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: 811-21583

CLOUGH GLOBAL ALLOCATION 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 Allocation 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, 2013 – June 30, 2014

---

Item 1 – Proxy Voting Record.

 

-2-

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Vote Summary

 

		GULFPORT ENERGY CORPORATION
		Security		402635304		Meeting Type		Annual
		Ticker Symbol		GPOR		Meeting Date		01-Jul-2013
		ISIN		US4026353049		Agenda		933825436 - Management
		Record Date		23-Apr-2013		Holding Recon Date		23-Apr-2013
		City / Country		/ United States		Vote Deadline Date		28-Jun-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

1.

DIRECTOR

Management

1 DONALD L. DILLINGHAM

For

For

2 CRAIG GROESCHEL

For

For

3 DAVID L. HOUSTON

For

For

4 JAMES D. PALM

For

For

5 SCOTT E. STRELLER

For

For

2.

PROPOSAL TO APPROVE AN AMENDMENT TO THE COMPANY’S RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE TOTAL NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 100,000,000 SHARES TO 250,000,000 SHARES

Management

For

For

3.

PROPOSAL TO APPROVE OUR 2013 RESTATED STOCK INCENTIVE PLAN

Management

For

For

4.

PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION

Management

For

For

5.

PROPOSAL TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP AS THE COMPANY’S 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

000274050

BNY MELLON

708

35,000

15-May-2013

15-May-2013

 

		AMARIN CORPORATION PLC
		Security		023111206		Meeting Type		Annual
		Ticker Symbol		AMRN		Meeting Date		09-Jul-2013
		ISIN		US0231112063		Agenda		933818621 - Management
		Record Date		22-Apr-2013		Holding Recon Date		22-Apr-2013
		City / Country		/ United States		Vote Deadline Date		01-Jul-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

O1

TO RE-ELECT MR. JOSEPH S. ZAKRZEWSKI AS A DIRECTOR

Management

For

For

O2

TO RE-ELECT MS. KRISTINE PETERSON AS A DIRECTOR

Management

For

For

O3

TO ELECT MR. DAVID STACK AS A DIRECTOR

Management

For

For

O4

TO HOLD AN ADVISORY (NON-BINDING) VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S “NAMED EXECUTIVE OFFICERS” AS DESCRIBED IN THE COMPENSATION DISCUSSION AND ANALYSIS SECTION, THE TABULAR DISCLOSURE REGARDING SUCH COMPENSATION, AND THE ACCOMPANYING NARRATIVE DISCLOSURE SET FORTH IN THE ENCLOSED PROXY STATEMENT

Management

For

For

O5

TO HOLD AN ADVISORY (NON-BINDING) VOTE TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE FISCAL YEAR ENDED DECEMBER 31, 2012

Management

For

For

O6

TO APPOINT DELOITTE & TOUCHE LLP AS AUDITORS TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY AND TO AUTHORIZE THE AUDIT COMMITTEE OF BOARD OF DIRECTORS TO FIX AUDITORS’ REMUNERATION

Management

For

For

S7

TO AMEND THE COMPANY’S ARTICLES OF ASSOCIATION TO REMOVE A BORROWING LIMITATION ON THE COMPANY BY DELETING ARTICLES 143(B) TO (E) (INCLUSIVE)

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

000274050

CLOUGH GLOBAL ALLOCATION FUND

000274050

BNY MELLON

200

73,000

07-May-2013

07-May-2013

 

		MAN WAH HOLDINGS LTD
		Security		G5800U107		Meeting Type		Annual General Meeting
		Ticker Symbol				Meeting Date		15-Jul-2013
		ISIN		BMG5800U1071		Agenda		704601675 - Management
		Record Date		10-Jul-2013		Holding Recon Date		10-Jul-2013
		City / Country		HONGKONG / Bermuda		Vote Deadline Date		01-Jul-2013
		SEDOL(s)		B58VHF3 - B58YWF7 - B5WN7S8		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/ 2013/0610/LTN20130610686.pdf-AND- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0610/LTN20130610682.pdf

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR-ALL RESOLUTIONS. THANK YOU.

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 2013

Management

For

For

2

To declare a final dividend of HK18 cents per share for the year ended 31 March 2013

Management

For

For

3

To approve the re-election of Mr. Dai Quanfa 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. Xie Fang as a non-executive director of the Company and the terms of his appointment (including remuneration)

Management

For

For

5

To approve the re-election of Mr. Kan Chung Nin, Tony as an independent non-executive director of the Company and the terms of his appointment (including remuneration)

Management

For

For

6

To approve the re-election of Mr. Wang Guisheng as an executive director of the Company and the terms of his appointment (including remuneration)

Management

For

For

7

To approve the re-election of Mr. Ong Chor Wei as an independent non-executive director of the Company and the terms of his appointment (including remuneration)

Management

For

For

---

		8		To approve the re-election of Mr. Stephen Allen Barr as an executive director of the Company and the terms of his appointment (including remuneration)		Management		For		For
		9		To approve the re-election of Mr. Lee Teck Leng, Robson as an independent non-executive director of the Company and the terms of his appointment (including remuneration)		Management		For		For
		10		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
		11		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
		12		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
		13		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
		CMMT		PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD DATE FROM 12 JULY-TO 10 JULY 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

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BNY MELLON

1,498,600

0

11-Jun-2013

11-Jul-2013

 

 

		GULFPORT ENERGY CORPORATION
		Security		402635304		Meeting Type		Annual
		Ticker Symbol		GPOR		Meeting Date		18-Jul-2013
		ISIN		US4026353049		Agenda		933854639 - Management
		Record Date		23-Apr-2013		Holding Recon Date		23-Apr-2013
		City / Country		/ United States		Vote Deadline Date		17-Jul-2013
		SEDOL(s)				Quick Code

 

		Item		Proposal		Type		Vote		For/Against Management
		2.		PROPOSAL TO APPROVE AN AMENDMENT TO THE COMPANY’S RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE TOTAL NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 100,000,000 SHARES TO 200,000,000 SHARES.		Management		For		For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

000274050

CLOUGH GLOBAL ALLOCATION FUND

000274050

BNY MELLON

708

35,000

02-Jul-2013

02-Jul-2013

 

		SANDS CHINA LTD
		Security		G7800X107		Meeting Type		ExtraOrdinary General Meeting
		Ticker Symbol				Meeting Date		26-Jul-2013
		ISIN		KYG7800X1079		Agenda		704628885 - Management
		Record Date		15-Jul-2013		Holding Recon Date		15-Jul-2013
		City / Country		MACAO / Cayman Islands		Vote Deadline Date		12-Jul-2013
		SEDOL(s)		B4Z67Z4 - B5B23W2 - B7YJHL1		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/2013/0627/LTN20130627408.pdf-AND- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0627/LTN20130627430.pdf

Non-Voting

1

To appoint Deloitte Touche Tohmatsu as auditor and to authorize the board of directors to fix their remuneration

Management

For

For

CMMT

PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL RECORD DATE. 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

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BNY MELLON

158,400

0

28-Jun-2013

22-Jul-2013

 

		JAZZ PHARMACEUTICALS PLC
		Security		G50871105		Meeting Type		Annual
		Ticker Symbol		JAZZ		Meeting Date		01-Aug-2013
		ISIN		IE00B4Q5ZN47		Agenda		933848573 - Management
		Record Date		04-Jun-2013		Holding Recon Date		04-Jun-2013
		City / Country		/ United States		Vote Deadline Date		31-Jul-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

1A

ELECTION OF DIRECTOR: PAUL L. BERNS

Management

For

For

1B

ELECTION OF DIRECTOR: PATRICK G. ENRIGHT

Management

For

For

1C

ELECTION OF DIRECTOR: SEAMUS MULLIGAN

Management

For

For

1D

ELECTION OF DIRECTOR: NORBERT G. RIEDEL, PH.D

Management

For

For

2

TO APPROVE THE APPOINTMENT OF KPMG AS THE INDEPENDENT AUDITORS OF JAZZ PHARMACEUTICALS PLC FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013 AND TO AUTHORIZE THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS TO DETERMINE THE AUDITORS’ REMUNERATION.

Management

For

For

3

TO AUTHORIZE JAZZ PHARMACEUTICALS PLC AND/OR ANY SUBSIDIARY OF JAZZ PHARMACEUTICALS PLC TO MAKE MARKET PURCHASES OF JAZZ PHARMACEUTICALS PLC ORDINARY SHARES.

Management

For

For

4

TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF JAZZ PHARMACEUTICALS PLC’S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE ACCOMPANYING 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

000274050

BNY MELLON

18,313

0

13-Jun-2013

13-Jun-2013

---

		FOREST LABORATORIES, INC.
		Security		345838106		Meeting Type		Annual
		Ticker Symbol		FRX		Meeting Date		15-Aug-2013
		ISIN		US3458381064		Agenda		933856633 - Management
		Record Date		24-Jun-2013		Holding Recon Date		24-Jun-2013
		City / Country		/ United States		Vote Deadline Date		14-Aug-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

1A

ELECTION OF DIRECTOR: HOWARD SOLOMON

Management

For

For

1B

ELECTION OF DIRECTOR: NESLI BASGOZ, MD

Management

For

For

1C

ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN

Management

For

For

1D

ELECTION OF DIRECTOR: KENNETH E. GOODMAN

Management

For

For

1E

ELECTION OF DIRECTOR: VINCENT J. INTRIERI

Management

For

For

1F

ELECTION OF DIRECTOR: PIERRE LEGAULT

Management

For

For

1G

ELECTION OF DIRECTOR: GERALD M. LIEBERMAN

Management

For

For

1H

ELECTION OF DIRECTOR: LAWRENCE S. OLANOFF, MD

Management

For

For

1I

ELECTION OF DIRECTOR: LESTER B. SALANS, MD

Management

For

For

1J

ELECTION OF DIRECTOR: BRENTON L. SAUNDERS

Management

For

For

1K

ELECTION OF DIRECTOR: PETER J. ZIMETBAUM, MD

Management

For

For

2

APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.

Management

For

For

3

APPROVAL OF AMENDMENTS TO THE COMPANY’S 2007 EQUITY INCENTIVE PLAN.

Management

For

For

4

RATIFICATION OF THE SELECTION OF BDO USA, 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

000274050

BNY MELLON

16,529

0

10-Jul-2013

10-Jul-2013

 

		HEALTH MANAGEMENT ASSOCIATES, INC.
		Security		421933102		Meeting Type		Contested-Consent
		Ticker Symbol		HMA		Meeting Date		15-Aug-2013
		ISIN		US4219331026		Agenda		933860985 - Opposition
		Record Date		18-Jul-2013		Holding Recon Date		18-Jul-2013
		City / Country		/ United States		Vote Deadline Date		14-Aug-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

01

THE REPEAL OF ANY AMENDMENT OR MODIFICATION BY THE BOARD OF DIRECTORS OF THE COMPANY (THE “BOARD”) OF THE COMPANY’S AMENDED AND RESTATED BYLAWS FILED WITH THE SEC ON DECEMBER 7, 2010 MADE AFTER DECEMBER 7, 2010 AND ON OR PRIOR TO THE EFFECTIVENESS OF THIS CONSENT SOLICITATION.

Management

02

THE AMENDMENT OF SECTION 6 OF ARTICLE II THE COMPANY’S AMENDED AND RESTATED BYLAWS AS SET FORTH IN ANNEX II TO THE CONSENT STATEMENT ON SCHEDULE 14A FILED BY GLENVIEW TO EXPRESSLY PROVIDE THAT THE ADVANCE NOTICE AND INFORMATION REQUIREMENTS ASSOCIATED WITH NOMINATIONS OF DIRECTORS TO THE BOARD OF DIRECTORS DO NOT APPLY TO THE ELECTION OF DIRECTORS THROUGH ACTION BY WRITTEN CONSENT OR AT A SPECIAL MEETING.

Management

03

THE AMENDMENT OF SECTION 2 OF ARTICLE III OF THE COMPANY’S AMENDED AND RESTATED BYLAWS AS SET FORTH IN ANNEX III TO THE CONSENT STATEMENT ON SCHEDULE 14A FILED BY GLENVIEW TO EXPRESSLY PROVIDE THAT ANY VACANCIES ON THE BOARD MAY BE FILLED BY THE STOCKHOLDERS AND THOSE VACANCIES RESULTING FROM A REMOVAL OF DIRECTORS BY THE STOCKHOLDERS SHALL BE FILLED ONLY BY THE STOCKHOLDERS.

Management

4A

THE REMOVAL OF: WILLIAM J. SCHOEN

Management

4B

THE REMOVAL OF: GARY D. NEWSOME

Management

4C

THE REMOVAL OF: KENT P. DAUTEN

Management

4D

THE REMOVAL OF: PASCAL J. GOLDSCHMIDT, M.D.

Management

4E

THE REMOVAL OF: DONALD E. KIERNAN

Management

4F

THE REMOVAL OF: ROBERT A. KNOX

Management

4G

THE REMOVAL OF: VICKI A. O’MEARA

Management

4H

THE REMOVAL OF: WILLIAM C. STEERE, JR.

Management

4I

THE REMOVAL OF: RANDOLPH W. WESTERFIELD, PH.D

Management

4J

THE REMOVAL OF EACH MEMBER OF THE BOARD, IF ANY, APPOINTED TO THE BOARD TO FILL ANY VACANCY OR NEWLY-CREATED DIRECTORSHIP SINCE THE ELECTION OF DIRECTORS AT THE COMPANY’S 2013 ANNUAL MEETING OF STOCKHOLDERS AND IMMEDIATELY PRIOR TO THE EFFECTIVENESS OF PROPOSAL 5.

Management

5A

THE ELECTION OF: MARY TAYLOR BEHRENS

Management

5B

THE ELECTION OF: STEVEN EPSTEIN

Management

5C

THE ELECTION OF: KIRK GORMAN

Management

5D

THE ELECTION OF: STEPHEN GUILLARD

Management

5E

THE ELECTION OF: JOHN MCCARTY

Management

5F

THE ELECTION OF: JOANN REED

Management

5G

THE ELECTION OF: STEVEN SHULMAN

Management

5H

THE ELECTION OF: PETER URBANOWICZ

Management

06

THE SETTING OF THE SIZE OF THE BOARD TO THE NUMBER OF DIRECTORS SITTING ON THE BOARD FOLLOWING THE ACTION PURSUANT TO THIS CONSENT SOLICITATION ON PROPOSALS NO. 4 AND 5 IN ORDER TO ELIMINATE ANY VACANCIES ON THE BOARD, SUBJECT TO FUTURE CHANGE IN ACCORDANCE WITH THE COMPANY’S AMENDED AND RESTATED BYLAWS.

Management

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

000274050

CLOUGH GLOBAL ALLOCATION FUND

000274050

BNY MELLON

8,815

0

 

---

		HEALTH MANAGEMENT ASSOCIATES, INC.
		Security		421933102		Meeting Type		Contested-Consent
		Ticker Symbol		HMA		Meeting Date		15-Aug-2013
		ISIN		US4219331026		Agenda		933861367 - Management
		Record Date		18-Jul-2013		Holding Recon Date		18-Jul-2013
		City / Country		/ United States		Vote Deadline Date		14-Aug-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

01

PROPOSAL MADE BY GLENVIEW TO REPEAL ANY AMENDMENT OR MODIFICATION BY THE COMPANY’S BOARD OF DIRECTORS (THE “BOARD”) OF THE AMENDED AND RESTATED BYLAWS OF THE COMPANY (THE “BYLAWS”) FILED WITH THE SECURITIES AND EXCHANGE COMMISSION DATED ON DECEMBER 7, 2010 (SUCH BYLAWS, THE “CURRENT BYLAWS”) MADE AFTER DECEMBER 7, 2010 AND ON OR PRIOR TO THE EFFECTIVENESS OF THE GLENVIEW CONSENT SOLICITATION.

Management

Abstain

Against

02

PROPOSAL MADE BY GLENVIEW TO AMEND SECTION 6 OF ARTICLE II OF THE BYLAWS AS SET FORTH IN ANNEX II TO THE GLENVIEW CONSENT SOLICITATION TO EXPRESSLY PROVIDE THAT THE ADVANCE NOTICE AND INFORMATION REQUIREMENTS ASSOCIATED WITH NOMINATIONS OF DIRECTORS TO THE BOARD ONLY APPLY TO NOMINATIONS OF DIRECTORS FOR ELECTION AT AN ANNUAL MEETING, AND, AS SUCH, NOT IN CONNECTION WITH THE ELECTION OF DIRECTORS THROUGH ACTION BY WRITTEN CONSENT OR AT A SPECIAL MEEETING.

Management

Abstain

Against

03

PROPOSAL MADE BY GLENVIEW TO AMEND SECTION 2 OF ARTICLE III OF THE BYLAWS AS SET FORTH IN ANNEX III TO THE GLENVIEW CONSENT SOLICITATION TO EXPRESSLY PROVIDE THAT ANY VACANCIES ON THE BOARD MAY BE FILLED BY THE STOCKHOLDERS AND THOSE VACANCIES RESULTING FROM A REMOVAL OF DIRECTORS BY THE STOCKHOLDERS SHALL BE FILLED ONLY BY THE STOCKHOLDERS.

Management

Abstain

Against

4A

THE REMOVAL OF: WILLIAM J. SCHOEN “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4B

THE REMOVAL OF: GARY D. NEWSOME “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4C

THE REMOVAL OF: KENT P. DAUTEN “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4D

THE REMOVAL OF: PASCAL J. GOLDSCHMIDT, M.D. “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4E

THE REMOVAL OF: DONALD E. KIERNAN “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4F

THE REMOVAL OF: ROBERT A. KNOX “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4G

THE REMOVAL OF: VICKI A. O’MEARA “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4H

THE REMOVAL OF: WILLIAM C. STEERE, JR. “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4I

THE REMOVAL OF: RANDOLPH W. WESTERFIELD, PH.D “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

4J

THE REMOVAL OF EACH MEMBER OF THE BOARD, IF ANY, APPOINTED TO THE BOARD TO FILL ANY VACANCY OR NEWLY-CREATED DIRECTORSHIP SINCE THE ELECTION OF DIRECTORS AT THE COMPANY’S 2013 ANNUAL MEETING OF STOCKHOLDERS AND IMMEDIATELY PRIOR TO THE EFFECTIVENESS OF PROPOSAL 5.

Management

Abstain

Against

5A

THE ELECTION OF: MARY TAYLOR BEHRENS “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

5B

THE ELECTION OF: STEVEN EPSTEIN “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

5C

THE ELECTION OF: KIRK GORMAN “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

5D

THE ELECTION OF: STEPHEN GUILLARD “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

5E

THE ELECTION OF: JOHN MCCARTY “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

5F

THE ELECTION OF: JOANN REED “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

5G

THE ELECTION OF: STEVEN SHULMAN “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

5H

THE ELECTION OF: PETER URBANOWICZ “YES, REVOKE MY CONSENT = FOR; NO, DO NOT REVOKE MY CONSENT = ABSTAIN.”

Management

Abstain

Against

06

PROPOSAL MADE BY GLENVIEW TO SET THE SIZE OF THE BOARD TO THE NUMBER OF DIRECTORS SITTING ON THE BOARD FOLLOWING THE ACTION PURSUANT TO THE GLENVIEW CONSENT SOLICITATION ON PROPOSALS NO. 4 AND 5 IN ORDER TO ELIMINATE ANY VACANCIES ON THE BOARD, SUBJECT TO FUTURE CHANGE IN ACCORDANCE WITH THE BYLAW.

Management

Abstain

Against

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

000274050

CLOUGH GLOBAL ALLOCATION FUND

000274050

BNY MELLON

8,815

0

14-Aug-2013

14-Aug-2013

 

		BHG SA - BRAZIL HOSPITALITY GROUP, SAO PAULO
		Security		P1668A101		Meeting Type		ExtraOrdinary General Meeting
		Ticker Symbol				Meeting Date		21-Aug-2013
		ISIN		BRBHGRACNOR9		Agenda		704679793 - Management
		Record Date				Holding Recon Date		19-Aug-2013
		City / Country		SAO PAULO / Brazil		Vote Deadline Date		13-Aug-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 examine, discuss and vote regarding the change of the company stock option plan and its restatement, in accordance with a proposal from 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

284062

BNY MELLON

84,200

0

08-Aug-2013

08-Aug-2013

 

		VIASAT, INC.
		Security		92552V100		Meeting Type		Annual
		Ticker Symbol		VSAT		Meeting Date		18-Sep-2013
		ISIN		US92552V1008		Agenda		933862446 - Management
		Record Date		22-Jul-2013		Holding Recon Date		22-Jul-2013
		City / Country		/  United States		Vote Deadline Date		17-Sep-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

1.

DIRECTOR

Management

1  ROBERT BOWMAN

For

For

2  B. ALLEN LAY

For

For

3  DR. JEFFREY NASH

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 EMPLOYEE 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

000274050

BNY MELLON

36,193

0

31-Jul-2013

31-Jul-2013

 

		GOLAR LNG LIMITED
		Security		G9456A100		Meeting Type		Annual
		Ticker Symbol		GLNG		Meeting Date		20-Sep-2013
		ISIN		BMG9456A1009		Agenda		933864488 - Management
		Record Date		19-Jul-2013		Holding Recon Date		19-Jul-2013
		City / Country		/  Bermuda		Vote Deadline Date		19-Sep-2013
		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 TOR OLAV TROIM AS A DIRECTOR OF THE COMPANY.

Management

For

For

5

TO RE-ELECT GEORGINA E. SOUSA AS A DIRECTOR OF THE COMPANY.

Management

For

For

6

TO AMEND THE COMPANY’S BYE-LAWS NOS. 54(A), 86, 90(B), 100, 101, 102, 103(A), 107 AND 108.

Management

For

For

7

PROPOSAL TO RE-APPOINT PRICEWATERHOUSECOOPERS OF LONDON, ENGLAND AS AUDITORS AND TO AUTHORIZE THE DIRECTORS TO DETERMINE THEIR REMUNERATION.

Management

For

For

8

PROPOSAL TO APPROVE THE REMUNERATION OF THE COMPANY’S BOARD OF DIRECTORS OF A TOTAL AMOUNT OF FEES NOT TO EXCEED US$600,000 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

000274050

BNY MELLON

15,119

0

10-Aug-2013

10-Aug-2013

 

		DON QUIJOTE CO.,LTD.
		Security		J1235L108		Meeting Type		Annual General Meeting
		Ticker Symbol				Meeting Date		26-Sep-2013
		ISIN		JP3639650005		Agenda		704723510 - Management
		Record Date		30-Jun-2013		Holding Recon Date		30-Jun-2013
		City / Country		TOKYO / Japan		Vote Deadline Date		10-Sep-2013
		SEDOL(s)		5767753 - 6269861 - B021NZ6		Quick Code		75320

 

Item

Proposal

Type

Vote

For/Against Management

Please reference meeting materials.

Non-Voting

1

Approve Appropriation of Surplus

Management

For

For

2

Appoint a Corporate Auditor

Management

For

For

3

Approve Provision of Retirement Allowance for Retiring Corporate Auditors

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BNY MELLON

15,600

0

10-Sep-2013

10-Sep-2013

 

		DONGFENG MOTOR GROUP COMPANY LTD
		Security		Y21042109		Meeting Type		ExtraOrdinary General Meeting
		Ticker Symbol				Meeting Date		10-Oct-2013
		ISIN		CNE100000312		Agenda		704705827—Management
		Record Date		09-Sep-2013		Holding Recon Date		09-Sep-2013
		City / Country		HUBEI / China		Vote Deadline Date		27-Sep-2013
		SEDOL(s)		B0PH5N3 - B0TBB66 - B0XZY65		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/2013/0827/LTN20130827360.pdf,- http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0827/LTN20130827465.pdf-AND http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0906/LTN20130906352.-pdf

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR-ALL RESOLUTIONS. THANK YOU.

Non-Voting

1.a.i

To elect the fourth session of the Executive Director: Xu Ping

Management

For

For

1a.ii

To elect the fourth session of the Executive Director: Zhu Fushou

Management

For

For

1aiii

To elect the fourth session of the Executive Director: Li Shaozhu

Management

For

For

1.b.i

To elect the fourth session of the Non-executive Director: Tong Dongcheng

Management

For

For

1b.ii

To elect the fourth session of the Non-executive Director: Ouyang Jie

Management

For

For

1biii

To elect the fourth session of the Non-executive Director: Liu Weidong

Management

For

For

1b.iv

To elect the fourth session of the Non-executive Director: Zhou Qiang

Management

For

For

1.c.i

To elect the fourth session of the Independent Non-executive Director: Ma Zhigeng

Management

For

For

1c.ii

To elect the fourth session of the Independent Non-executive Director: Zhang Xiaotie

Management

For

For

1ciii

To elect the fourth session of the Independent Non-executive Director: Cao Xinghe

Management

For

For

1c.iv

To elect the fourth session of the Independent Non-executive Director: Chen Yunfei

Management

For

For

---

1.d.i

To elect the fourth session of the Supervisor: Ma Liangjie

Management

For

For

1.dii

To elect the fourth session of the Supervisor: Feng Guo

Management

For

For

1diii

To elect the fourth session of the Supervisor: Zhao Jun

Management

For

For

1d.iv

To elect the fourth session of the Supervisor: Ren Yong

Management

For

For

2

To consider and approve the amendments to the Articles of Association of the Company: Articles 28, 94, 99, 124 and 125

Management

For

For

CMMT

PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN MEETING TIME FROM 9:00 AM-TO 2:00 PM AND RECEIPT OF ADDITIONAL URL. IF YOU HAVE ALREADY SENT IN YOUR VO-TES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIG-INAL INSTRUCTIONS. THANK YOU.

Non-Voting

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BANK OF NEW YORK MELLON

488,000

0

28-Aug-2013

04-Oct-2013

 

		NXP SEMICONDUCTOR NV
		Security		N6596X109		Meeting Type		Special
		Ticker Symbol		NXPI		Meeting Date		10-Oct-2013
		ISIN		NL0009538784		Agenda		933884911 - Management
		Record Date		12-Sep-2013		Holding Recon Date		12-Sep-2013
		City /     Country		/ United States		Vote Deadline Date		07-Oct-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

1A.

PROPOSAL TO APPOINT MRS. DR. M. HELMES AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM 10 OCTOBER, 2013.

Management

For

For

1B.

PROPOSAL TO APPOINT MRS. J. SOUTHERN AS NON-EXECUTIVE DIRECTOR OF THE COMPANY WITH EFFECT FROM 10 OCTOBER, 2013.

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

000274050

CLOUGH GLOBAL ALLOCATION FUND

000274050

BNY MELLON

28,752

0

05-Oct-2013

05-Oct-2013

 

		NOBLE CORPORATION
		Security		H5833N103		Meeting Type		Special
		Ticker Symbol		NE		Meeting Date		11-Oct-2013
		ISIN		CH0033347318		Agenda		933877295 - Management
		Record Date		28-Aug-2013		Holding Recon Date		28-Aug-2013
		City /    Country		/ Switzerland		Vote Deadline Date		10-Oct-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

01

APPROVAL OF THE MERGER AGREEMENT, A COPY OF WHICH IS ATTACHED TO THE ACCOMPANYING PROXY STATEMENT/PROSPECTUS AS ANNEX A.

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

000274050

CLOUGH GLOBAL ALLOCATION FUND

000274050

BNY MELLON

18,626

0

11-Sep-2013

11-Sep-2013

 

		GRUPO FINANCIERO BANORTE SAB DE CV GFNORTE
		Security		P49501201		Meeting Type		Ordinary General Meeting
		Ticker Symbol				Meeting Date		14-Oct-2013
		ISIN		MXP370711014		Agenda		704746037 - Management
		Record Date		01-Oct-2013		Holding Recon Date		01-Oct-2013
		City /    Country		NUEVO LEON                / Mexico		Vote Deadline Date		01-Oct-2013
		SEDOL(s)		2421041 - B01DHK6 - B2Q3MD3 - B57YQ34 - B59G4P6		Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

I

Discussion and, if deemed appropriate, approval of a proposal to pay a cash dividend in the amount of MXN 0.7852 per share

Management

For

For

II

Report from the board of directors of the company regarding the number of shares actually subscribed for and paid in through the primary public offering of shares representative of the capital of the company and of the consequent share capital increase paid in to the company, which capital increase paid in to the company, which was approved at an extraordinary general meeting of shareholders that was held on July 3, 2013

Management

For

For

III

Report from the outside auditor regarding the tax situation of the company

Management

For

For

IV

Designation of a delegate or delegates to formalize and carry out, if deemed appropriate, the resolutions passed by the general meeting

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BANK OF NEW YORK MELLON

105,888

0

26-Sep-2013

10-Oct-2013

---

		SINOPHARM GROUP CO LTD
		Security		Y8008N107		Meeting Type		ExtraOrdinary General Meeting
		Ticker Symbol				Meeting Date		18-Oct-2013
		ISIN		CNE100000FN7		Agenda		704718343 - Management
		Record Date		17-Sep-2013		Holding Recon Date		17-Sep-2013
		City /    Country		SHANGHA I                / China		Vote Deadline Date		08-Oct-2013
		SEDOL(s)		B3ZVDV0 - B4M8B73 - B5NVZ21		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/ 2013/0902/LTN201309021071.pdf- http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0902/LTN201309021023.pdf

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’-ONLY FOR ALL RESOLUTIONS. THANK YOU.

Non-Voting

1

To consider and, if thought fit, to approve the appointment of Mr. Wang Fucheng as a non- executive director of the Second Session of the Board of Directors of the Company (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

2

To consider and, if thought fit, to approve the appointment of Mr. Li Dongjiu 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

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BANK OF NEW YORK MELLON

281,200

0

04-Sep-2013

15-Oct-2013

 

		PERRIGO COMPANY
		Security		714290103		Meeting Type		Special
		Ticker Symbol		PRGO		Meeting Date		18-Nov-2013
		ISIN		US7142901039		Agenda		933888729 - Management
		Record Date		15-Oct-2013		Holding Recon Date		15-Oct-2013
		City /    Country		/ United States		Vote Deadline Date		15-Nov-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

1.

ADOPTING THE TRANSACTION AGREEMENT, DATED JULY 28, 2013, BETWEEN AND AMONG ELAN CORPORATION, PLC (“ELAN”), PERRIGO COMPANY (“PERRIGO”), LEOPARD COMPANY, HABSONT LIMITED AND PERRIGO COMPANY LIMITED (F/K/A BLISFONT LIMITED) (“NEW PERRIGO”) (THE ‘‘TRANSACTION AGREEMENT”) AND APPROVING THE MERGER.

Management

For

For

2.

APPROVING THE CREATION OF DISTRIBUTABLE RESERVES, BY REDUCING SOME OR ALL OF THE SHARE PREMIUM OF NEW PERRIGO RESULTING FROM THE ISSUANCE OF NEW PERRIGO ORDINARY SHARES PURSUANT TO THE SCHEME OF ARRANGEMENT BY WHICH NEW PERRIGO WILL ACQUIRE ELAN.

Management

For

For

3.

CONSIDERING AND, ON A NON-BINDING ADVISORY BASIS, VOTING UPON SPECIFIED COMPENSATORY ARRANGEMENTS BETWEEN PERRIGO AND ITS NAMED EXECUTIVE OFFICERS RELATING TO THE TRANSACTION AGREEMENT.

Management

For

For

4.

RE-APPROVING THE PERFORMANCE GOALS INCLUDED IN THE PERRIGO COMPANY ANNUAL INCENTIVE PLAN.

Management

For

For

5.

APPROVING THE AMENDMENT AND RESTATEMENT OF THE PERRIGO COMPANY 2008 LONG TERM INCENTIVE PLAN.

Management

For

For

6.

APPROVING ANY MOTION TO ADJOURN THE PERRIGO SPECIAL MEETING, OR ANY ADJOURNMENTS THEREOF, TO ANOTHER TIME OR PLACE IF NECESSARY OR APPROPRIATE, 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

000274050

BNY MELLON

14,300

0

19-Oct-2013

19-Oct-2013

 

		ING GROEP NV, AMSTERDAM
		Security		N4578E413		Meeting Type		Ordinary General Meeting
		Ticker Symbol				Meeting Date		27-Nov-2013
		ISIN		NL0000303600		Agenda		704785368 - Management
		Record Date		30-Oct-2013		Holding Recon Date		30-Oct-2013
		City /    Country		AMSTERD AM                / Netherlands		Vote Deadline Date		13-Nov-2013
		SEDOL(s)		7154160 - 7154182 - 7154245 - 7154740 - 7159176 - B01DKN0 - B1G0HC1 - B4MQGQ1 - B92MX41		Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THIS IS AN INFORMATIONAL MEETING, AS THERE ARE NO PROPOSALS-TO BE VOTED ON. SHOULD YOU WISH TO ATTEND THE MEETING PERSONALLY, YOU MAY-REQUEST AN ENTRANCE CARD. THANK YOU.

Non-Voting

CMMT

PLEASE NOTE THAT THIS IS MEETING ATTENDANCE ONLY. PLEASE CONTACT YOUR-CUSTOMER SERVICE REPRESENTATIVE TO REQUEST MEETING ATTENDANCE.

Non-Voting

1

Opening

Non-Voting

2

Report on activities of Stichting ING Aandelen

Non-Voting

3

Questions and closing

Non-Voting

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BANK OF NEW YORK MELLON

65,589

0

 

		DON QUIJOTE CO.,LTD.
		Security		J1235L108		Meeting Type		ExtraOrdinary General Meeting
		Ticker Symbol				Meeting Date		29-Nov-2013
		ISIN		JP3639650005		Agenda		704843398 - Management
		Record Date		30-Sep-2013		Holding Recon Date		30-Sep-2013
		City /    Country		TOKYO                 / Japan		Vote Deadline Date		13-Nov-2013
		SEDOL(s)		5767753 - 6269861 - B021NZ6		Quick Code		75320

 

Item

Proposal

Type

Vote

For/Against Management

Please reference meeting materials.

Non-Voting

1

Approve the Absorption-type Company Split Agreement

Management

For

For

2

Amend Articles to: Change Official Company Name to Don Quijote Holdings Co., Ltd., Expand Business Lines

Management

For

For

3

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

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BANK OF NEW YORK MELLON

15,600

0

14-Nov-2013

14-Nov-2013

---

		CITIC SECURITIES CO LTD
		Security		Y1639N117		Meeting Type		ExtraOrdinary General Meeting
		Ticker Symbol				Meeting Date		29-Nov-2013
		ISIN		CNE1000016V2		Agenda		704844314 - Management
		Record Date		30-Oct-2013		Holding Recon Date		30-Oct-2013
		City /    Country		BEIJING                / China		Vote Deadline Date		20-Nov-2013
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 246765 DUE TO CHANGE IN SE-QUENCE OF ALL RESOLUTIONS. 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 THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING O-N THE URL LINKS: http://www.hkexnews.hk/listedco/listconews/SEH K/2013/1111/LTN-20131111305.pdf

Non-Voting

S.1

To consider and approve, subject to the required approval or endorsement from or registration with the relevant regulatory authorities in the PRC, the proposed amendments to the Articles of Association (details of which are set out in the section headed “Proposed Amendments to the Articles of Association” in the letter from the Board contained in the Circular)

Management

For

For

S.2

To consider and approve that the Board or a committee as authorized by the Board to be formed by the chairman, general manager and persons in charge of finance be granted, from 20 June 2014 to 19 June 2019, an unconditional general mandate to determine the terms and plan (including but not limited to the specific scale, maturity period, interest rate, guarantee, means of issue, time of issue, use of proceeds raised, etc.) for each issue of commercial papers of the Company according to the market condition, funding status of the Company and other actual conditions, subject to the issuance size approved by the regulatory authorities; to oversee the issue and repayment status, etc. of the commercial papers issued

Management

For

For

O.1

To consider and approve the terms of the Securities and Financial Products Transactions and Services Framework Agreement, the execution thereof and implementation of the terms thereof including the mutual provision of Securities and Financial Services (including the proposed caps thereof for the three financial years ending 31 December 2016)

Management

For

For

O.2

To consider and approve the Proposed Transfer, the establishment of the Private Fund and the launching of designated innovative financial business; and that upon completion of the Proposed Transfer, the Company be authorized to enter into lease contract(s) with the transferee of the Proposed Transfer or its designated entity(ies) to lease the office premises of the Company situated at Beijing CITICS Tower and Shenzhen CITICS Tower at the then prevailing market rates

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BANK OF NEW YORK MELLON

344,000

0

14-Nov-2013

26-Nov-2013

 

		GRUPO FINANCIERO BANORTE SAB DE CV GFNORTE
		Security		P49501201		Meeting Type		Ordinary General Meeting
		Ticker Symbol				Meeting Date		20-Dec-2013
		ISIN		MXP370711014		Agenda		704881780 - Management
		Record Date		06-Dec-2013		Holding Recon Date		06-Dec-2013
		City /    Country		NUEVO LEON                / Mexico		Vote Deadline Date		11-Dec-2013
		SEDOL(s)		2421041 - B01DHK6 - B2Q3MD3 - B57YQ34 - B59G4P6		Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

I

Discussion and, if deemed appropriate, approval of a proposal to amend the first resolution passed at the annual general meeting of shareholders that was held on October 14, 2013, for the purpose of anticipating the payments of the dividends scheduled to be settled on January 23, 2014, and April 23, 2014, in the amount of MXN 0.1963 per share, each, to no later than December 31, 2013

Management

For

For

II

Designation of a delegate or delegates to formalize and carry out, if deemed appropriate, the resolutions that are passed by the general meeting

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

260227

CLOUGH GLOBAL ALLOCATION FUND

260227

BANK OF NEW YORK MELLON

105,888

0

06-Dec-2013

18-Dec-2013

 

		FLAMEL TECHNOLOGIES S.A.
		Security		338488109		Meeting Type		Annual
		Ticker Symbol		FLML		Meeting Date		24-Jun-2014
		ISIN		US3384881096		Agenda		934033109 - Management
		Record Date		15-May-2014		Holding Recon Date		15-May-2014
		City /    Country		/ United States		Vote Deadline Date		13-Jun-2014
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

O1

APPROVAL OF STATUTORY ACCOUNTS FOR YEAR ENDED DECEMBER 31, 2013.

Management

For

For

O2

ALLOCATION OF RESULTS.

Management

For

For

O3

RENEWAL OF MR. ANDERSON AS DIRECTOR.

Management

For

For

O4

RENEWAL OF MR. CERUTTI AS DIRECTOR.

Management

For

For

O5

RENEWAL OF MR. FILDES AS DIRECTOR.

Management

For

For

O6

RENEWAL OF AMBASSADOR STAPLETON AS DIRECTOR.

Management

For

For

O7

APPOINTMENT OF MR. NAVARRE AS NEW DIRECTOR.

Management

For

For

O8

APPOINTMENT OF MR. VAN ASSCHE AS NEW DIRECTOR.

Management

For

For

O9

RENEWAL OF THE PERMANENT AND DEPUTY STATUTORY AUDITORS.

Management

For

For

O10

ANNUAL AMOUNT OF DIRECTORS’ ATTENDANCE FEES (JETONS DE PRESENCE).

Management

For

For

O11

APPROVAL OF AGREEMENTS REFERRED TO IN ARTICLE L.225-38 ET SEQ. OF THE FRENCH COMMERCIAL CODE.

Management

For

For

E12

AUTHORIZATION TO ALLOCATE A MAXIMUM NUMBER OF 250,000 FREE SHARES FOR THE BENEFIT OF THE EMPLOYEES OF THE GROUP AS WELL AS TO CORPORATE OFFICERS OF THE COMPANY, WHICH IMPLIES WAIVING OF PREFERENTIAL SUBSCRIPTION RIGHTS OF SHAREHOLDERS IN FAVOR OF THE BENEFICIARIES OF THE SAID SHARES.

Management

For

For

E13

AUTHORIZATION TO ALLOCATE A MAXIMUM NUMBER OF 1,700,000 STOCK OPTIONS FOR THE BENEFIT OF THE EMPLOYEES OF THE GROUP AS WELL AS TO CORPORATE OFFICERS OF THE COMPANY, WHICH IMPLIES WAIVING OF PREFERENTIAL SUBSCRIPTION RIGHTS OF SHAREHOLDERS ON SHARES ISSUED UPON EXERCISE OF SUCH OPTIONS.

Management

For

For

E14

AUTHORIZATION TO ISSUE A MAXIMUM NUMBER OF 300,000 STOCK WARRANTS RESERVED FOR A CATEGORY OF PERSONS DEFINED BY THE FIFTEENTH RESOLUTION, WHICH IMPLIES WAIVING OF PREFERENTIAL SUBSCRIPTION RIGHTS OF SHAREHOLDERS ON SHARES ISSUED UPON EXERCISE OF SUCH WARRANTS.

Management

For

For

E15

CANCELLATION OF THE PREFERENTIAL RIGHT OF SUBSCRIPTION ATTRIBUTED TO THE SHAREHOLDERS WITH RESPECT TO THE CAPITAL INCREASE SET FORTH IN THE FOURTEENTH RESOLUTION TO THE BENEFIT OF A CATEGORY OF PERSONS CONSISTING OF THE COMPANY’S DIRECTORS WHO ARE NEITHER AUTHORIZED AGENTS NOR EMPLOYEES OF THE COMPANY, BUT INCLUDING THE CHAIRMAN OF THE BOARD OF DIRECTORS.

Management

For

For

E16

AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING OF SHARES RESERVED FOR THE MEMBERS OF A COMPANY SAVINGS PLAN ESTABLISHED IN APPLICATION OF ARTICLES L.3332-18 ET SEQ. OF THE FRENCH LABOR CODE.

Shareholder

Against

For

E17

CANCELLATION OF THE PREFERENTIAL RIGHT OF SUBSCRIPTION ATTRIBUTED TO THE SHAREHOLDERS WITH RESPECT TO THE CAPITAL INCREASE SET FORTH IN THE SIXTEENTH RESOLUTION TO THE BENEFIT OF A CATEGORY OF PERSONS CONSISTING OF EMPLOYEES OF THE COMPANY.

Shareholder

Against

For

E18

AMENDMENT OF THE COMPANY’S BYLAWS.

Management

For

For

E19

POWERS FOR FORMALITIES.

Management

For

For

---

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

64,145

0

28-May-2014

28-May-2014

 

		INTEROIL CORPORATION
		Security		460951106		Meeting Type		Annual
		Ticker Symbol		IOC		Meeting Date		24-Jun-2014
		ISIN		CA4609511064		Agenda		934035090 - Management
		Record Date		06-May-2014		Holding Recon Date		06-May-2014
		City /     Country		/ United States		Vote Deadline Date		19-Jun-2014
		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  MICHAEL HESSION

For

For

4  WILSON L. KAMIT

For

For

5  ROGER LEWIS

For

For

6  RABBIE L. NAMALIU

For

For

7  FORD NICHOLSON

For

For

02

APPOINTMENT OF PRICEWATERHOUSECOOPERS, AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION.

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

219

33,200

30-May-2014

30-May-2014

 

		HEALTHWAYS, INC.
		Security		422245100		Meeting Type		Contested-Annual
		Ticker Symbol		HWAY		Meeting Date		24-Jun-2014
		ISIN		US4222451001		Agenda		934043023 - Management
		Record Date		05-May-2014		Holding Recon Date		05-May-2014
		City /    Country		/ United States		Vote Deadline Date		23-Jun-2014
		SEDOL(s)				Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

1.

DIRECTOR

Management

1  BRADLEY S. KARRO

For

For

2  PAUL H. KECKLEY, PH.D.

For

For

3  CONAN J. LAUGHLIN

For

For

4  KEVIN G. WILLS

For

For

2.

TO CONSIDER AND ACT UPON A NON- BINDING, ADVISORY VOTE TO APPROVE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT.

Management

For

For

3.

TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2014.

Management

For

For

4.

TO CONSIDER AND ACT UPON A PROPOSAL TO APPROVE A NEW 2014 STOCK INCENTIVE PLAN.

Management

For

For

5.

TO CONSIDER AND ACT UPON A PROPOSAL TO APPROVE AN AMENDMENT TO THE COMPANY’S AMENDED AND RESTATED BYLAWS, AS AMENDED, TO IMPLEMENT MAJORITY VOTING FOR UNCONTESTED ELECTIONS OF DIRECTORS.

Management

For

For

 

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

115,129

0

13-Jun-2014

13-Jun-2014

---

Vote Summary

 

		ING GROEP NV, AMSTERDAM
		Security		N4578E413		Meeting Type		Ordinary General Meeting
		Ticker Symbol				Meeting Date		27-Nov-2013
		ISIN		NL0000303600		Agenda		704785368 - Management
		Record Date		30-Oct-2013		Holding Recon Date		30-Oct-2013
		City / Country		AMSTERD AM            / Netherlands		Vote Deadline Date		13-Nov-2013
		SEDOL(s)		7154160 - 7154182 - 7154245 - 7154740 - 7159176 - B01DKN0 - B1G0HC1 - B4MQGQ1 - B92MX41		Quick Code

 

Item

Proposal

Type

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THIS IS AN INFORMATIONAL MEETING, AS THERE ARE NO PROPOSALS-TO BE VOTED ON. SHOULD YOU WISH TO ATTEND THE MEETING PERSONALLY, YOU MAY-REQUEST AN ENTRANCE CARD. THANK YOU.

Non-Voting

CMMT

PLEASE NOTE THAT THIS IS MEETING ATTENDANCE ONLY. PLEASE CONTACT YOUR-CUSTOMER SERVICE REPRESENTATIVE TO REQUEST MEETING ATTENDANCE.

Non-Voting

1

Opening

Non-Voting

2

Report on activities of Stichting ING Aandelen

Non-Voting

3

Questions and closing

Non-Voting

 

		Account Number		Account Name		Internal Account		Custodian		Ballot Shares				Unavailable Shares		Vote Date		Date Confirmed
		260203		CLOUGH GLOBAL OPPORTUNITIES FUND		260203		BANK OF NEW YORK MELLON			277,295			0
		260227		CLOUGH GLOBAL ALLOCATION FUND		260227		BANK OF NEW YORK MELLON			65,589			0
		260282		CLOUGH GLOBAL EQUITY FUND		260282		BANK OF NEW YORK MELLON			108,269			0

---

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.

 

 

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