Caps) | Management | For | For | ||||||||
| 4 | Ordinary resolution numbered 4 of the Notice of EGM dated 30 August 2012 (to approve the election of Mr. Chen Liangxian as a Director of the Company) | Management | For | For | ||||||||
| 5 | Ordinary resolution numbered 5 of the Notice of EGM dated 30 August 2012 (to approve the election of Mr. Shao Chunbao as a Supervisor of the Company) | Management | For | For | ||||||||
| 6 | Ordinary resolution numbered 6 of the Notice of EGM dated 30 August 2012 (to approve the election of Mr. Hu Jing as a Supervisor of the Company) | Management | For | For | ||||||||
| 7.1 | Special resolution numbered 7.1 of the Notice of EGM dated 30 August 2012 (to approve the amendments to Article 13 of the articles of association of the Company) | Management | For | For | ||||||||
| 7.2 | Special resolution numbered 7.2 of the Notice of EGM dated 30 August 2012 (to approve the amendments to Article 118 of the articles of association of the Company) | Management | For | For | ||||||||
| 7.3 | Special resolution numbered 7.3 of the Notice of EGM dated 30 August 2012 (to authorise any Director of the Company to complete registration or fi ling of the amendments to the articles of association) | Management | For | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK. IF YOU HAVE A-LREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DEC-IDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 5,818,000 | 0 | 05-Sep-2012 | 11-Oct-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,372,000 | 0 | 05-Sep-2012 | 11-Oct-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,230,000 | 0 | 05-Sep-2012 | 11-Oct-2012 | |||||||||||
| IGUATEMI EMPRESA DE SHOPPING CENTERS SA, SAO PAULO | ||||||||
| Security | P5352J104 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 17-Oct-2012 | ||||||
| ISIN | BRIGTAACNOR5 | Agenda | 704073826 - Management | |||||
| Record Date | Holding Recon Date | 15-Oct-2012 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 09-Oct-2012 | |||||
| SEDOL(s) | B1NXMK6 - B1RCDX9 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| 1 | Split of the common shares issued by the Company, at a ratio of two shares to replace one share, such that the owner of each common share issued by the Company will come to the owner of two common shares, immediately after the split | Management | No Action | |||||||||
| 2 | The consequent amendment of the main part of article 5 of the corporate bylaws of the Company, to contemplate the new number of shares of the Company, which is 158,510,978 common shares, without a change to the share capital amount, as well as the amendment of paragraph 4 of the same article to adjust the authorized capital to the split, in the same proportion of 1 to 2, with it consequently increasing from 100 million shares to 200 million shares | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 16,000 | 0 | 04-Oct-2012 | 04-Oct-2012 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 26,100 | 0 | 04-Oct-2012 | 04-Oct-2012 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 68,000 | 0 | 04-Oct-2012 | 04-Oct-2012 | |||||||||||
| COMPANIA DE LOCACAO DAS AMERICAS | ||||||||
| Security | P2R93B103 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 19-Oct-2012 | ||||||
| ISIN | BRLCAMACNOR3 | Agenda | 704075919 - Management | |||||
| Record Date | Holding Recon Date | 12-Oct-2012 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 10-Oct-2012 | |||||
| SEDOL(s) | B82CQN4 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT A MEMBER MUST-INCLUDE THE NAME OF THE CANDIDATE TO BE ELECTED. IF INSTRUCTIONS TO VOTE ON-THIS ITEM IS RECEIVED WITHOUT A CANDIDATE’S NAME, YOUR VOTE WILL BE PROCESSED-IN FAVOR OR AGAINST OF THE DEFAULT COMPANY’S CANDIDATE. THANK YOU. | Non-Voting | ||||||||||
| 1 | Election of a member of the board of directors of the company because of a vacant position, to serve out the current term in office, in accordance with the terms of paragraph 2 of article 17 of the corporate bylaws of the company | Management | No Action | |||||||||
| 2 | Amendment of the wording of items 1.1 and 3.1 of the second stock option plan for shares issued by the company, which was approved on February 23, 2012, and amended on March 30, 2012, from here onwards plan ii, in order to include the employees of the company among the possible beneficiaries of plan ii | Management | No Action | |||||||||
| 3 | Consolidation of plan ii, as a result of the resolution contained in the previous item of the agenda | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 207,700 | 0 | 06-Oct-2012 | 06-Oct-2012 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 337,400 | 0 | 06-Oct-2012 | 06-Oct-2012 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 871,500 | 0 | 06-Oct-2012 | 06-Oct-2012 | |||||||||||
| SEAGATE TECHNOLOGY PLC | ||||||||
| Security | G7945M107 | Meeting Type | Annual | |||||
| Ticker Symbol | STX | Meeting Date | 24-Oct-2012 | |||||
| ISIN | IE00B58JVZ52 | Agenda | 933686618 - Management | |||||
| Record Date | 04-Sep-2012 | Holding Recon Date | 04-Sep-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 22-Oct-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: STEPHEN J. LUCZO | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: FRANK J. BIONDI, JR. | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: MICHAEL R. CANNON | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: MEI-WEI CHENG | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: WILLIAM T. COLEMAN | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: JAY L. GELDMACHER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: DR. SEH-WOONG JEONG | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: LYDIA M. MARSHALL | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: KRISTEN M. ONKEN | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: DR. CHONG SUP PARK | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: GREGORIO REYES | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: EDWARD J. ZANDER | Management | For | For | ||||||||
| 2. | TO APPROVE THE SEAGATE TECHNOLOGY PLC AMENDED AND RESTATED EMPLOYEE STOCK PURCHASE PLAN. | Management | For | For | ||||||||
| 3. | TO DETERMINE THE PRICE RANGE AT WHICH THE COMPANY CAN RE-ISSUE TREASURY SHARES OFF-MARKET. | Management | For | For | ||||||||
| 4. | TO AUTHORIZE HOLDING THE 2013 ANNUAL GENERAL MEETING OF SHAREHOLDERS OF THE COMPANY AT A LOCATION OUTSIDE OF IRELAND. | Management | For | For | ||||||||
| 5. | TO APPROVE, IN A NON-BINDING ADVISORY VOTE, THE COMPANY’S NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 6. | TO RATIFY, IN A NON-BINDING VOTE, THE APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT AUDITORS FOR FISCAL YEAR 2013 AND TO AUTHORIZE, IN A BINDING VOTE, THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS TO SET THE AUDITORS’ REMUNERATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 14,161 | 0 | 18-Sep-2012 | 18-Sep-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 23,082 | 0 | 18-Sep-2012 | 18-Sep-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 60,203 | 0 | 18-Sep-2012 | 18-Sep-2012 | |||||||||||
| CITIC SECURITIES CO LTD | ||||||||
| Security | Y1639N117 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 29-Oct-2012 | ||||||
| ISIN | CNE1000016V2 | Agenda | 704052656 - Management | |||||
| Record Date | 28-Sep-2012 | Holding Recon Date | 28-Sep-2012 | |||||
| City / Country | BEIJING / China | Vote Deadline Date | 23-Oct-2012 | |||||
| SEDOL(s) | B6SPB49 - B76VCF4 - B7WHGP4 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEH K/2012/0910/LTN20120910557.pdf-AND http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/1009/LTN20121009384.p-df | Non-Voting | ||||||||||
| 1 | To consider and approve the proposed amendments to the Articles of Association of the Company relating to profit distributions (details of which are set out in the circular of the Company dated 11 September 2012) and the management of the Company be authorized to do all such acts as appropriate to effect the amendments and to make relevant registrations and filings in accordance with the relevant requirements of the applicable laws, rules and regulations in the PRC and Hong Kong | Management | For | For | ||||||||
| 2 | To consider and approve the appointment of Mr. WEI Benhua as an independent non-executive Director of the Fifth Session of the Board of Directors of the Company | Management | For | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK. IF YOU HAVE A-LREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DEC-IDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 999,445 | 0 | 18-Sep-2012 | 24-Oct-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 235,184 | 0 | 18-Sep-2012 | 24-Oct-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 382,381 | 0 | 18-Sep-2012 | 24-Oct-2012 | |||||||||||
| NORTHEAST UTILITIES | ||||||||
| Security | 664397106 | Meeting Type | Annual | |||||
| Ticker Symbol | NU | Meeting Date | 31-Oct-2012 | |||||
| ISIN | US6643971061 | Agenda | 933688256 - Management | |||||
| Record Date | 04-Sep-2012 | Holding Recon Date | 04-Sep-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 30-Oct-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 RICHARD H. BOOTH |
For | For | ||||||||||
| 2 JOHN S. CLARKESON |
For | For | ||||||||||
| 3 COTTON M. CLEVELAND |
For | For | ||||||||||
| 4 SANFORD CLOUD, JR. |
For | For | ||||||||||
| 5 JAMES S. DISTASIO |
For | For | ||||||||||
| 6 FRANCIS A. DOYLE |
For | For | ||||||||||
| 7 CHARLES K. GIFFORD |
For | For | ||||||||||
| 8 PAUL A. LA CAMERA |
For | For | ||||||||||
| 9 KENNETH R. LEIBLER |
For | For | ||||||||||
| 10 THOMAS J. MAY |
For | For | ||||||||||
| 11 CHARLES W. SHIVERY |
For | For | ||||||||||
| 12 WILLIAM C. VAN FAASEN |
For | For | ||||||||||
| 13 FREDERICA M. WILLIAMS |
For | For | ||||||||||
| 14 DENNIS R. WRAASE |
For | For | ||||||||||
| 2. | TO CONSIDER AND APPROVE THE FOLLOWING ADVISORY (NON-BINDING) PROPOSAL: “RESOLVED, THAT THE COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS, AS DISCLOSED PURSUANT TO THE COMPENSATION DISCLOSURE RULES OF THE SECURITIES AND EXCHANGE COMMISSION, INCLUDING THE COMPENSATION DISCUSSION AND ANALYSIS, COMPENSATION TABLES AND ANY RELATED MATERIAL IS HEREBY APPROVED. | Management | For | For | ||||||||
| 3. | TO RE-APPROVE THE MATERIAL TERMS OF PERFORMANCE GOALS UNDER THE 2009 NORTHEAST UTILITIES INCENTIVE PLAN AS REQUIRED BY SECTION 162(M) OF THE INTERNAL REVENUE CODE. | Management | For | For | ||||||||
| 4. | TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2012. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 14,074 | 0 | 18-Sep-2012 | ||||||||||||
| 000260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 3,315 | 0 | 18-Sep-2012 | ||||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 5,398 | 0 | 18-Sep-2012 | ||||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 11,123 | 16,498 | 18-Sep-2012 | ||||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 18,135 | 30,000 | 18-Sep-2012 | ||||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 51,990 | 66,531 | 18-Sep-2012 | ||||||||||||
| AVNET,INC. | ||||||||
| Security | 053807103 | Meeting Type | Annual | |||||
| Ticker Symbol | AVT | Meeting Date | 02-Nov-2012 | |||||
| ISIN | US0538071038 | Agenda | 933688737 - Management | |||||
| Record Date | 04-Sep-2012 | Holding Recon Date | 04-Sep-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 01-Nov-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 J. VERONICA BIGGINS |
For | For | ||||||||||
| 2 MICHAEL A. BRADLEY |
For | For | ||||||||||
| 3 R. KERRY CLARK |
For | For | ||||||||||
| 4 RICHARD HAMADA |
For | For | ||||||||||
| 5 JAMES A. LAWRENCE |
For | For | ||||||||||
| 6 FRANK R. NOONAN |
For | For | ||||||||||
| 7 RAY M. ROBINSON |
For | For | ||||||||||
| 8 WILLIAM H. SCHUMANN III |
For | For | ||||||||||
| 9 WILLIAM P. SULLIVAN |
For | For | ||||||||||
| 2. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 3. | TO APPROVE THE AVNET, INC. EXECUTIVE INCENTIVE PLAN. | Management | For | For | ||||||||
| 4. | RATIFICATION OF APPOINTMENT OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 29, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 100 | 8,581 | 26-Sep-2012 | 26-Sep-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 100 | 48,169 | 26-Sep-2012 | 26-Sep-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 5,817 | 120,400 | 26-Sep-2012 | 26-Sep-2012 | |||||||||||
| KT CORPORATION, SONGNAM | ||||||||
| Security | Y49915104 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 23-Nov-2012 | ||||||
| ISIN | KR7030200000 | Agenda | 704063180 - Management | |||||
| Record Date | 08-Oct-2012 | Holding Recon Date | 08-Oct-2012 | |||||
| City / Country | SEOUL / Korea, Republic Of | Vote Deadline Date | 08-Nov-2012 | |||||
| SEDOL(s) | 6505316 - B3BHX90 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | Approval of split-off. Approval of physical division | Management | For | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN MEETING DATE FROM 20 NOV-12 TO 23 NOV 12. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN-THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK Y-OU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 43,981 | 0 | 26-Sep-2012 | 13-Nov-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 10,372 | 0 | 26-Sep-2012 | 13-Nov-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 16,836 | 0 | 26-Sep-2012 | 13-Nov-2012 | |||||||||||
| RAIA DROGASIL SA, SAO PAULO | ||||||||
| Security | P7987N104 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 30-Nov-2012 | ||||||
| ISIN | BRRADLACNOR0 | Agenda | 704162546 - Management | |||||
| Record Date | Holding Recon Date | 28-Nov-2012 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 21-Nov-2012 | |||||
| SEDOL(s) | B7FQV64 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT A MEMBER MUST-INCLUDE THE NAME OF THE CANDIDATE TO BE ELECTED. IF INSTRUCTIONS TO VOTE ON-THIS ITEM IS RECEIVED WITHOUT A CANDIDATE’S NAME, YOUR VOTE WILL BE PROCESSED-IN FAVOR OR AGAINST OF THE DEFAULT COMPANY’S CANDIDATE. THANK YOU. | Non-Voting | ||||||||||
| I | The approval of the protocol and justification of merger of Raia S.A., a share Corporation, with its head office in the city of Sao Paulo, state of Sao Paulo, at Praca Panamericana, number 57, Alto de Pinheiros, ZIP code 05461.000, with corporate taxpayer ID number, CNPJ.MF, 60.605.664.0001.06, with its founding documents on file with the Sao Paulo State Board of Trade under company ID number NIRE, 35.300.346.319, from here onwards Raia, into the Company, its controlling shareholder and sole shareholder, entered into between the officers of Raia and the Company, from here onwards the Protocol | Management | No Action | |||||||||
| II | The ratification of the appointment and hiring of Ernst and Young Terco Auditores Independentes S.S., a company with its head office in the city of Sao Paulo, state of Sao Paulo, at Avenida Juscelino Kubitscheck, number 1830, fifth and sixth floors, Itaim Bibi, ZIP code 04543.900, with corporate taxpayer ID number, CNPJ.MF, 61.366.936.0001.25, registered with the Regional Council of Accountants of the State of Sao Paulo | Management | No Action | |||||||||
| under number 2SP015.199.O.6 and with the Brazilian Securities Commission under number 4715, as the specialized company, from here onwards the Specialized Company, responsible for the valuation of the book equity of Raia and the preparation of its respective valuation report, from here onwards the Valuation Report | ||||||||||||
| III | The approval of the Valuation Report | Management | No Action | |||||||||
| IV | The approval of the proposal for the merger of Raia into the Company, its controlling shareholder and sole shareholder, with the consequent extinction of Raia and transfer of its equity to the Company, from here onwards the Merger | Management | No Action | |||||||||
| V | The ratification of all the acts done to this time by the managers of the Company for the purpose of implementing the Merger | Management | No Action | |||||||||
| VI | The authorization for the managers of the Company to take all of the measures that are necessary to formalized the Merger, including before the government agencies with jurisdiction | Management | No Action | |||||||||
| VII | The proposal for the election of a new full member and new alternate member to fill the vacant positions on the board of directors of the Company | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 13,488 | 0 | 14-Nov-2012 | 14-Nov-2012 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 21,907 | 0 | 14-Nov-2012 | 14-Nov-2012 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 57,248 | 0 | 14-Nov-2012 | 14-Nov-2012 | |||||||||||
| AUTOZONE, INC. | ||||||||
| Security | 053332102 | Meeting Type | Annual | |||||
| Ticker Symbol | AZO | Meeting Date | 12-Dec-2012 | |||||
| ISIN | US0533321024 | Agenda | 933700519 - Management | |||||
| Record Date | 15-Oct-2012 | Holding Recon Date | 15-Oct-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 11-Dec-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1.1 | ELECTION OF DIRECTOR: SUE E. GOVE | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: EARL G. GRAVES, JR. | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: ENDERSON GUIMARAES | Management | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: J.R. HYDE, III | Management | For | For | ||||||||
| 1.5 | ELECTION OF DIRECTOR: W. ANDREW MCKENNA | Management | For | For | ||||||||
| 1.6 | ELECTION OF DIRECTOR: GEORGE R. MRKONIC, JR. | Management | For | For | ||||||||
| 1.7 | ELECTION OF DIRECTOR: LUIS P. NIETO | Management | For | For | ||||||||
| 1.8 | ELECTION OF DIRECTOR: WILLIAM C. RHODES, III | Management | For | For | ||||||||
| 2. | RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2013 FISCAL YEAR. | Management | For | For | ||||||||
| 3. | APPROVAL OF ADVISORY PROPOSAL ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 200 | 3,500 | 26-Oct-2012 | 26-Oct-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,900 | 3,000 | 26-Oct-2012 | 26-Oct-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 1,500 | 14,000 | 26-Oct-2012 | 26-Oct-2012 | |||||||||||
| GOLAR LNG PARTNERS LP | ||||||||
| Security | Y2745C102 | Meeting Type | Annual | |||||
| Ticker Symbol | GMLP | Meeting Date | 13-Dec-2012 | |||||
| ISIN | MHY2745C1021 | Agenda | 933701307 - Management | |||||
| Record Date | 17-Oct-2012 | Holding Recon Date | 17-Oct-2012 | |||||
| City / Country | / Bermuda | Vote Deadline Date | 12-Dec-2012 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO ELECT BART VELDHUIZEN AS A CLASS I DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2013 ANNUAL MEETING OF LIMITED PARTNERS. | Management | For | For | ||||||||
| 2. | TO ELECT CARL ERIK STEEN AS A CLASS II DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2014 ANNUAL MEETING OF LIMITED PARTNERS. | Management | For | For | ||||||||
| 3. | TO ELECT HANS PETTER AAS AS A CLASS III DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2015 ANNUAL MEETING OF LIMITED PARTNERS. | Management | For | For | ||||||||
| 4. | TO ELECT PAUL LEAND JR., AS A CLASS III DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2015 ANNUAL MEETING OF LIMITED PARTNERS. | Management | For | For | ||||||||
| 5. | TO APPROVE THE ADOPTION OF AN AMENDMENT TO SECTION 13.9 OF THE PARTNERSHIP’S FIRST AMENDED AND RESTATED AGREEMENT OF LIMITED PARTNERSHIP TO REDUCE THE QUORUM REQUIREMENT FOR MEETINGS OF THE LIMITED PARTNERS FROM A MAJORITY TO 33 1/3% OF THE OUTSTANDING UNITS OF THE PARTNERSHIP. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,471 | 21,700 | 26-Oct-2012 | 26-Oct-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 39,524 | 0 | 26-Oct-2012 | 26-Oct-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 102,759 | 0 | 26-Oct-2012 | 08-Nov-2012 | |||||||||||
| AIR CHINA LTD | ||||||||
| Security | Y002A6104 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 20-Dec-2012 | ||||||
| ISIN | CNE1000001S0 | Agenda | 704193426 - Management | |||||
| Record Date | 20-Nov-2012 | Holding Recon Date | 20-Nov-2012 | |||||
| City / Country | BEIJING / China | Vote Deadline Date | 13-Dec-2012 | |||||
| SEDOL(s) | B04KNF1 - B04V2F7 - B04YG10 - B0584Q2 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 138347 DUE TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AN-D YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ ONLY-FOR ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY CARD ARE AVAILABLE BY CLICKING O-N THE URL LINKS: http://www.hkexnews.hk/listedco/listconews/SEH K/2012/1203/L-TN201212031663.pdf AND http://www.hkexnews.hk/listedco/listconews/SEH K/2012/12-03/LTN201212031645.pdf | Non-Voting | ||||||||||
| 1 | To consider and approve the proposed adoption of the shareholders’ return plan for the three years from 2012 to 2014 as set out in Appendix II of the circular despatched by the Company on 5 November 2012 | Management | For | For | ||||||||
| 2 | To consider and approve the proposed amendments to the articles of association of the Company as set out in Appendix I of the circular despatched by the Company on 5 November 2012 and the chairman and/or any person authorised by the chairman be authorised to adjust, at his or her discretion, the said amendments in accordance with the opinion of the relevant PRC authorities (the proposed amendment to the Articles of Association will be submitted to the relevant PRC authorities for approval and filing after being approved at the EGM) | Management | For | For | ||||||||
| 3 | To consider and approve the appointment of Deloitte Touche Tohmatsu CPA Ltd. as the Company’s internal control auditor for the year 2012 to audit the effectiveness of the Company’s internal control for the year 2012 and to issue the internal control audit report, and the authorisation to the management of the Company to determine the remuneration of Deloitte Touche Tohmatsu CPA Ltd. for conducting its internal control audit for the year 2012 | Management | For | For | ||||||||
| 4 | To consider and approve the resolutions concerning the entry into continuing connected transaction agreements for the three years from 1 January 2013 to 31 December 2015 and their respective annual caps | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 901,455 | 0 | 10-Dec-2012 | 17-Dec-2012 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 212,106 | 0 | 10-Dec-2012 | 17-Dec-2012 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 345,587 | 0 | 10-Dec-2012 | 17-Dec-2012 | |||||||||||
| INTERNATIONAL MEAL COMPANY HOLDINGS SA, SAO PAULO | ||||||||
| Security | P5789M100 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 20-Dec-2012 | ||||||
| ISIN | BRIMCHACNOR4 | Agenda | 704195747 - Management | |||||
| Record Date | Holding Recon Date | 18-Dec-2012 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 11-Dec-2012 | |||||
| SEDOL(s) | B57Q1F7 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| 1 | To vote regarding the transfer of the head office of the company from Avenida Brigadeiro Faria Lima, 2277, 18th floor, Jardim Paulistano, Sao Paulo, Sao Paulo, Zip Code 01452.000, to Rua Alexandre Dumas, 1711, Edificio Birmann, 2nd floor, Chacara Santo Antonio, Sao Paulo, Sao Paulo, Zip Code 04717.004 | Management | No Action | |||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE NO-T ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE A-LLOWED. THANK YOU | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ADDITIONAL COMMENT. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 38,400 | 0 | 07-Dec-2012 | 07-Dec-2012 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 62,600 | 0 | 07-Dec-2012 | 07-Dec-2012 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 163,000 | 0 | 07-Dec-2012 | 07-Dec-2012 | |||||||||||
| M. DIAS BRANCO SA INDUSTRIA E COMERCIO DE ALIMENTO | ||||||||
| Security | P64876108 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 28-Dec-2012 | ||||||
| ISIN | BRMDIAACNOR7 | Agenda | 704210498 - Management | |||||
| Record Date | Holding Recon Date | 26-Dec-2012 | ||||||
| City / Country | EUSEBIO / Brazil | Vote Deadline Date | 19-Dec-2012 | |||||
| SEDOL(s) | B1FRH89 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| I | To vote, in accordance with the terms of article 256 and the respective paragraphs of law number 6.404.76, regarding the purchase by the company of the business company Moinho Santa Lucia Ltda., a private law corporate entity, with corporate taxpayer id number, Cnpj, 03.286.775.0001.63, with its head office and venue in the municipality of Aquiraz, State Of Ceara, on Estrada Do Camara, no address number, Bairro Telha, and the founding documents of which are on file with the state of Ceara board of trade under business id registration number, Nire, to 23.200.825.576 | Management | No Action | |||||||||
| II | To discuss and vote regarding the proposal for the merger, into the company, of that same company, Minho Santa Lucia Ltda., and, in this regard, a. To discuss and vote regarding the protocol and justification of merger of Moinho Santa Lucia Ltda. Into the company, which was signed on December 11, 2012, by the managers of both of the companies, as well as of the acts and measures contemplated in it, b. To appoint the appraisers charged with the evaluation of the equity of the company to be merged into the company, c. To discuss and vote regarding the valuation report confirming the equity value of Moinho Santa Lucia Ltda. Prepared by the appraisers who are appointed, and d. To approve the merger of Moinho Santa Lucia Ltda. Into the company. Bearing in mind the amount of the transaction to be submitted to the general CONTD | Management | No Action | |||||||||
| CONT | CONTD meeting, which is the object of item I of this call notice, and in-accordance with the provision of paragraph 2 of article 256 of law 6.404.76,-the dissenting shareholders at the general meeting will have the right of-withdrawal provided for in article 137 of that same law, the shareholders who-were the owners of the shares that are the object of the reimbursement on may- 25, 2012, will have the right to withdraw, and the reimbursement amounts will-be BRL 17.68 per share, based on the last balance sheet, which is dated-December 31, 2011 | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 12,300 | 0 | 19-Dec-2012 | 19-Dec-2012 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 20,100 | 0 | 19-Dec-2012 | 19-Dec-2012 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 52,200 | 0 | 19-Dec-2012 | 19-Dec-2012 | |||||||||||
| MICRON TECHNOLOGY, INC. | ||||||||
| Security | 595112103 | Meeting Type | Annual | |||||
| Ticker Symbol | MU | Meeting Date | 22-Jan-2013 | |||||
| ISIN | US5951121038 | Agenda | 933717665 - Management | |||||
| Record Date | 23-Nov-2012 | Holding Recon Date | 23-Nov-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 18-Jan-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal |
Type |
Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: ROBERT L. BAILEY | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: PATRICK J. BYRNE | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: D. MARK DURCAN | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: MERCEDES JOHNSON | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: LAWRENCE N. MONDRY | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: ROBERT E. SWITZ | Management | For | For | ||||||||
| 2. | TO APPROVE THE AMENDED AND RESTATED 2004 EQUITY INCENTIVE PLAN AND INCREASE THE SHARES RESERVED FOR ISSUANCE THEREUNDER BY 30,000,000. | Management | For | For | ||||||||
| 3. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING AUGUST 29, 2013. | Management | For | For | ||||||||
| 4. | TO APPROVE A NON-BINDING RESOLUTION TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 233 | 375,600 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 263 | 610,700 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 270 | 1,593,700 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| SALLY BEAUTY HOLDINGS, INC. | ||||||||
| Security | 79546E104 | Meeting Type | Annual | |||||
| Ticker Symbol | SBH | Meeting Date | 30-Jan-2013 | |||||
| ISIN | US79546E1047 | Agenda | 933717944 - Management | |||||
| Record Date | 03-Dec-2012 | Holding Recon Date | 03-Dec-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 29-Jan-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 CHRISTIAN A. BRICKMAN |
For | For | ||||||||||
| 2 MARSHALL E. EISENBERG |
For | For | ||||||||||
| 3 JOHN A. MILLER |
For | For | ||||||||||
| 2. | RATIFICATION OF THE SELECTION OF KPMG LLP AS THE CORPORATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR 2013. | Management | For | For | ||||||||
| 3. | STOCKHOLDER PROPOSAL BY THE PENSION RESERVES INVESTMENT MANAGEMENT BOARD TO REPEAL CLASSIFIED BOARD. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,061 | 55,000 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 1,171 | 90,000 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 883 | 239,000 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| VISA INC. | ||||||||
| Security | 92826C839 | Meeting Type | Annual | |||||
| Ticker Symbol | V | Meeting Date | 30-Jan-2013 | |||||
| ISIN | US92826C8394 | Agenda | 933718895 - Management | |||||
| Record Date | 04-Dec-2012 | Holding Recon Date | 04-Dec-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 29-Jan-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: GARY P. COUGHLAN | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: MARY B. CRANSTON | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: FRANCISCO JAVIER FERNANDEZ-CARBAJAL | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: ROBERT W. MATSCHULLAT | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: CATHY E. MINEHAN | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: DAVID J. PANG | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JOSEPH W. SAUNDERS | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: CHARLES W. SCHARF | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: WILLIAM S. SHANAHAN | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: JOHN A. SWAINSON | Management | For | For | ||||||||
| 2. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013. | Management | For | For | ||||||||
| 4. | STOCKHOLDER PROPOSAL ON LOBBYING PRACTICES AND EXPENDITURES, IF PROPERLY PRESENTED. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,944 | 0 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 4,892 | 0 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 12,541 | 0 | 18-Dec-2012 | 18-Dec-2012 | |||||||||||
| GOLUB CAPITAL BDC, INC. | ||||||||
| Security | 38173M102 | Meeting Type | Annual | |||||
| Ticker Symbol | GBDC | Meeting Date | 05-Feb-2013 | |||||
| ISIN | US38173M1027 | Agenda | 933721068 - Management | |||||
| Record Date | 07-Dec-2012 | Holding Recon Date | 07-Dec-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 04-Feb-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 LAWRENCE E. GOLUB |
For | For | ||||||||||
| 2 WILLIAM M. WEBSTER IV |
For | For | ||||||||||
| 2. | TO RATIFY THE SELECTION OF MCGLADREY LLP TO SERVE AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 53,100 | 0 | 02-Jan-2013 | 02-Jan-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 87,100 | 0 | 02-Jan-2013 | 02-Jan-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 226,900 | 0 | 02-Jan-2013 | 02-Jan-2013 | |||||||||||
| MEDLEY CAPITAL CORPORATION | ||||||||
| Security | 58503F106 | Meeting Type | Annual | |||||
| Ticker Symbol | MCC | Meeting Date | 12-Feb-2013 | |||||
| ISIN | US58503F1066 | Agenda | 933722375 - Management | |||||
| Record Date | 18-Dec-2012 | Holding Recon Date | 18-Dec-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 11-Feb-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 SETH TAUBE | For | For | ||||||||||
| 2 ARTHUR S. AINSBERG | For | For | ||||||||||
| 2. | THE RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR MEDLEY CAPITAL CORPORATION FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE AUTHORIZATION OF MEDLEY CAPITAL CORPORATION, WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW MEDLEY CAPITAL CORPORATION’S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 34,088 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 55,928 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 146,188 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| PENNANTPARK INVESTMENT CORPORATION | ||||||||
| Security | 708062104 | Meeting Type | Annual | |||||
| Ticker Symbol | PNNT | Meeting Date | 26-Feb-2013 | |||||
| ISIN | US7080621045 | Agenda | 933720561 - Management | |||||
| Record Date | 11-Dec-2012 | Holding Recon Date | 11-Dec-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 25-Feb-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 ARTHUR H. PENN |
For | For | ||||||||||
| 2. | TO RATIFY THE SELECTION OF KPMG LLP TO SERVE AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 3,796 | 0 | 02-Jan-2013 | 02-Jan-2013 | |||||||||||
| PENNANTPARK INVESTMENT CORPORATION | ||||||||
| Security | 708062104 | Meeting Type | Special | |||||
| Ticker Symbol | PNNT | Meeting Date | 26-Feb-2013 | |||||
| ISIN | US7080621045 | Agenda | 933720840 - Management | |||||
| Record Date | 11-Dec-2012 | Holding Recon Date | 11-Dec-2012 | |||||
| City / Country | / United States | Vote Deadline Date | 25-Feb-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE FLEXIBILITY FOR THE COMPANY, WITH THE APPROVAL OF THE COMPANY’S BOARD OF DIRECTORS, TO SELL SHARES OF THE COMPANY’S COMMON STOCK, DURING THE NEXT 12 MONTHS, AT A PRICE BELOW THE THEN-CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN LIMITATIONS DESCRIBED IN THE JOINT PROXY STATEMENT. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 3,796 | 0 | 02-Jan-2013 | 02-Jan-2013 | |||||||||||
| QUALCOMM INCORPORATED | ||||||||
| Security | 747525103 | Meeting Type | Annual | |||||
| Ticker Symbol | QCOM | Meeting Date | 05-Mar-2013 | |||||
| ISIN | US7475251036 | Agenda | 933726397 - Management | |||||
| Record Date | 07-Jan-2013 | Holding Recon Date | 07-Jan-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 04-Mar-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: BARBARA T. ALEXANDER | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: DONALD G. CRUICKSHANK | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: RAYMOND V. DITTAMORE | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: SUSAN HOCKFIELD | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: THOMAS W. HORTON | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: PAUL E. JACOBS | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: SHERRY LANSING | Management | For | For | ||||||||
| 1H | ELECTION OF DIRECTOR: DUANE A. NELLES | Management | For | For | ||||||||
| 1I | ELECTION OF DIRECTOR: FRANCISCO ROS | Management | For | For | ||||||||
| 1J | ELECTION OF DIRECTOR: BRENT SCOWCROFT | Management | For | For | ||||||||
| 1K | ELECTION OF DIRECTOR: MARC I. STERN | Management | For | For | ||||||||
| 02 | TO APPROVE THE 2006 LONG-TERM INCENTIVE PLAN, AS AMENDED, WHICH INCLUDES AN INCREASE IN THE SHARE RESERVE BY 90,000,000 SHARES. | Management | For | For | ||||||||
| 03 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANTS FOR OUR FISCAL YEAR ENDING SEPTEMBER 29, 2013. | Management | For | For | ||||||||
| 04 | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 10,089 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 16,394 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 249 | 42,600 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| TRANSDIGM GROUP INCORPORATED | ||||||||
| Security | 893641100 | Meeting Type | Annual | |||||
| Ticker Symbol | TDG | Meeting Date | 06-Mar-2013 | |||||
| ISIN | US8936411003 | Agenda | 933729355 - Management | |||||
| Record Date | 11-Jan-2013 | Holding Recon Date | 11-Jan-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 05-Mar-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 MERVIN DUNN |
For | For | ||||||||||
| 2 MICHAEL GRAFF |
For | For | ||||||||||
| 2. | TO APPROVE (IN AN ADVISORY VOTE) COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
| 3. | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT ACCOUNTANTS FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013 | Management | For | For | ||||||||
| 4. | TO VOTE ON A STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING | Shareholder | Abstain | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 10,900 | 6,893 | 01-Feb-2013 | 01-Feb-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 19,500 | 11,476 | 01-Feb-2013 | 01-Feb-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 45,700 | 29,462 | 01-Feb-2013 | 01-Feb-2013 | |||||||||||
| GREEN MOUNTAIN COFFEE ROASTERS, INC. | ||||||||
| Security | 393122106 | Meeting Type | Annual | |||||
| Ticker Symbol | GMCR | Meeting Date | 07-Mar-2013 | |||||
| ISIN | US3931221069 | Agenda | 933726450 - Management | |||||
| Record Date | 11-Jan-2013 | Holding Recon Date | 11-Jan-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 06-Mar-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 BARBARA D. CARLINI |
For | For | ||||||||||
| 2 HINDA MILLER |
For | For | ||||||||||
| 3 NORMAN H. WESLEY |
For | For | ||||||||||
| 2 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 3 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED ACCOUNTANTS FOR FISCAL 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,182 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 11,300 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 198 | 17,700 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 159 | 21,319 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 142 | 85,100 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| NATIONAL FUEL GAS COMPANY | ||||||||
| Security | 636180101 | Meeting Type | Annual | |||||
| Ticker Symbol | NFG | Meeting Date | 07-Mar-2013 | |||||
| ISIN | US6361801011 | Agenda | 933726498 - Management | |||||
| Record Date | 07-Jan-2013 | Holding Recon Date | 07-Jan-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 06-Mar-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 DAVID C. CARROLL |
For | For | ||||||||||
| 2 CRAIG G. MATTHEWS |
For | For | ||||||||||
| 3 DAVID F. SMITH |
For | For | ||||||||||
| 2. | VOTE TO RATIFY PRICEWATERHOUSECOOPERS LLP AS OUR REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 200 | 15,800 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 26,000 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 67,900 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| CITIC SECURITIES CO LTD | ||||||||
| Security | Y1639N117 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 13-Mar-2013 | ||||||
| ISIN | CNE1000016V2 | Agenda | 704248702 - Management | |||||
| Record Date | 08-Feb-2013 | Holding Recon Date | 08-Feb-2013 | |||||
| City / Country | BEIJING / China | Vote Deadline Date | 06-Mar-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY ARE AVAILABLE BY CLICKING ON THE-URL LINKS: http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0125/LTN20130-125578.pdf, http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0125/LTN20130-125604.pdf AND http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0221/LTN20-130221529.pdf | Non-Voting | ||||||||||
| 1.1 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Issuing Entity, Size of Issuance and Method of Issuance That (a) the Company will be the issuing entity of the RMB Debt Financing Instruments. The RMB Debt Financing Instruments that will be approved by or filed with the CSRC and other relevant approval and filing authorities in accordance with the relevant regulations will be issued on an one- off or multiple issuances or multi-tranche issuances bases through public offerings in the PRC or through private placements to qualified investors in accordance with CSRC’s relevant regulations; (b) the Company or its wholly- owned offshore subsidiary(ies) will act as the issuing entity(ies) of the Offshore Debt Financing Instruments. The Offshore Debt Financing CONTD | Management | For | For | ||||||||
| CONT | CONTD Instruments will be issued on an one-off or multiple issuances or-multi-tranche issuances bases through public offerings or private placements-outside the PRC; (c) the sizes of the issuances of the Onshore and Offshore- Corporate Debt Financing Instruments will be no more than RMB 40 billion in-aggregate (including RMB 40 billion, calculated based on the aggregate-balance outstanding on the instruments issued and, in the case of an- instrument denominated in a foreign currency, based on the median price for-the exchange rate announced by the People’s Bank of China on the date of each-issuance), and shall be in compliance with the requirements prescribed in the-relevant laws and regulations on the maximum amount of the debt financing- instruments to be issued; and (d) authorisation be granted to the Board-(which may in CONTD | Non-Voting | ||||||||||
| CONT | CONTD turn authorise the Authorised Committee) to determine, at its sole-discretion, the issuing entity, the size of issue, the number of tranches,-the currency and the method of each issuance in accordance with the relevant-laws and regulations and the advices and suggestions of the regulatory-authorities, the Company’s actual needs of the funds and the then prevailing- market conditions in order to maximise the interest of the Company | Non-Voting | ||||||||||
| 1.2 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Types That (a) the RMB Debt Financing Instruments will include (as the case may be) ordinary bonds, subordinated bonds, subordinated debts, structured notes and the other types permitted to be issued by the regulatory authorities; (b) the Offshore Debt Financing Instruments will include (as the case may be) bonds, subordinated bonds and structured notes; (c) the terms of each of the subordinated debts or subordinated bonds to be issued under the issuances of the Onshore and Offshore Corporate Debt Financing Instruments shall not contain any provision for conversion into shares; and (d) authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to determine, at its sole discretionCONTD | Management | For | For | ||||||||
| CONT | CONTD , the types of the Onshore and Offshore Corporate Debt Financing-Instruments and the priorities for repayment of creditors in accordance with-the relevant regulations and the then prevailing market conditions | Non-Voting | ||||||||||
| 1.3 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Term That (a) the term of each of the Onshore and Offshore Corporate Debt Financing Instruments shall be no longer than 10 years (inclusive) with a single term or hybrid type with multiple terms; and (b) authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to determine, at its sole discretion, the term and size of each type of the Onshore and Offshore Corporate Debt Financing Instruments in accordance with the relevant regulations and the then prevailing market conditions | Management | For | For | ||||||||
| 1.4 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Interest Rate That authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to determine, at its sole discretion, together with the sponsor (or the lead underwriter, if any) the interest rate of each of the Onshore and Offshore Corporate Debt Financing Instruments to be issued as well as the method of calculation and payment thereof in accordance with the then prevailing domestic market conditions and the | Management | For | For | ||||||||
| relevant regulations in respect of the administration on the interest rate of the debt financing instruments (in the case and at the time of an issuance of the RMB Debt Financing Instruments) or in accordance with the then prevailing overseas market conditions (in the case and CONTD | ||||||||||||
| CONT | CONTD at the time of an issuance of the Offshore Debt Financing Instruments) | Non-Voting | ||||||||||
| 1.5 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Security and Other Arrangements That (a) authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to determine, at its sole discretion, the security arrangement for the issuances of the RMB Debt Financing Instruments in accordance with the laws; (b) depending on the structure of each issuance, the Company or its qualified wholly-owned offshore subsidiary(ies) will be the issuing entity(ies) of each of the Offshore Debt Financing Instruments to be issued, on the basis of a guarantee or a letter of support or a keep-well agreement to be issued by the Company or the aforesaid wholly- owned offshore subsidiary(ies) and/or a third party; and (c) authorisation be granted to the Board (CONTD | Management | For | For | ||||||||
| CONT | CONTD which may in turn authorise the Authorised Committee) to determine, at-its sole discretion, the arrangement relating to the provision of guarantee-or the issuance of the letter of support or keep-well agreement in accordance-with the structure of each issuance | Non-Voting | ||||||||||
| 1.6 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Use of Proceeds That (a) the proceeds raised from the issuances of the Onshore and Offshore Corporate Debt Financing Instruments will be used to meet the business operation needs of the Company, adjust the debt structure of the Company, supplement the working capital of the Company and/or make project investments; and (b) authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to determine, at its sole discretion, the use of proceeds in accordance with the Company’s demand for capital | Management | For | For | ||||||||
| 1.7 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Issuing Price That authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to determine, at its sole discretion, the issuing price of the Onshore and Offshore Corporate Debt Financing Instruments in accordance with the then prevailing market conditions at the time of each issuance and the relevant laws and regulations | Management | For | For | ||||||||
| 1.8 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Targets of Issue and the Private Placement Arrangements to the Shareholders That (a) the targets of the Onshore and Offshore Corporate Debt Financing Instruments shall be the onshore and offshore investors, respectively, which meet the conditions for subscription; (b) the Onshore and Offshore Corporate Debt Financing Instruments may be placed to the Shareholders; and (c) authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to determine, at its sole discretion, the specific private placement arrangements of each issuance (including whether to make such private placements and the placement proportion, etc.) based on the then prevailing domestic and overseas market conditions, CONTD | Management | For | For | ||||||||
| CONT | CONTD the specific matters involved in the offerings in accordance with the-laws | Non-Voting | ||||||||||
| 1.9 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Listing of the Debt Financing Instruments That authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to determine, at its sole discretion, the relevant matters involved in the application for the listing of the Onshore and Offshore Corporate Debt Financing Instruments in accordance with the actual conditions of the Company and the then prevailing conditions of the domestic and overseas markets | Management | For | For | ||||||||
| 1.10 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Safeguard Measures for Debt Repayment of the RMB Debt Financing Instruments That authorisation be granted to the Board (which may in turn authorise the Authorised Committee) in respect of the issuances of the RMB Debt Financing Instruments, to determine, at its sole discretion, that at least the following measures shall be taken by the Company when there is an anticipated or actual failure to pay the principal of the bonds or repay the interests of the bonds due: (1) ceasing to distribute dividends to the Shareholders; (2) suspending the implementation of any capital expenditure projects such as material external investments, acquisitions and mergers, etc.; (3) reducing or ceasing to pay the wages and bonus of CONTD | Management | For | For | ||||||||
| CONT | CONTD the directors and senior management personnel of the Company; (4) f-reezing the job t ransfer of the key responsibl e personnel | Non-Voting | ||||||||||
| 1.11 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Valid Period of the Resolutions Passed That the validity period of the resolutions passed at the EGM for the issuances of the Onshore and Offshore Corporate Debt Financing Instruments shall be 36 months calculated from the date of approval by the EGM, where the Board and/or its Authorised Committee | Management | For | For | ||||||||
| had, during the term of the authorisation, decided the issuance or partial issuance of the Onshore and Offshore Corporate Debt Financing Instruments, and provided the Company had also, during the term of the authorisation, obtained the approval, licence, filing or registration from the regulatory authorities on the issuances (if applicable), the Company may, during the validity period of such approval, licence, filing CONTD | ||||||||||||
| CONT | CONTD or registration/confirmation, complete the issuance or relevant partial-issuance of the Onshore and Offshore Corporate Debt Financing Instruments | Non-Voting | ||||||||||
| 1.12 | To consider and approve the proposed issuances of Onshore and Offshore Corporate Debt Financing Instruments: Authorisation for the Issuances of the Onshore and Offshore Corporate Debt Financing Instruments That to ensure effective coordination of the issuances of the Onshore and Offshore Corporate Debt Financing Instruments and specific matters in the issuance processes, authorisation be granted to the Board (which may in turn authorise the Authorised Committee) to deal with, at its sole discretion, all matters in connection with the issuances of the Onshore and Offshore Corporate Debt Financing Instruments in accordance with the relevant laws, regulations and opinions and advices from the regulatory authorities, within the framework and under the principles approved at the EGM, and based upon the general principle of CONTD | Management | For | For | ||||||||
| CONT | CONTD acting in the best interest of the Company, including but not limited-to: (a) formation and adjustment of specific plans for the issuances of the-Onshore and Offshore Corporate Debt Financing Instruments in accordance with-the applicable laws, regulations and relevant provisions from the regulatory- authorities as well as resolutions passed at the EGM for such purposes, and-based on the actual conditions of the Company and the relevant debt markets,-including, without limitation, determination of the suitable issuing-entity(ies), timing of issuance, specific amount and method of issuance,-terms of issuance, targets and duration, whether to issue on an one-off,-multiple issuances, multi-tranche issuances or multiple- category issuances-bases and, if on multiple issuances, multi-tranche issuances or-multiple- category CONTD | Non-Voting | ||||||||||
| CONT | CONTD issuances bases, the size and term of each issuance, tranche and-category, the ways in which the nominal value and interest rate are- determined, currency (including offshore RMB), pricing method, issuance-arrangements, letter of guarantee, letter of support or keep-well agreement-arrangement, rating arrangement, specific methods of application and-purchase, whether to incorporate terms of repurchase or redemption, specific-private placement arrangement, use of proceeds, registration, listing of the-Onshore and Offshore Corporate Debt | Non-Voting | ||||||||||
| Financing Instruments and place of-listing, measures to mitigate repayment risks, measures to ensure debt-repayment, etc. and all matters relating to the issuances of the Onshore and- Offshore Corporate Debt Financing Instruments; (b) determining and engaging-intermediary agency, signingCONTD | ||||||||||||
| CONT | CONTD , executing, amending and completing all agreements and documents-relating to the issuances of the Onshore and Offshore Corporate Debt-Financing Instruments, including, without limitation, the sponsorship-agreement, underwriting agreement, guarantee agreement, letter of support or-keep-well agreement, bond indenture, engagement letter with intermediary- agency, trust agreement, liquidation management agreement, registration and-custody agreement, listing agreement and other legal documents, etc., and-disclosing the relevant information in accordance with the relevant laws,-regulations and the listing rules of the exchanges on which the Company’s-securities are listed (including but not limited to the preliminary and final-offering memoranda of the debt financing instruments, and all announcements-and circulars, etc. CONTD | Non-Voting | ||||||||||
| CONT | CONTD in relation to the issuances of the Onshore and Offshore Corporate Debt-Financing Instruments); (c) select ing and engaging t rustee(s) and-clearance/ settlement manager(s) for the issuances of the Onshore and-Offshore Corporate Debt Financing Instruments, signing the trust agreement(s)-and clearance/settlement management agreement(s) and (if applicable)- formulating rules for meetings of the holders of the debt financing-instruments; (d) undertaking all applications and filings as well as listing-matters with regard to the issuances of the Onshore and Offshore Corporate-Debt Financing Instruments, including, without limitation, preparing,-revising and submitting relevant applications and filings of materials-relating to the issuances and listings of the Onshore and Offshore Corporate-Debt Financing Instruments and CONTD | Non-Voting | ||||||||||
| CONT | CONTD applications and filings of materials in respect of any guarantee,-letter of support or keep-well agreement to be provided by the Company, the-issuing entity(ies) and/or a third party, and signing the relevant-applications and filing documents and other legal documents (e) making-relevant adjustments to matters relating to the issuances of the Onshore and-Offshore Corporate Debt Financing Instruments according to the opinions and-changes in the policies of the regulatory authorities or the changes in-market conditions, or determining whether to continue with all or part of the-work in respect of the issuances of Onshore and Offshore Corporate Debt-Financing Instruments in accordance with the actual situation, unless-re-approval by the Shareholders at general meeting is otherwise required-pursuant to the relevant CONTD | Non-Voting | ||||||||||
| CONT | CONTD laws, regulations and the Articles of Association; and (f) dealing with-other matters in relation to the issuances of the Onshore and Offshore-Corporate Debt Financing Instruments; the above-mentioned authorisation be-valid and effective on and from the date of these resolutions to the date-when these resolutions cease to be effective or to the date when matters- authorised above have been completed (depending on whether the issuances of-the Onshore and Offshore Corporate Debt Financing Instruments have been-completely issued) | Non-Voting | ||||||||||
| 2 | To consider and approve the potential Connected/Related Transactions involved in the issuances of Onshore and Offshore Corporate Debt Financing Instruments: That 2.1 the Company may, within the range of the Onshore and Offshore Corporate Debt Financing Instruments and the term of the authorisation as set out in the resolution number 1 above, privately place on an one-off, multiple issuances or multitranche issuances bases the Onshore and Offshore Corporate Debt Financing Instruments in an aggregate amount of no more than RMB 15 billion (including RMB15 billion, calculated based on the aggregate balance outstanding on the instruments issued and, in the case of an instrument denominated in a foreign currency, based on the median price for the exchange rate announced by the People’s Bank of China on the date of each CONTD | Management | For | For | ||||||||
| CONT | CONTD issuance) to its connected/related party(ies), including but not-limited to Shareholder(s) which hold(s) 5% or more of the total issued share-capital of the Company, the Directors, supervisors and senior management- members of the Company who are also Shareholders; 2.2 authorisation be-granted to the management of the Company to determine, at its sole-discretion, specific matters concerning the Connected/Related Transactions;-which shall be conducted in accordance with the applicable general market-practice (if any) and on normal commercial terms; and the interest rate,-term, price and other specific conditions of each issuance of the Onshore and-Offshore Corporate Debt Financing Instruments involved in the- Connected/Related Transactions will be determined in accordance with, among-other things, the relevant PRC lawsCONTD | Non-Voting | ||||||||||
| CONT | CONTD , regulations, market conditions and the capital supply and demand-relationships at the time of each issuance, and based on the market interest-rate, price, term, market fee rates (if any) as may be then applicable to-independent counterparties of the Onshore and Offshore Corporate Debt-Financing Instruments of such type as well as in accordance with the fair-market value after consultation; 2.3 authorisation be granted to the-management of the Company, at its sole discretion, to enter into the-subscription agreement(s) and other relevant agreement(s) | Non-Voting | ||||||||||
| and document(s)-with the connected/related party(ies) intending to subscribe for the Onshore- and Offshore Corporate Debt Financing Instruments to be issued by the-Company, and complete the relevant formalities; and 2.4 the Company be-authorised to, after entering into CONTD | ||||||||||||
| CONT | CONTD the subscription agreement(s) and other relevant agreement(s) and-document(s) with the connected/related party(ies), release connected/related-transaction announcement(s) in a timely manner to disclose information- concerning the Connected/Related Transactions in accordance with the listing-rules of the exchanges on which the securities of the Company are listed | Non-Voting | ||||||||||
| 3 | To consider and approve the establishment of wholly-owned offshore subsidiaries: That 3.1 the Company be authorised to establish a direct wholly-owned offshore subsidiary in Hong Kong or other appropriate offshore jurisdiction, which can be used as the issuing entity of the Offshore Debt Financing Instruments; 3.2 the registered capital of the proposed direct wholly-owned offshore subsidiary be capped at no more than USD 10,000 or equivalent amounts in other currency and the name of the proposed direct wholly-owned offshore subsidiary be confirmed (subject to the final approval and registration by competent approval and registration authorities); 3.3 the issuing entity of the Offshore Debt Financing Instruments can also be the wholly- owned subsidiaries of the aforesaid direct wholly- owned offshore subsidiary (i.e. the CONTD | Management | For | For | ||||||||
| CONT | CONTD indirect wholly-owned offshore subsidiaries of the Company) and the- management of the Company be authorised to determine, at its sole discretion,-the issuing structure based on the actual circumstances; and 3.4 the-management of the Company be authorised to deal with all matters relating to-the establishment of the proposed direct or indirect wholly-owned offshore-subsidiary(ies) in accordance with the applicable rules, including but not-limited to going through domestic and overseas formalities for approval,-filing and registration | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ADDITIONAL URL. IF YOU H-AVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YO-U DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 3,408,445 | 0 | 28-Jan-2013 | 08-Mar-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 803,684 | 0 | 28-Jan-2013 | 08-Mar-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 1,310,881 | 0 | 28-Jan-2013 | 08-Mar-2013 | |||||||||||
| INDUSTRIAL AND COMMERCIAL BANK OF CHINA LTD, BEIJI | ||||||||
| Security | Y3990B112 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 20-Mar-2013 | ||||||
| ISIN | CNE1000003G1 | Agenda | 704249425 - Management | |||||
| Record Date | 15-Feb-2013 | Holding Recon Date | 15-Feb-2013 | |||||
| City / Country | BEIJING / China | Vote Deadline Date | 13-Mar-2013 | |||||
| SEDOL(s) | B1G1QD8 - B1GD009 - B1GT900 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL- LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0128/LTN20130128352.pdf-AND- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0128/LTN20130128343.pdf | Non-Voting | ||||||||||
| 1 | To consider and approve the election of Sir Malcolm Christopher McCarthy as an independent non-executive director of the Bank | Management | For | For | ||||||||
| 2 | To consider and approve the election of Mr. Kenneth Patrick Chung as an independent non- executive director of the Bank | Management | For | For | ||||||||
| 3 | To consider and approve the Bank’s 2013 fixed assets investment budget | Management | For | For | ||||||||
| 4 | To approve the issue of eligible tier-2 capital instruments on the terms and conditions as set out in the circular dated 29 January 2013 | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 10,295,000 | 0 | 01-Feb-2013 | 15-Mar-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,429,000 | 0 | 01-Feb-2013 | 15-Mar-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 3,949,000 | 0 | 01-Feb-2013 | 15-Mar-2013 | |||||||||||
| BANK OF CHINA LTD, BEIJING | ||||||||
| Security | Y0698A107 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 26-Mar-2013 | ||||||
| ISIN | CNE1000001Z5 | Agenda | 704265114 - Management | |||||
| Record Date | 22-Feb-2013 | Holding Recon Date | 22-Feb-2013 | |||||
| City / Country | BEIJING / China | Vote Deadline Date | 19-Mar-2013 | |||||
| SEDOL(s) | B154564 - B15ZP90 - B15ZV58 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL- LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0207/LTN20130207604.pdf-AND- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0207/LTN20130207602.pdf | Non-Voting | ||||||||||
| 1 | To consider and approve the proposal on the election of Mr. Wang Shiqiang as Non-executive Director of the Bank | Management | For | For | ||||||||
| 2 | To consider and approve the proposal on downward adjustment to the conversion price of the A share convertible bonds of the Bank | Management | For | For | ||||||||
| 3 | To consider and approve the proposal in relation to the amendments of the Articles of Association of the Bank | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 16,320,000 | 0 | 01-Apr-2013 | 21-Mar-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 3,850,000 | 0 | 01-Apr-2013 | 21-Mar-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 6,260,000 | 0 | 01-Apr-2013 | 21-Mar-2013 | |||||||||||
| CANON INC. | ||||||||
| Security | J05124144 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 28-Mar-2013 | ||||||
| ISIN | JP3242800005 | Agenda | 704289962 - Management | |||||
| Record Date | 31-Dec-2012 | Holding Recon Date | 31-Dec-2012 | |||||
| City / Country | TOKYO / Japan | Vote Deadline Date | 20-Mar-2013 | |||||
| SEDOL(s) | 5485271 - 6172323 - B021CR1 - B16MTZ4 | Quick Code | 77510 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please reference meeting materials. | Non-Voting | |||||||||||
| 1 | Approve Appropriation of Surplus | Management | For | For | ||||||||
| 2.1 | Appoint a Director | Management | For | For | ||||||||
| 2.2 | Appoint a Director | Management | For | For | ||||||||
| 2.3 | Appoint a Director | Management | For | For | ||||||||
| 2.4 | Appoint a Director | Management | For | For | ||||||||
| 2.5 | Appoint a Director | Management | For | For | ||||||||
| 2.6 | Appoint a Director | Management | For | For | ||||||||
| 2.7 | Appoint a Director | Management | For | For | ||||||||
| 2.8 | Appoint a Director | Management | For | For | ||||||||
| 2.9 | Appoint a Director | Management | For | For | ||||||||
| 2.10 | Appoint a Director | Management | For | For | ||||||||
| 2.11 | Appoint a Director | Management | For | For | ||||||||
| 2.12 | Appoint a Director | Management | For | For | ||||||||
| 2.13 | Appoint a Director | Management | For | For | ||||||||
| 2.14 | Appoint a Director | Management | For | For | ||||||||
| 2.15 | Appoint a Director | Management | For | For | ||||||||
| 2.16 | Appoint a Director | Management | For | For | ||||||||
| 2.17 | Appoint a Director | Management | For | For | ||||||||
| 2.18 | Appoint a Director | Management | For | For | ||||||||
| 2.19 | Appoint a Director | Management | For | For | ||||||||
| 2.20 | Appoint a Director | Management | For | For | ||||||||
| 2.21 | Appoint a Director | Management | For | For | ||||||||
| 3 | Approve Payment of Accrued Benefits associated with Abolition of Retirement Benefit System for Current Directors | Management | For | For | ||||||||
| 4 | Amend the Compensation to be received by Directors | Management | For | For | ||||||||
| 5 | Approve Payment of Bonuses to Directors | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 52,800 | 0 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 12,500 | 0 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 20,300 | 0 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| MEDLEY CAPITAL CORPORATION | ||||||||
| Security | 58503F106 | Meeting Type | Annual | |||||
| Ticker Symbol | MCC | Meeting Date | 04-Apr-2013 | |||||
| ISIN | US58503F1066 | Agenda | 933726905 - Management | |||||
| Record Date | 14-Jan-2013 | Holding Recon Date | 14-Jan-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 03-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 SETH TAUBE |
For | For | ||||||||||
| 2 ARTHUR S. AINSBERG |
For | For | ||||||||||
| 2. | THE RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR MEDLEY CAPITAL CORPORATION FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE AUTHORIZATION OF MEDLEY CAPITAL CORPORATION, WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW MEDLEY CAPITAL CORPORATION’S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 34,088 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 55,928 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 146,188 | 0 | 23-Jan-2013 | 23-Jan-2013 | |||||||||||
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | ||||||||
| Security | 806857108 | Meeting Type | Annual | |||||
| Ticker Symbol | SLB | Meeting Date | 10-Apr-2013 | |||||
| ISIN | AN8068571086 | Agenda | 933739382 - Management | |||||
| Record Date | 20-Feb-2013 | Holding Recon Date | 20-Feb-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 09-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: PETER L.S. CURRIE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: TONY ISAAC | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: K. VAMAN KAMATH | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: PAAL KIBSGAARD | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: NIKOLAY KUDRYAVTSEV | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: ADRIAN LAJOUS | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: MICHAEL E. MARKS | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: LUBNA S. OLAYAN | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: L. RAFAEL REIF | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: TORE I. SANDVOLD | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: HENRI SEYDOUX | Management | For | For | ||||||||
| 2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 3. | TO APPROVE THE COMPANY’S 2012 FINANCIAL STATEMENTS AND DECLARATIONS OF DIVIDENDS. | Management | For | For | ||||||||
| 4. | TO APPROVE THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| 5. | TO APPROVE THE ADOPTION OF THE 2013 SCHLUMBERGER OMNIBUS INCENTIVE PLAN. | Management | For | For | ||||||||
| 6. | TO APPROVE THE ADOPTION OF AN AMENDMENT AND RESTATEMENT OF THE SCHLUMBERGER DISCOUNT STOCK PURCHASE PLAN. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,000 | 5,800 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 12,600 | 0 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 32,800 | 0 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| ELAN CORPORATION, PLC | ||||||||
| Security | 284131208 | Meeting Type | Special | |||||
| Ticker Symbol | ELN | Meeting Date | 12-Apr-2013 | |||||
| ISIN | US2841312083 | Agenda | 933757594 - Management | |||||
| Record Date | 18-Mar-2013 | Holding Recon Date | 18-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 11-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO AUTHORIZE THE COMPANY TO MAKE MARKET PURCHASES OF ITS ORDINARY SHARES PURSUANT TO THE TENDER OFFER. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 128,472 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 235,915 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 543,397 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||
| OWENS CORNING | ||||||||
| Security | 690742101 | Meeting Type | Annual | |||||
| Ticker Symbol | OC | Meeting Date | 18-Apr-2013 | |||||
| ISIN | US6907421019 | Agenda | 933744612 - Management | |||||
| Record Date | 26-Feb-2013 | Holding Recon Date | 26-Feb-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 17-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 | RALPH F. HAKE | For | For | |||||||||
| 2 | J. BRIAN FERGUSON | For | For | |||||||||
| 3 | F. PHILIP HANDY | For | For | |||||||||
| 4 | MICHAEL H. THAMAN | For | For | |||||||||
| 2. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE THE EMPLOYEE STOCK PURCHASE PLAN. | Management | For | For | ||||||||
| 4. | TO APPROVE THE 2013 STOCK PLAN. | Management | For | For | ||||||||
| 5. | TO APPROVE, ON AN ADVISORY BASIS, NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 35,012 | 13,300 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 17,207 | 64,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 134,589 | 70,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| EBAY INC. | ||||||||
| Security | 278642103 | Meeting Type | Annual | |||||
| Ticker Symbol | EBAY | Meeting Date | 18-Apr-2013 | |||||
| ISIN | US2786421030 | Agenda | 933756934 - Management | |||||
| Record Date | 13-Mar-2013 | Holding Recon Date | 13-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 17-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: DAVID M. MOFFETT | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: RICHARD T. SCHLOSBERG, III | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: THOMAS J. TIERNEY | Management | For | For | ||||||||
| 2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 3. | STOCKHOLDER PROPOSAL REGARDING CORPORATE LOBBYING DISCLOSURE. | Shareholder | Against | For | ||||||||
| 4. | STOCKHOLDER PROPOSAL REGARDING PRIVACY AND DATA SECURITY. | Shareholder | Against | For | ||||||||
| 5. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT AUDITORS FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 500 | 41,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 14,700 | 58,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 7,600 | 168,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| M. DIAS BRANCO SA INDUSTRIA E COMERCIO DE ALIMENTO | ||||||||
| Security | P64876108 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 19-Apr-2013 | ||||||
| ISIN | BRMDIAACNOR7 | Agenda | 704340532 - Management | |||||
| Record Date | Holding Recon Date | 17-Apr-2013 | ||||||
| City / Country | EUSEBIO / Brazil | Vote Deadline Date | 10-Apr-2013 | |||||
| SEDOL(s) | B1FRH89 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT A MEMBER MUST-INCLUDE THE NAME OF THE CANDIDATE TO BE ELECTED. IF INSTRUCTIONS TO VOTE ON-THIS ITEM IS RECEIVED WITHOUT A CANDIDATE’S NAME, YOUR VOTE WILL BE PROCESSED-IN FAVOR OR AGAINST OF THE DEFAULT COMPANY’S CANDIDATE. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| I | To approve, upon the board of directors annual report, financial statements, accompanied by independent auditors report related to fiscal year ended on December 31, 2012 | Management | No Action | |||||||||
| II | Deliberate on the allocation of net profit resulted from 2012 fiscal year, accordance with a proposal from the board of directors at meeting held on March 04, 2012 | Management | No Action | |||||||||
| III | To elect and instate the members of the board of directors | Management | No Action | |||||||||
| IV | To establish the aggregate annual remuneration of the management of the company | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 12,300 | 0 | 22-Mar-2013 | 22-Mar-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 20,100 | 0 | 22-Mar-2013 | 22-Mar-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 52,200 | 0 | 22-Mar-2013 | 22-Mar-2013 | |||||||||||
| M. DIAS BRANCO SA INDUSTRIA E COMERCIO DE ALIMENTO | ||||||||
| Security | 438516106 | Meeting Type | Annual | |||||
| Ticker Symbol | HON | Meeting Date | 22-Apr-2013 | |||||
| ISIN | US4385161066 | Agenda | 933739368 - Management | |||||
| Record Date | 22-Feb-2013 | Holding Recon Date | 22-Feb-2013 | |||||
| City / Country | /United States | Vote Deadline Date | 19-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: GORDON M. BETHUNE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: KEVIN BURKE | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JAIME CHICO PARDO | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: DAVID M. COTE | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: D. SCOTT DAVIS | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: LINNET F. DEILY | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: JUDD GREGG | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: CLIVE HOLLICK | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: GRACE D. LIEBLEIN | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: GEORGE PAZ | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: BRADLEY T. SHEARES | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: ROBIN L. WASHINGTON | Management | For | For | ||||||||
| 2. | APPROVAL OF INDEPENDENT ACCOUNTANTS. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | INDEPENDENT BOARD CHAIRMAN. | Shareholder | Against | For | ||||||||
| 5. | RIGHT TO ACT BY WRITTEN CONSENT. | Shareholder | Against | For | ||||||||
| 6. | ELIMINATE ACCELERATED VESTING IN A CHANGE IN CONTROL. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,000 | 38,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 300 | 75,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 200 | 164,800 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| ASCOTT RESIDENCE TRUST | ||||||||
| Security | Y0261Y102 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 23-Apr-2013 | ||||||
| ISIN | SG1T08929278 | Agenda | 704351737 - Management | |||||
| Record Date | Holding Recon Date | 19-Apr-2013 | ||||||
| City / Country | SINGAPORE / Singapore | Vote Deadline Date | 17-Apr-2013 | |||||
| SEDOL(s) | B10SSL7 - B12TY87 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | To receive and adopt the Report of DBS Trustee Limited, as trustee of Ascott Reit (the “Trustee”), the Statement by Ascott Residence Trust Management Limited, as manager of Ascott Reit (the “Manager”) and the Audited Financial Statements of Ascott Reit for the year ended 31 December 2012 and the Auditors’ Report thereon | Management | For | For | ||||||||
| 2 | To re-appoint Messrs KPMG LLP as the Auditors of Ascott Reit and to hold office until the conclusion of the next AGM of Ascott Reit and to authorise the Manager to fix their remuneration | Management | For | For | ||||||||
| 3 | That authority be and is hereby given to the Manager to: (a) (i) issue units in Ascott Reit (“Units”) whether by way of rights, bonus or otherwise; and/or (ii) make or grant offers, agreements or options (collectively, “Instruments”) that might or would require Units to be issued, including but not limited to the creation and issue of (as well as adjustments to) securities, warrants, debentures or other instruments convertible into Units, at any time and upon such terms and conditions and for such purposes and to such persons as the Manager may in its absolute discretion deem fit; and (b) issue Units in pursuance of any Instrument made or granted by the Manager while this Resolution was in force (notwithstanding that the authority conferred by this Resolution may have ceased to be in force at the time such Units are CONTD | Management | For | For | ||||||||
| CONT | CONTD issued), provided that: (1) the aggregate number of Units to be issued-pursuant to this Resolution (including Units to be issued in pursuance of-Instruments made or granted pursuant to this Resolution) shall not exceed-fifty per cent. (50%) of the total number of issued Units (as calculated in-accordance with sub- paragraph (2) below), of which the aggregate number of-Units to be issued other than on a pro rata basis to Unitholders (including-Units to be issued in pursuance of Instruments made or granted pursuant to-this Resolution) shall not exceed twenty per cent. (20%) of the total number-of issued Units (as calculated in accordance with sub-paragraph (2) below);-(2) subject to such manner of calculation as may be prescribed by the-Singapore Exchange Securities Trading Limited (the “SGX-ST”) for the purpose- of CONTD | Non-Voting | ||||||||||
| CONT | CONTD determining the aggregate number of Units that may be issued under-sub-paragraph (1) above, the total number of issued Units shall be based on-the total number of issued Units at the time this Resolution is passed, after-adjusting for: (a) any new Units arising from the conversion or exercise of-any Instruments which are outstanding at the time this Resolution is passed;-and (b) any subsequent bonus issue, consolidation or subdivision of Units;-(3) in exercising the authority conferred by this Resolution, the Manager-shall comply with the provisions of the Listing Manual of the SGX-ST for the-time being in force (unless such compliance has been waived by the SGX-ST)- and the trust deed constituting Ascott Reit (as amended, varied or-supplemented from time to time) (the “Trust Deed”) for the time being in- force CONTD | Non-Voting | ||||||||||
| CONT | CONTD (unless otherwise exempted or waived by the Monetary Authority of-Singapore); (4) (unless revoked or varied by the Unitholders in a general-meeting) the authority conferred by this Resolution shall continue in force-until (a) the conclusion of the next AGM of Ascott Reit or (b) the date by-which the next AGM of Ascott Reit is required by applicable regulations to be-held, whichever is the earlier; (5) where the terms of the issue of the-Instruments provide for adjustment to the number of Instruments or Units into-which the Instruments may be converted, in the event of rights, bonus or-other capitalisation issues or any other events, the Manager is authorised to-issue additional Instruments or Units pursuant to such adjustment- notwithstanding that the authority conferred by this Resolution may have-ceased to be in CONTD | Non-Voting | ||||||||||
| CONT | CONTD force at the time the Instruments or Units are issued; and (6) the-Manager and the Trustee be and are hereby severally authorised to complete-and do all such acts and things (including executing all such documents as-may be required) as the Manager or, as the case may be, the Trustee may-consider expedient or necessary or in the interest of Ascott Reit to give- effect to the authority conferred by this Resolution | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,342,253 | 0 | 30-Apr-2013 | 18-Apr-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 549,077 | 0 | 30-Apr-2013 | 18-Apr-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 899,766 | 0 | 30-Apr-2013 | 18-Apr-2013 | |||||||||||
| CENTENE CORPORATION | ||||||||
| Security | 15135B101 | Meeting Type | Annual | |||||
| Ticker Symbol | CNC | Meeting Date | 23-Apr-2013 | |||||
| ISIN | US15135B1017 | Agenda | 933738859 - Management | |||||
| Record Date | 22-Feb-2013 | Holding Recon Date | 22-Feb-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 ORLANDO AYALA |
For | For | ||||||||||
| 2 PAMELA A. JOSEPH |
For | For | ||||||||||
| 3 TOMMY G. THOMPSON |
For | For | ||||||||||
| 2. | RATIFICATION OF APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013 | Management | For | For | ||||||||
| 3. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 16,600 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 29,800 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 70,800 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| WELLS FARGO & COMPANY | ||||||||
| Security | 949746101 | Meeting Type | Annual | |||||
| Ticker Symbol | WFC | Meeting Date | 23-Apr-2013 | |||||
| ISIN | US9497461015 | Agenda | 933743696 - Management | |||||
| Record Date | 26-Feb-2013 | Holding Recon Date | 26-Feb-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A) | ELECTION OF DIRECTOR: JOHN D. BAKER II | Management | For | For | ||||||||
| 1B) | ELECTION OF DIRECTOR: ELAINE L. CHAO | Management | For | For | ||||||||
| 1C) | ELECTION OF DIRECTOR: JOHN S. CHEN | Management | For | For | ||||||||
| 1D) | ELECTION OF DIRECTOR: LLOYD H. DEAN | Management | For | For | ||||||||
| 1E) | ELECTION OF DIRECTOR: SUSAN E. ENGEL | Management | For | For | ||||||||
| 1F) | ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR. | Management | For | For | ||||||||
| 1G) | ELECTION OF DIRECTOR: DONALD M. JAMES | Management | For | For | ||||||||
| 1H) | ELECTION OF DIRECTOR: CYNTHIA H. MILLIGAN | Management | For | For | ||||||||
| 1I) | ELECTION OF DIRECTOR: FEDERICO F. PENA | Management | For | For | ||||||||
| 1J) | ELECTION OF DIRECTOR: HOWARD V. RICHARDSON | Management | For | For | ||||||||
| 1K) | ELECTION OF DIRECTOR: JUDITH M. RUNSTAD | Management | For | For | ||||||||
| 1L) | ELECTION OF DIRECTOR: STEPHEN W. SANGER | Management | For | For | ||||||||
| 1M) | ELECTION OF DIRECTOR: JOHN G. STUMPF | Management | For | For | ||||||||
| 1N) | ELECTION OF DIRECTOR: SUSAN G. SWENSON | Management | For | For | ||||||||
| 2. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 3. | PROPOSAL TO APPROVE THE COMPANY’S AMENDED AND RESTATED LONG-TERM INCENTIVE COMPENSATION PLAN. | Management | For | For | ||||||||
| 4. | PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 5. | STOCKHOLDER PROPOSAL TO ADOPT A POLICY REQUIRING AN INDEPENDENT CHAIRMAN. | Shareholder | Against | For | ||||||||
| 6. | STOCKHOLDER PROPOSAL TO PROVIDE A REPORT ON THE COMPANY’S LOBBYING POLICIES AND PRACTICES. | Shareholder | Against | For | ||||||||
| 7. | STOCKHOLDER PROPOSAL TO REVIEW AND REPORT ON INTERNAL CONTROLS OVER THE COMPANY’S MORTGAGE SERVICING AND FORECLOSURE PRACTICES. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 178 | 41,500 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 182 | 67,500 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 428 | 176,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| NOBLE ENERGY, INC. | ||||||||
| Security | 655044105 | Meeting Type | Annual | |||||
| Ticker Symbol | NBL | Meeting Date | 23-Apr-2013 | |||||
| ISIN | US6550441058 | Agenda | 933772914 - Management | |||||
| Record Date | 06-Mar-2013 | Holding Recon Date | 06-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: JEFFREY L. BERENSON | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: MICHAEL A. CAWLEY | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: EDWARD F. COX | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: CHARLES D. DAVIDSON | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: THOMAS J. EDELMAN | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: ERIC P. GRUBMAN | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: KIRBY L. HEDRICK | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: SCOTT D. URBAN | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: WILLIAM T. VAN KLEEF | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: MOLLY K. WILLIAMSON | Management | For | For | ||||||||
| 2. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT AUDITOR. | Management | For | For | ||||||||
| 3. | TO APPROVE, IN A NON-BINDING ADVISORY VOTE, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4. | TO APPROVE AN AMENDMENT AND RESTATEMENT OF THE COMPANY’S 1992 STOCK OPTION AND RESTRICTED STOCK PLAN. | Management | For | For | ||||||||
| 5. | TO APPROVE AN AMENDMENT TO THE COMPANY’S CERTIFICATE OF INCORPORATION. | Management | For | For | ||||||||
| 6. | TO APPROVE AN AMENDMENT TO THE COMPANY’S BY-LAWS, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 100 | 3,200 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 100 | 7,600 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 100 | 13,900 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| HCA HOLDINGS, INC | ||||||||
| Security | 40412C101 | Meeting Type | Annual | |||||
| Ticker Symbol | HCA | Meeting Date | 24-Apr-2013 | |||||
| ISIN | US40412C1018 | Agenda | 933743999 - Management | |||||
| Record Date | 01-Mar-2013 | Holding Recon Date | 01-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 23-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 | RICHARD M. BRACKEN | For | For | |||||||||
| 2 | R. MILTON JOHNSON | For | For | |||||||||
| 3 | JOHN P. CONNAUGHTON | For | For | |||||||||
| 4 | KENNETH W. FREEMAN | For | For | |||||||||
| 5 | THOMAS F. FRIST III | For | For | |||||||||
| 6 | WILLIAM R. FRIST | For | For | |||||||||
| 7 | CHRISTOPHER R. GORDON | For | For | |||||||||
| 8 | JAY O. LIGHT | For | For | |||||||||
| 9 | GEOFFREY G. MEYERS | For | For | |||||||||
| 10 | MICHAEL W. MICHELSON | For | For | |||||||||
| 11 | JAMES C. MOMTAZEE | For | For | |||||||||
| 12 | STEPHEN G. PAGLIUCA | For | For | |||||||||
| 13 | WAYNE J. RILEY, M.D. | For | For | |||||||||
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2013 | Management | For | For | ||||||||
| 3 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 977 | 29,500 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 515 | 49,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 247 | 128,700 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| BORGWARNER INC. | ||||||||
| Security | 099724106 | Meeting Type | Annual | |||||
| Ticker Symbol | BWA | Meeting Date | 24-Apr-2013 | |||||
| ISIN | US0997241064 | Agenda | 933744698 - Management | |||||
| Record Date | 01-Mar-2013 | Holding Recon Date | 01-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 23-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1.1 | ELECTION OF DIRECTOR: JERE A. DRUMMOND | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: JOHN R. MCKERNAN, JR. | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: ERNEST J. NOVAK, JR. | Management | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: JAMES R. VERRIER | Management | For | For | ||||||||
| 2. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION AS DISCLOSED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| 4. | STOCKHOLDER PROPOSAL CONCERNING DECLASSIFICATION OF THE COMPANY’S BOARD OF DIRECTORS. | Shareholder | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,700 | 14,500 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 4,000 | 24,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 12,800 | 60,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| CIGNA CORPORATION | ||||||||
| Security | 125509109 | Meeting Type | Annual | |||||
| Ticker Symbol | CI | Meeting Date | 24-Apr-2013 | |||||
| ISIN | US1255091092 | Agenda | 933746022 - Management | |||||
| Record Date | 25-Feb-2013 | Holding Recon Date | 25-Feb-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 23-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1.1 | ELECTION OF DIRECTOR: DAVID M. CORDANI | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: ISAIAH HARRIS, JR. | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: JANE E. HENNEY, M.D. | Management | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: DONNA F. ZARCONE | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS, LLP AS CIGNA’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF CIGNA’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | APPROVAL OF AN AMENDMENT TO THE CIGNA LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | CONSIDERATION OF A SHAREHOLDER PROPOSAL ON LOBBYING DISCLOSURE. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 4,900 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 9,000 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 21,100 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| CITIGROUP INC. | ||||||||
| Security | 172967424 | Meeting Type | Annual | |||||
| Ticker Symbol | C | Meeting Date | 24-Apr-2013 | |||||
| ISIN | US1729674242 | Agenda | 933746375 - Management | |||||
| Record Date | 25-Feb-2013 | Holding Recon Date | 25-Feb-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 23-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: MICHAEL L. CORBAT | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: FRANZ B. HUMER | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: ROBERT L. JOSS | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: MICHAEL E. O’NEILL | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: JUDITH RODIN | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: ROBERT L. RYAN | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: ANTHONY M. SANTOMERO | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JOAN E. SPERO | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: DIANA L. TAYLOR | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: WILLIAM S. THOMPSON, JR. | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: ERNESTO ZEDILLO PONCE DE LEON | Management | For | For | ||||||||
| 2. | PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS CITI’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF CITI’S 2012 EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | AMENDMENT TO THE CITIGROUP 2009 STOCK INCENTIVE PLAN (RELATING TO DIVIDEND EQUIVALENTS). | Management | For | For | ||||||||
| 5. | STOCKHOLDER PROPOSAL REQUESTING THAT EXECUTIVES RETAIN A SIGNIFICANT PORTION OF THEIR STOCK UNTIL REACHING NORMAL RETIREMENT AGE. | Shareholder | Against | For | ||||||||
| 6. | STOCKHOLDER PROPOSAL REQUESTING A REPORT ON LOBBYING AND GRASSROOTS LOBBYING CONTRIBUTIONS. | Shareholder | Against | For | ||||||||
| 7. | STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD INSTITUTE A POLICY TO MAKE IT MORE PRACTICAL TO DENY INDEMNIFICATION FOR DIRECTORS. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 20,353 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 4,783 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 8,464 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 296 | 147,700 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 8,862 | 252,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 30,985 | 596,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| CIA HERING SA, BLUMENAU | ||||||||
| Security | P50753105 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 25-Apr-2013 | ||||||
| ISIN | BRHGTXACNOR9 | Agenda | 704362045 - Management | |||||
| Record Date | Holding Recon Date | 23-Apr-2013 | ||||||
| City / Country | BLUMENAU / Brazil | Vote Deadline Date | 15-Apr-2013 | |||||
| SEDOL(s) | 2404815 - B010V16 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT A MEMBER MUST-INCLUDE THE NAME OF THE CANDIDATE TO BE ELECTED. IF INSTRUCTIONS TO VOTE ON-THIS ITEM IS RECEIVED WITHOUT A CANDIDATE’S NAME, YOUR VOTE WILL BE PROCESSED-IN FAVOR OR AGAINST OF THE DEFAULT COMPANY’S CANDIDATE. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| I | To receive the administrators accounts, to examine, discuss and vote on the financial statements regarding the fiscal year ended on December 31, 2012 | Management | No Action | |||||||||
| II | Approval of the capital budget for the 2013 fiscal year | Management | No Action | |||||||||
| III | To decide on the allocation of the results from the fiscal year ended on December 31, 2012, the distribution of the dividends and on the ratification of the distribution of dividends and interest on own decided on by the board of directors | Management | No Action | |||||||||
| IV | To elect the members of the board of directors | Management | No Action | |||||||||
| V | To set the global remuneration of the company directors, executive committee and the consultant committee | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 20,499 | 0 | 29-Mar-2013 | 29-Mar-2013 | |||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 33,399 | 0 | 29-Mar-2013 | 29-Mar-2013 | |||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 87,300 | 0 | 29-Mar-2013 | 29-Mar-2013 | |||||||||
| SONAE SIERRA BRASIL SA | ||||||||
| Security | P8731D103 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 25-Apr-2013 | ||||||
| ISIN | BRSSBRACNOR1 | Agenda | 704408411 - Management | |||||
| Record Date | Holding Recon Date | 23-Apr-2013 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 16-Apr-2013 | |||||
| SEDOL(s) | B67HNG2 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| I | To receive the administrator’s accounts, examine, discuss and approve the financial statements relating to the fiscal year that ended on December 31, 2012 | Management | No Action | |||||||||
| II | To decide on the allocation of the result of the fiscal year and the distribution of dividends, as well as of the proposal of the capital budget | Management | No Action | |||||||||
| III | To set the global remuneration of the managers of the company | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 20,825 | 0 | 12-Apr-2013 | 12-Apr-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 34,054 | 0 | 12-Apr-2013 | 12-Apr-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 89,108 | 0 | 12-Apr-2013 | 12-Apr-2013 | |||||||||||
| PFIZER INC. | ||||||||
| Security | 717081103 | Meeting Type | Annual | |||||
| Ticker Symbol | PFE | Meeting Date | 25-Apr-2013 | |||||
| ISIN | US7170811035 | Agenda | 933743090 - Management | |||||
| Record Date | 27-Feb-2013 | Holding Recon Date | 27-Feb-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 24-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: DENNIS A. AUSIELLO | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: M. ANTHONY BURNS | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: W. DON CORNWELL | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: FRANCES D. FERGUSSON | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: WILLIAM H. GRAY, III | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: HELEN H. HOBBS | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: CONSTANCE J. HORNER | Management | For | For | ||||||||
| 1H | ELECTION OF DIRECTOR: JAMES M. KILTS | Management | For | For | ||||||||
| 1I | ELECTION OF DIRECTOR: GEORGE A. LORCH | Management | For | For | ||||||||
| 1J | ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON | Management | For | For | ||||||||
| 1K | ELECTION OF DIRECTOR: IAN C. READ | Management | For | For | ||||||||
| 1L | ELECTION OF DIRECTOR: STEPHEN W. SANGER | Management | For | For | ||||||||
| 1M | ELECTION OF DIRECTOR: MARC TESSIER- LAVIGNE | Management | For | For | ||||||||
| 2 | RATIFY THE SELECTION OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013 | Management | For | For | ||||||||
| 3 | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 4 | SHAREHOLDER PROPOSAL REGARDING EXECUTIVE EQUITY RETENTION | Shareholder | Against | For | ||||||||
| 5 | SHAREHOLDER PROPOSAL REGARDING ACTION BY WRITTEN CONSENT | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 400 | 69,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 45,000 | 87,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 28,700 | 265,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| ARCOS DORADOS HOLDINGS INC | ||||||||
| Security | G0457F107 | Meeting Type | Annual | |||||
| Ticker Symbol | ARCO | Meeting Date | 25-Apr-2013 | |||||
| ISIN | VGG0457F1071 | Agenda | 933764676 - Management | |||||
| Record Date | 19-Mar-2013 | Holding Recon Date | 19-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 24-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | CONSIDERATION AND APPROVAL OF THE FINANCIAL STATEMENTS OF THE COMPANY CORRESPONDING TO THE FISCAL YEAR ENDED DECEMBER 31, 2012, THE INDEPENDENT REPORT OF THE EXTERNAL AUDITORS ERNST & YOUNG (PISTRELLI, HENRY MARTIN Y ASOCIADOS S.R.L., MEMBER FIRM OF ERNST & YOUNG GLOBAL), AND THE NOTES CORRESPONDING TO THE FISCAL YEAR ENDED DECEMBER 31, 2012. | Management | For | For | ||||||||
| 2. | APPOINTMENT AND REMUNERATION OF ERNST & YOUNG (PISTRELLI, HENRY MARTIN Y ASOCIADOS S.R.L., MEMBER FIRM OF ERNST & YOUNG GLOBAL), AS THE COMPANY’S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2012. | Management | For | For | ||||||||
| 3. | DIRECTOR | Management | ||||||||||
| 1 MRS. ANNETTE FRANQUI |
For | For | ||||||||||
| 2 MR. C HERNANDEZ-ARTIGAS |
For | For | ||||||||||
| 3 MR. A. RAMIREZ MAGANA |
For | For | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 22,700 | 26,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 54,800 | 43,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 94,600 | 112,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| NOBLE CORPORATION | ||||||||
| Security | H5833N103 | Meeting Type | Annual | |||||
| Ticker Symbol | NE | Meeting Date | 26-Apr-2013 | |||||
| ISIN | CH0033347318 | Agenda | 933745246 - Management | |||||
| Record Date | 01-Mar-2013 | Holding Recon Date | 01-Mar-2013 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 25-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 MICHAEL A. CAWLEY |
For | For | ||||||||||
| 2 GORDON T. HALL |
For | For | ||||||||||
| 3 ASHLEY ALMANZA |
For | For | ||||||||||
| 2. | APPROVAL OF THE 2012 ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 | Management | For | For | ||||||||
| 3. | APPROVAL OF DIVIDEND PAYMENT FUNDED FROM CAPITAL CONTRIBUTION RESERVE IN THE AMOUNT OF USD $1.00 PER SHARE | Management | For | For | ||||||||
| 4. | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND THE ELECTION OF PRICEWATERHOUSECOOPERS AG AS STATUTORY AUDITOR FOR A ONE-YEAR TERM | Management | For | For | ||||||||
| 5. | APPROVAL OF THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE OFFICERS OF THE COMPANY UNDER SWISS LAW FOR FISCAL YEAR 2012 | Management | For | For | ||||||||
| 6. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
| 7. | APPROVAL OF AN EXTENSION OF BOARD AUTHORITY TO ISSUE AUTHORIZED SHARE CAPITAL UNTIL APRIL 25, 2015 | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 3,528 | 23,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 38,323 | 18,700 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 3,025 | 110,500 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| NOBLE CORPORATION | ||||||||
| Security | H5833N103 | Meeting Type | Annual | |||||
| Ticker Symbol | NE | Meeting Date | 26-Apr-2013 | |||||
| ISIN | CH0033347318 | Agenda | 933789250 - Management | |||||
| Record Date | 08-Apr-2013 | Holding Recon Date | 08-Apr-2013 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 25-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 MICHAEL A. CAWLEY |
For | For | ||||||||||
| 2 GORDON T. HALL |
For | For | ||||||||||
| 3 ASHLEY ALMANZA |
For | For | ||||||||||
| 2. | APPROVAL OF THE 2012 ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 | Management | For | For | ||||||||
| 3. | APPROVAL OF DIVIDEND PAYMENT FUNDED FROM CAPITAL CONTRIBUTION RESERVE IN THE AMOUNT OF USD $1.00 PER SHARE | Management | For | For | ||||||||
| 4. | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND THE ELECTION OF PRICEWATERHOUSECOOPERS AG AS STATUTORY AUDITOR FOR A ONE-YEAR TERM | Management | For | For | ||||||||
| 5. | APPROVAL OF THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE OFFICERS OF THE COMPANY UNDER SWISS LAW FOR FISCAL YEAR 2012 | Management | For | For | ||||||||
| 6. | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
| 7. | APPROVAL OF AN EXTENSION OF BOARD AUTHORITY TO ISSUE AUTHORIZED SHARE CAPITAL UNTIL APRIL 25, 2015 | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 3,528 | 23,000 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 38,323 | 18,700 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 3,025 | 110,500 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| COMPANIA DE LOCACAO DAS AMERICAS | ||||||||
| Security | P2R93B103 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 30-Apr-2013 | ||||||
| ISIN | BRLCAMACNOR3 | Agenda | 704365394 - Management | |||||
| Record Date | Holding Recon Date | 25-Apr-2013 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 19-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| I | To receive the administrators accounts, to examine, discuss and vote on the administrations report, the financial statements and the accounting statements accompanied by the independent auditors report regarding the fiscal year ending on December 31, 2012 | Management | No Action | |||||||||
| II | To approve the destination of net profits from the 2012 fiscal year and to pay company dividends | Management | No Action | |||||||||
| III | To set the directors and board of directors remunerations | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed |
|||||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 207,700 | 0 | 30-Mar-2013 | 30-Mar-2013 | |||||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 337,400 | 0 | 30-Mar-2013 | 30-Mar-2013 | |||||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 871,500 | 0 | 30-Mar-2013 | 30-Mar-2013 | |||||||||||||
| AREZZO INDUSTRIA E COMERCIO SA | ||||||||
| Security | P04508100 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 30-Apr-2013 | ||||||
| ISIN | BRARZZACNOR3 | Agenda | 704414313 - Management | |||||
| Record Date | Holding Recon Date | 26-Apr-2013 | ||||||
| City / Country | BELO HORIZON TE / Brazil | Vote Deadline Date | 18-Apr-2013 | |||||
| SEDOL(s) | B3NS1W0 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT A MEMBER MUST-INCLUDE THE NAME OF THE CANDIDATE TO BE ELECTED. IF INSTRUCTIONS TO VOTE ON-THIS ITEM IS RECEIVED WITHOUT A CANDIDATE’S NAME, YOUR VOTE WILL BE PROCESSED-IN FAVOR OR AGAINST OF THE DEFAULT COMPANY’S CANDIDATE. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU. | Non-Voting | ||||||||||
| I | To examine, discuss and vote upon the board of directors annual report, the financial statements and independent auditors report relating to fiscal year ended December 31, 2012 | Management | No Action | |||||||||
| II | Discuss the administration’s proposal for allocation of net profits for the fiscal year ended on December 31, 2012 | Management | No Action | |||||||||
| III | To approve the proposal for the capital budget for the year 2013 fiscal year | Management | No Action | |||||||||
| IV | To set the global remuneration of the company managers for the 2013 fiscal year | Management | No Action | |||||||||
| V | To elect the members of the board of directors | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 21,638 | 0 | 16-Apr-2013 | 16-Apr-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 35,505 | 0 | 16-Apr-2013 | 16-Apr-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 92,080 | 0 | 16-Apr-2013 | 16-Apr-2013 | |||||||||||
| BHG SA - BRAZIL HOSPITALITY GROUP, SAO PAULO | ||||||||
| Security | P1668A101 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 30-Apr-2013 | ||||||
| ISIN | BRBHGRACNOR9 | Agenda | 704431787 - Management | |||||
| Record Date | Holding Recon Date | 26-Apr-2013 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 19-Apr-2013 | |||||
| SEDOL(s) | B23CS02 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| 1 | To receive the administrators accounts, to examine, discuss and vote on the administrations report, the financial statements and the accounting statements accompanied by the independent auditors report, regarding the fiscal year ended on December 31, 2012 | Management | No Action | |||||||||
| 2 | To decide on the allocation of the net profits from the 2012 fiscal year | Management | No Action | |||||||||
| 3 | To elect the members of the board of directors, with term in office until AGM which will examine the company’s accounts related to the fiscal year ending on December 31, 2014 | Management | No Action | |||||||||
| 4 | To set the global remuneration of the company managers | Management | No Action | |||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT A MEMBER MUST INCLUDE-THE NAME OF THE CANDIDATE TO BE ELECTED. IF INSTRUCTIONS TO VOTE ON THIS ITEM-IS RECEIVED WITHOUT A CANDIDATE’S NAME, YOUR VOTE WILL BE PROCESSED IN FAVOR-OR AGAINST OF THE DEFAULT COMPANY’S CANDIDATE. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ADDITIONAL COMMENT. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 84,200 | 0 | 17-Apr-2013 | 24-Apr-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 138,714 | 0 | 17-Apr-2013 | 24-Apr-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 354,877 | 0 | 17-Apr-2013 | 24-Apr-2013 | |||||||||||
| BHG SA - BRAZIL HOSPITALITY GROUP, SAO PAULO | ||||||||
| Security | P1668A101 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 30-Apr-2013 | ||||||
| ISIN | BRBHGRACNOR9 | Agenda | 704432260 - Management | |||||
| Record Date | Holding Recon Date | 26-Apr-2013 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 19-Apr-2013 | |||||
| SEDOL(s) | B23CS02 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| I | To amend the sole paragraph of article 8 of the corporate bylaws of the company to make it compatible with that which is provided for in paragraph 3 of article 35 of the Brazilian corporate law | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 84,200 | 0 | 17-Apr-2013 | 24-Apr-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 138,714 | 0 | 17-Apr-2013 | 24-Apr-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 354,877 | 0 | 17-Apr-2013 | 24-Apr-2013 | |||||||||||
| UNICASA INDUSTRIA DE MOVEIS SA | ||||||||
| Security | P9449Z105 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 30-Apr-2013 | ||||||
| ISIN | BRUCASACNOR1 | Agenda | 704432272 - Management | |||||
| Record Date | Holding Recon Date | 23-Apr-2013 | ||||||
| City / Country | AT. BENTO GONCALV ES, RS / Brazil | Vote Deadline Date | 19-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| 1 | To elect a member of the board of directors of the company to replace the independent member of the board of directors in light of the resignation of the latter | Management | No Action | |||||||||
| 2 | To ratify again the system under which Mr. Frank Zietolie is married as stated at the extraordinary general meeting of Unicasa, held on February 27, 2012, as being married under the complete separate property system | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 64,300 | 0 | 17-Apr-2013 | 17-Apr-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 104,600 | 0 | 17-Apr-2013 | 17-Apr-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 268,600 | 0 | 17-Apr-2013 | 17-Apr-2013 | |||||||||||
| UNICASA INDUSTRIA DE MOVEIS SA | ||||||||
| Security | P9449Z105 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 30-Apr-2013 | ||||||
| ISIN | BRUCASACNOR1 | Agenda | 704432450 - Management | |||||
| Record Date | Holding Recon Date | 23-Apr-2013 | ||||||
| City / Country | AT. BENTO GONCALV ES / Brazil | Vote Deadline Date | 19-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| 1 | To take knowledge of the directors accounts, to examine, discuss and approve the Company’s consolidated financial statements, accompanied by the independent auditors report regarding the fiscal year ended on December 31, 2012 | Management | No Action | |||||||||
| 2 | To decide on the allocation of the net profits from the 2012 fiscal year | Management | No Action | |||||||||
| 3 | To set the managers remuneration | Management | No Action | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 64,300 | 0 | 17-Apr-2013 | 17-Apr-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 104,600 | 0 | 17-Apr-2013 | 17-Apr-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 268,600 | 0 | 17-Apr-2013 | 17-Apr-2013 | |||||||||||
| ALLERGAN, INC. | ||||||||
| Security | 018490102 | Meeting Type | Annual | |||||
| Ticker Symbol | AGN | Meeting Date | 30-Apr-2013 | |||||
| ISIN | US0184901025 | Agenda | 933747618 - Management | |||||
| Record Date | 06-Mar-2013 | Holding Recon Date | 06-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 29-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: DAVID E.I. PYOTT | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: MICHAEL R. GALLAGHER | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: DEBORAH DUNSIRE, M.D. | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: DAWN HUDSON | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: TREVOR M. JONES, PH.D. | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: LOUIS J. LAVIGNE, JR. | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: PETER J. MCDONNELL, M.D. | Management | For | For | ||||||||
| 1H | ELECTION OF DIRECTOR: TIMOTHY D. PROCTOR | Management | For | For | ||||||||
| 1I | ELECTION OF DIRECTOR: RUSSELL T. RAY | Management | For | For | ||||||||
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3 | ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
| 4 | APPROVE THE AMENDMENT AND RESTATEMENT OF OUR AMENDED AND RESTATED CERTIFICATE OF INCORPORATION | Management | For | For | ||||||||
| 5.1 | STOCKHOLDER PROPOSAL #1 - RIGHT TO ACT BY WRITTEN CONSENT | Shareholder | Against | For | ||||||||
| 5.2 | STOCKHOLDER PROPOSAL #2 - DISCLOSURE OF LOBBYING PRACTICES | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,200 | 8,800 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 16,400 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 42,500 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| FREESCALE SEMICONDUCTOR, LTD. | ||||||||
| Security | G3727Q101 | Meeting Type | Annual | |||||
| Ticker Symbol | FSL | Meeting Date | 30-Apr-2013 | |||||
| ISIN | BMG3727Q1015 | Agenda | 933749016 - Management | |||||
| Record Date | 01-Mar-2013 | Holding Recon Date | 01-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 29-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 | CHINH E. CHU | For | For | |||||||||
| 2 | JOHN T. DICKSON | For | For | |||||||||
| 3 | DANIEL J. HENEGHAN | For | For | |||||||||
| 4 | THOMAS H. LISTER | For | For | |||||||||
| 5 | GREGG A. LOWE | For | For | |||||||||
| 6 | JOHN W. MARREN | For | For | |||||||||
| 7 | J. DANIEL MCCRANIE | For | For | |||||||||
| 8 | JAMES A. QUELLA | For | For | |||||||||
| 9 | PETER SMITHAM | For | For | |||||||||
| 10 | GREGORY L. SUMME | For | For | |||||||||
| 11 | CLAUDIUS E. WATTS IV | For | For | |||||||||
| 2 | THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013, AND THE AUTHORIZATION OF THE AUDIT AND LEGAL COMMITTEE TO DETERMINE THE INDEPENDENT AUDITORS’ FEES. | Management | For |
For | ||||||||
| 3 | NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 4,866 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| CHARTER COMMUNICATIONS, INC. | ||||||||
| Security | 16117M305 | Meeting Type | Annual | |||||
| Ticker Symbol | CHTR | Meeting Date | 30-Apr-2013 | |||||
| ISIN | US16117M3051 | Agenda | 933750362 - Management | |||||
| Record Date | 01-Mar-2013 | Holding Recon Date | 01-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 29-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 W. LANCE CONN |
For | For | ||||||||||
| 2 DARREN GLATT |
For | For | ||||||||||
| 3 CRAIG A. JACOBSON |
For | For | ||||||||||
| 4 BRUCE A. KARSH |
For | For | ||||||||||
| 5 EDGAR LEE |
For | For | ||||||||||
| 6 JEFFREY A. MARCUS |
For | For | ||||||||||
| 7 JOHN D. MARKLEY, JR. |
For | For | ||||||||||
| 8 DAVID C. MERRITT |
For | For | ||||||||||
| 9 STAN PARKER |
For | For | ||||||||||
| 10 THOMAS M. RUTLEDGE |
For | For | ||||||||||
| 11 ERIC L. ZINTERHOFER |
For | For | ||||||||||
| 2 | AN AMENDMENT INCREASING THE NUMBER OF SHARES IN THE COMPANY’S 2009 STOCK INCENTIVE PLAN. | Management | For | For | ||||||||
| 3 | THE RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 4,600 | 15,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 200 | 34,900 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 53,000 | 30,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| MEAD JOHNSON NUTRITION COMPANY | ||||||||
| Security | 582839106 | Meeting Type | Annual | |||||
| Ticker Symbol | MJN | Meeting Date | 30-Apr-2013 | |||||
| ISIN | US5828391061 | Agenda | 933755362 - Management | |||||
| Record Date | 15-Mar-2013 | Holding Recon Date | 15-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 29-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: STEVEN M. ALTSCHULER, M.D. | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: HOWARD B. BERNICK | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: KIMBERLY A. CASIANO | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: ANNA C. CATALANO | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: CELESTE A. CLARK, PH.D. | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: JAMES M. CORNELIUS | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: STEPHEN W. GOLSBY | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: PETER KASPER JAKOBSEN | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: PETER G. RATCLIFFE | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: ELLIOTT SIGAL, M.D., PH.D. | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: ROBERT S. SINGER | Management | For | For | ||||||||
| 2. | ADVISORY APPROVAL OF NAMED EXECUTIVE OFFICER COMPENSATION | Management | For | For | ||||||||
| 3. | THE RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013 | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 12,400 | 9,400 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 23,400 | 19,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 200 | 92,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| SOLAR SENIOR CAPITAL LTD | ||||||||
| Security | 83416M105 | Meeting Type | Annual | |||||
| Ticker Symbol | SUNS | Meeting Date | 30-Apr-2013 | |||||
| ISIN | US83416M1053 | Agenda | 933763446 - Management | |||||
| Record Date | 14-Mar-2013 | Holding Recon Date | 14-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 29-Apr-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 BRUCE SPOHLER |
For | For | ||||||||||
| 2 STEVEN HOCHBERG |
For | For | ||||||||||
| 2. | TO APPROVE A PROPOSAL TO AUTHORIZE SOLAR SENIOR CAPITAL LTD. TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW SOLAR SENIOR CAPITAL LTD.‘S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, IN EACH CASE SUBJECT TO THE APPROVAL OF ITS BOARD OF DIRECTORS AND COMPLIANCE WITH THE CONDITIONS SET FORTH IN THE PROXY STATEMENT PERTAINING THERETO. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 39,147 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 64,139 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 167,431 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| CABOT OIL & GAS CORPORATION | ||||||||
| Security | 127097103 | Meeting Type | Annual | |||||
| Ticker Symbol | COG | Meeting Date | 02-May-2013 | |||||
| ISIN | US1270971039 | Agenda | 933746046 - Management | |||||
| Record Date | 08-Mar-2013 | Holding Recon Date | 08-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 01-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: ROBERT L. KEISER | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: W. MATT RALLS | Management | For | For | ||||||||
| 2 | TO RATIFY THE APPOINTMENT OF THE FIRM PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR ITS 2013 FISCAL YEAR. | Management | For | For | ||||||||
| 3 | TO APPROVE, BY NON-BINDING ADVISORY VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4 | TO CONSIDER A STOCKHOLDER PROPOSAL TO ELIMINATE ACCELERATED VESTING OF OUR SENIOR EXECUTIVES’ EQUITY AWARDS IN THE EVENT OF A CHANGE IN CONTROL. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 15,800 | 8,600 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 30,600 | 14,600 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 65,100 | 39,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| EOG RESOURCES, INC. | ||||||||
| Security | 26875P101 | Meeting Type | Annual | |||||
| Ticker Symbol | EOG | Meeting Date | 02-May-2013 | |||||
| ISIN | US26875P1012 | Agenda | 933763054 - Management | |||||
| Record Date | 08-Mar-2013 | Holding Recon Date | 08-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 01-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: CHARLES R. CRISP | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: JAMES C. DAY | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: MARK G. PAPA | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: H. LEIGHTON STEWARD | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: DONALD F. TEXTOR | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: WILLIAM R. THOMAS | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: FRANK G. WISNER | Management | For | For | ||||||||
| 2. | TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF DELOITTE & TOUCHE LLP, INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, AS AUDITORS FOR THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE THE AMENDED AND RESTATED EOG RESOURCES, INC. 2008 OMNIBUS EQUITY COMPENSATION PLAN. | Management | For | For | ||||||||
| 4. | TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 5,000 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 10,000 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 21,300 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| OASIS PETROLEUM INC | ||||||||
| Security | 674215108 | Meeting Type | Annual | |||||
| Ticker Symbol | OAS | Meeting Date | 03-May-2013 | |||||
| ISIN | US6742151086 | Agenda | 933749167 - Management | |||||
| Record Date | 06-Mar-2013 | Holding Recon Date | 06-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 02-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 MICHAEL MCSHANE |
For | For | ||||||||||
| 2 THOMAS B. NUSZ |
For | For | ||||||||||
| 2. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR EXECUTIVE OFFICERS AS DESCRIBED IN THE “EXECUTIVE COMPENSATION AND OTHER INFORMATION - COMPENSATION DISCUSSION AND ANALYSIS” (CD&A) SECTION OF THE ACCOMPANYING PROXY STATEMENT, AS DISCLOSED PURSUANT TO THE COMPENSATION DISCLOSURE RULES OF SECURITIES AND EXCHANGE COMMISSION (“SEC”), INCLUDING THE COMPENSATION TABLES. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 32,400 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 61,900 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 137,700 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| AKORN, INC. | ||||||||
| Security | 009728106 | Meeting Type | Annual | |||||
| Ticker Symbol | AKRX | Meeting Date | 03-May-2013 | |||||
| ISIN | US0097281069 | Agenda | 933769107 - Management | |||||
| Record Date | 08-Mar-2013 | Holding Recon Date | 08-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 02-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 JOHN N. KAPOOR, PHD |
For | For | ||||||||||
| 2 RONALD M. JOHNSON |
For | For | ||||||||||
| 3 BRIAN TAMBI |
For | For | ||||||||||
| 4 STEVEN J. MEYER |
For | For | ||||||||||
| 5 ALAN WEINSTEIN |
For | For | ||||||||||
| 6 KENNETH S. ABRAMOWITZ |
For | For | ||||||||||
| 7 ADRIENNE L. GRAVES, PHD |
For | For | ||||||||||
| 2. | PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP TO SERVE AS AKORN’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | SAY ON PAY - AN ADVISORY VOTE ON APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION PROGRAM. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 44,800 | 0 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 92,400 | 0 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 189,600 | 0 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| FMC TECHNOLOGIES, INC. | ||||||||
| Security | 30249U101 | Meeting Type | Annual | |||||
| Ticker Symbol | FTI | Meeting Date | 03-May-2013 | |||||
| ISIN | US30249U1016 | Agenda | 933773118 - Management | |||||
| Record Date | 11-Mar-2013 | Holding Recon Date | 11-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 02-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: ELEAZAR DE CARVALHO FILHO | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: CLAIRE S. FARLEY | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JOSEPH H. NETHERLAND | Management | For | For | ||||||||
| 2. | RATIFY THE APPOINTMENT OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF 2012 EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | REAPPROVE THE MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE AMENDED AND RESTATED INCENTIVE COMPENSATION AND STOCK PLAN. | Management | For | For | ||||||||
| 5. | STOCKHOLDER PROPOSAL CONCERNING ACCELERATED VESTING OF SENIOR EXECUTIVE EQUITY AWARDS UPON A CHANGE IN CONTROL. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 13,300 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 27,400 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 57,000 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| ALTERA CORPORATION | ||||||||
| Security | 021441100 | Meeting Type | Annual | |||||
| Ticker Symbol | ALTR | Meeting Date | 06-May-2013 | |||||
| ISIN | US0214411003 | Agenda | 933758700 - Management | |||||
| Record Date | 08-Mar-2013 | Holding Recon Date | 08-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 03-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: JOHN P. DAANE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: T. MICHAEL NEVENS | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: A. BLAINE BOWMAN | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: ELISHA W. FINNEY | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: KEVIN MCGARITY | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: SHANE V. ROBISON | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: JOHN SHOEMAKER | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: THOMAS H. WAECHTER | Management | For | For | ||||||||
| 2. | TO APPROVE AN AMENDMENT TO THE 2005 EQUITY INCENTIVE PLAN TO INCREASE BY 3,000,000 THE NUMBER OF SHARES OF COMMON STOCK RESERVED FOR ISSUANCE UNDER THE PLAN. | Management | For | For | ||||||||
| 3. | TO APPROVE AN AMENDMENT TO THE 2005 EQUITY INCENTIVE PLAN REGARDING NON- EMPLOYEE DIRECTOR EQUITY AWARDS. | Management | For | For | ||||||||
| 4. | TO APPROVE AN AMENDMENT TO THE 1987 EMPLOYEE STOCK PURCHASE PLAN TO INCREASE BY 1,000,000 THE NUMBER OF SHARES OF COMMON STOCK RESERVED FOR ISSUANCE UNDER THE PLAN. | Management | For | For | ||||||||
| 5. | TO APPROVE, ON AN ADVISORY BASIS, NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 6. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 22,300 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 42,900 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 88,200 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| DRESSER-RAND GROUP INC. | ||||||||
| Security | 261608103 | Meeting Type | Annual | |||||
| Ticker Symbol | DRC | Meeting Date | 07-May-2013 | |||||
| ISIN | US2616081038 | Agenda | 933753522 - Management | |||||
| Record Date | 13-Mar-2013 | Holding Recon Date | 13-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 06-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: WILLIAM E. MACAULAY | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: VINCENT R. VOLPE JR. | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: RITA V. FOLEY | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: LOUIS A. RASPINO | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: PHILIP R. ROTH | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: STEPHEN A. SNIDER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: MICHAEL L. UNDERWOOD | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JOSEPH C. WINKLER III | Management | For | For | ||||||||
| 2. | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | ADOPT AN ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | APPROVE THE COMPANY’S PERFORMANCE GOALS UNDER THE 2008 STOCK INCENTIVE PLAN. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 18,400 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 30,100 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 78,100 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| BOSTON SCIENTIFIC CORPORATION | ||||||||
| Security | 101137107 | Meeting Type | Annual | |||||
| Ticker Symbol | BSX | Meeting Date | 07-May-2013 | |||||
| ISIN | US1011371077 | Agenda | 933757304 - Management | |||||
| Record Date | 15-Mar-2013 | Holding Recon Date | 15-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 06-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: KATHARINE T. BARTLETT | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: BRUCE L. BYRNES | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: NELDA J. CONNORS | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: KRISTINA M. JOHNSON | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: MICHAEL F. MAHONEY | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: ERNEST MARIO | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: N.J. NICHOLAS, JR. | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: PETE M. NICHOLAS | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: UWE E. REINHARDT | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: JOHN E. SUNUNU | Management | For | For | ||||||||
| 2. | TO CONSIDER AND VOTE UPON AN ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 3. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2013 FISCAL YEAR. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 108,100 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 213,600 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 457,500 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| WHITING PETROLEUM CORPORATION | ||||||||
| Security | 966387102 | Meeting Type | Annual | |||||
| Ticker Symbol | WLL | Meeting Date | 07-May-2013 | |||||
| ISIN | US9663871021 | Agenda | 933758142 - Management | |||||
| Record Date | 12-Mar-2013 | Holding Recon Date | 12-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 06-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote |
For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 THOMAS L. ALLER |
For | For | ||||||||||
| 2 MICHAEL B. WALEN |
For | For | ||||||||||
| 2. | APPROVAL OF THE WHITING PETROLEUM CORPORATION 2013 EQUITY INCENTIVE PLAN. | Management | For | For | ||||||||
| 3. | APPROVAL, BY ADVISORY VOTE, OF THE COMPENSATION OF NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4. | RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 12,000 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 21,900 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 50,700 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| BANK OF AMERICA CORPORATION | ||||||||
| Security | 060505104 | Meeting Type | Annual | |||||
| Ticker Symbol | BAC | Meeting Date | 08-May-2013 | |||||
| ISIN | US0605051046 | Agenda | 933759017 - Management | |||||
| Record Date | 13-Mar-2013 | Holding Recon Date | 13-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 07-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: SHARON L. ALLEN | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: SUSAN S. BIES | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JACK O. BOVENDER, JR. | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: FRANK P. BRAMBLE, SR. | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: ARNOLD W. DONALD | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: CHARLES K. GIFFORD | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: CHARLES O. HOLLIDAY, JR. | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: LINDA P. HUDSON | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: MONICA C. LOZANO | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: THOMAS J. MAY | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: BRIAN T. MOYNIHAN | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: LIONEL L. NOWELL, III | Management | For | For | ||||||||
| 1M. | ELECTION OF DIRECTOR: R. DAVID YOST | Management | For | For | ||||||||
| 2. | AN ADVISORY (NON-BINDING) VOTE TO APPROVE EXECUTIVE COMPENSATION (SAY ON PAY). | Management | For | For | ||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF THE REGISTERED INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 4. | STOCKHOLDER PROPOSAL - REPORT ON POLITICAL CONTRIBUTIONS. | Shareholder | Against | For | ||||||||
| 5. | STOCKHOLDER PROPOSAL - PROXY ACCESS. | Shareholder | Against | For | ||||||||
| 6. | STOCKHOLDER PROPOSAL - MULTIPLE BOARD SERVICE. | Shareholder | Against | For | ||||||||
| 7. | STOCKHOLDER PROPOSAL - POLITICAL CONTRIBUTIONS. | Shareholder | Against | For | ||||||||
| 8. | STOCKHOLDER PROPOSAL - MORTGAGE SERVICING. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 224,987 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 5,524 | 504,600 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 11,025 | 486,600 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 22,581 | 2,135,300 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| CAMERON INTERNATIONAL CORPORATION | ||||||||
| Security | 13342B105 | Meeting Type | Annual | |||||
| Ticker Symbol | CAM | Meeting Date | 08-May-2013 | |||||
| ISIN | US13342B1052 | Agenda | 933759194 - Management | |||||
| Record Date | 15-Mar-2013 | Holding Recon Date | 15-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 07-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: JAMES T. HACKETT | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: MICHAEL E. PATRICK | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: JON ERIK REINHARDSEN | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: BRUCE W. WILKINSON | Management | For | For | ||||||||
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2013. | Management | For | For | ||||||||
| 3 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S 2012 EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4 | TO APPROVE THE AMENDMENTS TO AND THE RESTATEMENT OF THE COMPANY’S EQUITY INCENTIVE PLAN. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 100,000 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 3,521 | 14,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 4,383 | 24,100 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 282 | 41,000 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| ALLISON TRANSMISSION HOLDINGS, INC. | ||||||||
| Security | 01973R101 | Meeting Type | Annual | |||||
| Ticker Symbol | ALSN | Meeting Date | 08-May-2013 | |||||
| ISIN | US01973R1014 | Agenda | 933759409 - Management | |||||
| Record Date | 11-Mar-2013 | Holding Recon Date | 11-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 07-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 DAVID F. DENISON |
For | For | ||||||||||
| 2 GREGORY S. LEDFORD |
For | For | ||||||||||
| 3 SETH M. MERSKY |
For | For | ||||||||||
| 2. | ADVISORY VOTE ON THE COMPENSATION PAID TO OUR NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
| 3. | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION PAID TO OUR NAMED EXECUTIVE OFFICERS | Management | 3 Years | For | ||||||||
| 4. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013 | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 4,964 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 5,855 | 93,900 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 373 | 173,700 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 394 | 416,400 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| SERVICE CORPORATION INTERNATIONAL | ||||||||
| Security | 817565104 | Meeting Type | Annual | |||||
| Ticker Symbol | SCI | Meeting Date | 08-May-2013 | |||||
| ISIN | US8175651046 | Agenda | 933759738 - Management | |||||
| Record Date | 12-Mar-2013 | Holding Recon Date | 12-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 07-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 ALAN R. BUCKWALTER |
For | For | ||||||||||
| 2 VICTOR L. LUND |
For | For | ||||||||||
| 3 JOHN W. MECOM, JR. |
For | For | ||||||||||
| 2. | APPROVAL OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE, BY ADVISORY VOTE, NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 30,700 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 50,600 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 129,900 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| FAIRCHILD SEMICONDUCTOR INTL., INC. | ||||||||
| Security | 303726103 | Meeting Type | Annual | |||||
| Ticker Symbol | FCS | Meeting Date | 08-May-2013 | |||||
| ISIN | US3037261035 | Agenda | 933761620 - Management | |||||
| Record Date | 12-Mar-2013 | Holding Recon Date | 12-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 07-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1.1 | ELECTION OF DIRECTOR: CHARLES P. CARINALLI | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: RANDY W. CARSON | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: TERRY A. KLEBE | Management | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: ANTHONY LEAR | Management | For | For | ||||||||
| 1.5 | ELECTION OF DIRECTOR: THOMAS L. MAGNANTI | Management | For | For | ||||||||
| 1.6 | ELECTION OF DIRECTOR: KEVIN J. MCGARITY | Management | For | For | ||||||||
| 1.7 | ELECTION OF DIRECTOR: BRYAN R. ROUB | Management | For | For | ||||||||
| 1.8 | ELECTION OF DIRECTOR: RONALD W. SHELLY | Management | For | For | ||||||||
| 1.9 | ELECTION OF DIRECTOR: MARK S. THOMPSON | Management | For | For | ||||||||
| 2. | PROPOSAL TO APPROVE AN AMENDMENT TO THE FAIRCHILD SEMICONDUCTOR 2007 STOCK PLAN. | Management | For | For | ||||||||
| 3. | PROPOSAL TO APPROVE AN ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | PROPOSAL TO RATIFY INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 27,400 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 68,800 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 115,800 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| MRC GLOBAL INC. | ||||||||
| Security | 55345K103 | Meeting Type | Annual | |||||
| Ticker Symbol | MRC | Meeting Date | 08-May-2013 | |||||
| ISIN | US55345K1034 | Agenda | 933771277 - Management | |||||
| Record Date | 19-Mar-2013 | Holding Recon Date | 19-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 07-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 ANDREW R. LANE |
For | For | ||||||||||
| 2 LEONARD M. ANTHONY |
For |
For |
||||||||||
| 3 RHYS J. BEST |
For |
For |
||||||||||
| 4 PETER C. BOYLAN, III |
For |
For |
||||||||||
| 5 HENRY CORNELL |
For |
For |
||||||||||
| 6 C.A.S. CRAMPTON |
For |
For |
||||||||||
| 7 JOHN F.X. DALY |
For |
For |
||||||||||
| 8 CRAIG KETCHUM |
For |
For |
||||||||||
| 9 GERARD P. KRANS |
For |
For |
||||||||||
| 10 CORNELIS A. LINSE |
For |
For |
||||||||||
| 11 JOHN A. PERKINS |
For |
For |
||||||||||
| 12 H.B. WEHRLE, III |
For |
For |
||||||||||
| 2. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE ON THE FREQUENCY OF ADVISORY VOTES ON THE COMPANY’S EXECUTIVE COMPENSATION. | Management | 1 Year | For | ||||||||
| 4. | RATIFICATION OF ERNST & YOUNG LLP AS OUR INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 24,539 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 40,174 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 102,755 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| EXPRESS SCRIPTS HOLDING COMPANY | ||||||||
| Security | 30219G108 | Meeting Type | Annual | |||||
| Ticker Symbol | ESRX | Meeting Date | 09-May-2013 | |||||
| ISIN | US30219G1085 | Agenda | 933758306 -Management | |||||
| Record Date | 11-Mar-2013 | Holding Recon Date | 11-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 08-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: GARY G. BENANAV | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: MAURA C. BREEN | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: WILLIAM J. DELANEY | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: NICHOLAS J. LAHOWCHIC | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: THOMAS P. MAC MAHON | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: FRANK MERGENTHALER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: WOODROW A. MYERS, JR., MD | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JOHN O. PARKER, JR. | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: GEORGE PAZ | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: WILLIAM L. ROPER, MD, MPH | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: SAMUEL K. SKINNER | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: SEYMOUR STERNBERG | Management | For | For | ||||||||
| 2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS. | Management | For | For | ||||||||
| 3. | TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
|
Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 26,000 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 48,300 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 110,000 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| GREAT WALL MOTOR CO LTD | ||||||||
| Security | Y2882P106 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 10-May-2013 | ||||||
| ISIN | CNE100000338 | Agenda | 704341243 -Management | |||||
| Record Date | 09-Apr-2013 | Holding Recon Date | 09-Apr-2013 | |||||
| City / Country | HEBEI PROVINC E / China | Vote Deadline Date | 03-May-2013 | |||||
| SEDOL(s) | 6718255 -B01XL04 - B1BJQS2 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0321/LTN20130321483.pdf-AND- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0321/LTN20130321497.pdf | Non-Voting | ||||||||||
| 1 | To consider and approve the audited financial statements of the Company for the year 2012(details stated in the annual report of the Company for the year 2012) | Management | For | For | ||||||||
| 2 | To consider and approve the Report of the Directors for the year 2012 (details stated in the annual report of the Company for the year 2012) | Management | For | For | ||||||||
| 3 | To consider and approve the profit distribution proposal for the year 2012 (details stated in the circular of the Company dated 21 March 2013) | Management | For | For | ||||||||
| 4 | To consider and approve the annual report of the Company for the year 2012 and its summary report (published on the Company’s website: www.gwm.com.cn) | Management | For | For | ||||||||
| 5 | To consider and approve the Report of the Independent Directors for the year 2012 (published on the Company’s website: www.gwm.com.cn) | Management | For | For | ||||||||
| 6 | To consider and approve the Report of the Supervisory Committee for the year 2012 (details stated in the annual report of the Company for the year 2012) | Management | For | For | ||||||||
| 7 | To consider and approve the strategies of the Company for the year 2013 (details stated in the circular of the Company dated 21 March 2013) | Management | For | For | ||||||||
| 8 | To consider and approve the re-appointment of Deloitte Touche Tohmatsu Certified Public Accountants LLP as the Company’s external auditor for the year ending 31 December 2013, the term of such re-appointment shall commence from the date on which this resolution is passed until the date of the next annual general meeting, and to authorise the board of directors (the “Board”) of the Company to fix its remunerations (details stated in the circular dated 21 March 2013) | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 846,500 | 0 | 01-Apr-2013 | 06-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 200,000 | 0 | 01-Apr-2013 | 06-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 329,000 | 0 | 01-Apr-2013 | 06-May-2013 | |||||||||||
| CYPRESS SEMICONDUCTOR CORPORATION | ||||||||
| Security | 232806109 | Meeting Type | Annual | |||||
| Ticker Symbol | CY | Meeting Date | 10-May-2013 | |||||
| ISIN | US2328061096 | Agenda | 933761391 - Management | |||||
| Record Date | 15-Mar-2013 | Holding Recon Date | 15-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 09-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 T.J. RODGERS |
For |
For |
||||||||||
| 2 W. STEVE ALBRECHT |
For |
For |
||||||||||
| 3 ERIC A. BENHAMOU |
For |
For |
||||||||||
| 4 LLOYD CARNEY |
For |
For |
||||||||||
| 5 JAMES R. LONG |
For |
For |
||||||||||
| 6 J. DANIEL MCCRANIE |
For |
For |
||||||||||
| 7 J.D. SHERMAN |
For |
For |
||||||||||
| 8 WILBERT VAN DEN HOEK |
For |
For |
||||||||||
| 2 | THE RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013. | Management | For | For | ||||||||
| 3 | ANNUAL ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4 | APPROVAL OF THE AMENDED AND RESTATED 2013 STOCK PLAN WHICH: (I) RENAMES PLAN, (II) EXTENDS TERM OF PLAN, (III) LIMITS NON-EMPLOYEE DIRECTOR EQUITY AWARDS, (IV) SEEKS STOCKHOLDER APPROVAL FOR PERFORMANCE-BASED AWARDS UNDER SECTION 162(M) OF IRS CODE, AND (V) REDUCES NUMBER OF OPTIONS/RSUS THAT MAY BE GRANTED TO AN INDIVIDUAL IN A GIVEN FISCAL YEAR. | Management | For | For | ||||||||
| 5 | APPROVAL OF THE AMENDED AND RESTATED EMPLOYEE STOCK PURCHASE PLAN WHICH EXTENDS THE TERM OF THE PLAN AND PROVIDES FOR PARTICIPATION BY NON-U.S. EMPLOYEES. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 67,353 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 148,016 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 285,000 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| BRAZIL PHARMA SA | ||||||||
| Security | P1815Q108 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 13-May-2013 | ||||||
| ISIN | BRBPHAACNOR6 | Agenda | 704373024 - Management | |||||
| Record Date | Holding Recon Date | 09-May-2013 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 02-May-2013 | |||||
| SEDOL(s) | B99P0H5 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT A MEMBER MUST-INCLUDE THE NAME OF THE CANDIDATE TO BE ELECTED. IF INSTRUCTIONS TO VOTE ON-THIS ITEM IS RECEIVED WITHOUT A CANDIDATE’S NAME, YOUR VOTE WILL BE PROCESSED-IN FAVOR OR AGAINST OF THE DEFAULT COMPANY’S CANDIDATE. THANK YOU. | Non-Voting | ||||||||||
| A | To examine, discuss and vote on the administrations report, the administrators accounts and the financial statements, regarding the fiscal year ended on December 31, 2012 | Management | No Action | |||||||||
| B | To approve the proposal of distribution of the net profits from the 2012 fiscal year | Management | No Action | |||||||||
| C | To set the global remuneration of the managers | Management | No Action | |||||||||
| D | To elect the members of the board of directors, as well to elect the chairman and of the vice chairman | Management | No Action | |||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO POSTPONEMENT OF MEETING FROM 30 APR-TO 13 MAY 2013. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN-THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK Y-OU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 183,320 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 300,666 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 790,115 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| BRAZIL PHARMA SA | ||||||||
| Security | P1815Q108 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 13-May-2013 | ||||||
| ISIN | BRBPHAACNOR6 | Agenda | 704373579 - Management | |||||
| Record Date | Holding Recon Date | 09-May-2013 | ||||||
| City / Country | SAO PAULO / Brazil | Vote Deadline Date | 02-May-2013 | |||||
| SEDOL(s) | B99P0H5 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT VOTES ‘IN FAVOR’ AND ‘AGAINST’ IN THE SAME AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU | Non-Voting | ||||||||||
| a | To ratify the appointment made by the managers of the Company and of Santana S.A. Drogaria Farmacias, a share Corporation duly established in accordance with the laws of the Federative Republic of Brazil, with corporate taxpayer ID number, CNPJ.MF, 15.103.047.0001.58, with its head office at Avenida Luiz Vianna Filho 2570, Paralela, ZIP code 4173.101, in the city of Salvador, state of Bahia, from here onwards referred to as Santana, of the specialized company Deloitte Touche Tohmatsu Consultores Ltda., a limited company, duly established in accordance with the laws of the Federative Republic of Brazil, with corporate taxpayer ID number, CNPJ.MF, 02.189.924.0001.03, with its head office at Rua Alexandre Dumas 1981, ZIP code 04717.906, in the city of Sao Paulo, state of Sao Paulo, from here onwards referred to as Deloitte CONTD | Management | No Action | |||||||||
| CONT | CONTD Consultants, for the preparation of the valuation report of the shares-issued by Santana, on the basis of their respective economic value, from here-onwards referred to as the Valuation Report, to serve as a basis for the-increase of the share capital of the Company resulting from the Santana Share-Merger, as defined below | Non-Voting | ||||||||||
| b | To consider and vote regarding the Valuation Report referred to in item a above | Management | No Action | |||||||||
| c | To consider and vote regarding the Merger Protocol and Instrument of Justification for the Merger of Shares Issued by Santana S.A. Drogaria Farmacias into Brazil Pharma, from here onwards referred to as the Protocol, which was signed by the managers of the Company and of Santana, which reflects the terms of the merger of the shares of Santana into the Company, from here onwards referred to as the Santana Share Merger | Management | No Action | |||||||||
| d | To consider and vote regarding the substitution ratio of the shares issued by Santana with new shares to be issued by the Company | Management | No Action | |||||||||
| e | To consider and vote regarding the Santana Share Merger | Management | No Action | |||||||||
| f | To consider and vote regarding the increase of the share capital of the Company resulting from the Santana Share Merger, as well as the consequent amendment of the main part of article 5 of its corporate bylaws as a result of that increase in the share capital and of the share capital increases carried out within the limit of the authorized capital that were approved at meetings of the Board of Directors of the Company held on July 25, 2012, as corrected on August 31, 2012, and March 14, 2013 | Management | No Action | |||||||||
| g | To consider and vote regarding the amendment of article 6 of the corporate bylaws of the Company, for the purpose of reflecting the new amount of the authorized share capital of the Company, taking into account the share capital increases carried out within the limit of the authorized capital approved at the meetings of the Board of Directors of the Company held on July 25, 2012, as corrected on August 31, 2012, and March 14, 2013 | Management | No Action | |||||||||
| h | To consider and vote regarding the amendment of the corporate name of the Company to Brasil Pharma S.A., and the consequent amendment of the main part of article 1 of the corporate bylaws of the Company | Management | No Action | |||||||||
| i | To consider and vote regarding the amendment and consolidation of the corporate bylaws of the Company, as a result of the resolutions above | Management | No Action | |||||||||
| j | To authorize the managers of the Company to do all the acts that are necessary for the formalization of the resolutions above, including the Santana Share Merger and other matters that are approved | Management | No Action | |||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO POSTPONEMENT OF MEETING FROM 30 APR-TO 13 MAY 2013. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN-THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK Y-OU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 284062 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 183,320 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 284063 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 300,666 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 284064 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 790,115 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| SELECT INCOME REIT | ||||||||
| Security | 81618T100 | Meeting Type | Annual | |||||
| Ticker Symbol | SIR | Meeting Date | 13-May-2013 | |||||
| ISIN | US81618T1007 | Agenda | 933737302 - Management | |||||
| Record Date | 19-Feb-2013 | Holding Recon Date | 19-Feb-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 10-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO ELECT THE NOMINEE NAMED IN OUR PROXY STATEMENT TO OUR BOARD OF TRUSTEES AS THE INDEPENDENT TRUSTEE IN CLASS I: JEFFREY P. SOMERS | Management | For | For | ||||||||
| 2. | TO ELECT THE NOMINEE NAMED IN OUR PROXY STATEMENT TO OUR BOARD OF TRUSTEES AS THE MANAGING TRUSTEE IN CLASS I: BARRY M. PORTNOY | Management | For | For | ||||||||
| 3. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 18,300 | 0 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 29,700 | 0 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 77,000 | 0 | 05-Mar-2013 | 05-Mar-2013 | |||||||||||
| ANADARKO PETROLEUM CORPORATION | ||||||||
| Security | 032511107 | Meeting Type | Annual | |||||
| Ticker Symbol | APC | Meeting Date | 14-May-2013 | |||||
| ISIN | US0325111070 | Agenda | 933764715 - Management | |||||
| Record Date | 19-Mar-2013 | Holding Recon Date | 19-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 13-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: KEVIN P. CHILTON | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: LUKE R. CORBETT | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: H. PAULETT EBERHART | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: PETER J. FLUOR | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: RICHARD L. GEORGE | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: PRESTON M. GEREN III | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: CHARLES W. GOODYEAR | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JOHN R. GORDON | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: ERIC D. MULLINS | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: PAULA ROSPUT REYNOLDS | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: R. A. WALKER | Management | For | For | ||||||||
| 2. | RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT AUDITOR. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 4. | STOCKHOLDER PROPOSAL - REPORT ON POLITICAL CONTRIBUTIONS. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 7,806 | 7,300 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,938 | 30,000 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 29,194 | 34,600 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| WYNDHAM WORLDWIDE CORPORATION | ||||||||
| Security | 98310W108 | Meeting Type | Annual | |||||
| Ticker Symbol | WYN | Meeting Date | 14-May-2013 | |||||
| ISIN | US98310W1080 | Agenda | 933764880 - Management | |||||
| Record Date | 15-Mar-2013 | Holding Recon Date | 15-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 13-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 BRIAN MULRONEY | For | For | ||||||||||
| 2 MICHAEL H. WARGOTZ | For | For | ||||||||||
| 2. | ADVISORY VOTE TO APPROVE THE WYNDHAM WORLDWIDE CORPORATION EXECUTIVE COMPENSATION PROGRAM. | Management | For | For | ||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP TO SERVE AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 24,800 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 45,300 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 104,800 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| MORGAN STANLEY | ||||||||
| Security | 617446448 | Meeting Type | Annual | |||||
| Ticker Symbol | MS | Meeting Date | 14-May-2013 | |||||
| ISIN | US6174464486 | Agenda | 933767228 - Management | |||||
| Record Date | 18-Mar-2013 | Holding Recon Date | 18-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 13-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: ERSKINE B. BOWLES | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: HOWARD J. DAVIES | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: THOMAS H. GLOCER | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: JAMES P. GORMAN | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: ROBERT H. HERZ | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: C. ROBERT KIDDER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: KLAUS KLEINFELD | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: DONALD T. NICOLAISEN | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: HUTHAM S. OLAYAN | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: JAMES W. OWENS | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: O. GRIFFITH SEXTON | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: RYOSUKE TAMAKOSHI | Management | For | For | ||||||||
| 1M. | ELECTION OF DIRECTOR: MASAAKI TANAKA | Management | For | For | ||||||||
| 1N. | ELECTION OF DIRECTOR: LAURA D. TYSON | Management | For | For | ||||||||
| 2. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT AUDITOR | Management | For | For | ||||||||
| 3. | TO APPROVE THE COMPENSATION OF EXECUTIVES AS DISCLOSED IN THE PROXY STATEMENT (NON-BINDING ADVISORY RESOLUTION) | Management | For | For | ||||||||
| 4. | TO AMEND THE 2007 EQUITY INCENTIVE COMPENSATION PLAN TO INCREASE SHARES AVAILABLE FOR GRANT | Management | For | For | ||||||||
| 5. | TO AMEND THE 2007 EQUITY INCENTIVE COMPENSATION PLAN TO PROVIDE FOR QUALIFYING PERFORMANCE-BASED LONG- TERM INCENTIVE AWARDS UNDER SECTION 162(M) | Management | For | For | ||||||||
| 6. | TO AMEND THE SECTION 162(M) PERFORMANCE FORMULA GOVERNING ANNUAL INCENTIVE COMPENSATION FOR CERTAIN OFFICERS | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 49,058 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 97,415 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 207,447 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| CATAMARAN CORPORATION | ||||||||
| Security | 148887102 | Meeting Type | Annual | |||||
| Ticker Symbol | CTRX | Meeting Date | 14-May-2013 | |||||
| ISIN | CA1488871023 | Agenda | 933769880 - Management | |||||
| Record Date | 25-Mar-2013 | Holding Recon Date | 25-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 13-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 MARK THIERER |
For | For | ||||||||||
| 2 PETER BENSEN |
For | For | ||||||||||
| 3 STEVEN COSLER |
For | For | ||||||||||
| 4 WILLIAM DAVIS |
For | For | ||||||||||
| 5 STEVEN EPSTEIN |
For | For | ||||||||||
| 6 BETSY HOLDEN |
For | For | ||||||||||
| 7 KAREN KATEN |
For | For | ||||||||||
| 8 HARRY KRAEMER |
For | For | ||||||||||
| 9 ANTHONY MASSO |
For | For | ||||||||||
| 2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION, AS DISCLOSED IN THE COMPANY’S PROXY CIRCULAR AND PROXY STATEMENT. | Management | For |
For | ||||||||
| 3. | TO APPOINT KPMG LLP AS AUDITORS OF THE COMPANY AND TO AUTHORIZE THE BOARD OF DIRECTORS TO FIX THE AUDITOR’S REMUNERATION AND TERMS OF ENGAGEMENT. | Management | For |
For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 13,300 | 0 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 4,200 | 20,000 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 3,700 | 52,500 | 02-Apr-2013 | 02-Apr-2013 | |||||||||||
| WELLPOINT, INC. | ||||||||
| Security | 94973V107 | Meeting Type | Annual | |||||
| Ticker Symbol | WLP | Meeting Date | 15-May-2013 | |||||
| ISIN | US94973V1070 | Agenda | 933767038 - Management | |||||
| Record Date | 15-Mar-2013 | Holding Recon Date | 15-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 14-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: SHEILA P. BURKE | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: GEORGE A. SCHAEFER, JR. | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: JOSEPH R. SWEDISH | Management | For | For | ||||||||
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3 | ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4 | IF PROPERLY PRESENTED AT THE MEETING, TO VOTE ON A SHAREHOLDER PROPOSAL TO REQUIRE SEMI-ANNUAL REPORTING ON POLITICAL CONTRIBUTIONS AND EXPENDITURES. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 12,300 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 22,800 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 52,300 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| HALLIBURTON COMPANY | ||||||||
| Security | 406216101 | Meeting Type | Annual | |||||
| Ticker Symbol | HAL | Meeting Date | 15-May-2013 | |||||
| ISIN | US4062161017 | Agenda | 933767317 - Management | |||||
| Record Date | 18-Mar-2013 | Holding Recon Date | 18-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 14-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: A.M. BENNETT | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: J.R. BOYD | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: M. CARROLL | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: N.K. DICCIANI | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: M.S. GERBER | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: J.C. GRUBISICH | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: A.S. JUM’AH | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: D.J. LESAR | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: R.A. MALONE | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: J.L. MARTIN | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: D.L. REED | Management | For | For | ||||||||
| 2. | PROPOSAL FOR RATIFICATION OF THE SELECTION OF AUDITORS. | Management | For | For | ||||||||
| 3. | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | PROPOSAL TO AMEND AND RESTATE THE HALLIBURTON COMPANY STOCK AND INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | PROPOSAL ON HUMAN RIGHTS POLICY. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 20,300 | 18,700 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 73,500 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 165,300 | 0 | 03-Apr-2013 | 03-Apr-2013 | |||||||||||
| AMERICAN INTERNATIONAL GROUP, INC. | ||||||||
| Security | 026874784 | Meeting Type | Annual | |||||
| Ticker Symbol | AIG | Meeting Date | 15-May-2013 | |||||
| ISIN | US0268747849 | Agenda | 933772560 - Management | |||||
| Record Date | 20-Mar-2013 | Holding Recon Date | 20-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 14-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: ROBERT H. BENMOSCHE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: W. DON CORNWELL | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JOHN H. FITZPATRICK | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: WILLIAM G. JURGENSEN | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: CHRISTOPHER S. LYNCH | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: ARTHUR C. MARTINEZ | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: GEORGE L. MILES, JR. | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: HENRY S. MILLER | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: ROBERT S. MILLER | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: RONALD A. RITTENMEYER | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: DOUGLAS M. STEENLAND | Management | For | For | ||||||||
| 1M. | ELECTION OF DIRECTOR: THERESA M. STONE | Management | For | For | ||||||||
| 2. | TO APPROVE THE AMERICAN INTERNATIONAL GROUP, INC. 2013 OMNIBUS INCENTIVE PLAN. | Management | For | For | ||||||||
| 3. | TO VOTE UPON A NON-BINDING SHAREHOLDER RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF FUTURE EXECUTIVE COMPENSATION VOTES. | Management | 1 Year | For | ||||||||
| 5. | TO ACT UPON A PROPOSAL TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS AIG’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 6. | TO ACT UPON A SHAREHOLDER PROPOSAL RELATING TO RESTRICTING SERVICE ON OTHER BOARDS BY DIRECTORS OF AIG. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 87,220 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 40,282 | 159,000 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 86,276 | 255,600 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 132,420 | 623,000 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| DIAMOND OFFSHORE DRILLING, INC. | ||||||||
| Security | 25271C102 | Meeting Type | Annual | |||||
| Ticker Symbol | DO | Meeting Date | 15-May-2013 | |||||
| ISIN | US25271C1027 | Agenda | 933772902 - Management | |||||
| Record Date | 25-Mar-2013 | Holding Recon Date | 25-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 14-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: JAMES S. TISCH | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: LAWRENCE R. DICKERSON | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: JOHN R. BOLTON | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: CHARLES L. FABRIKANT | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: PAUL G. GAFFNEY II | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: EDWARD GREBOW | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: HERBERT C. HOFMANN | Management | For | For | ||||||||
| 1H | ELECTION OF DIRECTOR: CLIFFORD M. SOBEL | Management | For | For | ||||||||
| 1I | ELECTION OF DIRECTOR: ANDREW H. TISCH | Management | For | For | ||||||||
| 1J | ELECTION OF DIRECTOR: RAYMOND S. TROUBH | Management | For | For | ||||||||
| 2 | RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT AUDITORS OF THE COMPANY FOR FISCAL YEAR 2013. | Management | For | For | ||||||||
| 3 | TO APPROVE, ON AN ADVISORY BASIS, EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 153 | 15,900 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 100 | 26,300 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 67,694 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| ON SEMICONDUCTOR CORPORATION | ||||||||
| Security | 682189105 | Meeting Type | Annual | |||||
| Ticker Symbol | ONNN | Meeting Date | 15-May-2013 | |||||
| ISIN | US6821891057 | Agenda | 933782799 - Management | |||||
| Record Date | 28-Mar-2013 | Holding Recon Date | 28-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 14-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | For | For/Against Management |
||||||||
| 1.1 | ELECTION OF DIRECTOR: J. DANIEL MCCRANIE | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: EMMANUEL T. HERNANDEZ | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: TERESA M. RESSEL | Management | For | For | ||||||||
| 2. | ADVISORY (NON-BINDING) RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 3. | RATIFY PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 4. | TO APPROVE AN AMENDMENT TO THE 2000 EMPLOYEE STOCK PURCHASE PLAN TO INCREASE THE NUMBER OF SHARES ISSUABLE THEREUNDER | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 27,415 | 195,000 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 434,372 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 741,271 | 200,000 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| OIL STATES INTERNATIONAL, INC. | ||||||||
| Security | 678026105 | Meeting Type | Annual | |||||
| Ticker Symbol | OIS | Meeting Date | 15-May-2013 | |||||
| ISIN | US6780261052 | Agenda | 933789539 - Management | |||||
| Record Date | 26-Mar-2013 | Holding Recon Date | 26-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 14-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 MARTIN A. LAMBERT |
For | For | ||||||||||
| 2 MARK G. PAPA |
For | For | ||||||||||
| 3 STEPHEN A. WELLS |
For | For | ||||||||||
| 2. | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE CURRENT YEAR. | Management | For | For | ||||||||
| 3. | PROPOSAL TO APPROVE THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | PROPOSAL TO APPROVE THE EQUITY PARTICIPATION PLAN AMENDMENT PROPOSAL. | Management | For | For | ||||||||
| 5. | IN THE DISCRETION OF THE PROXIES ON ANY OTHER MATTERS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENTS(S) THEREOF. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 9,774 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 15,730 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 4,036 | 37,000 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| GEELY AUTOMOBILE HOLDINGS LTD, GEORGE TOWN | ||||||||
| Security | G3777B103 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 16-May-2013 | ||||||
| ISIN | KYG3777B1032 | Agenda | 704461970 - Management | |||||
| Record Date | 13-May-2013 | Holding Recon Date | 13-May-2013 | |||||
| City / Country | HONG KONG / Cayman Islands | Vote Deadline Date | 02-May-2013 | |||||
| SEDOL(s) | 6531827 - B02V7T8 - B06GCL6 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR-ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0327/LTN20130327696.pdf-and- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0327/LTN20130327690.pdf | Non-Voting | ||||||||||
| 1 | To receive and consider the report of the directors, audited financial statements and auditors’ report for the year ended 31 December 2012 | Management | For | For | ||||||||
| 2 | To declare a final dividend for the year ended 31 December 2012 | Management | For | For | ||||||||
| 3 | To re-elect Mr. Li Shu Fu as an executive director | Management | For | For | ||||||||
| 4 | To re-elect Mr. Yang Jian as an executive director | Management | For | For | ||||||||
| 5 | To re-elect Mr. Gui Sheng Yue as an executive director | Management | For | For | ||||||||
| 6 | To re-elect Dr. Zhao Fuquan as an executive director | Management | For | For | ||||||||
| 7 | To re-elect Ms. Wei Mei as an executive director | Management | For | For | ||||||||
| 8 | To re-elect Mr. Carl Peter Edmund Moriz Forster as a non-executive director | Management | For | For | ||||||||
| 9 | To authorise the board of directors of the Company to fix the remuneration of the directors | Management | For | For | ||||||||
| 10 | To re-appoint Grant Thornton Hong Kong Limited as the auditors of the Company and to authorise the board of directors of the Company to fix their remuneration | Management | For | For | ||||||||
| 11 | To grant a general mandate to the directors to repurchase the Company’s shares | Management | For | For | ||||||||
| 12 | To grant a general mandate to the directors to issue, allot and otherwise deal with the Company’s shares | Management | For | For | ||||||||
| 13 | To extend the general mandate to allot and issue new shares | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 8,410,000 | 0 | 30-Apr-2013 | 14-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,990,000 | 0 | 30-Apr-2013 | 14-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 3,275,000 | 0 | 30-Apr-2013 | 14-May-2013 | |||||||||||
| COVANTA HOLDING CORPORATION | ||||||||
| Security | 22282E102 | Meeting Type | Annual | |||||
| Ticker Symbol | CVA | Meeting Date | 16-May-2013 | |||||
| ISIN | US22282E1029 | Agenda | 933759423 - Management | |||||
| Record Date | 19-Mar-2013 | Holding Recon Date | 19-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 15-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 DAVID M. BARSE |
For | For | ||||||||||
| 2 RONALD J. BROGLIO |
For | For | ||||||||||
| 3 PETER C.B. BYNOE |
For | For | ||||||||||
| 4 LINDA J. FISHER |
For | For | ||||||||||
| 5 JOSEPH M. HOLSTEN |
For | For | ||||||||||
| 6 ANTHONY J. ORLANDO |
For | For | ||||||||||
| 7 WILLIAM C. PATE |
For | For | ||||||||||
| 8 ROBERT S. SILBERMAN |
For | For | ||||||||||
| 9 JEAN SMITH |
For | For | ||||||||||
| 10 SAMUEL ZELL |
For | For | ||||||||||
| 2. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS COVANTA HOLDING CORPORATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE 2013 FISCAL YEAR. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 54,500 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 106,700 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 230,700 | 0 | 01-Apr-2013 | 01-Apr-2013 | |||||||||||
| AETNA INC. | ||||||||
| Security | 00817Y108 | Meeting Type | Annual | |||||
| Ticker Symbol | AET | Meeting Date | 17-May-2013 | |||||
| ISIN | US00817Y1082 | Agenda | 933769260 - Management | |||||
| Record Date | 15-Mar-2013 | Holding Recon Date | 15-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 16-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: FERNANDO AGUIRRE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: MARK T. BERTOLINI | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: FRANK M. CLARK | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: BETSY Z. COHEN | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: MOLLY J. COYE, M.D. | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: ROGER N. FARAH | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: BARBARA HACKMAN FRANKLIN | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JEFFREY E. GARTEN | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: ELLEN M. HANCOCK | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: RICHARD J. HARRINGTON | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: EDWARD J. LUDWIG | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: JOSEPH P. NEWHOUSE | Management | For | For | ||||||||
| 2. | APPROVAL OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | APPROVAL OF THE PROPOSED AMENDMENT TO THE AMENDED AETNA INC. 2010 STOCK INCENTIVE PLAN | Management | For | For | ||||||||
| 4. | APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION ON A NON-BINDING ADVISORY BASIS | Management | For | For | ||||||||
| 5. | SHAREHOLDER PROPOSAL ON INDEPENDENT BOARD CHAIR | Shareholder | Against | For | ||||||||
| 6. | SHAREHOLDER PROPOSAL ON SIMPLE MAJORITY VOTE | Shareholder | Against | For | ||||||||
| 7. | SHAREHOLDER PROPOSAL ON POLITICAL CONTRIBUTIONS - BOARD OVERSIGHT | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 4,051 | 18,500 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 19,513 | 17,100 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 82,762 | 12,700 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| TRANSOCEAN, LTD. | ||||||||
| Security | H8817H100 | Meeting Type | Contested-Annual | |||||
| Ticker Symbol | RIG | Meeting Date | 17-May-2013 | |||||
| ISIN | CH0048265513 | Agenda | 933786735 - Management | |||||
| Record Date | 20-Mar-2013 | Holding Recon Date | 20-Mar-2013 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 16-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | APPROVAL OF THE 2012 ANNUAL REPORT, INCLUDING THE CONSOLIDATED FINANCIAL STATEMENT OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012. | Management | For | For | ||||||||
| 2 | APPROPRIATION OF THE AVAILABLE EARNINGS FOR FISCAL YEAR 2012. | Management | For | For | ||||||||
| 3A | APPROVAL OF THE COMPANY’S PAYMENT OF A DIVIDEND IN PRINCIPLE. | Management | For | For | ||||||||
| 3B1 | COMPANY DISTRIBUTION PROPOSAL, IN AN AMOUNT OF USD 2.24 PER SHARE. MARK EITHER 3B1 OR 3B2 BUT NOT BOTH (IF YOU VOTE FOR BOTH 3B1 AND 3B2 YOUR VOTE WILL BE INVALID AND WILL NOT BE COUNTED). | Management | For | For | ||||||||
| 3B2 | ICAHN GROUP DISTRIBUTION PROPOSAL, IN AN AMOUNT OF USD 4.00 PER SHARE. MARK EITHER 3B1 OR 3B2 BUT NOT BOTH (IF YOU VOTE FOR BOTH 3B1 AND 3B2 YOUR VOTE WILL BE INVALID AND WILL NOT BE COUNTED). | Management | No Action | |||||||||
| 4 | READOPTION OF AUTHORIZED SHARE CAPITAL, ALLOWING THE BOARD OF DIRECTORS TO ISSUE UP TO A MAXIMUM OF 74,728,750 SHARES OF THE COMPANY. | Management | For | For | ||||||||
| 5 | REPEAL OF STAGGERED BOARD. | Management | Abstain | |||||||||
| 6A | ELECTION OF COMPANY NOMINEE: FREDERICO F. CURADO COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | For | For | ||||||||
| 6B | ELECTION OF COMPANY NOMINEE: STEVEN L. NEWMAN COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | For | For | ||||||||
| 6C | ELECTION OF COMPANY NOMINEE: THOMAS W. CASON COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | For | For | ||||||||
| 6D | ELECTION OF COMPANY NOMINEE: ROBERT M. SPRAGUE COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | For | For | ||||||||
| 6E | ELECTION OF COMPANY NOMINEE: J. MICHAEL TALBERT COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | For | For | ||||||||
| 6F | ELECTION OF ICAHN GROUP NOMINEE: JOHN J. LIPINSKI COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | Against | For | ||||||||
| 6G | ELECTION OF ICAHN GROUP NOMINEE: JOSE MARIA ALAPONT COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | Against | For | ||||||||
| 6H | ELECTION OF ICAHN GROUP NOMINEE: SAMUEL MERKSAMER COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | Against | For | ||||||||
| 7 | APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND REELECTION OF ERNST & YOUNG LTD., ZURICH, AS THE COMPANY’S AUDITOR FOR A FURTHER ONE- YEAR TERM. | Management | For | For | ||||||||
| 8 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 40,600 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 10,822 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 22,701 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 46,006 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| TRANSOCEAN, LTD. | ||||||||
| Security | H8817H100 | Meeting Type | Contested-Annual | |||||
| Ticker Symbol | RIG | Meeting Date | 17-May-2013 | |||||
| ISIN | CH0048265513 | Agenda | 933786735 - Management | |||||
| Record Date | 20-Mar-2013 | Holding Recon Date | 20-Mar-2013 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 16-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | APPROVAL OF THE 2012 ANNUAL REPORT, INCLUDING THE CONSOLIDATED FINANCIAL STATEMENT OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012. | Management | ||||||||||
| 2 | APPROPRIATION OF THE AVAILABLE EARNINGS FOR FISCAL YEAR 2012. | Management | ||||||||||
| 3A | APPROVAL OF THE COMPANY’S PAYMENT OF A DIVIDEND IN PRINCIPLE. | Management | ||||||||||
| 3B1 | COMPANY DISTRIBUTION PROPOSAL, IN AN AMOUNT OF USD 2.24 PER SHARE. MARK EITHER 3B1 OR 3B2 BUT NOT BOTH (IF YOU VOTE FOR BOTH 3B1 AND 3B2 YOUR VOTE WILL BE INVALID AND WILL NOT BE COUNTED). | Management | ||||||||||
| 3B2 | ICAHN GROUP DISTRIBUTION PROPOSAL, IN AN AMOUNT OF USD 4.00 PER SHARE. MARK EITHER 3B1 OR 3B2 BUT NOT BOTH (IF YOU VOTE FOR BOTH 3B1 AND 3B2 YOUR VOTE WILL BE INVALID AND WILL NOT BE COUNTED). | Management | ||||||||||
| 4 | READOPTION OF AUTHORIZED SHARE CAPITAL, ALLOWING THE BOARD OF DIRECTORS TO ISSUE UP TO A MAXIMUM OF 74,728,750 SHARES OF THE COMPANY. | Management | ||||||||||
| 5 | REPEAL OF STAGGERED BOARD. | Management | ||||||||||
| 6A | ELECTION OF COMPANY NOMINEE: FREDERICO F. CURADO COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6B | ELECTION OF COMPANY NOMINEE: STEVEN L. NEWMAN COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6C | ELECTION OF COMPANY NOMINEE: THOMAS W. CASON COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6D | ELECTION OF COMPANY NOMINEE: ROBERT M. SPRAGUE COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6E | ELECTION OF COMPANY NOMINEE: J. MICHAEL TALBERT COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6F | ELECTION OF ICAHN GROUP NOMINEE: JOHN J. LIPINSKI COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6G | ELECTION OF ICAHN GROUP NOMINEE: JOSE MARIA ALAPONT COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6H | ELECTION OF ICAHN GROUP NOMINEE: SAMUEL MERKSAMER COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 7 | APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND REELECTION OF ERNST & YOUNG LTD., ZURICH, AS THE COMPANY’S AUDITOR FOR A FURTHER ONE- YEAR TERM. | Management | ||||||||||
| 8 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 40,600 | 0 | |||||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 10,822 | 0 | |||||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 22,701 | 0 | |||||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 46,006 | 0 | |||||||||||||
| TRANSOCEAN, LTD. | ||||||||
| Security | H8817H100 | Meeting Type | Contested-Annual | |||||
| Ticker Symbol | RIG | Meeting Date | 17-May-2013 | |||||
| ISIN | CH0048265513 | Agenda | 933805193 - Opposition | |||||
| Record Date | 20-Mar-2013 | Holding Recon Date | 20-Mar-2013 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 16-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | APPROVAL OF THE 2012 ANNUAL REPORT, INCLUDING THE CONSOLIDATED FINANCIAL STATEMENT OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012. | Management | ||||||||||
| 2 | APPROPRIATION OF THE AVAILABLE EARNINGS FOR FISCAL YEAR 2012. | Management | ||||||||||
| 3A | APPROVAL OF THE COMPANY’S PAYMENT OF A DIVIDEND IN PRINCIPLE. | Management | ||||||||||
| 3B1 | COMPANY DISTRIBUTION PROPOSAL IN AN AMOUNT OF USD 2.24 PER SHARE MARK EITHER 3B1 OR 3B2 BUT NOT BOTH. | Management | ||||||||||
| 3B2 | ICAHN GROUP DISTRIBUTION PROPOSAL IN AN AMOUNT OF USD 4.00 PER SHARE. MARK EITHER 3B1 OR 3B2 BUT NOT BOTH. | Management | ||||||||||
| 4 | READOPTION OF AUTHORIZED SHARE CAPITAL ALLOWING THE BOARD OF DIRECTORS TO ISSUE UP TO A MAXIMUM OF 74,728,750 SHARES OF THE COMPANY | Management | ||||||||||
| 5 | REPEAL OF STAGGERED BOARD. | Management | ||||||||||
| 6A | FREDERICO F. CURADO: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6B | STEVEN L. NEWMAN: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6C | THOMAS W. CASON: ICAHN GROUP RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6D | ROBERT M. SPRAGUE: ICAHN GROUP RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6E | J. MICHAEL TALBERT: ICAHN GROUP RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6F | JOHN J. LIPINSKI: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6G | JOSE MARIA ALAPONT: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6H | SAMUEL MERKSAMER: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 7 | APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND REELECTION OF ERNST & YOUNG LTD., ZURICH, AS THE COMPANY’S AUDITOR FOR A FURTHER ONE- YEAR TERM. | Management | ||||||||||
| 8 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 40,600 | 0 | |||||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 10,822 | 0 | |||||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 22,701 | 0 | |||||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 46,006 | 0 | |||||||||||||
| TRANSOCEAN, LTD. | ||||||||
| Security | H8817H100 | Meeting Type | Contested-Annual | |||||
| Ticker Symbol | RIG | Meeting Date | 17-May-2013 | |||||
| ISIN | CH0048265513 | Agenda | 933816881 - Management | |||||
| Record Date | 30-Apr-2013 | Holding Recon Date | 30-Apr-2013 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 16-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | APPROVAL OF THE 2012 ANNUAL REPORT, INCLUDING THE CONSOLIDATED FINANCIAL STATEMENT OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012. | Management | ||||||||||
| 2 | APPROPRIATION OF THE AVAILABLE EARNINGS FOR FISCAL YEAR 2012. | Management | ||||||||||
| 3A | APPROVAL OF THE COMPANY’S PAYMENT OF A DIVIDEND IN PRINCIPLE. | Management | ||||||||||
| 3B1 | COMPANY DISTRIBUTION PROPOSAL, IN AN AMOUNT OF USD 2.24 PER SHARE. MARK EITHER 3B1 OR 3B2 BUT NOT BOTH (IF YOU VOTE FOR BOTH 3B1 AND 3B2 YOUR VOTE WILL BE INVALID AND WILL NOT BE COUNTED). | Management | ||||||||||
| 3B2 | ICAHN GROUP DISTRIBUTION PROPOSAL, IN AN AMOUNT OF USD 4.00 PER SHARE. MARK EITHER 3B1 OR 3B2 BUT NOT BOTH (IF YOU VOTE FOR BOTH 3B1 AND 3B2 YOUR VOTE WILL BE INVALID AND WILL NOT BE COUNTED). | Management | ||||||||||
| 4 | READOPTION OF AUTHORIZED SHARE CAPITAL, ALLOWING THE BOARD OF DIRECTORS TO ISSUE UP TO A MAXIMUM OF 74,728,750 SHARES OF THE COMPANY. | Management | ||||||||||
| 5 | REPEAL OF STAGGERED BOARD. | Management | ||||||||||
| 6A | ELECTION OF COMPANY NOMINEE: FREDERICO F. CURADO COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6B | ELECTION OF COMPANY NOMINEE: STEVEN L. NEWMAN COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6C | ELECTION OF COMPANY NOMINEE: THOMAS W. CASON COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6D | ELECTION OF COMPANY NOMINEE: ROBERT M. SPRAGUE COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6E | ELECTION OF COMPANY NOMINEE: J. MICHAEL TALBERT COMPANY MANAGEMENT RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Management | ||||||||||
| 6F | ELECTION OF ICAHN GROUP NOMINEE: JOHN J. LIPINSKI COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Shareholder | ||||||||||
| 6G | ELECTION OF ICAHN GROUP NOMINEE: JOSE MARIA ALAPONT COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Shareholder | ||||||||||
| 6H | ELECTION OF ICAHN GROUP NOMINEE: SAMUEL MERKSAMER COMPANY MANAGEMENT RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. (IF YOU VOTE FOR MORE THAN FIVE NOMINEES, ALL OF YOUR VOTES ON PROPOSAL 6 WILL BE INVALID AND WILL NOT BE COUNTED; YOU MAY ALSO VOTE AGAINST OR ABSTAIN FROM VOTING FOR ANY OF THE REMAINING THREE CANDIDATES) | Shareholder | ||||||||||
| 7 | APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND REELECTION OF ERNST & YOUNG LTD., ZURICH, AS THE COMPANY’S AUDITOR FOR A FURTHER ONE- YEAR TERM. | Management | ||||||||||
| 8 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 40,600 | 0 | |||||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 8,622 | 0 | |||||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 18,201 | 0 | |||||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 28,706 | 0 | |||||||||||||
| TRANSOCEAN, LTD. | ||||||||
| Security | H8817H100 | Meeting Type | Contested-Annual | |||||
| Ticker Symbol | RIG | Meeting Date | 17-May-2013 | |||||
| ISIN | CH0048265513 | Agenda | 933820599 - Opposition | |||||
| Record Date | 30-Apr-2013 | Holding Recon Date | 30-Apr-2013 | |||||
| City / Country | / Switzerland | Vote Deadline Date | 16-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | APPROVAL OF THE 2012 ANNUAL REPORT, INCLUDING THE CONSOLIDATED FINANCIAL STATEMENT OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF TRANSOCEAN LTD. FOR FISCAL YEAR 2012. | Management | ||||||||||
| 2 | APPROPRIATION OF THE AVAILABLE EARNINGS FOR FISCAL YEAR 2012. | Management | ||||||||||
| 3A | APPROVAL OF THE COMPANY’S PAYMENT OF A DIVIDEND IN PRINCIPLE. | Management | ||||||||||
| 3B1 | COMPANY DISTRIBUTION PROPOSAL IN AN AMOUNT OF USD 2.24 PER SHARE MARK EITHER 3B1 OR 3B2 BUT NOT BOTH. | Shareholder | ||||||||||
| 3B2 | ICAHN GROUP DISTRIBUTION PROPOSAL IN AN AMOUNT OF USD 4.00 PER SHARE. MARK EITHER 3B1 OR 3B2 BUT NOT BOTH. | Management | ||||||||||
| 4 | READOPTION OF AUTHORIZED SHARE CAPITAL ALLOWING THE BOARD OF DIRECTORS TO ISSUE UP TO A MAXIMUM OF 74,728,750 SHARES OF THE COMPANY. | Shareholder | ||||||||||
| 5 | REPEAL OF STAGGERED BOARD. | Management | ||||||||||
| 6A | FREDERICO F. CURADO: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6B | STEVEN L. NEWMAN: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6C | THOMAS W. CASON: ICAHN GROUP RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Shareholder | ||||||||||
| 6D | ROBERT M. SPRAGUE: ICAHN GROUP RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Shareholder | ||||||||||
| 6E | J. MICHAEL TALBERT: ICAHN GROUP RECOMMENDS A VOTE “AGAINST” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Shareholder | ||||||||||
| 6F | JOHN J. LIPINSKI: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6G | JOSE MARIA ALAPONT: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 6H | SAMUEL MERKSAMER: ICAHN GROUP RECOMMENDS A VOTE “FOR” THIS NOMINEE; PLEASE NOTE: YOU CAN ONLY VOTE “FOR” ON 5 OF THE 8 NOMINEES LISTED IN PROPOSALS 6A - 6H. | Management | ||||||||||
| 7 | APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND REELECTION OF ERNST & YOUNG LTD., ZURICH, AS THE COMPANY’S AUDITOR FOR A FURTHER ONE- YEAR TERM. | Management | ||||||||||
| 8 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 40,600 | 0 | |||||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 8,622 | 0 | |||||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 18,201 | 0 | |||||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 28,706 | 0 | |||||||||||||
| ENSCO PLC | ||||||||
| Security | G3157S106 | Meeting Type | Annual | |||||
| Ticker Symbol | ESV | Meeting Date | 20-May-2013 | |||||
| ISIN | GB00B4VLR192 | Agenda | 933777320 - Management | |||||
| Record Date | 28-Mar-2013 | Holding Recon Date | 28-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 17-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO RE-ELECT FRANCIS S. KALMAN AS A DIRECTOR OF ENSCO PLC. | Management | For | For | ||||||||
| 2. | TO ELECT ROXANNE J. DECYK AS A DIRECTOR OF ENSCO PLC. | Management | For | For | ||||||||
| 3. | TO ELECT MARY FRANCIS CBE AS A DIRECTOR OF ENSCO PLC. | Management | For | For | ||||||||
| 4. | TO RATIFY THE AUDIT COMMITTEE’S APPOINTMENT OF KPMG LLP AS OUR U.S. INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED 31 DECEMBER 2013. | Management | For | For | ||||||||
| 5. | TO RE-APPOINT KPMG AUDIT PLC AS OUR U.K. STATUTORY AUDITORS UNDER THE U.K. COMPANIES ACT 2006 (TO HOLD OFFICE FROM THE CONCLUSION OF THE MEETING UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY). | Management | For | For | ||||||||
| 6. | TO AUTHORIZE THE AUDIT COMMITTEE TO DETERMINE OUR U.K. STATUTORY AUDITORS’ REMUNERATION. | Management | For | For | ||||||||
| 7. | A NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 8. | A NON-BINDING VOTE TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE YEAR ENDED 31 DECEMBER 2012. | Management | For | For | ||||||||
| 9. | A NON-BINDING ADVISORY VOTE TO APPROVE THE REPORTS OF THE AUDITORS AND THE DIRECTORS AND THE U.K. STATUTORY ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2012. | Management | For | For | ||||||||
| 10. | TO ADOPT THE ARTICLES OF ASSOCIATION (PRODUCED AT THE MEETING AND INITIALED BY THE CHAIRMAN FOR THE PURPOSE OF IDENTIFICATION) AS THE ARTICLES OF ASSOCIATION OF THE COMPANY, IN SUBSTITUTION FOR AND TO THE EXCLUSION OF THE EXISTING ARTICLES OF ASSOCIATION, WITH EFFECT FROM THE CONCLUSION OF THIS MEETING, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| 11. | TO (I) APPROVE THE TERMS OF THE PROPOSED PURCHASE AGREEMENT OR AGREEMENTS AND (II) AUTHORISE THE COMPANY TO MAKE OFF-MARKET PURCHASES OF CLASS A ORDINARY SHARES PURSUANT TO SUCH AGREEMENT OR AGREEMENTS, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 44,800 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 7,200 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 17,700 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 30,600 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| COMMUNITY HEALTH SYSTEMS, INC. | ||||||||
| Security | 203668108 | Meeting Type | Annual | |||||
| Ticker Symbol | CYH | Meeting Date | 21-May-2013 | |||||
| ISIN | US2036681086 | Agenda | 933777154 - Management | |||||
| Record Date | 22-Mar-2013 | Holding Recon Date | 22-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 20-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: W. LARRY CASH | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: JOHN A. CLERICO | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JAMES S. ELY III | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: JOHN A. FRY | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: WILLIAM NORRIS JENNINGS, M.D. | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: JULIA B. NORTH | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: WAYNE T. SMITH | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: H. MITCHELL WATSON, JR. | Management | For | For | ||||||||
| 2. | PROPOSAL TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 3. | PROPOSAL TO APPROVE THE 2009 STOCK OPTION AND AWARD PLAN, AS AMENDED AND RESTATED MARCH 20, 2013. | Management | For | For | ||||||||
| 4. | PROPOSAL TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 14,707 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 6,806 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 4,202 | 29,000 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 935 | 55,500 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 121 | 125,400 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| JIVE SOFTWARE INC. | ||||||||
| Security | 47760A108 | Meeting Type | Annual | |||||
| Ticker Symbol | JIVE | Meeting Date | 21-May-2013 | |||||
| ISIN | US47760A1088 | Agenda | 933778221 - Management | |||||
| Record Date | 25-Mar-2013 | Holding Recon Date | 25-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 20-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 JAMES J. GOETZ |
For | For | ||||||||||
| 2 WILLIAM A. LANFRI |
For | For | ||||||||||
| 3 TED E. SCHLEIN |
For | For | ||||||||||
| 2 | TO RATIFY THE APPOINTMENT OF KPMG LLP AS JIVE SOFTWARE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3 | TO CONSIDER AN ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 38,120 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 53,100 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 104,900 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 186,480 | 0 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| JPMORGAN CHASE & CO. | ||||||||
| Security | 46625H100 | Meeting Type | Annual | |||||
| Ticker Symbol | JPM | Meeting Date | 21-May-2013 | |||||
| ISIN | US46625H1005 | Agenda | 933779728 - Management | |||||
| Record Date | 22-Mar-2013 | Holding Recon Date | 22-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 20-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: JAMES A. BELL | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: CRANDALL C. BOWLES | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: STEPHEN B. BURKE | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: DAVID M. COTE | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: JAMES S. CROWN | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: JAMES DIMON | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: TIMOTHY P. FLYNN | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: ELLEN V. FUTTER | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: LABAN P. JACKSON, JR. | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: LEE R. RAYMOND | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: WILLIAM C. WELDON | Management | For | For | ||||||||
| 2. | RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
| 3. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
| 4. | AMENDMENT TO THE FIRM’S RESTATED CERTIFICATE OF INCORPORATION TO AUTHORIZE SHAREHOLDER ACTION BY WRITTEN CONSENT | Management | For | For | ||||||||
| 5. | REAPPROVAL OF KEY EXECUTIVE PERFORMANCE PLAN | Management | For | For | ||||||||
| 6. | REQUIRE SEPARATION OF CHAIRMAN AND CEO | Shareholder | Against | For | ||||||||
| 7. | REQUIRE EXECUTIVES TO RETAIN SIGNIFICANT STOCK UNTIL REACHING NORMAL RETIREMENT AGE | Shareholder | Against | For | ||||||||
| 8. | ADOPT PROCEDURES TO AVOID HOLDING OR RECOMMENDING INVESTMENTS THAT CONTRIBUTE TO HUMAN RIGHTS VIOLATIONS | Shareholder | Against | For | ||||||||
| 9. | DISCLOSE FIRM PAYMENTS USED DIRECTLY OR INDIRECTLY FOR LOBBYING, INCLUDING SPECIFIC AMOUNTS AND RECIPIENTS’ NAMES | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 16,049 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 29,688 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 7,845 | 60,000 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| HEALTH MANAGEMENT ASSOCIATES, INC. | ||||||||
| Security | 421933102 | Meeting Type | Annual | |||||
| Ticker Symbol | HMA | Meeting Date | 21-May-2013 | |||||
| ISIN | US4219331026 | Agenda | 933782775 - Management | |||||
| Record Date | 25-Mar-2013 | Holding Recon Date | 25-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 20-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 WILLIAM J. SCHOEN |
For | For | ||||||||||
| 2 GARY D. NEWSOME |
For | For | ||||||||||
| 3 KENT P. DAUTEN |
For | For | ||||||||||
| 4 P.J. GOLDSCHMIDT, M.D. |
For | For | ||||||||||
| 5 DONALD E. KIERNAN |
For | For | ||||||||||
| 6 ROBERT A. KNOX |
For | For | ||||||||||
| 7 VICKI A. O’MEARA |
For | For | ||||||||||
| 8 WILLIAM C. STEERE, JR. |
For | For | ||||||||||
| 9 R.W. WESTERFIELD, PH.D. |
For | For | ||||||||||
| 2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 3. | TO APPROVE THE MATERIAL TERMS OF THE PERFORMANCE GOALS IN OUR AMENDED AND RESTATED 1996 EXECUTIVE INCENTIVE COMPENSATION PLAN FOR COMPLIANCE WITH SECTION 162(M) OF THE INTERNAL REVENUE CODE. | Management | For | For | ||||||||
| 4. | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 5. | STOCKHOLDER PROPOSAL REGARDING THE ISSUANCE OF A SUSTAINABILITY REPORT. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 93,569 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 35,925 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 22,241 | 77,000 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 173 | 125,100 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 173 | 326,200 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| RANGE RESOURCES CORPORATION | ||||||||
| Security | 75281A109 | Meeting Type | Annual | |||||
| Ticker Symbol | RRC | Meeting Date | 22-May-2013 | |||||
| ISIN | US75281A1097 | Agenda | 933779588 - Management | |||||
| Record Date | 26-Mar-2013 | Holding Recon Date | 26-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 21-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: ANTHONY V. DUB | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: V. RICHARD EALES | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: ALLEN FINKELSON | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: JAMES M. FUNK | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: JONATHAN S. LINKER | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: MARY RALPH LOWE | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: KEVIN S. MCCARTHY | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: JOHN H. PINKERTON | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: JEFFREY L. VENTURA | Management | For | For | ||||||||
| 2. | A PROPOSAL TO APPROVE THE COMPENSATION PHILOSOPHY, POLICIES AND PROCEDURES DESCRIBED IN THE COMPENSATION DISCUSSION AND ANALYSIS. | Management | For | For | ||||||||
| 3. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| 4. | STOCKHOLDER PROPOSAL - A PROPOSAL REQUESTING A REPORT REGARDING FUGITIVE METHANE EMISSIONS. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 100 | 11,200 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 100 | 18,300 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,847 | 44,953 | 09-Apr-2013 | 09-Apr-2013 | |||||||||||
| NATIONAL OILWELL VARCO, INC. | ||||||||
| Security | 637071101 | Meeting Type | Annual | |||||
| Ticker Symbol | NOV | Meeting Date | 22-May-2013 | |||||
| ISIN | US6370711011 | Agenda | 933784464 - Management | |||||
| Record Date | 01-Apr-2013 | Holding Recon Date | 01-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 21-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: MERRILL A. MILLER, JR. | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: GREG L. ARMSTRONG | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: BEN A. GUILL | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: DAVID D. HARRISON | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: ROGER L. JARVIS | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: ERIC L. MATTSON | Management | For | For | ||||||||
| 2. | RATIFICATION OF INDEPENDENT AUDITORS. | Management | For | For | ||||||||
| 3. | APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4. | APPROVE AMENDMENTS TO THE NATIONAL OILWELL VARCO, INC. LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | APPROVE THE NATIONAL OILWELL VARCO, INC. ANNUAL CASH INCENTIVE PLAN FOR EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,380 | 21,400 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 165 | 38,282 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 729 | 95,995 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| GRAPHIC PACKAGING HOLDING COMPANY | ||||||||
| Security | 388689101 | Meeting Type | Annual | |||||
| Ticker Symbol | GPK | Meeting Date | 22-May-2013 | |||||
| ISIN | US3886891015 | Agenda | 933785478 - Management | |||||
| Record Date | 25-Mar-2013 | Holding Recon Date | 25-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 21-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 GEORGE V. BAYLY |
For | For | ||||||||||
| 2 DAVID D. CAMPBELL |
For | For | ||||||||||
| 3 HAROLD R. LOGAN, JR. |
For | For | ||||||||||
| 4 DAVID A. PERDUE |
For | For | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 111,500 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 181,200 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 471,500 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| SENSATA TECHNOLOGIES HOLDING N.V. | ||||||||
| Security | N7902X106 | Meeting Type | Annual | |||||
| Ticker Symbol | ST | Meeting Date | 22-May-2013 | |||||
| ISIN | NL0009324904 | Agenda | 933809800 - Management | |||||
| Record Date | 24-Apr-2013 | Holding Recon Date | 24-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 21-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 THOMAS WROE, JR. |
For | For | ||||||||||
| 2 MARTHA SULLIVAN |
For | For | ||||||||||
| 3 LEWIS B. CAMPBELL |
For | For | ||||||||||
| 4 PAUL EDGERLEY |
For | For | ||||||||||
| 5 MICHAEL J. JACOBSON |
For | For | ||||||||||
| 6 JOHN LEWIS |
For | For | ||||||||||
| 7 CHARLES W. PEFFER |
For | For | ||||||||||
| 8 KIRK P. POND |
For | For | ||||||||||
| 9 MICHAEL WARD |
For | For | ||||||||||
| 10 STEPHEN ZIDE |
For | For | ||||||||||
| 2. | RATIFY THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT AUDITOR FOR THE 2013 FISCAL YEAR. | Management | For | For | ||||||||
| 3. | ADOPT THE DUTCH STATUTORY ANNUAL ACCOUNTS FOR 2012 AND TO AUTHORIZE THE PREPARATION OF OUR 2012 ANNUAL ACCOUNTS AND ANNUAL REPORT OF OUR MANAGEMENT IN THE ENGLISH LANGUAGE. | Management | For | For | ||||||||
| 4. | DISCHARGE MEMBERS OF OUR BOARD OF DIRECTORS FROM CERTAIN LIABILITIES FOR FISCAL YEAR 2012. | Management | For | For | ||||||||
| 5. | AMEND THE REMUNERATION POLICY OF OUR BOARD OF DIRECTORS. | Management | For | For | ||||||||
| 6. | EXTEND TO OUR BOARD OF DIRECTORS THE AUTHORITY TO REPURCHASE UP TO 10% OF THE OUTSTANDING SHARES IN THE CAPITAL OF THE COMPANY FOR 18 MONTHS FROM THE GENERAL MEETING AT PRICES PER SHARE NOT LESS THAN THE NOMINAL VALUE OF A SHARE AND NOT HIGHER THAN 110% OF THE MARKET PRICE AT THE TIME OF THE TRANSACTION. | Management | For | For | ||||||||
| 7. | AMEND THE 2010 EQUITY PLAN TO INCREASE THE NUMBER OF ORDINARY SHARES RESERVED AND AVAILABLE FOR ISSUANCE BY 5,000,000 SHARES TO A TOTAL OF 10,000,000 SHARES, AND INCREASE THE NUMBER OF ORDINARY SHARES WITH RESPECT TO WHICH INCENTIVE STOCK OPTIONS MAY BE GRANTED BY 5,000,000 SHARES TO A TOTAL OF 10,000,000 SHARES. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 36,291 | 17,500 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 68,508 | 29,000 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 148,870 | 78,900 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| AIR CHINA LTD | ||||||||
| Security | Y002A6104 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 23-May-2013 | ||||||
| ISIN | CNE1000001S0 | Agenda | 704488522 - Management | |||||
| Record Date | 22-Apr-2013 | Holding Recon Date | 22-Apr-2013 | |||||
| City / Country | BEIJING / China | Vote Deadline Date | 16-May-2013 | |||||
| SEDOL(s) | B04KNF1 - B04V2F7 - B04YG10 - B0584Q2 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 179853 DUE TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ ONLY-FOR ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS: http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0507/L-TN20130507797.pdf http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0507/LT-N20130507791.pdf AND-ht- tp://www.hkexnews.hk/listedco/listconews/sehk/2 013/0402/LTN201304021928.pdf | Non-Voting | ||||||||||
| 1 | To consider and approve the report of the board of directors (the “Board”) of the Company for the year 2012 | Management | For | For | ||||||||
| 2 | To consider and approve the report of the supervisory committee of the Company for the year 2012 | Management | For | For | ||||||||
| 3 | To consider and approve the audited consolidated financial statements of the Company for the year 2012 prepared under the PRC Accounting Standards and the International Financial Reporting Standards | Management | For | For | ||||||||
| 4 | To consider and approve the profit distribution proposal and the dividends distribution proposal for the year 2012 as recommended by the Board and to authorise the Board to implement such proposals | Management | For | For | ||||||||
| 5 | To consider and approve the appointment of KPMG as the Company’s international auditor and KPMG Huazhen (Special General Partnership) as the Company’s domestic auditor and internal control auditor respectively for the year ending 31 December 2013 and to authorise the management of the Company to determine their remunerations for the year 2013 | Management | For | For | ||||||||
| 6 | To authorise the Board of the Company to exercise the powers to allot, issue and deal with additional shares of the Company and to make or grant offers, agreements and option which might require the exercise of such powers in connection with not exceeding 20% of each of the existing A Shares and H Share (as the case may be) in issue at the date of passing this resolution, and to authorise the Board of the Company to increase the registered capital and amend the Articles of Association of the Company to reflect such increase in the registered capital of the Company under the general mandate | Management | For | For | ||||||||
| 7 | To consider and approve the resolution in relation to the grant of a general mandate to the Board of the Company to issue debt financing instruments | Management | For | For | ||||||||
| 8 | To consider and approve the revised Measures on Management of the Stock Appreciation Rights and the Proposal for the Second Grant of the Stock Appreciation Rights | Management | For | For | ||||||||
| 9 | To consider and approve the resolution in relation to the provision of guarantee by the Company for the financing to be obtained by Air China Cargo Co., Ltd., a subsidiary of the Company, for its purchase of 8 B777-200F freighters | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 7,886,695 | 0 | 08-May-2013 | 20-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,863,283 | 0 | 08-May-2013 | 20-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 3,344,671 | 0 | 08-May-2013 | 20-May-2013 | |||||||||||
| CONTINENTAL RESOURCES, INC. | ||||||||
| Security | 212015101 | Meeting Type | Annual | |||||
| Ticker Symbol | CLR | Meeting Date | 23-May-2013 | |||||
| ISIN | US2120151012 | Agenda | 933782864 - Management | |||||
| Record Date | 27-Mar-2013 | Holding Recon Date | 27-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 22-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 HAROLD G. HAMM |
For | For | ||||||||||
| 2 JOHN T. MCNABB, II |
For | For | ||||||||||
| 3 DAVID L. BOREN |
For | For | ||||||||||
| 2. | APPROVAL OF THE COMPANY’S 2013 LONG- TERM INCENTIVE PLAN. | Management | For | For | ||||||||
| 3. | RATIFICATION OF SELECTION OF GRANT THORNTON LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 8,000 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 15,600 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 33,700 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| MARTIN MARIETTA MATERIALS, INC. | ||||||||
| Security | 573284106 | Meeting Type | Annual | |||||
| Ticker Symbol | MLM | Meeting Date | 23-May-2013 | |||||
| ISIN | US5732841060 | Agenda | 933797360 - Management | |||||
| Record Date | 15-Mar-2013 | Holding Recon Date | 15-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 22-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 C. HOWARD NYE |
For | For | ||||||||||
| 2 LAREE E. PEREZ |
For | For | ||||||||||
| 3 DENNIS L. REDIKER |
For | For | ||||||||||
| 2. | TO AMEND MARTIN MARIETTA MATERIALS, INC.‘S ARTICLES OF INCORPORATION TO PROVIDE FOR MAJORITY VOTING IN DIRECTOR ELECTIONS OTHER THAN CONTESTED ELECTIONS. | Management | For | For | ||||||||
| 3. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS FOR 2013. | Management | For | For | ||||||||
| 4. | TO APPROVE, BY A NON-BINDING ADVISORY VOTE, THE COMPENSATION OF MARTIN MARIETTA MATERIALS, INC.‘S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 13,750 | 0 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 8,565 | 13,800 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 1,237 | 57,000 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| LAMAR ADVERTISING COMPANY | ||||||||
| Security | 512815101 | Meeting Type | Annual | |||||
| Ticker Symbol | LAMR | Meeting Date | 23-May-2013 | |||||
| ISIN | US5128151017 | Agenda | 933806347 - Management | |||||
| Record Date | 27-Mar-2013 | Holding Recon Date | 27-Mar-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 22-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 JOHN MAXWELL HAMILTON |
For | For | ||||||||||
| 2 JOHN E. KOERNER, III |
For | For | ||||||||||
| 3 STEPHEN P. MUMBLOW |
For | For | ||||||||||
| 4 THOMAS V. REIFENHEISER |
For | For | ||||||||||
| 5 ANNA REILLY |
For | For | ||||||||||
| 6 KEVIN P. REILLY, JR. |
For | For | ||||||||||
| 7 WENDELL REILLY |
For | For | ||||||||||
| 2. | APPROVAL OF AN AMENDMENT AND RESTATEMENT OF THE COMPANY’S 1996 EQUITY INCENTIVE PLAN TO INCREASE THE NUMBER OF SHARES OF CLASS A COMMON STOCK OF THE COMPANY AVAILABLE FOR ISSUANCE UNDER THE PLAN BY 2,500,000 SHARES FROM 13,000,000 TO 15,500,000 SHARES. | Management | For | For | ||||||||
| 3. | APPROVAL OF THE REAFFIRMATION OF THE MATERIAL TERMS OF THE PERFORMANCE- BASED GOALS SPECIFIED IN THE COMPANY’S 1996 EQUITY INCENTIVE PLAN FOR PURPOSES OF SECTION 162(M) OF THE INTERNAL REVENUE CODE. | Management | For | For | ||||||||
| 4. | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2013 FISCAL YEAR. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 8,987 | 13,300 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 23,507 | 12,700 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 46,170 | 48,900 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| VINDA INTERNATIONAL HOLDINGS LTD | ||||||||
| Security | G9361V108 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 24-May-2013 | ||||||
| ISIN | KYG9361V1086 | Agenda | 704456070 - Management | |||||
| Record Date | 20-May-2013 | Holding Recon Date | 20-May-2013 | |||||
| City / Country | HONGKO NG / Cayman Islands | Vote Deadline Date | 10-May-2013 | |||||
| SEDOL(s) | B1Z7648 - B235FQ6 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’-ONLY FOR ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0422/LTN20130422241.PDF-AND- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0422/LTN20130422229.pdf | Non-Voting | ||||||||||
| 1 | To receive and adopt the audited financial statements and the reports of the directors and the auditors of the Company for the year ended 31 December 2012 | Management | For | For | ||||||||
| 2 | To declare a final dividend for the year ended 31 December 2012 | Management | For | For | ||||||||
| 3a.i | To re-elect Ms. Zhang Dong Fang as an executive director | Management | For | For | ||||||||
| 3a.ii | To re-elect Mr. Ulf Olof Lennart Soderstrom as a non-executive director | Management | For | For | ||||||||
| 3aiii | To re-elect Dr. Cao Zhen Lei as an independent non-executive director | Management | For | For | ||||||||
| 3aiv | To re-elect Mr. Kam Robert as an independent non-executive director | Management | For | For | ||||||||
| 3(b) | To authorise the board of directors to fix the remuneration of the directors | Management | For | For | ||||||||
| 4 | To re-appoint PricewaterhouseCoopers as auditor of the Company and to authorise the board of directors to fix their remuneration | Management | For | For | ||||||||
| 5 | To give a general mandate to the directors to issue shares up to 20%(5) | Management | For | For | ||||||||
| 6 | To give a general mandate to the directors to repurchase shares up to 10%(5) | Management | For | For | ||||||||
| 7 | To authorise the directors to issue and allot the shares repurchased by the Company(5) | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,565,714 | 0 | 26-Apr-2013 | 22-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 601,498 | 0 | 26-Apr-2013 | 22-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 1,685,222 | 0 | 26-Apr-2013 | 22-May-2013 | |||||||||||
| HAITONG SECURITIES CO LTD | ||||||||
| Security | Y2988F101 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 27-May-2013 | ||||||
| ISIN | CNE1000019K9 | Agenda | 704412105 - Management | |||||
| Record Date | 26-Apr-2013 | Holding Recon Date | 26-Apr-2013 | |||||
| City / Country | SHANGHA I / China | Vote Deadline Date | 20-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING O-N THE URL LINKS: http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0410/LTN-20130410652.pdf, http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0410/-LTN20130410631.pdf AND http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/05-09/LTN20130509555.pdf | Non-Voting | ||||||||||
| O.1 | To consider and approve the report of the Board of Directors of the Company for the year 2012 | Management | For | For | ||||||||
| O.2 | To consider and approve the report of the Supervisory Committee of the Company for the year 2012 | Management | For | For | ||||||||
| O.3 | To consider and approve the annual report of the Company for the year 2012 | Management | For | For | ||||||||
| O.4 | To consider and approve the final accounts report of the Company for the year 2012 | Management | For | For | ||||||||
| O.5 | To consider and approve the profit distribution proposal of the Company for the year 2012 | Management | For | For | ||||||||
| O.6 | To consider and approve the renewal of engagement of A Share auditing firm and H Share auditing firm for the year 2013 | Management | For | For | ||||||||
| O.7 | To consider and approve the proposal regarding investment asset allocation of equity, fixed income securities and derivative products for the year 2013 | Management | For | For | ||||||||
| O.8 | To consider and approve the proposal regarding the proposed appointment of Mr. Xiao Suining as independent non-executive Director of the Company | Management | For | For | ||||||||
| O.9 | To consider and approve the proposal regarding the replacement of the Supervisor | Management | For | For | ||||||||
| O.10 | To consider and approve the proposal regarding the potential connected/related transaction involved in the issuance of shortterm financing bills of securities companies, corporate bonds and other onshore debt financing instruments | Management | For | For | ||||||||
| S.1 | To consider and approve the proposed amendments to the Articles of Association of the Company | Management | For | For | ||||||||
| S.2 | To consider and approve the proposal regarding the enlargement of the business scope of the Company | Management | For | For | ||||||||
| S.3.1 | To consider and approve the proposal regarding the issuance of short-term financing bills of securities companies: Issue size | Management | For | For | ||||||||
| S.3.2 | To consider and approve the proposal regarding the issuance of short-term financing bills of securities companies: Issue rate | Management | For | For | ||||||||
| S.3.3 | To consider and approve the proposal regarding the issuance of short-term financing bills of securities companies: Issue term | Management | For | For | ||||||||
| S.3.4 | To consider and approve the proposal regarding the issuance of short-term financing bills of securities companies: Issue method | Management | For | For | ||||||||
| S.3.5 | To consider and approve the proposal regarding the issuance of short-term financing bills of securities companies: Use of proceeds | Management | For | For | ||||||||
| S.3.6 | To consider and approve the proposal regarding the issuance of short-term financing bills of securities companies: Validity period of resolution | Management | For | For | ||||||||
| S.4 | To consider and approve the proposal regarding the general mandate to issue short-term financing bills of securities companies | Management | For | For | ||||||||
| S.5.1 | To consider and approve the proposal regarding the issuance of corporate bonds: Issue size | Management | For | For | ||||||||
| S.5.2 | To consider and approve the proposal regarding the issuance of corporate bonds: Issue target and arrangements on placement to shareholders of the Company | Management | For | For | ||||||||
| S.5.3 | To consider and approve the proposal regarding the issuance of corporate bonds: Type and term of bonds | Management | For | For | ||||||||
| S.5.4 | To consider and approve the proposal regarding the issuance of corporate bonds: Determination of coupon rate for bonds | Management | For | For | ||||||||
| S.5.5 | To consider and approve the proposal regarding the issuance of corporate bonds: Security | Management | For | For | ||||||||
| S.5.6 | To consider and approve the proposal regarding the issuance of corporate bonds: Issue method | Management | For | For | ||||||||
| S.5.7 | To consider and approve the proposal regarding the issuance of corporate bonds: Use of proceeds | Management | For | For | ||||||||
| S.5.8 | To consider and approve the proposal regarding the issuance of corporate bonds: Listing arrangements | Management | For | For | ||||||||
| S.5.9 | To consider and approve the proposal regarding the issuance of corporate bonds: Guarantee measures for repayment | Management | For | For | ||||||||
| S.510 | To consider and approve the proposal regarding the issuance of corporate bonds: Validity period of resolution | Management | For | For | ||||||||
| S.6 | To consider and approve the proposal regarding the general mandate to issue corporate bonds | Management | For | For | ||||||||
| S.7.1 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Type of debt financing instruments | Management | For | For | ||||||||
| S.7.2 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Term of debt financing instruments | Management | For | For | ||||||||
| S.7.3 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Interest rate of debt financing instruments | Management | For | For | ||||||||
| S.7.4 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Issuer, issue size and issue method | Management | For | For | ||||||||
| S.7.5 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Issue price | Management | For | For | ||||||||
| S.7.6 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Security and other credit enhancement arrangements | Management | For | For | ||||||||
| S.7.7 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Use of proceeds | Management | For | For | ||||||||
| S.7.8 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Issue target and arrangements on placement to shareholders of the Company | Management | For | For | ||||||||
| S.7.9 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Guarantee measures for repayment | Management | For | For | ||||||||
| S7.10 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Listing of debt financing instruments | Management | For | For | ||||||||
| S7.11 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Validity period of resolution | Management | For | For | ||||||||
| S7.12 | To consider and approve the proposal regarding the general mandate to issue other onshore debt financing instruments: Authorization for issuance of other onshore debt financing instruments of the Company | Management | For | For | ||||||||
| S.8 | To consider and approve the proposal regarding the scale of financing business for customers of the Company | Management | For | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ADDITIONAL URL. IF YOU H-AVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YO-U DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,218,182 | 0 | 15-May-2013 | 22-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 522,996 | 0 | 15-May-2013 | 22-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 849,355 | 0 | 15-May-2013 | 22-May-2013 | |||||||||||
| MERCK & CO., INC. | ||||||||
| Security | 58933Y105 | Meeting Type | Annual | |||||
| Ticker Symbol | MRK | Meeting Date | 28-May-2013 | |||||
| ISIN | US58933Y1055 | Agenda | 933782319 - Management | |||||
| Record Date | 01-Apr-2013 | Holding Recon Date | 01-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 24-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: LESLIE A. BRUN | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: THOMAS R. CECH | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: KENNETH C. FRAZIER | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: THOMAS H. GLOCER | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: WILLIAM B. HARRISON JR. | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: C. ROBERT KIDDER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: CARLOS E. REPRESAS | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: PATRICIA F. RUSSO | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: CRAIG B. THOMPSON | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: WENDELL P. WEEKS | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: PETER C. WENDELL | Management | For | For | ||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | SHAREHOLDER PROPOSAL CONCERNING SHAREHOLDERS’ RIGHT TO ACT BY WRITTEN CONSENT. | Shareholder | Against | For | ||||||||
| 5. | SHAREHOLDER PROPOSAL CONCERNING SPECIAL SHAREOWNER MEETINGS. | Shareholder | Against | For | ||||||||
| 6. | SHAREHOLDER PROPOSAL CONCERNING A REPORT ON CHARITABLE AND POLITICAL CONTRIBUTIONS. | Shareholder | Against | For | ||||||||
| 7. | SHAREHOLDER PROPOSAL CONCERNING A REPORT ON LOBBYING ACTIVITIES. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,700 | 20,000 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 1,200 | 40,000 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 100 | 91,900 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| CHINA TELECOM CORP LTD, BEIJING | ||||||||
| Security | Y1505D102 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 29-May-2013 | ||||||
| ISIN | CNE1000002V2 | Agenda | 704414464 - Management | |||||
| Record Date | 26-Apr-2013 | Holding Recon Date | 26-Apr-2013 | |||||
| City / Country | HONG KONG / China | Vote Deadline Date | 24-May-2013 | |||||
| SEDOL(s) | 3226944 - 6559335 - B01XKW9 - B06KKC5 - B16PQ74 | Quick Code | 515617000 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’-ONLY FOR ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0411/LTN20130411663.pdf-AND- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0411/LTN20130411604.pdf | Non-Voting | ||||||||||
| 1 | That the consolidated financial statements of the Company, the report of the Board of Directors, the report of the Supervisory Committee and the report of the international auditor for the year ended 31 December 2012 be considered and approved, and the Board of Directors of the Company (the “Board”) be authorised to prepare the budget of the Company for the year 2013 | Management | For | For | ||||||||
| 2 | That the profit distribution proposal and the declaration and payment of a final dividend for the year ended 31 December 2012 be considered and approved | Management | For | For | ||||||||
| 3 | That the appointment of Deloitte Touche Tohmatsu and Deloitte Touche Tohmatsu Certified Public Accountants LLP as the international auditors and domestic auditors of the Company respectively for the year ending on 31 December 2013 be considered and approved, and the Board be authorised to fix the remuneration of the auditors | Management | For | For | ||||||||
| 4 | Ordinary resolution numbered 4 of the Notice of AGM dated 11 April 2013 (to approve the election of Mr. Xie Liang as a Director of the Company) | Management | For | For | ||||||||
| 5.1 | Special resolution numbered 5.1 of the Notice of AGM dated 11 April 2013 (to consider and approve the issue of debentures by the Company) | Management | For | For | ||||||||
| 5.2 | Special resolution numbered 5.2 of the Notice of AGM dated 11 April 2013 (to authorise the Board to issue debentures and determine the specific terms and conditions) | Management | For | For | ||||||||
| 6.1 | Special resolution numbered 6.1 of the Notice of AGM dated 11 April 2013 (to consider and approve the issue of company bonds in the People’s Republic of China) | Management | For | For | ||||||||
| 6.2 | Special resolution numbered 6.2 of the Notice of AGM dated 11 April 2013 (to authorise the Board to issue company bonds and determine the specific terms and conditions) | Management | For | For | ||||||||
| 7 | Special resolution numbered 7 of the Notice of AGM dated 11 April 2013 (To grant a general mandate to the Board to issue, allot and deal with additional shares in the Company not exceeding 20% of each of the existing domestic Shares and H Shares in issue.) | Management | For | For | ||||||||
| 8 | Special resolution numbered 8 of the Notice of AGM dated 11 April 2013 (To authorise the Board to increase the registered capital of the Company and to amend the articles of association of the Company to reflect such increase in the registered capital of the Company under the general mandate.) | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 3,756,000 | 0 | 18-Apr-2013 | 27-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 888,000 | 0 | 18-Apr-2013 | 27-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 1,452,000 | 0 | 18-Apr-2013 | 27-May-2013 | |||||||||||
| ASCOTT RESIDENCE TRUST | ||||||||
| Security | Y0261Y102 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 30-May-2013 | ||||||
| ISIN | SG1T08929278 | Agenda | 704475450 - Management | |||||
| Record Date | Holding Recon Date | 28-May-2013 | ||||||
| City / Country | SINGAPO RE / Singapore | Vote Deadline Date | 24-May-2013 | |||||
| SEDOL(s) | B10SSL7 - B12TY87 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | The proposed acquisition of interests in serviced residence properties in the people’s republic of china and rental housing properties in japan from interested persons | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,342,253 | 0 | 09-May-2013 | 27-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 549,077 | 0 | 09-May-2013 | 27-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 899,766 | 0 | 09-May-2013 | 27-May-2013 | |||||||||||
| WABCO HOLDINGS INC. | ||||||||
| Security | 92927K102 | Meeting Type | Annual | |||||
| Ticker Symbol | WBC | Meeting Date | 30-May-2013 | |||||
| ISIN | US92927K1025 | Agenda | 933795378 - Management | |||||
| Record Date | 05-Apr-2013 | Holding Recon Date | 05-Apr-2013 | |||||
| City / Country | / Belgium | Vote Deadline Date | 29-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 JACQUES ESCULIER |
For | For | ||||||||||
| 2 KENNETH J. MARTIN |
For | For | ||||||||||
| 3 DONALD J. STEBBINS |
For | For | ||||||||||
| 2. | RATIFY THE SELECTION OF ERNST & YOUNG BEDRIJFSREVISOREN BCVBA/REVISEURS D’ENTREPRISES SCCRL AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | APPROVE THE AMENDED AND RESTATED WABCO HOLDINGS INC. 2009 OMNIBUS INCENTIVE PLAN. | Management | For | For | ||||||||
| 4. | APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS (“SAY-ON- PAY”). | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 15,668 | 19,000 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 18,576 | 45,600 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 31,660 | 114,900 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| FLEETCOR TECHNOLOGIES INC. (FLT) | ||||||||
| Security | 339041105 | Meeting Type | Annual | |||||
| Ticker Symbol | FLT | Meeting Date | 30-May-2013 | |||||
| ISIN | US3390411052 | Agenda | 933805838 - Management | |||||
| Record Date | 12-Apr-2013 | Holding Recon Date | 12-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 29-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 RONALD F. CLARKE |
For | For | ||||||||||
| 2 RICHARD MACCHIA |
For | For | ||||||||||
| 2. | RATIFY THE SELECTION OF ERNST & YOUNG LLP AS FLEETCOR’S INDEPENDENT AUDITOR FOR 2013. | Management | For | For | ||||||||
| 3. | AMENDMENT TO THE FLEETCOR TECHNOLOGIES, INC. 2010 EQUITY COMPENSATION PLAN, INCLUDING AN INCREASE IN THE NUMBER OF COMMON SHARES AVAILABLE FOR ISSUANCE UNDER THE PLAN. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 13,328 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| ELAN CORPORATION, PLC | ||||||||
| Security | 284131208 | Meeting Type | Annual | |||||
| Ticker Symbol | ELN | Meeting Date | 30-May-2013 | |||||
| ISIN | US2841312083 | Agenda | 933817578 - Management | |||||
| Record Date | 29-Apr-2013 | Holding Recon Date | 29-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 22-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| O1 | TO RECEIVE AND CONSIDER THE FINANCIAL STATEMENTS, DIRECTORS REPORT AND AUDITORS REPORT FOR THE YEAR ENDED 31 DECEMBER 2012. | Management | For | |||||||||
| O2 | TO RECEIVE AND CONSIDER THE REPORT BY THE LEADERSHIP, DEVELOPMENT AND COMPENSATION COMMITTEE FOR THE YEAR ENDED 31 DECEMBER 2012. | Management | For | |||||||||
| O3A | TO RE-ELECT MR. ROBERT INGRAM. | Management | For | |||||||||
| O3B | TO RE-ELECT MR. GARY KENNEDY. | Management | For | |||||||||
| O3C | TO RE-ELECT MR. PATRICK KENNEDY. | Management | For | |||||||||
| O3D | TO RE-ELECT MR. KELLY MARTIN. | Management | For | |||||||||
| O3E | TO RE-ELECT MR. KIERAN MCGOWAN. | Management | For | |||||||||
| O3F | TO RE-ELECT MR. KYRAN MCLAUGHLIN. | Management | For | |||||||||
| O3G | TO RE-ELECT MR. DONAL O’CONNOR. | Management | For | |||||||||
| O3H | TO RE-ELECT MR. RICHARD PILNIK. | Management | For | |||||||||
| O3I | TO RE-ELECT DR. ANDREW VON ESCHENBACH. | Management | For | |||||||||
| O4 | TO AUTHORISE THE DIRECTORS TO FIX THE REMUNERATION OF THE AUDITORS. | Management | For | |||||||||
| O5 | TO AUTHORISE THE DIRECTORS TO ALLOT AND ISSUE RELEVANT SECURITIES. | Management | For | |||||||||
| S6 | TO AUTHORISE THE DISAPPLICATION OF PRE-EMPTION RIGHTS. | Management | For | |||||||||
| S7 | TO REDUCE THE AUTHORISED BUT UN- ISSUED SHARE CAPITAL OF THE COMPANY, REGARDING THE “B” EXECUTIVE AND NON- VOTING EXECUTIVE SHARES, AND AMEND THE MEMORANDUM & ARTICLES OF ASSOCIATION ACCORDINGLY. | Management | For | |||||||||
| S8 | TO AUTHORISE THE COMPANY TO MAKE MARKET PURCHASES OF ITS OWN SHARES. | Management | For | |||||||||
| S9 | TO SET THE RE-ISSUE PRICE RANGE FOR TREASURY SHARES. | Management | For | |||||||||
| S10 | TO RETAIN A 14 DAY NOTICE PERIOD FOR EXTRAORDINARY GENERAL MEETINGS. | Management | For | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 128,472 | 0 | 04-May-2013 | 04-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 235,915 | 0 | 04-May-2013 | 04-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 543,397 | 0 | 04-May-2013 | 04-May-2013 | |||||||||||
| NXP SEMICONDUCTOR NV | ||||||||
| Security | N6596X109 | Meeting Type | Annual | |||||
| Ticker Symbol | NXPI | Meeting Date | 30-May-2013 | |||||
| ISIN | NL0009538784 | Agenda | 933819976 - Management | |||||
| Record Date | 02-May-2013 | Holding Recon Date | 02-May-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 24-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1B. | ADOPTION OF THE ANNUAL ACCOUNTS | Management | For | For | ||||||||
| 2A. | GRANTING DISCHARGE TO THE DIRECTORS FOR THEIR MANAGEMENT DURING THE PAST FINANCIAL YEAR | Management | For | For | ||||||||
| 3A. | PROPOSAL TO RE-APPOINT MR. R.L. CLEMMER AS EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3B. | PROPOSAL TO RE-APPOINT SIR PETER BONFIELD AND NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3C. | PROPOSAL TO RE-APPOINT MR. J.P. HUTH AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3D. | PROPOSAL TO RE-APPOINT MR. R. MACKENZIE AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3E. | PROPOSAL TO RE-APPOINT MR. E. DURBAN AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3F. | PROPOSAL TO RE-APPOINT MR. K.A. GOLDMAN AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3G. | PROPOSAL TO RE-APPOINT MR. J. KAESER AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3H. | PROPOSAL TO RE-APPOINT MR. I. LORING AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3I. | PROPOSAL TO RE-APPOINT MR. M. PLANTEVIN AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3J. | PROPOSAL TO RE-APPOINT MR. V. BHATIA AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 3K. | PROPOSAL TO APPOINT MR. J.-P. SAAD AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM MAY 30, 2013 | Management | For | For | ||||||||
| 4. | AUTHORIZATION TO REPURCHASE SHARES IN THE COMPANY’S CAPITAL | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 64,052 | 0 | 08-May-2013 | 08-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 82,108 | 47,500 | 08-May-2013 | 08-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 114,086 | 156,900 | 08-May-2013 | 08-May-2013 | |||||||||||
| SANDS CHINA LTD | ||||||||
| Security | G7800X107 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 31-May-2013 | ||||||
| ISIN | KYG7800X1079 | Agenda | 704474179-- Management | |||||
| Record Date | 20-May-2013 | Holding Recon Date | 20-May-2013 | |||||
| City / Country | TAIPA / Cayman Islands | Vote Deadline Date | 21-May-2013 | |||||
| SEDOL(s) | B4Z67Z4 - B5B23W2 - B7YJHL1 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0321/LTN20130321425.pdf- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0321/LTN20130321369.pdf | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF “ABSTAIN” WILL BE TREATED-THE SAME AS A “TAKE NO ACTION” VOTE. | Non-Voting | ||||||||||
| 1 | To receive the audited consolidated financial statements of the Company and the reports of the directors and auditors for the year ended December 31, 2012 | Management | For | For | ||||||||
| 2 | To declare a final dividend of HKD 0.66 per share for the year ended December 31, 2012 | Management | For | For | ||||||||
| 3.a | To re-elect Mr. Toh Hup Hock as executive director | Management | For | For | ||||||||
| 3.b | To re-elect Mr. Michael Alan Leven as non- executive director | Management | For | For | ||||||||
| 3.c | To re-elect Mr. Jeffrey Howard Schwartz as non- executive director | Management | For | For | ||||||||
| 3.d | To re-elect Mr. David Muir Turnbull as independent non-executive director | Management | For | For | ||||||||
| 3.e | To re-elect Mr. Victor Patrick Hoog Antink as independent non-executive director | Management | For | For | ||||||||
| 3.f | To elect Mr. Steven Zygmunt Strasser as independent non-executive director | Management | For | For | ||||||||
| 3.g | To authorize the board of directors to fix the respective directors’ remuneration | Management | For | For | ||||||||
| 4 | To re-appoint PricewaterhouseCoopers as auditors and to authorize the board of directors to fix their remuneration | Management | For | For | ||||||||
| 5 | To give a general mandate to the directors to repurchase shares of the Company not exceeding 10% of the issued share capital of the Company as at the date of passing of this resolution | Management | For | For | ||||||||
| 6 | To give a general mandate to the directors to issue additional shares of the Company not exceeding 20% of the issued share capital of the Company as at the date of passing of this resolution | Management | For | For | ||||||||
| 7 | To extend the general mandate granted to the directors to issue additional shares of the Company by the aggregate nominal amount of the shares repurchased by the Company | Management | For | For | ||||||||
| 8 | To approve the adoption of as specified as the formal Chinese name of the Company, that the name of the Company be changed from “Sands China Ltd.” to “Sands China Ltd.” as specified and that the existing memorandum and articles of association of the Company be amended to reflect the amended name of the Company as necessary | Management | For | For | ||||||||
| 9 | To approve the amendments to the memorandum and articles of association of the Company: Clause 2 Article 63,69,68, 68a,76,77,80,81,82,83,95,101(1),101(2),101(3),1 15(1)(v),115(1)(vi),115(2),115(3),115(4),137,138, 139 | Management | For | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT IN RESOLUTION-4 AND 9. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PRO-XY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 670,800 | 0 | 23-May-2013 | 27-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 158,400 | 0 | 23-May-2013 | 27-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 272,800 | 0 | 23-May-2013 | 27-May-2013 | |||||||||||
| MELLANOX TECHNOLOGIES LTD. | ||||||||
| Security | M51363113 | Meeting Type | Annual | |||||
| Ticker Symbol | MLNX | Meeting Date | 03-Jun-2013 | |||||
| ISIN | IL0011017329 | Agenda | 933789870 - Management | |||||
| Record Date | 08-Apr-2013 | Holding Recon Date | 08-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 31-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF NON-OUTSIDE DIRECTOR: EYAL WALDMAN | Management | For | For | ||||||||
| 1B. | ELECTION OF NON-OUTSIDE DIRECTOR: DOV BAHARAV | Management | For | For | ||||||||
| 1C. | ELECTION OF NON-OUTSIDE DIRECTOR: GLENDA DORCHAK | Management | For | For | ||||||||
| 1D. | ELECTION OF NON-OUTSIDE DIRECTOR: IRWIN FEDERMAN | Management | For | For | ||||||||
| 1E. | ELECTION OF NON-OUTSIDE DIRECTOR: THOMAS WEATHERFORD | Management | For | For | ||||||||
| 2A. | ELECTION OF OUTSIDE DIRECTOR: AMAL M. JOHNSON | Management | For | For | ||||||||
| 2B. | ELECTION OF OUTSIDE DIRECTOR: THOMAS J. RIORDAN | Management | For | For | ||||||||
| 3. | APPROVAL OF THE APPOINTMENT OF MR. WALDMAN AS CHAIRMAN OF THE BOARD OF DIRECTORS FOR AN ADDITIONAL THREE- YEAR TERM. | Management | For | For | ||||||||
| 4. | CASH BONUS TO BE PAID TO MR. WALDMAN IN THE AMOUNT OF $470,755 FOR SERVICES RENDERED FOR FISCAL YEAR ENDED DECEMBER 31, 2012. | Management | For | For | ||||||||
| 5. | APPROVAL OF THE GRANT TO MR. WALDMAN OF 65,000 RESTRICTED STOCK UNITS UNDER MELLANOX’S EXISTING GLOBAL SHARE INCENTIVE PLAN (2006), PREVIOUSLY APPROVED BY ITS SHAREHOLDERS. | Management | For | For | ||||||||
| 6. | ADVISORY APPROVAL OF THE COMPENSATION OF MELLANOX’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 7. | APPROVAL OF CERTAIN CHANGES TO THE ANNUAL RETAINER FEES PAID TO NON- EMPLOYEE DIRECTORS. | Management | For | For | ||||||||
| 8. | APPROVAL OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS MELLANOX’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 500 | 36,400 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 200 | 65,700 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 200 | 155,500 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| UNITEDHEALTH GROUP INCORPORATED | ||||||||
| Security | 91324P102 | Meeting Type | Annual | |||||
| Ticker Symbol | UNH | Meeting Date | 03-Jun-2013 | |||||
| ISIN | US91324P1021 | Agenda | 933799390—Management | |||||
| Record Date | 05-Apr-2013 | Holding Recon Date | 05-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 31-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: WILLIAM C. BALLARD, JR. | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: EDSON BUENO, M.D. | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: RICHARD T. BURKE | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: ROBERT J. DARRETTA | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: STEPHEN J. HEMSLEY | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: MICHELE J. HOOPER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: RODGER A. LAWSON | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: DOUGLAS W. LEATHERDALE | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: GLENN M. RENWICK | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: KENNETH I. SHINE, M.D. | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: GAIL R. WILENSKY, PH.D. | Management | For | For | ||||||||
| 2. | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 4. | THE SHAREHOLDER PROPOSAL SET FORTH IN THE PROXY STATEMENT REQUESTING ADDITIONAL LOBBYING DISCLOSURE, IF PROPERLY PRESENTED AT THE 2013 ANNUAL MEETING OF SHAREHOLDERS. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 24,100 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 43,300 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 103,100 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| SILGAN HOLDINGS INC. | ||||||||
| Security | 827048109 | Meeting Type | Annual | |||||
| Ticker Symbol | SLGN | Meeting Date | 03-Jun-2013 | |||||
| ISIN | US8270481091 | Agenda | 933809266—Management | |||||
| Record Date | 19-Apr-2013 | Holding Recon Date | 19-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 31-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 R. PHILIP SILVER | For | For | ||||||||||
| 2 WILLIAM C. JENNINGS | For | For | ||||||||||
| 2. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 8,657 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 17,817 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 36,533 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| LIBERTY GLOBAL, INC. | ||||||||
| Security | 530555101 | Meeting Type | Special | |||||
| Ticker Symbol | LBTYA | Meeting Date | 03-Jun-2013 | |||||
| ISIN | US5305551013 | Agenda | 933820498 - Management | |||||
| Record Date | 30-Apr-2013 | Holding Recon Date | 30-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 31-May-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO APPROVE THE ISSUANCE OF ORDINARY SHARES BY LIBERTY GLOBAL CORPORATION LIMITED TO LIBERTY GLOBAL, INC. AND VIRGIN MEDIA INC. STOCKHOLDERS ON THE TERMS AND CONDITIONS SET OUT IN THE AGREEMENT AND PLAN OF MERGER, DATED AS OF FEBRUARY 5, 2013, AMONG LIBERTY GLOBAL, INC., CERTAIN OF ITS SUBSIDIARIES AND VIRGIN MEDIA INC., AS IT MAY BE AMENDED FROM TIME TO TIME. | Management | For | For | ||||||||
| 2. | TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF FEBRUARY 5, 2013, AMONG LIBERTY GLOBAL, INC., CERTAIN OF ITS SUBSIDIARIES AND VIRGIN MEDIA INC., AS IT MAY BE AMENDED FROM TIME TO TIME. | Management | For | For | ||||||||
| 3. | TO APPROVE ANY ADJOURNMENT OF THE SPECIAL MEETING IF NECESSARY OR APPROPRIATE TO PERMIT FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO EITHER APPROVE THE ISSUANCE OF ORDINARY SHARES IN PROPOSAL 1 OR THE ADOPTION OF THE AGREEMENT AND PLAN OF MERGER IN PROPOSAL 2. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 10,434 | 24,700 | 08-May-2013 | 08-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 17,108 | 48,700 | 08-May-2013 | 08-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 43,407 | 105,800 | 08-May-2013 | 08-May-2013 | |||||||||||
| LIBERTY MEDIA CORPORATION | ||||||||
| Security | 531229102 | Meeting Type | Annual | |||||
| Ticker Symbol | LMCA | Meeting Date | 04-Jun-2013 | |||||
| ISIN | US5312291025 | Agenda | 933802286 - Management | |||||
| Record Date | 10-Apr-2013 | Holding Recon Date | 10-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 03-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 JOHN C. MALONE | For | For | ||||||||||
| 2 ROBERT R. BENNETT | For | For | ||||||||||
| 3 M. IAN G. GILCHRIST | For | For | ||||||||||
| 2. | A PROPOSAL TO ADOPT THE LIBERTY MEDIA CORPORATION 2013 INCENTIVE PLAN. | Management | For | For | ||||||||
| 3. | A PROPOSAL TO ADOPT THE LIBERTY MEDIA CORPORATION 2013 NONEMPLOYEE DIRECTOR INCENTIVE PLAN. | Management | For | For | ||||||||
| 4. | A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 28,980 | 0 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 22,412 | 0 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 14,788 | 0 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 59,256 | 36,000 | 23-Apr-2013 | 23-Apr-2013 | |||||||||||
| LIFEPOINT HOSPITALS, INC. | ||||||||
| Security | 53219L109 | Meeting Type | Annual | |||||
| Ticker Symbol | LPNT | Meeting Date | 04-Jun-2013 | |||||
| ISIN | US53219L1098 | Agenda | 933803202 - Management | |||||
| Record Date | 12-Apr-2013 | Holding Recon Date | 12-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 03-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 GREGORY T. BIER | For | For | ||||||||||
| 2 DEWITT EZELL, JR. | For | For | ||||||||||
| 2. | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS AS PRESENTED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| 4. | APPROVAL OF THE COMPANY’S 2013 LONG- TERM INCENTIVE PLAN. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 12,360 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 4,745 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 26,290 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 41,340 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 98,939 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| LIBERTY INTERACTIVE CORPORATION | ||||||||
| Security | 53071M104 | Meeting Type | Annual | |||||
| Ticker Symbol | LINTA | Meeting Date | 04-Jun-2013 | |||||
| ISIN | US53071M1045 | Agenda | 933803947 - Management | |||||
| Record Date | 10-Apr-2013 | Holding Recon Date | 10-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 03-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 JOHN C. MALONE | For | For | ||||||||||
| 2 M. IAN G. GILCHRIST | For | For | ||||||||||
| 3 ANDREA L. WONG | For | For | ||||||||||
| 2. | A PROPOSAL TO ADOPT THE LIBERTY INTERACTIVE CORPORATION 2012 INCENTIVE PLAN. | Management | For | For | ||||||||
| 3. | A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,212 | 68,800 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 100,586 | 123,400 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,302 | 299,100 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| LIBERTY INTERACTIVE CORPORATION | ||||||||
| Security | 53071M880 | Meeting Type | Annual | |||||
| Ticker Symbol | LVNTA | Meeting Date | 04-Jun-2013 | |||||
| ISIN | US53071M8800 | Agenda | 933803947 - Management | |||||
| Record Date | 10-Apr-2013 | Holding Recon Date | 10-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 03-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 JOHN C. MALONE | For | For | ||||||||||
| 2 M. IAN G. GILCHRIST | For | For | ||||||||||
| 3 ANDREA L. WONG | For | For | ||||||||||
| 2. | A PROPOSAL TO ADOPT THE LIBERTY INTERACTIVE CORPORATION 2012 INCENTIVE PLAN. | Management | For | For | ||||||||
| 3. | A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,072 | 36,314 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 16,407 | 49,627 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 43,005 | 119,940 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| SINOPHARM GROUP CO LTD | ||||||||
| Security | Y8008N107 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 05-Jun-2013 | ||||||
| ISIN | CNE100000FN7 | Agenda | 704447487 - Management | |||||
| Record Date | 03-May-2013 | Holding Recon Date | 03-May-2013 | |||||
| City / Country | SHANGHA I / China | Vote Deadline Date | 29-May-2013 | |||||
| SEDOL(s) | B3ZVDV0 - B4M8B73 - B5NVZ21 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR-ALL RESOLUTIONS. THANK YOU. | Non-Voting | ||||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0419/LTN20130419433.pdf-AND- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0419/LTN20130419402.pdf | Non-Voting | ||||||||||
| 1 | To consider and approve the report of the board of directors of the Company (the “Board”) for the year ended 31 December 2012 | Management | For | For | ||||||||
| 2 | To consider and approve the report of the supervisory committee of the Company for the year ended 31 December 2012 | Management | For | For | ||||||||
| 3 | To consider and approve the audited financial statements of the Company and its subsidiaries for the year ended 31 December 2012 and the auditors’ report | Management | For | For | ||||||||
| 4 | To consider and approve the profit distribution plan and payment of the final dividend for the year ended 31 December 2012 | Management | For | For | ||||||||
| 5 | To consider and approve the re-appointment of PricewaterhouseCoopers Zhong Tian LLP as the domestic auditors of the Company to hold office until conclusion of the next annual general meeting, and to ratify and confirm its remuneration determined by the Audit Committee of the Board | Management | For | For | ||||||||
| 6 | To consider and approve the re-appointment of PricewaterhouseCoopers Certified Public Accountants, Hong Kong as the international auditors of the Company to hold office until conclusion of the next annual general meeting, and to ratify and confirm its remuneration determined by the Audit Committee of the Board | Management | For | For | ||||||||
| 7 | To consider and approve the re-election of Mr. Chen Qiyu as a non-executive director of the Second Session of the Board, to authorize the Board to fix the remuneration, and to authorize the chairman of the Board or the executive director of the Company to enter into the service contract or such other documents or supplemental agreements or deeds with him | Management | For | For | ||||||||
| 8 | To consider, approve, ratify and confirm the remuneration of the directors of the Company (the “Directors”) for the year ended 31 December 2012, and to consider and authorize the Board to determine the remuneration of the Directors for the year ending 31 December 2013 | Management | For | For | ||||||||
| 9 | To consider and approve the delegation of the power to the Board to approve the guarantees in favor of third parties with an aggregate total value of not more than 30% of the latest audited total assets of the Company over a period of 12 months; and if the above delegation is not consistent with, collides with or conflicts with the requirements under the Rules Governing the Listing of Securities (the “Listing Rules”) on The Stock Exchange of Hong Kong Limited (the “Stock Exchange”) or other requirements of the Stock Exchange, the requirements under the Listing Rules or other requirements of the Stock Exchange should be followed | Management | For | For | ||||||||
| 10 | To consider and approve the amendments to the articles of association of the Company (the “Articles of Association”) in respect of Article 21. (Details of this resolution were contained in the circular of the Company dated 19 April 2013.) | Management | For | For | ||||||||
| 11 | To consider and approve to grant a general mandate to the Board to exercise the power of the Company to allot, issue and/or deal with Domestic Shares and/ or H Shares. (Details of this resolution were contained in the notice of the AGM dated 19 April 2013 (the “Notice”).) | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 1,072,400 | 0 | 15-May-2013 | 31-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 254,000 | 0 | 15-May-2013 | 31-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 435,600 | 0 | 15-May-2013 | 31-May-2013 | |||||||||||
| SAMSONITE INTERNATIONAL S.A, LUXEMBOURG | ||||||||
| Security | L80308106 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 06-Jun-2013 | ||||||
| ISIN | LU0633102719 | Agenda | 704461968 - Management | |||||
| Record Date | 03-Jun-2013 | Holding Recon Date | 03-Jun-2013 | |||||
| City / Country | HONG KONG / Luxembourg | Vote Deadline Date | 27-May-2013 | |||||
| SEDOL(s) | B4Q1532 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF “ABSTAIN” WILL BE TREATED T-HE SAME AS A “TAKE NO ACTION” VOTE. | Non-Voting | ||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING O-N THE URL LINKS: http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0429/LTN-20130429013.pdf AND http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0429/-LTN20130429015.pdf | Non-Voting | ||||||||
| 1 | To receive and adopt the audited statutory accounts and audited consolidated financial statements of the Company and the reports of the directors (the “Directors”) and auditors for the year ended December 31, 2012 | Management | For | For | ||||||
| 2 | To approve the allocation of the results of the Company for the year ended December 31, 2012 | Management | For | For | ||||||
| 3 | To declare a cash distribution to the shareholders of the Company in an amount of thirty-seven million five hundred thousand two hundred and one United States dollars and sixteen cents (USD 37,500,201.16) out of the Company’s distributable ad hoc reserve | Management | For | For | ||||||
| 4.a | To re-elect Timothy Charles Parker as an executive director for a period of three years | Management | For | For | ||||||
| 4.b | To re-elect Kyle Francis Gendreau as an executive director for a period of one year | Management | For | For | ||||||
| 4.c | To re-elect Bruce Hardy McLain as a non- executive director for a period of three years | Management | For | For | ||||||
| 4.d | To re-elect Paul Kenneth Etchells as an independent non-executive director for a period of three years | Management | For | For | ||||||
| 4.e | To re-elect Ying Yeh as an independent non- executive director for a period of one year | Management | For | For | ||||||
| 5 | To renew the mandate granted to KPMG Luxembourg S.a r.l. to act as approved statutory auditor (reviseur d’entreprises agree) of the Company for the year ending December 31, 2013 | Management | For | For | ||||||
| 6 | To re-appoint KPMG LLP as the external auditor of the Company to hold office from the conclusion of the AGM until the next annual general meeting of the Company | Management | For | For | ||||||
| 7 | To give a general mandate to the Directors to issue additional shares of the Company not exceeding 10 per cent. of the issued share capital of the Company as at the date of this resolution (in accordance with the terms and conditions described in the AGM circular) | Management | For | For | ||||||
| 8 | To give a general mandate to the Directors to repurchase shares of the Company not exceeding 10 per cent. of the issued share capital of the Company as at the date of this resolution (in accordance with the terms and conditions described in the AGM circular) | Management | For | For | ||||||
| 9 | To extend the general mandate granted to the Directors to issue additional shares of the Company by the aggregate nominal amount of the shares repurchased by the Company (in accordance with the terms and conditions described in the AGM circular) | Management | For | For | ||||||
| 10 | To approve the discharge granted to the Directors and the approved statutory auditor (reviseur d’entreprises agree) of the Company for the exercise of their respective mandates during the year ended December 31, 2012 | Management | For | For | ||||||
| 11 | To approve the remuneration to be granted to certain Directors of the Company | Management | For | For | ||||||
| 12 | To approve the remuneration to be granted to KPMG Luxembourg S.a r.l. as the approved statutory auditor (reviseur d’entreprises agree) of the Company | Management | For | For | ||||||
| PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT IN RESOLUTION-4.C. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY F-ORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | |||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 1,136,400 | 0 | 30-Apr-2013 | 04-Jun-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 268,800 | 0 | 30-Apr-2013 | 04-Jun-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 1,077,000 | 0 | 30-Apr-2013 | 04-Jun-2013 | |||||||||||
| GOOGLE INC. | ||||||||
| Security | 38259P508 | Meeting Type | Annual | |||||
| Ticker Symbol | GOOG | Meeting Date | 06-Jun-2013 | |||||
| ISIN | US38259P5089 | Agenda | 933801905 - Management | |||||
| Record Date | 08-Apr-2013 | Holding Recon Date | 08-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 05-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 LARRY PAGE |
For | For | ||||||||||
| 2 SERGEY BRIN |
For | For | ||||||||||
| 3 ERIC E. SCHMIDT |
For | For | ||||||||||
| 4 L. JOHN DOERR |
For | For | ||||||||||
| 5 DIANE B. GREENE |
For | For | ||||||||||
| 6 JOHN L. HENNESSY |
For | For | ||||||||||
| 7 ANN MATHER |
For | For | ||||||||||
| 8 PAUL S. OTELLINI |
For | For | ||||||||||
| 9 K. RAM SHRIRAM |
For | For | ||||||||||
| 10 SHIRLEY M. TILGHMAN |
For | For | ||||||||||
| 2. | THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS GOOGLE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | A STOCKHOLDER PROPOSAL REGARDING A REPORT ON LEAD BATTERIES IN GOOGLE’S SUPPLY CHAIN, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
| 4. | A STOCKHOLDER PROPOSAL REGARDING EQUAL SHAREHOLDER VOTING, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
| 5. | A STOCKHOLDER PROPOSAL REGARDING EXECUTIVE STOCK RETENTION, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
| 6. | A STOCKHOLDER PROPOSAL REGARDING SUCCESSION PLANNING, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 9,500 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 3,900 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 239 | 8,700 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,000 | 8,600 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,607 | 25,800 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||
| STARZ | ||||||||
| Security | 85571Q102 | Meeting Type | Annual | |||||
| Ticker Symbol | STRZA | Meeting Date | 06-Jun-2013 | |||||
| ISIN | US85571Q1022 | Agenda | 933815473 - Management | |||||
| Record Date | 17-Apr-2013 | Holding Recon Date | 17-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 05-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 GREGORY B. MAFFEI |
For | For | ||||||||||
| 2 IRVING L. AZOFF |
For | For | ||||||||||
| 3 SUSAN M. LYNE |
For | For | ||||||||||
| 2. | THE SAY-ON-PAY PROPOSAL, TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 3. | THE SAY-ON-FREQUENCY PROPOSAL, TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY AT WHICH STOCKHOLDERS ARE PROVIDED AN ADVISORY VOTE ON THE COMPENSATION OF NAMED EXECUTIVE OFFICERS. | Management | 3 Years | For | ||||||||
| 4. | A PROPOSAL TO AMEND AND RESTATE THE CURRENT CHARTER TO RECAPITALIZE THE COMPANY BY DELETING THE PROVISIONS RELATING TO OUR COMPANY’S CAPITAL AND STARZ TRACKING STOCK GROUPS. | Management | For | For | ||||||||
| 5. | A PROPOSAL TO AMEND AND RESTATE THE CURRENT CHARTER TO RECAPITALIZE OUR COMPANY BY CREATING A NEW CLASS OF OUR COMPANY’S COMMON STOCK, WHICH IS DIVIDED INTO THREE SERIES. | Management | For | For | ||||||||
| 6. | A PROPOSAL TO AMEND AND RESTATE THE CURRENT CHARTER TO RECLASSIFY EACH SHARE OF EACH SERIES OF OUR COMPANY’S EXISTING LIBERTY CAPITAL COMMON STOCK INTO ONE SHARE OF THE CORRESPONDING SERIES OF OUR COMPANY’S COMMON STOCK. | Management | For | For | ||||||||
| 7. | A PROPOSAL TO AMEND AND RESTATE THE CURRENT CHARTER TO MAKE CERTAIN CONFORMING CHANGES AS A RESULT OF THE CHARTER PROPOSALS. | Management | For | For | ||||||||
| 8. | A PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 28,980 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 15,012 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 2,688 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 64,056 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| SUPERIOR ENERGY SERVICES, INC. | ||||||||
| Security | 868157108 | Meeting Type | Annual | |||||
| Ticker Symbol | SPN | Meeting Date | 06-Jun-2013 | |||||
| ISIN | US8681571084 | Agenda | 933815625 - Management | |||||
| Record Date | 19-Apr-2013 | Holding Recon Date | 19-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 05-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 HAROLD J. BOUILLION |
For | For | ||||||||||
| 2 ENOCH L. DAWKINS |
For | For | ||||||||||
| 3 DAVID D. DUNLAP |
For | For | ||||||||||
| 4 JAMES M. FUNK |
For | For | ||||||||||
| 5 TERENCE E. HALL |
For | For | ||||||||||
| 6 E.E. “WYN” HOWARD, III |
For | For | ||||||||||
| 7 PETER D. KINNEAR |
For | For | ||||||||||
| 8 MICHAEL M. MCSHANE |
For | For | ||||||||||
| 9 W. MATT RALLS |
For | For | ||||||||||
| 10 JUSTIN L. SULLIVAN |
For | For | ||||||||||
| 2. | AN ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 3. | THE ADOPTION OF THE 2013 STOCK INCENTIVE PLAN. | Management | For | For | ||||||||
| 4. | THE ADOPTION OF THE 2013 EMPLOYEE STOCK PURCHASE PLAN. | Management | For | For | ||||||||
| 5. | THE ADOPTION OF AN AMENDMENT TO OUR CERTIFICATE OF INCORPORATION TO REMOVE THE LIMITATION ON NON-U.S. CITIZEN STOCK OWNERSHIP. | Management | For | For | ||||||||
| 6. | THE RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 35,395 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 64,423 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 150,626 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| UTI WORLDWIDE INC. | ||||||||
| Security | G87210103 | Meeting Type | Annual | |||||
| Ticker Symbol | UTIW | Meeting Date | 10-Jun-2013 | |||||
| ISIN | VGG872101032 | Agenda | 933824294 - Management | |||||
| Record Date | 01-May-2013 | Holding Recon Date | 01-May-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 07-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 C. JOHN LANGLEY, JR. |
For | For | ||||||||||
| 2 ALLAN M. ROSENZWEIG |
For | For | ||||||||||
| 3 DONALD W. SLAGER |
For | For | ||||||||||
| 2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 3. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS OF THE COMPANY. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 31,100 | 0 | 14-May-2013 | 14-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 53,400 | 0 | 14-May-2013 | 14-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 129,400 | 0 | 14-May-2013 | 14-May-2013 | |||||||||||
| IMAX CORPORATION | ||||||||
| Security | 45245E109 | Meeting Type | Annual and Special Meeting | |||||
| Ticker Symbol | IMAX | Meeting Date | 11-Jun-2013 | |||||
| ISIN | CA45245E1097 | Agenda | 933811057 - Management | |||||
| Record Date | 12-Apr-2013 | Holding Recon Date | 12-Apr-2013 | |||||
| City / Country | / Canada | Vote Deadline Date | 06-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 01 | DIRECTOR | Management | ||||||||||
| 1 RICHARD L. GELFOND |
For | For | ||||||||||
| 2 MICHAEL MACMILLAN |
For | For | ||||||||||
| 3 I. MARTIN POMPADUR |
For | For | ||||||||||
| 4 BRADLEY J. WECHSLER |
For | For | ||||||||||
| 02 | IN RESPECT OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. NOTE: VOTING WITHHOLD IS THE EQUIVALENT TO VOTING ABSTAIN. | Management | For | For | ||||||||
| 03 | IN RESPECT OF THE APPROVAL OF CERTAIN AMENDMENTS TO THE ARTICLES OF AMALGAMATION OF THE COMPANY. NOTE: VOTING WITHHOLD IS THE EQUIVALENT TO VOTING ABSTAIN. | Management | For | For | ||||||||
| 04 | IN RESPECT OF THE CONFIRMATION OF CERTAIN AMENDMENTS TO BY-LAW NO. 1 OF THE COMPANY AS OUTLINED IN APPENDIX “A” TO THE PROXY CIRCULAR AND PROXY STATEMENT. NOTE: VOTING WITHHOLD IS THE EQUIVALENT TO VOTING ABSTAIN. | Management | For | For | ||||||||
| 05 | IN RESPECT OF THE APPROVAL OF THE COMPANY’S 2013 LONG-TERM INCENTIVE PLAN AS OUTLINED IN APPENDIX “B” TO THE PROXY CIRCULAR AND PROXY STATEMENT. NOTE: VOTING WITHHOLD IS THE EQUIVALENT TO VOTING ABSTAIN. | Management | For | For | ||||||||
| 06 | ADVISORY RESOLUTION TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE ACCOMPANYING PROXY CIRCULAR AND PROXY STATEMENT. NOTE: VOTING ABSTAIN IS THE EQUIVALENT TO VOTING WITHHOLD. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 36,200 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 74,495 | 65,000 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 152,300 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| ACI WORLDWIDE, INC. | ||||||||
| Security | 004498101 | Meeting Type | Annual | |||||
| Ticker Symbol | ACIW | Meeting Date | 11-Jun-2013 | |||||
| ISIN | US0044981019 | Agenda | 933812667 - Management | |||||
| Record Date | 19-Apr-2013 | Holding Recon Date | 19-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 10-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 JOHN D. CURTIS |
For | For | ||||||||||
| 2 PHILIP G. HEASLEY |
For | For | ||||||||||
| 3 JAMES C. MCGRODDY |
For | For | ||||||||||
| 4 HARLAN F. SEYMOUR |
For | For | ||||||||||
| 5 JOHN M. SHAY, JR. |
For | For | ||||||||||
| 6 JOHN E. STOKELY |
For | For | ||||||||||
| 7 JAN H. SUWINSKI |
For | For | ||||||||||
| 2. | RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | CONDUCT AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | APPROVE THE 2013 EXECUTIVE MANAGEMENT INCENTIVE COMPENSATION PLAN. | Management | For | For | ||||||||
| 5. | APPROVE THE 2013 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF COMMON SHARES AUTHORIZED FOR ISSUANCE THEREUNDER. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 9,600 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 17,100 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 40,900 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| CELGENE CORPORATION | ||||||||
| Security | 151020104 | Meeting Type | Annual | |||||
| Ticker Symbol | CELG | Meeting Date | 12-Jun-2013 | |||||
| ISIN | US1510201049 | Agenda | 933806866 - Management | |||||
| Record Date | 17-Apr-2013 | Holding Recon Date | 17-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 11-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 ROBERT J. HUGIN |
For | For | ||||||||||
| 2 R.W. BARKER, D. PHIL. |
For | For | ||||||||||
| 3 MICHAEL D. CASEY |
For | For | ||||||||||
| 4 CARRIE S. COX |
For | For | ||||||||||
| 5 RODMAN L. DRAKE |
For | For | ||||||||||
| 6 M.A. FRIEDMAN, M.D. |
For | For | ||||||||||
| 7 GILLA KAPLAN, PH.D. |
For | For | ||||||||||
| 8 JAMES J. LOUGHLIN |
For | For | ||||||||||
| 9 ERNEST MARIO, PH.D. |
For | For | ||||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | APPROVAL OF THE AMENDMENT AND RESTATEMENT OF THE COMPANY’S 2008 STOCK INCENTIVE PLAN. | Management | For | For | ||||||||
| 4. | APPROVAL, BY NON-BINDING VOTE, OF EXECUTIVE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 5. | STOCKHOLDER PROPOSAL DESCRIBED IN MORE DETAIL IN THE PROXY STATEMENT. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 17,600 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 30,600 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 300 | 75,000 | 15-May-2013 | 15-May-2013 | |||||||||||
| UNITED CONTINENTAL HLDGS INC | ||||||||
| Security | 910047109 | Meeting Type | Annual | |||||
| Ticker Symbol | UAL | Meeting Date | 12-Jun-2013 | |||||
| ISIN | US9100471096 | Agenda | 933808783 - Management | |||||
| Record Date | 15-Apr-2013 | Holding Recon Date | 15-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 11-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | DIRECTOR | Management | ||||||||||
| 1 CAROLYN CORVI |
For | For | ||||||||||
| 2 JANE C. GARVEY |
For | For | ||||||||||
| 3 WALTER ISAACSON |
For | For | ||||||||||
| 4 HENRY L. MEYER III |
For | For | ||||||||||
| 5 OSCAR MUNOZ |
For | For | ||||||||||
| 6 LAURENCE E. SIMMONS |
For | For | ||||||||||
| 7 JEFFERY A. SMISEK |
For | For | ||||||||||
| 8 DAVID J. VITALE |
For | For | ||||||||||
| 9 JOHN H. WALKER |
For | For | ||||||||||
| 10 CHARLES A. YAMARONE |
For | For | ||||||||||
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| 3 | ADVISORY RESOLUTION APPROVING THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| 4 | REAPPROVAL OF THE PERFORMANCE MEASURES UNDER THE UNITED CONTINENTAL HOLDINGS, INC. 2008 INCENTIVE COMPENSATION PLAN. | Management | For | For | ||||||||
| 5 | APPROVAL OF THE AMENDED PERFORMANCE MEASURES UNDER THE UNITED CONTINENTAL HOLDINGS, INC. INCENTIVE PLAN 2010. | Management | For | For | ||||||||
| 6 | APPROVAL OF AN AMENDMENT TO THE COMPANY’S AMENDED AND RESTATED BYLAWS TO PROVIDE STOCKHOLDERS WITH THE RIGHT TO CALL A SPECIAL MEETING OF STOCKHOLDERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 132,706 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 60,900 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 99,800 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 121,894 | 0 | 30-Apr-2013 | 30-Apr-2013 | |||||||||||||
| SANDISK CORPORATION | ||||||||
| Security | 80004C101 | Meeting Type | Annual | |||||
| Ticker Symbol | SNDK | Meeting Date | 12-Jun-2013 | |||||
| ISIN | US80004C1018 | Agenda | 933811590 - Management | |||||
| Record Date | 15-Apr-2013 | Holding Recon Date | 15-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 11-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1.1 | ELECTION OF DIRECTOR: MICHAEL E. MARKS | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: KEVIN DENUCCIO | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: IRWIN FEDERMAN | Management | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: STEVEN J. GOMO | Management | For | For | ||||||||
| 1.5 | ELECTION OF DIRECTOR: EDDY W. HARTENSTEIN | Management | For | For | ||||||||
| 1.6 | ELECTION OF DIRECTOR: DR. CHENMING HU | Management | For | For | ||||||||
| 1.7 | ELECTION OF DIRECTOR: CATHERINE P. LEGO | Management | For | For | ||||||||
| 1.8 | ELECTION OF DIRECTOR: SANJAY MEHROTRA | Management | For | For | ||||||||
| 2 | TO APPROVE THE SANDISK CORPORATION 2013 INCENTIVE PLAN AND THE INITIAL RESERVATION OF 20,000,000 SHARES OF THE COMPANY’S COMMON STOCK TO BE ISSUED UNDER THE SANDISK CORPORATION 2013 INCENTIVE PLAN. | Management | For | For | ||||||||
| 3 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
| 4 | TO PASS AN ADVISORY RESOLUTION TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 71,972 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 2,200 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 27,951 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 14,800 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| BIOGEN IDEC INC. | ||||||||
| Security | 09062X103 | Meeting Type | Annual | |||||
| Ticker Symbol | BIIB | Meeting Date | 12-Jun-2013 | |||||
| ISIN | US09062X1037 | Agenda | 933814243 - Management | |||||
| Record Date | 15-Apr-2013 | Holding Recon Date | 15-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 11-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: CAROLINE D. DORSA | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: STELIOS PAPADOPOULOS | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: GEORGE A. SCANGOS | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: LYNN SCHENK | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: ALEXANDER J. DENNER | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: NANCY L. LEAMING | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: RICHARD C. MULLIGAN | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: ROBERT W. PANGIA | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: BRIAN S. POSNER | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: ERIC K. ROWINSKY | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: STEPHEN A. SHERWIN | Management | For | For | ||||||||
| 1L. | ELECTION OF DIRECTOR: WILLIAM D. YOUNG | Management | For | For | ||||||||
| 2. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS BIOGEN IDEC INC.‘S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | SAY ON PAY - AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | TO REAPPROVE THE MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE BIOGEN IDEC INC. 2008 PERFORMANCE- BASED MANAGEMENT INCENTIVE PLAN FOR PURPOSES OF SECTION 162(M) OF THE INTERNAL REVENUE CODE. | Management | For | For | ||||||||
| 5. | TO REAPPROVE THE MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE BIOGEN IDEC INC. 2008 OMNIBUS EQUITY PLAN FOR PURPOSES OF SECTION 162(M) OF THE INTERNAL REVENUE CODE. | Management | For | For | ||||||||
| 6. | SHAREHOLDER PROPOSAL REGARDING ADOPTION OF A SHARE RETENTION POLICY. | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 145 | 2,200 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 124 | 3,900 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 199 | 9,600 | 15-May-2013 | 15-May-2013 | |||||||||||
| TOYOTA MOTOR CORPORATION | ||||||||
| Security | J92676113 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 14-Jun-2013 | ||||||
| ISIN | JP3633400001 | Agenda | 704538012 - Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | AICHI / Japan | Vote Deadline Date | 06-Jun-2013 | |||||
| SEDOL(s) | 0851435 - 2205870 - 4871503 - 6900643 - B1YYWK8 | Quick Code | 72030 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please reference meeting materials. | Non-Voting | |||||||||||
| 1 | Approve Appropriation of Surplus | Management | For | For | ||||||||
| 2.1 | Appoint a Director | Management | For | For | ||||||||
| 2.2 | Appoint a Director | Management | For | For | ||||||||
| 2.3 | Appoint a Director | Management | For | For | ||||||||
| 2.4 | Appoint a Director | Management | For | For | ||||||||
| 2.5 | Appoint a Director | Management | For | For | ||||||||
| 2.6 | Appoint a Director | Management | For | For | ||||||||
| 2.7 | Appoint a Director | Management | For | For | ||||||||
| 2.8 | Appoint a Director | Management | For | For | ||||||||
| 2.9 | Appoint a Director | Management | For | For | ||||||||
| 2.10 | Appoint a Director | Management | For | For | ||||||||
| 2.11 | Appoint a Director | Management | For | For | ||||||||
| 2.12 | Appoint a Director | Management | For | For | ||||||||
| 2.13 | Appoint a Director | Management | For | For | ||||||||
| 2.14 | Appoint a Director | Management | For | For | ||||||||
| 2.15 | Appoint a Director | Management | For | For | ||||||||
| 2.16 | Appoint a Director | Management | For | For | ||||||||
| 3 | Amend Articles to: Adopt Reduction of Liability System for Outside Directors, Revision Reduction of Liability System for Outside Corporate Auditors | Management | For | For | ||||||||
| 4 | Approve Payment of Bonuses to Corporate Officers | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 109,700 | 0 | 27-May-2013 | 27-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 25,900 | 0 | 27-May-2013 | 27-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 42,200 | 0 | 27-May-2013 | 27-May-2013 | |||||||||||
| SIGNET JEWELERS LIMITED | ||||||||
| Security | G81276100 | Meeting Type | Annual | |||||
| Ticker Symbol | SIG | Meeting Date | 14-Jun-2013 | |||||
| ISIN | BMG812761002 | Agenda | 933812794 - Management | |||||
| Record Date | 12-Apr-2013 | Holding Recon Date | 12-Apr-2013 | |||||
| City / Country | / United Kingdom | Vote Deadline Date | 13-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTOR: DALE W. HILPERT | Management | For | For | ||||||||
| 1B | ELECTION OF DIRECTOR: H. TODD STITZER | Management | For | For | ||||||||
| 1C | ELECTION OF DIRECTOR: MARIANNE PARRS | Management | For | For | ||||||||
| 1D | ELECTION OF DIRECTOR: MICHAEL BARNES | Management | For | For | ||||||||
| 1E | ELECTION OF DIRECTOR: RUSSELL WALLS | Management | For | For | ||||||||
| 1F | ELECTION OF DIRECTOR: THOMAS G. PLASKETT | Management | For | For | ||||||||
| 1G | ELECTION OF DIRECTOR: VIRGINIA DROSOS | Management | For | For | ||||||||
| 2. | TO APPOINT KPMG LLP AS INDEPENDENT AUDITOR OF THE COMPANY, TO HOLD OFFICE FROM THE CONCLUSION OF THIS MEETING UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND TO AUTHORIZE THE AUDIT COMMITTEE TO DETERMINE ITS COMPENSATION. | Management | For | For | ||||||||
| 3. | TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT (THE “SAY-ON-PAY” VOTE). | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 9,976 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 3,846 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 19,500 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 27,954 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 72,324 | 0 | 15-May-2013 | 15-May-2013 | |||||||||||
| ELAN CORPORATION, PLC | ||||||||
| Security | 284131208 | Meeting Type | Contested-Special | |||||
| Ticker Symbol | ELN | Meeting Date | 17-Jun-2013 | |||||
| ISIN | US2841312083 | Agenda | 933838661 - Management | |||||
| Record Date | 23-May-2013 | Holding Recon Date | 23-May-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 12-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | TO AUTHORIZE THE COMPANY TO ENTER INTO THE THERAVANCE TRANSACTION AS SET OUT IN THE CIRCULAR TO ELAN SHAREHOLDERS DATED 24 MAY 2013. | Management | For | For | ||||||||
| 2. | TO AUTHORIZE THE COMPANY TO ENTER INTO THE AOP TRANSACTION AS SET OUT IN THE CIRCULAR TO ELAN SHAREHOLDERS DATED 24 MAY 2013. | Management | For | For | ||||||||
| 3. | TO AUTHORIZE THE COMPANY TO ENTER INTO THE ELND005 TRANSACTION AS SET OUT IN THE CIRCULAR TO ELAN SHAREHOLDERS DATED 24 MAY 2013. | Management | For | For | ||||||||
| 4. | TO AUTHORIZE THE COMPANY TO ENTER INTO THE SHARE REPURCHASE PROGRAM AS SET OUT IN THE CIRCULAR TO ELAN SHAREHOLDERS DATED 24 MAY 2013. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 128,472 | 0 | 30-May-2013 | 30-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 235,915 | 0 | 30-May-2013 | 30-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 543,397 | 0 | 30-May-2013 | 30-May-2013 | |||||||||||
| ELAN CORPORATION, PLC | ||||||||
| Security | 284131208 | Meeting Type | Contested-Special | |||||
| Ticker Symbol | ELN | Meeting Date | 17-Jun-2013 | |||||
| ISIN | US2841312083 | Agenda | 933847153 - Opposition | |||||
| Record Date | 23-May-2013 | Holding Recon Date | 23-May-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 12-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 01 | “THAT THE ENTRY BY THE COMPANY INTO THE THERAVANCE TRANSACTION, BE AND IS HEREBY APPROVED AND DIRECTORS, OR A DULY AUTHORISED COMMITTEE OF THE DIRECTORS, BE AND ARE HEREBY AUTHORISED TO CARRY THE THERAVANCE TRANSACTION INTO EFFECT AND IN CONNECTION THEREWITH THE DIRECTORS OF THE COMPANY BE AND ARE HEREBY AUTHORISED TO DO OR PROCURE TO BE DONE ANY SUCH ACTS AND THINGS ON BEHALF OF THE COMPANY AND ITS SUBSIDIARIES AS THEY CONSIDER NECESSARY OR EXPEDIENT FOR THE PURPOSE OF GIVING EFFECT TO THE FOREGOING.” | Management | ||||||||||
| 02 | “THAT THE ENTRY BY THE COMPANY INTO THE AOP TRANSACTION, BE AND IS HEREBY APPROVED AND THE DIRECTORS, OR A DULY AUTHORISED COMMITTEE OF THE DIRECTORS, BE AND ARE HEREBY AUTHORISED TO CARRY THE AOP TRANSACTION INTO EFFECT AND IN CONNECTION THEREWITH THE DIRECTORS OF THE COMPANY BE AND ARE HEREBY AUTHORISED TO DO OR PROCURE TO BE DONE ANY SUCH ACTS AND THINGS ON BEHALF OF THE COMPANY AND ITS SUBSIDIARIES AS THEY CONSIDER NECESSARY OR EXPEDIENT FOR THE PURPOSE OF GIVING EFFECT TO THE FOREGOING.” | Management | ||||||||||
| 03 | “THAT THE ENTRY BY THE COMPANY INTO THE ELND005 TRANSACTION, BE AND IS HEREBY APPROVED AND THE DIRECTORS, OR A DULY AUTHORISED COMMITTEE OF THE DIRECTORS, BE AND ARE HEREBY AUTHORISED TO CARRY THE ELND005 TRANSACTION INTO EFFECT AND IN CONNECTION THEREWITH THE DIRECTORS OF THE COMPANY BE AND ARE HEREBY AUTHORISED TO DO OR PROCURE TO BE DONE ANY SUCH ACTS AND THINGS ON BEHALF OF THE COMPANY AND ITS SUBSIDIARIES AS THEY CONSIDER NECESSARY OR EXPEDIENT FOR THE PURPOSE OF GIVING EFFECT TO THE FOREGOING.” | Management | ||||||||||
| 04 | “THAT THE ENTRY BY THE COMPANY INTO THE SHARE REPURCHASE PROGRAM, BE AND IS HEREBY APPROVED AND THE DIRECTORS, OR A DULY AUTHORISED COMMITTEE OF THE DIRECTORS, BE AND ARE HEREBY AUTHORISED TO CARRY THE SHARE REPURCHASE PROGRAM INTO EFFECT AND IN CONNECTION THEREWITH THE DIRECTORS OF THE COMPANY BE AND ARE HEREBY AUTHORISED TO DO OR PROCURE TO BE DONE ANY SUCH ACTS AND THINGS ON BEHALF OF THE COMPANY AND ITS SUBSIDIARIES AS THEY CONSIDER NECESSARY OR EXPEDIENT FOR THE PURPOSE OF GIVING EFFECT TO THE FOREGOING.” | Management | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 128,472 | 0 | |||||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 235,915 | 0 | |||||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 543,397 | 0 | |||||||||||||
| BRENNTAG AG, MUEHLHEIM/RUHR | ||||||||||
| Security | D12459109 | Meeting Type | Annual General Meeting | |||||||
| Ticker Symbol | Meeting Date | 19-Jun-2013 | ||||||||
| ISIN | DE000A1DAHH0 | Agenda | 704501433 - Management | |||||||
| Record Date | 12-Jun-2013 | Holding Recon Date | 12-Jun-2013 | |||||||
| City / Country | DUESSEL DORF / Germany | Blocking | Vote Deadline Date | 03-Jun-2013 | ||||||
| SEDOL(s) | B3WVFC8 - B40M8Y3 - B4YVF56 - B54MMJ9 | Quick Code | ||||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please note that for Registered Share meetings in Germany there is now a requi-rement that any shareholder who holds an aggregate total of 3 per cent or more-of the outstanding share capital must register under their beneficial owner d-etails before the appropriate deadline to be able to vote. Failure to comply w-ith the declaration requirements as stipulated in section 21 of the Securities-Trade Act (WpHG) may prevent the shareholder from voting at the general meeti-ngs. Therefore, your custodian may request that we register beneficial owner d-ata for all voted accounts to the respective sub custodian. If you require fur-ther information with regard to whether such BO registration will be conducted- for your custodian s accounts, please contact your CSR for more information. | Non-Voting | |||||||||||
| The sub custodians have advised that voted shares are not blocked for trading-purposes i.e. they are only unavailable for settlement. In order to deliver/se-ttle a voted position before the deregistration date a voting instruction canc- ellation and de-registration request needs to be sent to your CSR or Custodian-. Failure to de- register the shares before settlement date could result in the-settlement being delayed. Please also be aware that although some issuers per-mit the deregistration of shares at deregistration date, some shares may remai-n registered up until meeting date. If you are considering settling a traded v-oted position prior to the meeting date of this event, please contact your CSR-or custodian to ensure your shares have been deregistered. | Non-Voting | |||||||||||
| The Vote/Registration Deadline as displayed on ProxyEdge is subject to change-and will be updated as soon as Broadridge receives confirmation from the sub c-ustodians regarding their instruction deadline. For any queries please contact-your Client Services Representative. | Non-Voting | |||||||||||
| ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTI-ON WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTIT-LED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUD-ED WHEN YOUR SHARE IN VOTING RIGHTS HAS | Non-Voting | |||||||||||
| REACHED CERTAIN THRESHOLDS AND YOU HAV-E NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT-TO THE GERMAN SECURITIES TRADING ACT (WHPG). FOR QUESTIONS IN THIS REGARD PLE-ASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NO-T HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSIO-N FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL. THANK YOU. | ||||||||||||
| COUNTER PROPOSALS MAY BE SUBMITTED UNTIL 04 JUN 2013. FURTHER INFORMATION ON C-OUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER T-O THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE IT-EMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY A-T THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT O-N PROXYEDGE. | Non-Voting | |||||||||||
| 1. | Presentation of the adopted annual financial statements, the approved consolid-ated financial statements as well as the combined group management report and-management report (including the board of management’s explanatory report rega-rding the information pursuant to sections 289, para. 4 and 315, para. 4 of th-e German commercial code (Handelsgesetzbuch -HGB)), for the 2012 financial yea-r, respectively, and the report of the supervisory board | Non-Voting | ||||||||||
| 2. | Resolution on the appropriation of distributable profit in the 2012 financial year | Management | For | For | ||||||||
| 3. | Resolution on the ratification of the acts of the members of the board of management for the 2012 financial year | Management | For | For | ||||||||
| 4. | Resolution on the ratification of the acts of the members of the Supervisory board for the 2012 financial year | Management | For | For | ||||||||
| 5. | Resolution on the appointment of the auditors and consolidated group auditors for the 2013 financial year as well as the auditors for the audit reviews of interim financial reports: PricewaterhouseCoopers Aktiengesellschaft Wirtschaftsprufungsgesellschaft, Dusseldorf | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 22,888 | 0 | 14-May-2013 | 05-Jun-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 5,384 | 0 | 14-May-2013 | 05-Jun-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 8,762 | 0 | 14-May-2013 | 05-Jun-2013 | |||||||||||
| HONDA MOTOR CO.,LTD. | ||||||||
| Security | J22302111 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 19-Jun-2013 | ||||||
| ISIN | JP3854600008 | Agenda | 704541526 - Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | TOKYO / Japan | Vote Deadline Date | 11-Jun-2013 | |||||
| SEDOL(s) | 0435141 - 4435482 - 5326273 - 6435145 - B02F0P7 - B247ZM7 | Quick Code | 72670 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please reference meeting materials. | Non-Voting | |||||||||||
| 1 | Approve Appropriation of Surplus | Management | For | For | ||||||||
| 2 | Amend Articles to: Expand Business Lines | Management | For | For | ||||||||
| 3.1 | Appoint a Director | Management | For | For | ||||||||
| 3.2 | Appoint a Director | Management | For | For | ||||||||
| 3.3 | Appoint a Director | Management | For | For | ||||||||
| 3.4 | Appoint a Director | Management | For | For | ||||||||
| 3.5 | Appoint a Director | Management | For | For | ||||||||
| 3.6 | Appoint a Director | Management | For | For | ||||||||
| 3.7 | Appoint a Director | Management | For | For | ||||||||
| 3.8 | Appoint a Director | Management | For | For | ||||||||
| 3.9 | Appoint a Director | Management | For | For | ||||||||
| 3.10 | Appoint a Director | Management | For | For | ||||||||
| 3.11 | Appoint a Director | Management | For | For | ||||||||
| 3.12 | Appoint a Director | Management | For | For | ||||||||
| 3.13 | Appoint a Director | Management | For | For | ||||||||
| 4 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 62,078 | 0 | 29-May-2013 | 29-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 14,648 | 0 | 29-May-2013 | 29-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 24,030 | 0 | 29-May-2013 | 29-May-2013 | |||||||||||
| DENSO CORPORATION | ||||||||
| Security | J12075107 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 19-Jun-2013 | ||||||
| ISIN | JP3551500006 | Agenda | 704573648—Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | AICHI / Japan | Vote Deadline Date | 11-Jun-2013 | |||||
| SEDOL(s) | 5734694—6640381—B021NW3 | Quick Code | 69020 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please reference meeting materials. | Non-Voting | |||||||||||
| 1 | Approve Appropriation of Surplus | Management | For | For | ||||||||
| 2.1 | Appoint a Director | Management | For | For | ||||||||
| 2.2 | Appoint a Director | Management | For | For | ||||||||
| 2.3 | Appoint a Director | Management | For | For | ||||||||
| 2.4 | Appoint a Director | Management | For | For | ||||||||
| 2.5 | Appoint a Director | Management | For | For | ||||||||
| 2.6 | Appoint a Director | Management | For | For | ||||||||
| 2.7 | Appoint a Director | Management | For | For | ||||||||
| 2.8 | Appoint a Director | Management | For | For | ||||||||
| 2.9 | Appoint a Director | Management | For | For | ||||||||
| 2.10 | Appoint a Director | Management | For | For | ||||||||
| 2.11 | Appoint a Director | Management | For | For | ||||||||
| 2.12 | Appoint a Director | Management | For | For | ||||||||
| 2.13 | Appoint a Director | Management | For | For | ||||||||
| 2.14 | Appoint a Director | Management | For | For | ||||||||
| 3.1 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 3.2 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 4 | Approve Payment of Bonuses to Corporate Officers | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 56,800 | 0 | 03-Jun-2013 | 03-Jun-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 13,500 | 0 | 03-Jun-2013 | 03-Jun-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 21,900 | 0 | 03-Jun-2013 | 03-Jun-2013 | |||||||||||
| KODIAK OIL & GAS CORP. | ||||||||
| Security | 50015Q100 | Meeting Type | Annual | |||||
| Ticker Symbol | KOG | Meeting Date | 19-Jun-2013 | |||||
| ISIN | CA50015Q1000 | Agenda | 933832239 - Management | |||||
| Record Date | 09-May-2013 | Holding Recon Date | 09-May-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 14-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A | ELECTION OF DIRECTORS: LYNN A. PETERSON | Management | For | For | ||||||||
| 1B | JAMES E. CATLIN | Management | For | For | ||||||||
| 1C | RODNEY D. KNUTSON | Management | For | For | ||||||||
| 1D | HERRICK K. LIDSTONE, JR. | Management | For | For | ||||||||
| 1E | WILLIAM J. KRYSIAK | Management | For | For | ||||||||
| 02 | RATIFICATION OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 03 | APPROVAL OF THE ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 83,065 | 0 | 24-May-2013 | 24-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 157,171 | 0 | 24-May-2013 | 24-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 190 | 352,400 | 24-May-2013 | 24-May-2013 | |||||||||||
| CITIC SECURITIES CO LTD | ||||||||
| Security | Y1639N117 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 20-Jun-2013 | ||||||
| ISIN | CNE1000016V2 | Agenda | 704458694 - Management | |||||
| Record Date | 20-May-2013 | Holding Recon Date | 20-May-2013 | |||||
| City / Country | BEIJING / China | Vote Deadline Date | 14-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0425/LTN20130425569.pdf,- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0425/LTN20130425543.pdf-AND http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0603/LTN201306031202.-pdf | Non-Voting | ||||||||||
| 1 | To consider and approve the 2012 Work Report of the Board | Management | For | For | ||||||||
| 2 | To consider and approve the 2012 Work Report of the Supervisory Committee | Management | For | For | ||||||||
| 3 | To consider and approve the 2012 Annual Report of the Company | Management | For | For | ||||||||
| 4 | To consider and approve the 2012 Profit Distribution Plan of the Company | Management | For | For | ||||||||
| 5 | To consider and approve the resolution on the re- appointments of Ernst & Young Hua Ming LLP and Ernst & Young as external auditors of the Company for 2013 | Management | For | For | ||||||||
| 6 | To consider and approve the resolution on the estimated investment amount for the proprietary business of the Company for 2013 | Management | For | For | ||||||||
| 7.1 | To consider and approve the resolution on the potential related/connected party transactions between the Company and its subsidiaries and CITIC Group Corporation and its related/connected parties | Management | For | For | ||||||||
| 7.2 | To consider and approve the resolution on the potential related party transactions between the Company and its subsidiaries and China Asset Management Co., Ltd | Management | For | For | ||||||||
| 7.3 | To consider and approve the resolution on the potential related party transactions between the Company and its subsidiaries and CITIC Private Equity Funds Management Co., Ltd | Management | For | For | ||||||||
| 8 | To consider and approve the resolution on the total remuneration of Directors and Supervisors for 2012 | Management | For | For | ||||||||
| 9 | To consider and approve the resolution on the General Mandate to issue additional A Shares and H Shares | Management | For | For | ||||||||
| 10 | To consider and approve the resolution on the application for the expansion of the business scope to engage in the mutual fund management business by the Company | Management | For | For | ||||||||
| 11 | To consider and approve the resolution on the amendments to the Articles of Association | Management | For | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ADDITIONAL LINK. IF YOU-HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS Y-OU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | ||||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 915,445 | 0 | 30-Apr-2013 | 17-Jun-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 215,184 | 0 | 30-Apr-2013 | 17-Jun-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 338,381 | 0 | 30-Apr-2013 | 17-Jun-2013 | |||||||||||
| WEATHERFORD INTERNATIONAL LTD | ||||||||
| Security | H27013103 | Meeting Type | Annual | |||||
| Ticker Symbol | WFT | Meeting Date | 20-Jun-2013 | |||||
| ISIN | CH0038838394 | Agenda | 933820753—Management | |||||
| Record Date | 19-Apr-2013 | Holding Recon Date | 19-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 19-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | APPROVE THE 2012 ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF WEATHERFORD INTERNATIONAL LTD. FOR FISCAL YEAR 2012. | Management | For | For | ||||||||
| 2. | DISCHARGE THE BOARD OF DIRECTORS AND EXECUTIVE OFFICERS FROM LIABILITY UNDER SWISS LAW FOR THE YEAR ENDED DECEMBER 31, 2012. | Management | For | For | ||||||||
| 3A. | ELECTION OF DIRECTOR: BERNARD J. DUROC-DANNER | Management | For | For | ||||||||
| 3B. | ELECTION OF DIRECTOR: NICHOLAS F. BRADY | Management | For | For | ||||||||
| 3C. | ELECTION OF DIRECTOR: DAVID J. BUTTERS | Management | For | For | ||||||||
| 3D. | ELECTION OF DIRECTOR: JOHN D. GASS | Management | For | For | ||||||||
| 3E. | ELECTION OF DIRECTOR: FRANCIS S. KALMAN | Management | For | For | ||||||||
| 3F. | ELECTION OF DIRECTOR: WILLIAM E. MACAULAY | Management | For | For | ||||||||
| 3G. | ELECTION OF DIRECTOR: ROBERT K. MOSES, JR. | Management | For | For | ||||||||
| 3H. | ELECTION OF DIRECTOR: GUILLERMO ORTIZ | Management | For | For | ||||||||
| 3I. | ELECTION OF DIRECTOR: EMYR JONES PARRY | Management | For | For | ||||||||
| 3J. | ELECTION OF DIRECTOR: ROBERT A. RAYNE | Management | For | For | ||||||||
| 4. | RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND ELECT KPMG AG AS OUR SWISS STATUTORY AUDITOR. | Management | For | For | ||||||||
| 5. | APPROVE AMENDMENTS TO WEATHERFORD’S ARTICLES OF ASSOCIATION TO AUTHORIZE ISSUABLE AUTHORIZED SHARE CAPITAL IN AN AMOUNT EQUAL TO 18.22% OF CURRENT STATED CAPITAL AND GRANT AN AUTHORIZATION OF THE BOARD OF DIRECTORS TO ISSUE SHARES FROM AUTHORIZED SHARE CAPITAL FOR THE PERIOD FROM JUNE 20, 2013 TO JUNE 20, 2015. | Management | For | For | ||||||||
| 6. | ADOPT AN ADVISORY RESOLUTION APPROVING THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 11,076 | 0 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 4,143 | 135,000 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 5,211 | 235,000 | 09-May-2013 | 09-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 4,114 | 621,000 | 09-May-2013 | 09-May-2013 | |||||||||||
| WEATHERFORD INTERNATIONAL LTD | ||||||||
| Security | H27013103 | Meeting Type | Annual | |||||
| Ticker Symbol | WFT | Meeting Date | 20-Jun-2013 | |||||
| ISIN | CH0038838394 | Agenda | 933844575—Management | |||||
| Record Date | 30-May-2013 | Holding Recon Date | 30-May-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 19-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | APPROVE THE 2012 ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF WEATHERFORD INTERNATIONAL LTD. FOR FISCAL YEAR 2012. | Management | For | For | ||||||||
| 2. | DISCHARGE THE BOARD OF DIRECTORS AND EXECUTIVE OFFICERS FROM LIABILITY UNDER SWISS LAW FOR THE YEAR ENDED DECEMBER 31, 2012. | Management | For | For | ||||||||
| 3A. | ELECTION OF DIRECTOR: BERNARD J. DUROC-DANNER | Management | For | For | ||||||||
| 3B. | ELECTION OF DIRECTOR: NICHOLAS F. BRADY | Management | For | For | ||||||||
| 3C. | ELECTION OF DIRECTOR: DAVID J. BUTTERS | Management | For | For | ||||||||
| 3D. | ELECTION OF DIRECTOR: JOHN D. GASS | Management | For | For | ||||||||
| 3E. | ELECTION OF DIRECTOR: FRANCIS S. KALMAN | Management | For | For | ||||||||
| 3F. | ELECTION OF DIRECTOR: WILLIAM E. MACAULAY | Management | For | For | ||||||||
| 3G. | ELECTION OF DIRECTOR: ROBERT K. MOSES, JR. | Management | For | For | ||||||||
| 3H. | ELECTION OF DIRECTOR: GUILLERMO ORTIZ | Management | For | For | ||||||||
| 3I. | ELECTION OF DIRECTOR: EMYR JONES PARRY | Management | For | For | ||||||||
| 3J. | ELECTION OF DIRECTOR: ROBERT A. RAYNE | Management | For | For | ||||||||
| 4. | RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND ELECT KPMG AG AS OUR SWISS STATUTORY AUDITOR. | Management | For | For | ||||||||
| 5. | APPROVE AMENDMENTS TO WEATHERFORD’S ARTICLES OF ASSOCIATION TO AUTHORIZE ISSUABLE AUTHORIZED SHARE CAPITAL IN AN AMOUNT EQUAL TO 18.22% OF CURRENT STATED CAPITAL AND GRANT AN AUTHORIZATION OF THE BOARD OF DIRECTORS TO ISSUE SHARES FROM AUTHORIZED SHARE CAPITAL FOR THE PERIOD FROM JUNE 20, 2013 TO JUNE 20, 2015. | Management | For | For | ||||||||
| 6. | ADOPT AN ADVISORY RESOLUTION APPROVING THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 4,143 | 135,000 | 08-Jun-2013 | 08-Jun-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 5,211 | 235,000 | 08-Jun-2013 | 08-Jun-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 8,324 | 581,000 | 08-Jun-2013 | 08-Jun-2013 | |||||||||||
| INTEROIL CORPORATION | ||||||||
| Security | 460951106 | Meeting Type | Annual and Special Meeting | |||||
| Ticker Symbol | IOC | Meeting Date | 24-Jun-2013 | |||||
| ISIN | CA4609511064 | Agenda | 933834269 - Management | |||||
| Record Date | 14-May-2013 | Holding Recon Date | 14-May-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 19-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 01 | DIRECTOR | Management | ||||||||||
| 1 GAYLEN J. BYKER |
For | For | ||||||||||
| 2 SAMUEL L. DELCAMP |
For | For | ||||||||||
| 3 ROGER N. GRUNDY |
For | For | ||||||||||
| 4 WILSON L. KAMIT |
For | For | ||||||||||
| 5 ROGER LEWIS |
For | For | ||||||||||
| 6 PHIL E. MULACEK |
For | For | ||||||||||
| 7 RABBIE L. NAMALIU |
For | For | ||||||||||
| 8 FORD NICHOLSON |
For | For | ||||||||||
| 02 | THE APPOINTMENT OF PRICEWATERHOUSECOOPERS, CHARTERED ACCOUNTANTS, AS AUDITORS OF INTEROIL AT A REMUNERATION TO BE FIXED BY THE DIRECTORS OF INTEROIL. | Management | For | For | ||||||||
| 03 | TO APPROVE AND CONFIRM THE NEW SHAREHOLDER RIGHTS PLAN OF INTEROIL, WHICH PLAN BECAME EFFECTIVE ON MAY 29, 2013 CONCURRENT WITH THE TERMINATION OF THE PREVIOUS SHAREHOLDER RIGHTS PLAN OF INTEROIL INITIALLY ADOPTED IN 2007, AS SET FORTH IN THE INFORMATION CIRCULAR. | Management | For | For | ||||||||
| 04 | TO APPROVE AND CONFIRM THE NEW BY- LAWS OF INTEROIL AND TO CONFIRM THE REPEAL OF THE PREVIOUS BY-LAWS OF INTEROIL, AS SET FORTH IN THE INFORMATION CIRCULAR. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 1,519 | 19,500 | 29-May-2013 | 29-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 784 | 33,500 | 29-May-2013 | 29-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 1,094 | 88,500 | 29-May-2013 | 29-May-2013 | |||||||||||
| MIZUHO FINANCIAL GROUP,INC. | ||||||||
| Security | J4599L102 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 25-Jun-2013 | ||||||
| ISIN | JP3885780001 | Agenda | 704573787 - Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | TOKYO / Japan | Vote Deadline Date | 17-Jun-2013 | |||||
| SEDOL(s) | 6591014 - 7562213 - B06NR12 - B17CHR1 | Quick Code | 84110 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please reference meeting materials. | Non-Voting | |||||||||||
| 1 | Approve Appropriation of Surplus | Management | For | For | ||||||||
| 2 | Acquisition of Thirteenth Series Class XIII Preferred Stock | Management | For | For | ||||||||
| 3 | Amend Articles to: Approve Revisions Related to the New Capital Adequacy Requirements (Basel III), Decrease Capital Shares to be issued to 52,251,442,000 shs. in accordance with a Reduction to be Caused in the Total Number of each of the Classes of Shares | Management | For | For | ||||||||
| 4.1 | Appoint a Director | Management | For | For | ||||||||
| 4.2 | Appoint a Director | Management | For | For | ||||||||
| 4.3 | Appoint a Director | Management | For | For | ||||||||
| 4.4 | Appoint a Director | Management | For | For | ||||||||
| 4.5 | Appoint a Director | Management | For | For | ||||||||
| 4.6 | Appoint a Director | Management | For | For | ||||||||
| 4.7 | Appoint a Director | Management | For | For | ||||||||
| 4.8 | Appoint a Director | Management | For | For | ||||||||
| 4.9 | Appoint a Director | Management | For | For | ||||||||
| 5 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 6 | Shareholder Proposal: Partial amendment to the Articles of Incorporation | Shareholder | Against | For | ||||||||
| 7 | Shareholder Proposal: Partial amendment to the Articles of Incorporation (Proposal to provide financing to railway business operators to set up security video cameras inside trains) | Shareholder | Against | For | ||||||||
| 8 | Shareholder Proposal: Partial amendment to the Articles of Incorporation (Exercise of voting rights of shares held for strategic reasons) | Shareholder | Against | For | ||||||||
| 9 | Shareholder Proposal: Partial amendment to the Articles of Incorporation (Concerning disclosure of policy and results of officer training) | Shareholder | Against | For | ||||||||
| 10 | Shareholder Proposal: Partial amendment to the Articles of Incorporation (Resolution of general meeting of shareholders for retained earnings) | Shareholder | Against | For | ||||||||
| 11 | Shareholder Proposal: Partial amendment to the Articles of Incorporation (Request to disclose an action seeking revocation of a resolution by a general meeting of shareholders, or any other actions similar thereto, which may be brought against companies in which the group invested or provided financing for) | Shareholder | Against | For | ||||||||
| 12 | Shareholder Proposal: Partial amendment to the Articles of Incorporation (Disclosure of compensation paid to each officer) | Shareholder | Against | For | ||||||||
| 13 | Shareholder Proposal: Partial amendment to the Articles of Incorporation (Disclosure of an evaluation report at the time of an IPO) | Shareholder | Against | For | ||||||||
| 14 | Shareholder Proposal: Partial amendment to the Articles of Incorporation (Holding of seminars for investors) | Shareholder | Against | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 2,001,700 | 0 | 03-Jun-2013 | 03-Jun-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 473,100 | 0 | 03-Jun-2013 | 03-Jun-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 861,100 | 0 | 03-Jun-2013 | 03-Jun-2013 | |||||||||||
| GREAT WALL MOTOR CO LTD | ||||||||
| Security | Y2882P106 | Meeting Type | ExtraOrdinary General Meeting | |||||
| Ticker Symbol | Meeting Date | 26-Jun-2013 | ||||||
| ISIN | CNE100000338 | Agenda | 704501255 - Management | |||||
| Record Date | 27-May-2013 | Holding Recon Date | 27-May-2013 | |||||
| City / Country | HEBEI / China | Vote Deadline Date | 17-Jun-2013 | |||||
| SEDOL(s) | 6718255 - B01XL04 - B1BJQS2 | Quick Code | ||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0510/LTN20130510418.pdf-AND- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0510/LTN20130510425.pdf | Non-Voting | ||||||||||
| 1 | To consider and approve the absorption and merger of Baoding Xinchang Auto Parts Company Limited, Baoding Great Wall Botai Electrical Appliance Manufacturing Co., Ltd and Baoding Xincheng Automotive Development Company Limited in accordance with the proposal set out in Appendix I to the circular of the Company dated 10 May 2013, and to authorize the Board to implement and/or give effect to the absorption and merger, to execute all necessary documents and agreements and to do all such things deemed by them to be incidental to, ancillary to or in connection with the absorption and merger, and to approve, ratify and confirm all such actions of the Board in relation to the absorption and merger | Management | For | For | ||||||||
| 2 | To consider and approve the adjustment on use of proceeds and the reallocation of remaining proceeds from certain projects to other projects of the Company in accordance with the proposal set out in Appendix II to the circular of the Company dated 10 May 2013 | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 846,500 | 0 | 11-May-2013 | 20-Jun-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 200,000 | 0 | 11-May-2013 | 20-Jun-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 329,000 | 0 | 11-May-2013 | 20-Jun-2013 | |||||||||||
| DAIWA SECURITIES GROUP INC. | ||||||||
| Security | J11718111 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 26-Jun-2013 | ||||||
| ISIN | JP3502200003 | Agenda | 704561732 - Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | TOKYO / Japan | Vote Deadline Date | 18-Jun-2013 | |||||
| SEDOL(s) | 0250797 - 4253145 - 4263467 - 4276830 - 4743088 - 6251448 - B021NV2 - B0K3NN2 | Quick Code | 86010 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please reference meeting materials. | Non-Voting | |||||||||||
| 1.1 | Appoint a Director | Management | For | For | ||||||||
| 1.2 | Appoint a Director | Management | For | For | ||||||||
| 1.3 | Appoint a Director | Management | For | For | ||||||||
| 1.4 | Appoint a Director | Management | For | For | ||||||||
| 1.5 | Appoint a Director | Management | For | For | ||||||||
| 1.6 | Appoint a Director | Management | For | For | ||||||||
| 1.7 | Appoint a Director | Management | For | For | ||||||||
| 1.8 | Appoint a Director | Management | For | For | ||||||||
| 1.9 | Appoint a Director | Management | For | For | ||||||||
| 1.10 | Appoint a Director | Management | For | For | ||||||||
| 1.11 | Appoint a Director | Management | For | For | ||||||||
| 1.12 | Appoint a Director | Management | For | For | ||||||||
| 2 | Approve Issuance of Share Acquisition Rights as Stock Options | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 772,000 | 0 | 31-May-2013 | 31-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 183,000 | 0 | 31-May-2013 | 31-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 302,000 | 0 | 31-May-2013 | 31-May-2013 | |||||||||||
| NOMURA HOLDINGS, INC. | ||||||||
| Security | J59009159 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 26-Jun-2013 | ||||||
| ISIN | JP3762600009 | Agenda | 704561807 - Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | TOKYO / Japan | Vote Deadline Date | 18-Jun-2013 | |||||
| SEDOL(s) | 4601045 - 4644879 - 6643108 - 6650487 - B02JR69 - B0CRGP5 - B17H033 | Quick Code | 86040 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please reference meeting materials. | Non-Voting | |||||||||||
| 1.1 | Appoint a Director | Management | For | For | ||||||||
| 1.2 | Appoint a Director | Management | For | For | ||||||||
| 1.3 | Appoint a Director | Management | For | For | ||||||||
| 1.4 | Appoint a Director | Management | For | For | ||||||||
| 1.5 | Appoint a Director | Management | For | For | ||||||||
| 1.6 | Appoint a Director | Management | For | For | ||||||||
| 1.7 | Appoint a Director | Management | For | For | ||||||||
| 1.8 | Appoint a Director | Management | For | For | ||||||||
| 1.9 | Appoint a Director | Management | For | For | ||||||||
| 1.10 | Appoint a Director | Management | For | For | ||||||||
| 1.11 | Appoint a Director | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 907,100 | 0 | 31-May-2013 | 31-May-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 214,400 | 0 | 31-May-2013 | 31-May-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 372,800 | 0 | 31-May-2013 | 31-May-2013 | |||||||||||
| IHI CORPORATION | ||||||||
| Security | J2398N105 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 27-Jun-2013 | ||||||
| ISIN | JP3134800006 | Agenda | 704578434 - Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | TOKYO / Japan | Vote Deadline Date | 19-Jun-2013 | |||||
| SEDOL(s) | 5754313 - 6466985 - B170KB0 - B3BHQH9 | Quick Code | 70130 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| Please reference meeting materials. | Non-Voting | |||||||||||
| 1 | Approve Appropriation of Surplus | Management | For | For | ||||||||
| 2.1 | Appoint a Director | Management | For | For | ||||||||
| 2.2 | Appoint a Director | Management | For | For | ||||||||
| 2.3 | Appoint a Director | Management | For | For | ||||||||
| 2.4 | Appoint a Director | Management | For | For | ||||||||
| 2.5 | Appoint a Director | Management | For | For | ||||||||
| 2.6 | Appoint a Director | Management | For | For | ||||||||
| 2.7 | Appoint a Director | Management | For | For | ||||||||
| 2.8 | Appoint a Director | Management | For | For | ||||||||
| 2.9 | Appoint a Director | Management | For | For | ||||||||
| 2.10 | Appoint a Director | Management | For | For | ||||||||
| 2.11 | Appoint a Director | Management | For | For | ||||||||
| 2.12 | Appoint a Director | Management | For | For | ||||||||
| 2.13 | Appoint a Director | Management | For | For | ||||||||
| 2.14 | Appoint a Director | Management | For | For | ||||||||
| 2.15 | Appoint a Director | Management | For | For | ||||||||
| 3.1 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 3.2 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 285,251 | 0 | 05-Jun-2013 | 05-Jun-2013 | |||||||||||
| SUMITOMO MITSUI FINANCIAL GROUP,INC. | ||||||||
| Security | J7771X109 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 27-Jun-2013 | ||||||
| ISIN | JP3890350006 | Agenda | 704595808 - Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | TOKYO / Japan | Vote Deadline Date | 19-Jun-2013 | |||||
| SEDOL(s) | 3250095 - 6563024 - B02LM26 - B0R2R41 - B17MVZ7 | Quick Code | 83160 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| PLEASE NOTE THAT THIS IS THE 11th ANNUAL GENERAL SHAREHOLDERS MEETING AND THE-CLASS SHAREHOLDERS MEETING OF SHAREHOLDERS OF ORDINARY SHARES (PLEASE REFER TO-THE ATTACHED PDF FILES.) | Non-Voting | |||||||||||
| 1 | Approve Appropriation of Surplus | Management | For | For | ||||||||
| 2 | Amend Articles to: Approve Revisions Related to the New Capital Adequacy Requirements (Basel III), Decrease Capital Shares to be issued to 3,000,564,000 shs. in accordance with a Reduction to be Caused in the Total Number of each of the Classes of Shares, Eliminate Articles Related to Type 6 Preferred Stocks(PLEASE NOTE THAT THIS IS THE CONCURRENT AGENDA ITEM FOR THE CLASS SHAREHOLDERS MEETING OF SHAREHOLDERS OF ORDINARY SHARES.) | Management | For | For | ||||||||
| 3.1 | Appoint a Director | Management | For | For | ||||||||
| 3.2 | Appoint a Director | Management | For | For | ||||||||
| 3.3 | Appoint a Director | Management | For | For | ||||||||
| 3.4 | Appoint a Director | Management | For | For | ||||||||
| 3.5 | Appoint a Director | Management | For | For | ||||||||
| 3.6 | Appoint a Director | Management | For | For | ||||||||
| 3.7 | Appoint a Director | Management | For | For | ||||||||
| 3.8 | Appoint a Director | Management | For | For | ||||||||
| 3.9 | Appoint a Director | Management | For | For | ||||||||
| 4.1 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 4.2 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 4.3 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 5 | Appoint a Substitute Corporate Auditor | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 124,900 | 0 | 10-Jun-2013 | 10-Jun-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 29,500 | 0 | 10-Jun-2013 | 10-Jun-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 52,500 | 0 | 10-Jun-2013 | 10-Jun-2013 | |||||||||||
| MITSUBISHI UFJ FINANCIAL GROUP,INC. | ||||||||
| Security | J44497105 | Meeting Type | Annual General Meeting | |||||
| Ticker Symbol | Meeting Date | 27-Jun-2013 | ||||||
| ISIN | JP3902900004 | Agenda | 704595810 - Management | |||||
| Record Date | 31-Mar-2013 | Holding Recon Date | 31-Mar-2013 | |||||
| City / Country | TOKYO / Japan | Vote Deadline Date | 19-Jun-2013 | |||||
| SEDOL(s) | 3198902 - 6335171 - B02JD72 - B0P9948 | Quick Code | 83060 | |||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| PLEASE NOTE THAT THIS IS THE 8th ANNUAL GENERAL SHAREHOLDERS MEETING AND THE C-LASS SHAREHOLDERS MEETING OF SHAREHOLDERS OF ORDINARY SHARES (PLEASE REFER TO-THE ATTACHED PDF FILES.) | Non-Voting | |||||||||||
| 1 | Approve Appropriation of Surplus | Management | For | For | ||||||||
| 2 | Amend Articles to: Approve Revisions Related to the New Capital Adequacy Requirements (Basel III), Decrease Capital Shares to be issued to 33,800,001,000 shs. in accordance with a Reduction to be Caused in the Total Number of each of the Classes of Shares, Eliminate Articles Related to Class 3 Preferred Shares, Establish a Record Date with Respect to General Meetings of Holders of Class Shares (PLEASE NOTE THAT THIS IS THE CONCURRENT AGENDA ITEM FOR THE CLASS SHAREHOLDERS MEETING OF SHAREHOLDERS OF ORDINARY SHARES.) | Management | For | For | ||||||||
| 3.1 | Appoint a Director | Management | For | For | ||||||||
| 3.2 | Appoint a Director | Management | For | For | ||||||||
| 3.3 | Appoint a Director | Management | For | For | ||||||||
| 3.4 | Appoint a Director | Management | For | For | ||||||||
| 3.5 | Appoint a Director | Management | For | For | ||||||||
| 3.6 | Appoint a Director | Management | For | For | ||||||||
| 3.7 | Appoint a Director | Management | For | For | ||||||||
| 3.8 | Appoint a Director | Management | For | For | ||||||||
| 3.9 | Appoint a Director | Management | For | For | ||||||||
| 3.10 | Appoint a Director | Management | For | For | ||||||||
| 3.11 | Appoint a Director | Management | For | For | ||||||||
| 3.12 | Appoint a Director | Management | For | For | ||||||||
| 3.13 | Appoint a Director | Management | For | For | ||||||||
| 3.14 | Appoint a Director | Management | For | For | ||||||||
| 3.15 | Appoint a Director | Management | For | For | ||||||||
| 4.1 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 4.2 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 4.3 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 4.4 | Appoint a Corporate Auditor | Management | For | For | ||||||||
| 5 | Abolition of Stock Option Remuneration, etc. for Outside Directors and Corporate Auditors, and Revision of the Amount and Details of Stock Option Remuneration, etc. for Directors and the Amount of Annual Remuneration for Directors and Corporate Auditors in connection with such Abolition | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 637,500 | 0 | 10-Jun-2013 | 10-Jun-2013 | |||||||||||
| 260227 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 150,600 | 0 | 10-Jun-2013 | 10-Jun-2013 | |||||||||||
| 260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 276,500 | 0 | 10-Jun-2013 | 10-Jun-2013 | |||||||||||
| MEDIVATION, INC. | ||||||||
| Security | 58501N101 | Meeting Type | Annual | |||||
| Ticker Symbol | MDVN | Meeting Date | 28-Jun-2013 | |||||
| ISIN | US58501N1019 | Agenda | 933822214 - Management | |||||
| Record Date | 29-Apr-2013 | Holding Recon Date | 29-Apr-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 27-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 DANIEL D. ADAMS |
For | For | ||||||||||
| 2 KIM D. BLICKENSTAFF |
For | For | ||||||||||
| 3 KATHRYN E. FALBERG |
For | For | ||||||||||
| 4 DAWN GRAHAM |
For | For | ||||||||||
| 5 DAVID T. HUNG, M.D. |
For | For | ||||||||||
| 6 W. ANTHONY VERNON |
For | For | ||||||||||
| 7 WENDY L. YARNO |
For | For | ||||||||||
| 2. | TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP AS MEDIVATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF MEDIVATION’S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE PROXY STATEMENT. | Management | For | For | ||||||||
| 4. | TO APPROVE THE MEDIVATION, INC. 2013 EMPLOYEE STOCK PURCHASE PLAN. | Management | For | For | ||||||||
| 5. | TO APPROVE THE MEDIVATION, INC. AMENDED AND RESTATED 2004 EQUITY INCENTIVE AWARD PLAN. | Management | For | For | ||||||||
| 6. | TO APPROVE THE MEDIVATION, INC. 2013 CASH PERFORMANCE INCENTIVE PLAN. | Management | For | For | ||||||||
| Account Number |
Account Name |
Internal |
Custodian | Ballot |
Unavailable |
Vote Date |
Date Confirmed | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 18,600 | 0 | 10-May-2013 | 10-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 34,200 | 0 | 10-May-2013 | 10-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 78,300 | 0 | 10-May-2013 | 10-May-2013 | |||||||||||
| ORIENT-EXPRESS HOTELS LTD. | ||||||||
| Security | G67743107 | Meeting Type | Annual | |||||
| Ticker Symbol | OEH | Meeting Date | 28-Jun-2013 | |||||
| ISIN | BMG677431071 | Agenda | 933824383—Management | |||||
| Record Date | 03-May-2013 | Holding Recon Date | 03-May-2013 | |||||
| City / Country | / United States | Vote Deadline Date | 27-Jun-2013 | |||||
| SEDOL(s) | Quick Code | |||||||
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1. | DIRECTOR | Management | ||||||||||
| 1 HARSHA V. AGADI |
For | For | ||||||||||
| 2 JOHN D. CAMPBELL |
For | For | ||||||||||
| 3 ROLAND A. HERNANDEZ |
For | For | ||||||||||
| 4 MITCHELL C. HOCHBERG |
For | For | ||||||||||
| 5 RUTH A. KENNEDY |
For | For | ||||||||||
| 6 PRUDENCE M. LEITH |
For | For | ||||||||||
| 7 GEORG R. RAFAEL |
For | For | ||||||||||
| 8 JOHN M. SCOTT III |
For | For | ||||||||||
| 2. | APPOINTMENT OF DELOITTE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, AND AUTHORIZATION OF THE AUDIT COMMITTEE TO FIX ACCOUNTING FIRM’S REMUNERATION. | Management | For | For | ||||||||
| Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares |
Unavailable Shares |
Vote Date | Date Confirmed | |||||||||||
| 000260203 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 17,926 | 0 | 14-May-2013 | 14-May-2013 | |||||||||||
| 000260282 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 9,426 | 0 | 14-May-2013 | 14-May-2013 | |||||||||||
| 000274050 | CLOUGH GLOBAL ALLOCATION FUND | GLV | BNY MELLON | 53,406 | 0 | 14-May-2013 | 14-May-2013 | |||||||||||
| 000274051 | CLOUGH GLOBAL EQUITY FUND | GLQ | BNY MELLON | 110,111 | 0 | 14-May-2013 | 14-May-2013 | |||||||||||
| 000274052 | CLOUGH GLOBAL OPPORTUNITIES FUND | GLO | BNY MELLON | 209,088 | 0 | 14-May-2013 | 14-May-2013 | |||||||||||
SIGNATURE
Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Clough Global Equity Fund | ||
| By: | /s/ Edmund J. Burke | |
| Edmund J. Burke | ||
| President | ||
| Date: | August 27, 2013 | |
-3-