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Total Return Securities Fund — Regulatory Filings 2013
Aug 21, 2013
34335_rns_2013-08-21_0c480a0a-0217-481e-8ccc-fee10f8c4e3d.zip
Regulatory Filings
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N-PX 1 d570699dnpx.htm THE SWISS HELVETIA FUND, INC. The Swiss Helvetia Fund, Inc.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-05128
The Swiss Helvetia Fund, Inc.
(Exact name of registrant as specified in charter)
1270 Avenue of the Americas, Suite 400
New York, NY 10020
(Address of principal executive offices) (Zip code)
Rudolf Millisits, CEO
Hottinger Capital Corp.
1270 Avenue of the Americas, Suite 400
New York, NY 10020
(Name and address of agent for service)
Registrants telephone number, including area code: 212-332-2760
Date of fiscal year end: December 31
Date of reporting period: July 1, 2012 through June 30, 2013
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrants proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (OMB) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2012 TO JUNE 30, 2013
| Ticker | ISIN | HOLDINGS | Date of AGM | Proposed by the issuer (I) or the shareholder (S) | Whether the fund cast its vote on the matter | Whether the fund cast its vote For or Against board |
|---|---|---|---|---|---|---|
| Banks | ||||||
| CSGN | CH0012138530 | Credit Suisse Group | 4/26/2013 | I | Yes | |
| 1.1 Presentation of the 2012 annual report, the parent companys 2012 financial statements, the Groups 2012 consolidated financial statements and the 2012 | ||||||
| remuneration report | Non voting | |||||
| 1.2 Consultative vote on the 2012 remuneration report | For | For | ||||
| 1.3 Approval of the 2012 annual report, the parent companys 2012 financial statements and the Groups 2012 consolidated financial statements | For | For | ||||
| 2. Discharge of the acts of the Members of the Board of Directors and Executive Board | For | For | ||||
| 3.1 Resolution on the appropriation of retained earnings | For | For | ||||
| 3.2 Resolution on the distribution against reserves from capital contributions in shares and in cash | For | For | ||||
| 4.1 Changes in share capital: Increase in, amendment to and extension of authorized capital | For | For | ||||
| 4.2 Changes in share capital: Increase in conditional capital for employee shares | For | For | ||||
| 5. Other amendments to the Articles of Association (quorum of the Board of Directors) | For | For | ||||
| 6.1.1 Re-election of Noreen Doyle to the Board of Directors | For | For | ||||
| 6.1.2 Re-election of Jassim Bin Hamad J.J. Al Thani to the Board of Directors | For | For | ||||
| 6.1.3 Election of Kai S. Nargolwala to the Board of Directors | For | For | ||||
| 6.2 Election of the independent auditors: KPMG AG, Zurich | For | For | ||||
| 6.3 Election of the special auditors: BDO AG, Zurich | For | For | ||||
| 7. If voting or elections take place on proposals submitted during the Annual General Meeting itself as defined in art. 700 paras. 3 and 4 of the Swiss Code of Obligations, I | ||||||
| hereby instruct the independent proxy to vote in favor of the proposal of the Board of Directors | Against | Against |
| UBSN — 1.1 Approval of the annual report and group and parent bank accounts | For | For |
|---|---|---|
| 1.2 Advisory vote on the compensation report 2012 | For | For |
| 2. Appropriation of retained earnings and distribution | For | For |
| 3. Discharge of the members of the board of directors and the group executive board for the financial year 2012 | For | For |
| 4.1.1 Re-election of member of the board of directors: Axel A. Weber | For | For |
| 4.1.2 Re-election of member of the board of directors: Michel Demare | For | For |
| 4.1.3 Re-election of member of the board of directors: David Sidwell | For | For |
| 4.1.4 Re-election of member of the board of directors: Rainer-Marc Frey | For | For |
| 4.1.5 Re-election of member of the board of directors: Ann F. Godbehere | For | For |
| 4.1.6 Re-election of member of the board of directors: Axel P. Lehmann | For | For |
| 4.1.7 Re-election of member of the board of directors: Helmut Panke | For | For |
| 4.1.8 Re-election of member of the board of directors: William G. Parrett | For | For |
| 4.1.9 Re-election of member of the board of directors: Isabelle Romy | For | For |
| 4.1.10 Re-election of member of the board of directors: Beatrice Weder Di Mauro | For | For |
| 4.1.11 Re-election of member of the board of directors: Joseph Yam | For | For |
| 4.2 Election of Reto Francioni to the board of directors | For | For |
| 4.3 Re-election of the auditors, Ernst and Young Ltd., Basel | For | For |
| 5. Ad hoc | Against | Against |
| VONN — 1. Annual report, annual financial statement and group financial statement 2012, report by the statutory auditors | For | For |
|---|---|---|
| 2. Discharge of the members of the board of directors and management for the financial year 2012 | For | For |
| 3. Appropriation of retained earnings | For | For |
| 4.1.1 Re-election of Herbert J. Scheidt as a member of board of director | For | For |
| 4.1.2 Re-election of Bruno Basler as a member of board of director | For | For |
| 4.1.3 Re-election of Peter Quadri as a member of board of director | For | For |
| 4.1.4 Re-election of Dr. Frank Schnewlin as a member of board of director | For | For |
| 4.1.5 Re-election of Clara C. Streit as a member of board of director | For | For |
| 4.1.6 Re-election of Marcel Zoller as a member of board of director | For | For |
| 4.2.1 Election of Dominic Brenninkmeyer as a member of board of director | For | For |
| 4.2.2 Election of Nicolas Oltramare as a member of board of director | For | For |
| 5. Re-election of the statutory auditors / Ernst and Young Ltd., Zurich | For | For |
| 6. Ad hoc | Against | Against |
| 3/19/2013 | Yes | |
|---|---|---|
| 1. Approval of the annual report, the annual financial statements and the consolidated financial statements for the business year 2012 | For | For |
| 2. Appropriation of the results | For | For |
| 3. Discharge to the members of the board of directors and the Executive management | For | For |
| 4. Re-election of the auditors PricewaterhouseCoopers Sa, Geneva | For | For |
| 5.1 Amendments to the articles of association: Extension and increase of the authorized share capital (article 3b of the articles of association) | For | For |
| 5.2 Amendments to the articles of association: Increase of the conditional share capital (article 3c of the articles of association) | For | For |
| 6.Additional and/or counter-proposals | Against | Against |
| NOBN SW — 1. Approval of the annual report 2012 consisting of the business report, the statutory financial statements and the consolidated financial statements of Nobel Biocare Holding
Ltd | For | For |
| --- | --- | --- |
| 2. Consultative vote: Ratification of the remuneration report for 2012 | For | For |
| 3.1 Appropriation of the balance sheet result 2012 and distribution of dividend: Carry forward of the Accumulated deficit 2012 | For | For |
| 3.2 Appropriation of the balance sheet result 2012 and distribution of dividend: Allocation of reserves from capital contributions to free reserves and distribution of
dividend of CHF 0.20 per registered share | For | For |
| 4. Discharge of the board of directors | For | For |
| 5.1 Re-election of member of the board of directors: Ms.Daniela Bosshardt-Hengartner | For | For |
| 5.2 Re-election of member of the board of directors: Mr.Raymund Breu | For | For |
| 5.3 Re-election of member of the board of directors: Mr.Edgar Fluri | For | For |
| 5.4 Re-election of member of the board of directors: Mr.Michel Orsinger | For | For |
| 5.5 Re-election of member of the board of directors: Mr.Juha Raeisaenen | For | For |
| 5.6 Re-election of member of the board of directors: Mr.Oern Stuge | For | For |
| 5.7 Re-election of member of the board of directors: Mr.Rolf Watter | For | For |
| 5.8 Re-election of member of the board of directors: Mr.Georg Watzek | For | For |
| 6. Election of one new member to the board of directors: Mr.Franz Maier | For | For |
| 7. Re-election of the auditors: KPMG Ag, Zurich | For | For |
| 8. Additional and/or counter-proposals | Against | Against |
| TECN — 1. Status report of the board of directors, annual financial statements and consolidated financial statements 2012, auditors report | For | For |
|---|---|---|
| 2. Advisory vote on the compensation report | For | For |
| 3.A Appropriation of available retained earnings | For | For |
| 3.B Allocation from the legal reserves (capital contribution reserve) to the free reserve and payout | For | For |
| 4. Discharge of the members of the board of directors and the management board | For | For |
| 5.1.A Re-election of Mr. Heinrich Fischer as a member of the board of directors | For | For |
| 5.1.B Re-election of Dr. Oliver Fetzer as a member of the board of directors | For | For |
| 5.1.C Re-election of Dr. Karen Huebscher as a member of the board of directors | For | For |
| 5.1.D Re-election of Mr. Gerard Vaillant as a member of the board of directors | For | For |
| 5.1.E Re-election of Mr. Erik Wallden as a member of the board of directors | For | For |
| 5.1.F Re-election of Mr. Rolf Classon as a member of the board of directors | For | For |
| 5.2.A Election of Dr. Christa Kreuzburg as a member of the board of directors | For | For |
| 6. Re-election of the auditor KPMG AG, Zurich | For | For |
| ATLN — 1. Approval of the business report consisting of the annual report, the annual statutory accounts and the consolidated accounts as of 31 December 2012 | For | For |
|---|---|---|
| 2. Approve allocation of income and dividends of CHF 1.00 per share from capital contribution reserves | For | For |
| 3. Consultative vote on compensation report | For | For |
| 4. Discharge of the board of directors and of the senior management | For | For |
| 5. Approve CHF 3.2 million reduction in share capital via cancellation of repurchased shares | For | For |
| 6.1 Re-election of Mr. Werner Henrich as board member | For | For |
| 6.2 Re-election of Mr. Armin Kessler as board member | For | For |
| 6.3 Re-election of Mr. Jean Malo as board member | For | For |
| 6.4 Election of Mr. John J. Greisch as new board member | For | For |
| 7. Election of the statutory auditor Ernst and Young Ag, Basel | For | For |
| 8. Additional and/or counterproposals | Abstain | For |
| BTHIV — 1. Opening of the meeting | Non voting | Non voting |
|---|---|---|
| 2. Calling the meeting to order | Non voting | Non voting |
| 3. Election of persons to scrutinize the minutes and to supervise the counting of-votes | Non voting | Non voting |
| 4. Recording the legality of the meeting | Non voting | Non voting |
| 5. Recording the attendance at the meeting and adoption of the list of votes | Non voting | Non voting |
| 6. Presentation of the annual accounts, the report of the board of directors and-the auditors report for the year 2012 | Non voting | Non voting |
| 7. Adoption of the financial statements | For | For |
| 8. Booking of the loss of the financial year. Board proposes not to pay any dividend | For | For |
| 9. Resolution on the discharge of the members of the board of directors and the managing director from liability | For | For |
| 10. Resolution on the remuneration of the members of the board of directors | For | For |
| 11. Resolution on the number of members of the board of directors. The board proposes on the basis of recommendation of the nomination committee that number of members would | ||
| be six (6) | For | For |
| 12. Election of members of the board of directors. The board proposes on the basis of recommendation of the nomination committee that the current members P. Fellner, W.M. | ||
| Burns, M. Karhapaa, B. Kastler, I. Kola and G. Magni be re-elected | For | For |
| 13. Resolution on the remuneration of the auditors | For | For |
| 14. Election of the auditors. The board proposes on the basis of recommendation of the audit committee that PricewaterhouseCoopers Oy and Mr. J. Rajalahti would be re-elected | ||
| as the auditors | For | For |
| 15. Authorising the board of directors to decide on the issuance of shares as well as the issuance of options and other rights entitling to shares | For | For |
| 16. Closing of the meeting | Non voting | Non voting |
| 4/23/2013 | Yes | |
|---|---|---|
| 1.1 Approval of the annual report, including the annual financial statements and the group consolidated financial statements for the year 2012 | For | For |
| 1.2 Consultative vote on the compensation system | For | For |
| 2. Discharge of the members of the board of directors and the executive committee | For | For |
| 3. Appropriation of the available earnings as per balance sheet 2012 and dividend decision: CHF 9.50 per share | For | For |
| 4.1 Re-election of Michael Mack to the board of director | For | For |
| 4.2 Re-election of Jacques Vincent to the board of director | For | For |
| 4.3 Election of Eleni Gabre-Madhin to the board of director | For | For |
| 4.4 Election of Eveline Saupper to the board of director | For | For |
| 5. Election of the external auditor Ernst and Young Ag | For | For |
| 6. Additional and/or counterproposals | Against | Against |
| LONN — 1. Annual report, consolidated financial statements and financial statements of Lonza Group Ltd; reports of the auditors | For | For |
|---|---|---|
| 2. Consultative vote on the remuneration report | For | For |
| 3. Discharge of the members of the Board of Directors | For | For |
| 4. Appropriation of available earnings / Reserves from contribution of capital | For | For |
| 5.1.a Re-election to the Board of Directors: Patrick Aebischer | For | For |
| 5.1.b Re-election to the Board of Directors: Jean- Daniel Gerber | For | For |
| 5.1.c Re-election to the Board of Directors: Margot Scheltema | For | For |
| 5.1.d Re-election to the Board of Directors: Rolf Soiron | For | For |
| 5.1.e Re-election to the Board of Directors: Peter Wilden | For | For |
| 5.2.a Elections to the Board of Directors: Werner J. Bauer | For | For |
| 5.2.b Elections to the Board of Directors: Thomas Ebeling | For | For |
| 5.2.c Elections to the Board of Director: Antonio Trius | For | For |
| 6. Re-election of the auditor for the 2013 fiscal year, KPMG Ltd, Zurich | For | For |
| 7. The Board of Directors proposes that the authorized share capital of the Company in a maximum amount of CHF 5,000,000 be renewed for a period of two years until | ||
| 9 April 2015 and Article 4ter of the Articles of Association be amended accordingly | For | For |
| 8.A Approval of the proposal of the Board of Directors | For | For |
| 8.B Abstention | Abstain | Against |
| ALLN | CH0008837566 | Allreal Holding AG | 4/5/2013 | I | Yes | |
|---|---|---|---|---|---|---|
| 1. Annual report, annual accounts and accounts of the group 2012 | For | For | ||||
| 2. Appropriation of the balance profit 2012 | For | For | ||||
| 3. Distribution to the shareholders | For | For | ||||
| 4. Discharge of the members of the board of directors and the management | For | For | ||||
| 5.1.1 Election Mr. Olivier Steimer (new member) to the board of director | For | For | ||||
| 5.1.2 Election Mr. Peter Spuhler (new member) to the board of director | For | For | ||||
| 5.2 Election of the auditors: Ernst And Young, Zurich | For | For | ||||
| 6. Additional and/or counter- proposals | Against | Against | ||||
| Construction and Materials | ||||||
| BEAN | CH0001503199 | Belimo Holding AG | 4/8/2013 | I | Yes | |
| 1. Approval of the annual report including the financial statements, management report and consolidated financial statements for 2012. Acceptance of the reports of the | ||||||
| statutory and group auditors KPMG AG | For | For | ||||
| 2. Resolution on the appropriation of available earnings | For | For | ||||
| 3. Advisory vote on compensation system and compensation for the financial year 2012 | For | For | ||||
| 4. Discharge of the board of directors | For | For | ||||
| 5. Amendment to the articles of incorporation art. 13 (voting right) remove art. 13 Paras. 2 and 3 without replacement | For | For | ||||
| 6.1 Elections of the board of director: Werner Buck | For | For | ||||
| 6.2 Elections of the board of director: Martin Hess | For | For | ||||
| 6.3 Elections of the board of director: Walter Linsi | For | For | ||||
| 6.4 Elections of the board of director: Prof. Dr. Hans Peter Wehrli | For | For | ||||
| 6.5 Elections of the board of director: Dr. Martin Zwyssig | For | For | ||||
| 7. Election of the group and statutory auditors KPMG AG | For | For | ||||
| 8. Additional and/or counter-proposals | Against | Against |
| HOLN — 1.1 Approval of the annual report, annual consolidated financial statements of the group and annual financial statements of Holcim Ltd | For | For |
|---|---|---|
| 1.2 Advisory vote on remuneration report | For | For |
| 2. Discharge of the members of the board of directors and the persons entrusted with management | For | For |
| 3.1 Appropriation of retained earnings | For | For |
| 3.2 Determination of the payout from capital contribution reserves | For | For |
| 4.1.1 Re-election of Dr. Beat Hess as a board of director | For | For |
| 4.1.2 Re-election of Dr. Rolf Soiron as a board of director | For | For |
| 4.2.1 Election of Mrs. Hanne Birgitte Breinbjerg Sorensen as a board of director | For | For |
| 4.2.2 Election of Mrs. Anne Wade as a board of director | For | For |
| 4.3 Re-election of the Auditors: Ernst and Young Ltd, Zurich | For | For |
| 5. Ad hoc | Abstain | For |
| XTA — 1. That, for the purposes of giving effect to the New Scheme:(a) the directors of the Company be authorised to take all such actions as they may consider necessary or
appropriate for carrying the New Scheme into full effect; (b) the re- classification of the ordinary shares of the Company and the Reduction of Capital (including any reversals or contingencies associated therewith) be approved; (c) the
capitalisation of the reserve arising from the Reduction of Capital in paying up the Further Xstrata Shares to be allotted to Glencore International plc (or its nominee(s)) be approved; (d) the directors of the Company be authorised to allot the New
Xstrata Shares to Glencore International plc (or its nominee(s)) as referred to in paragraph (c) above; and (e) the amendments to the articles of association of the Company be approved | I — I | Against | Against |
| --- | --- | --- | --- |
| 2. That: 2.1 the Revised Management Incentive Arrangements, as defined in the New Scheme Circular, be approved and the directors of the Company be authorised to do or procure
to be done all such acts and things on behalf of the Company as they consider necessary or expedient for the purpose of giving effect to such arrangements; and 2.2 the Revised New Xstrata 2012 Plan, as defined in the New Scheme Circular, be adopted
and that the directors of the Company be authorised to do or procure to be done all such acts and things on behalf of the Company as they consider necessary or expedient for the purpose of giving effect to the Revised New Xstrata 2012
Plan | I | Against | Against |
| XTA | GB0031411001 | Xstrata PLC | 4/17/2013 | Yes | ||
|---|---|---|---|---|---|---|
| 1. To approve the said New Scheme subject to the Revised Management Incentive Arrangements Resolution to be proposed at the Further Xstrata General Meeting being | ||||||
| passed | I | For | For | |||
| 2. PLEASE NOTE THAT THIS IS A SHAREHOLDERS PROPOSAL: To approve the said New Scheme subject to the Revised Management Incentive Arrangements Resolution to be proposed at | ||||||
| the Further Xstrata General Meeting not being passed | S | Against | Against | |||
| Food & Beverages | ||||||
| EMMN | CH0012829898 | EMMI AG | 4/25/2013 | I | Yes | |
| 1. Presentation and approval of the Annual Report, Consolidated Financial Statements and Financial Statements of Emmi AG for 2012 | For | For | ||||
| 2. Discharge of the members of the Board of Directors | For | For | ||||
| 3. Resolution on the appropriation of available earnings 2012; setting of the distribution from the capital contribution reserves | For | For | ||||
| 4. Election to the Board of Directors: Election of Monique Bourquin, lic. oec. HSG, for a term of office of two years | For | For | ||||
| 5. Appointment of statutory and Group auditors: Appointment of PricewaterhouseCoopers AG, Lucerne, as the statutory and Group auditor for financial year 2013 | For | For | ||||
| 6. In the case of ad-hoc shareholder motions proposed during the general meeting, I authorize my proxy to act as follows in accordance with the board of | ||||||
| directors | Abstain | Against |
| LISN — 1. Approval of annual report and the annual financial statements of the Chocoladenfabriken Lindt and Spruengli Ag as well as the consolidated financial statements of the Lindt
and Spruengli group for the fiscal year 2012 | For | For |
| --- | --- | --- |
| 2. Discharge of the board of directors | For | For |
| 3.1 Appropriation of retained earnings of the Chocoladenfabriken Lindt and Spruengli Ag | For | For |
| 3.2 Conversion of reserves from the contribution of capital and distribution of dividend | For | For |
| 4.1 Re-election of Mr. Kurt Widmer of the board of directors | For | For |
| 4.2 Re-election of Mr. Rudolf K. Spruengli of the board of directors | For | For |
| 5. Re-election of the auditors PricewaterhouseCoopers Ag, Zurich | For | For |
| 6. Reduction of share and participation capital | For | For |
| 7. Ad-hoc | Abstain | Abstain |
| NESN — 1.1 Approval of the Annual Report, the financial statements of Nestle S.A. and the consolidated financial statements of the Nestle Group for 2012 | I — I | For | For |
|---|---|---|---|
| 1.2 Acceptance of the Compensation Report 2012 (advisory vote) | I | For | For |
| 2. Release of the members of the Board of Directors and of the Management | I | For | For |
| 3. Appropriation of profits resulting from the balance sheet of Nestle S.A. (proposed dividend) for the financial year 2012 | I | For | For |
| 4.1.1 Re-elections to the Board of Directors: Mr. Peter Brabeck-Letmathe | I | For | For |
| 4.1.2 Re-elections to the Board of Directors: Mr. Steven G. Hoch | I | For | For |
| 4.1.3 Re-elections to the Board of Directors: Ms. Titia de Lange | I | For | For |
| 4.1.4 Re-elections to the Board of Directors: Mr. Jean- Pierre Roth | I | For | For |
| 4.2 Election to the Board of Directors Ms. Eva Cheng | I | For | For |
| 4.3 Re-election of the statutory auditors KPMG SA, Geneva branch | I | For | For |
| IN THE EVENT OF A NEW OR MODIFIED PROPOSAL BY A SHAREHOLDER DURING THE GENERAL-MEETING, I INSTRUCT THE INDEPENDENT REPRESENTATIVE TO VOTE ACCORDING TO THE F-OLLOWING | |||
| INSTRUCTION: 1 OPTION EITHER 5.A, 5.B OR 5.C NEED TO BE INSTRUCTED (W-ITH YES) TO SHOW, WHICH VOTING OPTION INVESTOR CHOSE IN THE EVENT OF NEW OR MO-DIFIED PROPOSALS | Non voting | Non voting | |
| 5.A MANAGEMENT RECOMMENDS A FOR VOTE ON THIS PROPOSAL: Vote in accordance with the proposal of the Board of Directors | S | ||
| 5.B Vote against the proposal of the Board of Directors | S | ||
| 5.C Ad-hoc | S | For | Against |
| Industrial Goods and Services — ABBN | CH0012221716 | ABB Ltd | 4/25/2013 | I | Yes | |
|---|---|---|---|---|---|---|
| 2.1 Approval of the annual report, the consolidated financial statements, and the annual financial statements for 2012 | For | For | ||||
| 2.2 Consultative vote on the 2012 remuneration report | For | For | ||||
| 3. Discharge of the board of directors and the persons entrusted with management | For | For | ||||
| 4. Appropriation of available earnings and distribution of capital contribution reserve | For | For | ||||
| 5. Renewal of authorized share capital | For | For | ||||
| 6.1 Re-election to the board of directors: Roger Agnelli | For | For | ||||
| 6.2 Re-election to the board of directors: Louis R. Hughes | For | For | ||||
| 6.3 Re-election to the board of directors: Hans Ulrich Maerki | For | For | ||||
| 6.4 Re-election to the board of directors: Michel De Rosen | For | For | ||||
| 6.5 Re-election to the board of directors: Michael Treschow | For | For | ||||
| 6.6 Re-election to the board of directors: Jacob Wallenberg | For | For | ||||
| 6.7 Re-election to the board of directors: Ying Yeh | For | For | ||||
| 6.8 Re-election to the board of directors: Hubertus Von Gruenberg | For | For | ||||
| 7. Re-election of the auditors / Ernst and Young AG | For | For | ||||
| 8. Ad hoc | Against | Against | ||||
| BUCN | CH0002432174 | Bucher Industries AG | 4/11/2013 | I | Yes | |
| 1.1 To approve the annual report and the consolidated and statutory financial statements for 2012 | For | For | ||||
| 1.2 To acknowledge the 2012 remuneration report | For | For | ||||
| 2. To ratify the acts of the board of directors and group management for the 2012 financial year | For | For | ||||
| 3. Approve allocation of income and dividends of CHF 5.00 per share | For | For | ||||
| 4.1 Re-election of the board of director: Mr Rolf Broglie | For | For | ||||
| 4.2 Re-election of the board of director: Ms Anita Hauser | For | For | ||||
| 5. Election of the auditors / PricewaterhouseCoopers AG, Zurich | For | For | ||||
| 6. Ad-hoc | Against | Against |
| BCHN | I | |
|---|---|---|
| 1. Welcome and opening statements | Non-Voting | |
| 2.1 Approval of the annual report 2012 | For | For |
| 2.2 Approval of the compensation report | For | For |
| 3. Appropriation of retained earnings | For | For |
| 4. Discharge of the Board of Directors and the Executive Board | For | For |
| 5.1 Amendments to the Articles of Association: Renewal of authorized capital: article: 3a | For | For |
| 5.2 Amendments to the Articles of Association: NomineesRegistration of voting rights in the Share Register: article: 6 | For | For |
| 6.1 The Board of Directors proposes that Hans Hess, Swiss, member of the Board of Directors since 2006, be re-elected to the Board for the period of one year | For | For |
| 6.2 The Board of Directors proposes that Valentin Vogt, Swiss, member of the Board of Directors since 2002, be re-elected to the Board for the period of one | ||
| year | For | For |
| 7. Appointment of the statutory auditors: PricewaterhouseCoopers AG | For | For |
| 8. In the case of ad-hoc/Miscellaneous shareholder motions proposed during the general meeting, I authorize my proxy to act as follows in accordance with the board of | ||
| directors | Against | Against |
| MBTN — 1. Approval of the annual report 2012, the annual financial statements 2012 and the consolidated financial statements 2012, presentation of the reports of the
auditors | For | For |
| --- | --- | --- |
| 2. Use of balance sheet profit | For | For |
| 3. Release of the members of the board of directors and management board | For | For |
| 4.1 Re-election of Rudolf Samuel Guedel as a member of the board of directors for a period of three years | For | For |
| 4.2 Re-election of Prof. Dr. Konrad Wegener as a member of the board of directors for a period of three years | For | For |
| 4.3 Election of the auditors / Pricewaterhousecoopers Ltd, Bern | For | For |
| 5. Election of the auditors / Pricewaterhousecoopers Ltd, Bern | For | For |
| 6. Ordinary capital increase | For | For |
| 7. Ad hoc | Against | Against |
| OERL — 1.1 Approval of the annual report, the annual financial statements of OC Oerlikon Corporation AG, Pfaeffikon and the consolidated financial statements 2012 | For | For |
|---|---|---|
| 1.2 Consultative vote on the remuneration report 2012 | For | For |
| 2.1 Allocation of the 2012 available earnings | For | For |
| 2.2 Distribution of dividend from reserves from capital contributions | For | For |
| 3. Discharge of the members of the board of directors for the financial year 2012 | For | For |
| 4.1.1 Re-election of Tim Summers to the board of directors | For | For |
| 4.1.2 Re-election of Kurt J. Hausheer to the board of directors | For | For |
| 4.1.3 Re-election of Gerhard Pegam to the board of directors | For | For |
| 4.1.4 Re-election of Carl Stadelhofer to the board of directors | For | For |
| 4.1.5 Re-election of Hans Ziegler to the board of directors | For | For |
| 4.2 Election of Mikhail Lifshitz to the board of directors | For | For |
| 5. Re-election of the auditors KPMG AG, Zurich | For | For |
| 6. Ad-Hoc | Against | Against |
| SCHP VX | N/A | |
|---|---|---|
| 1.A Approval of the 85th annual report, the financial statements and the consolida-ted group financial statements 2012, and receipt of the reports of the statuto-ry auditors. | ||
| The board of directors proposes that the general meeting approves-the annual report, the financial statements and the consolidated group financ-ial statements | Non Voting | Non Voting |
| 1.B Compensation report 2012. The board of directors proposes that the general mee-ting acknowledges the compensation report | Non Voting | Non Voting |
| 2. Appropriation of profits as per balance sheet. The board of directors proposes-that the general meeting approves the following appropriation of the 2012 pro-fits as per | ||
| balance sheet | Non Voting | Non Voting |
| 3. Discharge of the members of the board of directors and of the management. The-board of directors proposes that the general meeting grants discharge to all m-embers of the | ||
| board of directors and of the management for the expired financi-al year 2012 | Non Voting | Non Voting |
| 4.1.1 Election of new members of the board of directors. The board of directors prop-oses that the general meeting elects the following person as new member of the-board of | ||
| directors for a term of office of 3 years until the annual general m-eeting 2016: Prof. Dr. Monika Butler, Zurich. Monika Butler, born in 1961, has-worked since 2008 as director of the institute for Empirical Economic Researc-h of the University of | ||
| St. Gallen and since 2009 also as dean of the school of-economics and political science. Furthermore she has been full professor of e-conomics and public policy since 2004. Since 2010 she has been a member of the-bank council of the Swiss National | ||
| Bank. Mrs. Butler graduated in mathematics-with a major in physics at the University of Zurich. After gaining practical- experience she obtained a Ph.D. in economics of the University of St. Gallen | Non Voting | Non Voting |
| 4.1.2 Election of new members of the board of directors. The board of directors prop-oses that the general meeting elects the following person as
new member of the-board of directors for a term of office of 3 years until the annual general m-eeting 2016: Anthony Nightingale, Hong Kong. Anthony Nightingale, born in 1947-, is a British citizen. In 1969 he joined the Jardine Matheson Group. From
200-6 to March 2012 he was its managing director (CEO). Currently Mr. Nightingale-has several directorships with Jardine Matheson Holdings, Jardine Cycle & Carr-iage, Jardine Strategic, Dairy Farm International, Hong Kong land und mandarin-
oriental international. He is an advisor of academic partnerships internation-al and of Dickson concepts as well as a commissioner of Astra International. I-n Hong Kong Mr. Nightingale holds further offices and functions, e.g. as chair-man of the
Hong Kong-APEC trade policy study group. He is a past chairman of t-he Hong Kong general chamber of commerce | Non Voting | Non Voting |
| --- | --- | --- |
| 4.1.3 Election of new members of the board of directors. The board of directors prop-oses that the general meeting elects the following person as new member of the-board of
directors for a term of office of 3 years until the annual general m-eeting 2016: Carole Vischer, Hergiswil. Carole Vischer, born in 1971, graduate-d from the University of Basel with a Master of Law (lic. iur.) in 1996. Since-2002 she has managed
the charitable foundation Dr. Robert und Lina Thyll- Durr-, Stansstad,, currently as its president. Since 2010, Mrs. Vischer has been a-member of the board of directors of Schindler Elevators Ltd., Ebikon. Mrs. Vis-cher is a member of the 5th
generation of the family Schindler-Bonnard | Non Voting | Non Voting |
| 4.2 Re-election of the statutory auditors for the financial year 2013. The board o-f directors proposes that the general meeting re-elects Ernst & Young Ltd., Ba-sel, as
statutory auditors for the financial year 2013 | Non Voting | Non Voting |
| 5.1 Capital reduction: Reduction of the share capital as a consequence of the repu-rchase program launched on 4 January 2010 and terminated as
per 31 December 20-12 for a maximum of 10 % of the nominal capital, and of the registered shares-repurchased under this repurchase program, the board of directors proposes tha-t the general meeting reduces the share capital of currently
CHF 7144 005.60 b-y way of elimination of 552 411 treasury registered shares by CHF 55241.10 to-CHF 7088764.50, and confirms that according to the result of the report of the- auditors Ernst & Young Ltd. The claims of the creditors are fully
covered des-pite the reduction of the share capital, and amends paragraph 1 of article 4 o-f the articles of association as follows (amendments in bold) the share capita-l amounts to CHF 7088764.50. it is divided into 70887645 fully paid-up
registe-red shares with a par value of CHF 0.10 (10 cents) each | Non Voting | Non Voting |
| --- | --- | --- |
| 5.2 Capital reduction: Reduction of the participation capital as a consequence of-the Repurchase program launched on 4 January 2010 and terminated as per 31 Dec-ember
2012 for a maximum of 10 % of the nominal capital, and of the participat-ion certificates repurchased under this repurchase program, the board of direc-tors proposes that the general meeting reduces the participation capital of cu-rrently CHF
4689480. by way of elimination of 722891 treasury participation ce-rtificates by CHF 72 289.10 to CHF 4 617 190.90, and confirms that according t- o the result of the report of the auditors Ernst Young Ltd. The claims of the-creditors are fully
covered despite the reduction of the participation capital-, and amends paragraph 1 of article 7 of the articles of association as follow-s (amendments in bold) the participation capital amounts to CHF 4617190.90. it-is divided into 46171909 fully
paid-up bearer participation certificates with-a par value of CHF 0.10 (10 cents) each | Non Voting | Non Voting |
| SUN VX — 1.1 Annual report, annual accounts and consolidated financial statements 2012 reports of the companys auditors the board of directors proposes that the annual report,
the annual accounts and the consolidated financial statements 2012 be approved | For | For |
| --- | --- | --- |
| 1.2 Advisory vote on the compensation report 2012 the board of directors proposes to approve the compensation report 2012 according to pages 62, 68 of the annual
report | For | For |
| 2. Appropriation of net profits the board of directors proposes to distribute the total balance of CHF 363,230,184, comprising the net profits for the year 2012 of CHF
349,300,000 and retained profits of CHF 13,930,184, as follows dividend payment CHF 109,639,584 allocation to free reserves CHF 240,000,000 carried forward to new account CHF 13,590,600 if this proposal is approved, the gross dividend (before
deduction of the Swiss withholding tax of 35) will amount to CHF 3.20 per share. Dividends will be paid out on April 5, 2013. Any shares held by Sulzer Ltd and its subsidiaries on the dividend payment date shall not be eligible to
dividends | For | For |
| 3. Discharge the board of directors proposes that discharge be granted to its members and the corporate executive management for the business year 2012 | For | For |
| 4.1.1 To re-elect Messrs. Thomas Glanzmann for a further one-year term of office | For | For |
| 4.1.2 To re-elect Vladimir V. Kuznetsov for a further one-year term of office | For | For |
| 4.1.3 To re-elect Mrs. Jill Lee for a further one-year term of office | For | For |
| 4.1.4 To re-elect Messrs. Marco Musetti for a further one-year term of office | For | For |
| 4.1.5 To re-elect Luciano Respini for a further one-year term of office | For | For |
| 4.1.6 To re-elect Klaus Sturany for a further one-year term of office | For | For |
| 4.2 Election of one new member, the board of directors proposes to elect Mr. Manfred Wennemer for a one-year term as new member to the board | For | For |
| 5. Election of auditors, the board of directors proposes to elect KPMG Ltd for a one-year term as auditors for the designated legal duties | For | For |
| 6. Ad Hoc | Against | Against |
| Insurance — ZURN | CH0011075394 | Zurich Insurance Grouop AG | 4/4/2013 | I | Yes | |
|---|---|---|---|---|---|---|
| 1.1 Approval of the annual report, the annual financial statements and the consolidated financial statements for 2012 | For | For | ||||
| 1.2 Advisory vote on the remuneration system according to the remuneration report | For | For | ||||
| 2.1 Appropriation of available earnings for 2012 | For | For | ||||
| 2.2 Appropriation of reserves from capital contributions | For | For | ||||
| 3. Discharge of members of the board of directors and of the group executive committee | For | For | ||||
| 4.1.1 Election of Ms. Monica Maechler as the board of director | For | For | ||||
| 4.1.2 Re-election of Ms. Susan Bies as the board of director | For | For | ||||
| 4.1.3 Re-election of Mr. Victor L.L. Chu as the board of director | For | For | ||||
| 4.1.4 Re-election of Mr. Rolf Watter as the board of director | For | For | ||||
| 4.2 Re-election of auditors PricewaterhouseCoopers ltd, Zurich | For | For | ||||
| 5. Additional and/or counter-proposals | Against | Against | ||||
| SLHN | CH0014852781 | Swiss Life Hld | 4/23/2013 | I | Yes | |
| 1.1 Annual Report 2012 (Review of Operations, Consolidated Financial Statements and Annual Financial Statements) | For | For | ||||
| 1.2 Compensation Report | For | For | ||||
| 2.1 Appropriation of profit 2012 | For | For | ||||
| 2.2 Distribution out of the capital contribution reserves | For | For | ||||
| 3. Discharge of the members of the Board of Directors | For | For | ||||
| 4. Amendment of the Articles of Association relating to the increase in conditional capital: Article 4.9 | For | For | ||||
| 5.1 Re-election to the Board of Directors: Peter Quadri | For | For | ||||
| 5.2 Election to the Board of Directors: Ueli Dietiker | For | For | ||||
| 5.3 Election to the Board of Directors: Frank W. Keuper | For | For | ||||
| 5.4 Election to the Board of Directors: Klaus Tschutscher | For | For | ||||
| 6. Election of the Statutory Auditor: PricewaterhouseCoopers Ltd | For | For | ||||
| 7. Additional and/or Counter-Proposals | Against | Against |
| 5/17/2013 | Yes | ||
|---|---|---|---|
| 1. Approval of the 2012 Annual Report, including the Consolidated Financial Statements of Transocean Ltd. for Fiscal Year 2012 and the Statutory Financial Statements of | |||
| Transocean Ltd. for Fiscal Year 2012 | I | For | For |
| 2. Appropriation of the Available Earnings for Fiscal Year 2012 | I | For | For |
| 3.A Payment of a Distribution in Principle | I | For | For |
| 3.B.1 The Board of Directors Distribution Proposal: The Board of Directors proposes that (A) CHF 1,595,054,382 of general legal reserves from capital contribution be released | |||
| and allocated to dividend reserve from capital contributions (the Dividend Reserve), (B) a dividend in the amount of USD 2.24 per outstanding share of the Company be distributed out of, and limited at a maximum to the | |||
| amount of, such Dividend Reserve and paid in installments at such times and at such record dates as shall be determined by the Board of Directors in its discretion, and (C) any amount of the Dividend Reserve remaining after payment of the final | |||
| installment be automatically reallocated to general legal reserves from capital contribution. Dividend payments shall be made with respect to the outstanding share capital of the Company on the record date for the applicable installment, | |||
| which amount will exclude any shares held by the Company or any of its direct or indirect subsidiaries. The Board of Directors proposed shareholder resolution is included in Annex A | I | Against | Against |
| 3.B.2 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: Icahn Group Distribution Proposal: The Icahn Group has requested the inclusion of the following item and
proposal on the agenda of the 2013 annual general meeting: (A) CHF 2,110,000,000 shall be released from legal reserve, reserve from capital contributions, and such amount shall be allocated to free reserve,
dividend reserve from capital contributions, and (B) a dividend in the amount of USD 4.00 per share of the Company be distributed out of such legal reserve, reserve from capital contributions and paid in four
equal quarterly installments. Dividend payments shall be made with respect to the outstanding share capital of the Company on the record date for the applicable installment, which amount will exclude any shares held by the Company or any of its
direct or indirect subsidiaries. The Icahn Groups proposed shareholder resolution is included in Annex B | S | For | Against |
| --- | --- | --- | --- |
| 4. Re-adoption of the Authorized Share Capital | I | For | For |
| 5. Shareholder proposal regarding the repeal of the Companys staggered board by amendment to Article 23 of the Companys Articles of
Association | I | For | For |
| 6.A Election of Frederico F. Curado as a Director | I | For | For |
| 6.B Re-election of Steven L. Newman as a Director | I | For | For |
| 6.C Re-election of Thomas W. Cason as a Director | I | For | For |
| 6.D Re-election of Robert M. Sprague as a Director | I | N/A | N/A |
| 6.E Re-election of J. Michael Talbert as a Director | I | N/A | N/A |
| 6.F PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: Election of John J. Lipinski as a Director | S | Yes | Against |
| 6.G PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: Election of Jose Maria Alapont as a Director | S | Yes | Against |
| 6.H PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: Election of Samuel Merksamer as a Director | S | Yes | Against |
| 7. Appointment of Ernst & Young LLP as the Companys Independent Registered Public Accounting Firm for Fiscal Year 2013 and Reelection of Ernst & Young Ltd,
Zurich, as the Companys Auditor for a Further One-Year Term | I | For | For |
| 8. Advisory Vote to Approve Named Executive Officer Compensation | I | For | For |
| WFT — 1. Accept financial statements and statutory reports | For | For |
|---|---|---|
| 2. Approve discharge of board and senior management | Abstain | Abstain |
| 3.A Re-elect Bernard J. Duroc-Danner as director | Against | Against |
| 3.B Re-elect Nicholas F. Brady as director | Abstain | Abstain |
| 3.C Re-elect David J. Butters as director | Abstain | Abstain |
| 3.D Re-elect John D. Gass as director | Abstain | Abstain |
| 3.E Re-elect Francis S. Kalman as director | Abstain | Abstain |
| 3.F Re-elect William E. Macaulay as director | Abstain | Abstain |
| 3.G Re-elect Robert K. Moses, Jr. as director | Abstain | Abstain |
| 3.H Re-elect Guillermo Ortiz as director | Abstain | Abstain |
| 3.I Re-elect Emyr Jones Parry as director | Abstain | Abstain |
| 3.J Re-elect Robert A. Rayne as director | Abstain | Abstain |
| 4. Ratify the appointment of KPMG LLP as independent registered public accounting firm and elect KPMG AG as our Swiss statutory auditor | For | For |
| 5. Approve amendments to our articles of association to authorize issuable authorized capital in an amount equal to 18.22 percent of current stated capital and grant authority | ||
| to the board of directors to issue shares from authorized share capital for the period from June 20, 2013 to June 20, 2015 | For | For |
| 6. Advisory vote to ratify named executive officers compensation | For | For |
| 2/22/2013 | Yes | |
|---|---|---|
| A.1 Approval of the Annual Report, the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the Business Year 2012: Under this item, the | ||
| Board of Directors proposes approval of the Annual Report the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the Business Year 2012 | For | For |
| A.2 Discharge from Liability of the Members of the Board of Directors and the Executive Committee: Under this item, the Board of Directors proposes discharge from liability of | ||
| its members and those of the Executive Committee for the business year 2012 | For | For |
| A.3 Appropriation of Available Earnings of Novartis AG and Declaration of Dividend: Under this item, the Board of Directors proposes to use the available earnings of Novartis | ||
| AG of 2012 for the purpose of distributing a gross dividend of CHF 2.30 per share as follows This will result in a payout ratio of 65% of the Groups consolidated net income expressed in USD.(as specified) Payout ratio is calculated by | ||
| converting into USD the proposed total gross dividend amount in CHF at the CHF-USD exchange rate of December 31, 2012 based on an estimated number of shares outstanding on dividend payment date and dividing it by the USD consolidated net income | ||
| attributable to shareholders of Novartis AG based on the 2012 Novartis Group consolidated financial statements. No dividend will be declared on treasury shares held by Novartis AG and certain other treasury shares held by other Group | ||
| companies | For | For |
| A.4 Consultative Vote on the Compensation System: Under this item, the Board of Directors proposes that the newly proposed Compensation System of Novartis be endorsed
(non-binding consultative vote) | For | For |
| --- | --- | --- |
| A.5.1 Election of Verena A. Briner, M.D: Under this item, the Board of Directors proposes the election of Verena A. Briner, M.D., for a three-year term | For | For |
| A.5.2 Election of Joerg Reinhardt, Ph.D: Under this item, the Board of Directors proposes the election of Joerg Reinhardt Ph.D., for a term of office beginning on
August 1, 2013 and ending on the day of the Annual General Meeting in 2016 | For | For |
| A.5.3 Election of Charles L. Sawyers, M.D: Under this item, the Board of Directors proposes the election of Charles L. Sawyers, M.D., for a three-year term | For | For |
| A.5.4 Election of William T. Winters: Under this item, the Board of Directors proposes the election of William T. Winters for a three-year
term | For | For |
| A.6 Appointment of the Auditor: Under this item, the Board of Directors proposes the re-election of PricewaterhouseCoopers AG as auditor of Novartis AG for one
year | For | For |
| B If additional and/or counter-proposals are proposed at the Annual General Meeting | Against | Against |
| ROG | N/A | |
|---|---|---|
| 1.1 Accept Financial Statements and Statutory Reports | Non Voting | Non Voting |
| 1.2 Approve Remuneration Report | Non Voting | Non Voting |
| 2. Approve Discharge of Board and Senior Management | Non Voting | Non Voting |
| 3. Approve Allocation of Income and Dividends of CHF 7.35 per Share and Non-Voting Equity Security | Non Voting | Non Voting |
| 4.1 Re-elect Andreas Oeri as Director | Non Voting | Non Voting |
| 4.2 Re-elect Pius Baschera as Director | Non Voting | Non Voting |
| 4.3 Re-elect Paul Bulcke as Director | Non Voting | Non Voting |
| 4.4 Re-elect William Burns as Director | Non Voting | Non Voting |
| 4.5 Re-elect Christoph Franz as Director | Non Voting | Non Voting |
| 4.6 Re-elect De Anne Julius as Director | Non Voting | Non Voting |
| 4.7 Re-elect Arthur Levinson as Director | Non Voting | Non Voting |
| 4.8 Re-elect Peter Voser as Director | Non Voting | Non Voting |
| 4.9 Re-elect Beatrice Weder di Mauro as Director | Non Voting | Non Voting |
| 4.10 Elect Severin Schwan as Director | Non Voting | Non Voting |
| 5. Ratify KPMG Ltd. as Auditors | Non Voting | Non Voting |
| 4/30/2013 | Yes | |
|---|---|---|
| 1. Approval of the Annual Report, the Consolidated Financial Statements and the Annual Financial Statements for 2012 | For | For |
| 2. Appropriation of Available Earnings | For | For |
| 3. Discharge of the Board of Directors and the Persons entrusted with Management | For | For |
| 4. Amendment to Article 13 para. 1 of the Articles of Incorporation | For | For |
| 5.a Re-election of Mr. Jorge Born as Board of Directors | For | For |
| 5.b Re-election of Mr. Luis Andres Holzer Neumann as Board of Directors | For | For |
| 5.c Re-election of Mr. Jose Lucas Ferreira de Melo as Board of Directors | For | For |
| 5.d Re-election of Mr. Joaquin Moya-Angeler Cabrera as Board of Directors | For | For |
| 5.e Election of Mr. Julian Diaz Gonzalez as Board of Directors | For | For |
| 6. Election of the Auditors: The Board of Directors proposes that Ernst & Young Ltd be elected as the Auditors for the fiscal year 2013 | For | For |
| 7.A Exercise the voting rights in accordance with the proposals of the Board of Directors | For | For |
| 7.B Abstain from voting | Against | Against |
| 5/24/2013 | Yes | |
|---|---|---|
| 1. 2012 Annual Report, 2012 annual financial statements (including the compensation report), 2012 consolidated financial statements and the auditors | ||
| reports | For | For |
| 2. Allocation of the available earnings | For | For |
| 3. Distribution of General reserve from capital contributions | For | For |
| 4. Discharge of the members of the Board of Directors and Senior Management | For | For |
| 5. Authorized Capital: Proposed new article 3ter Para.1 | For | For |
| 6.1 Amendments of the Articles of Association: Deletion of Article 3bis and Article 11 para.6 | Abstain | Against |
| 6.2 Amendments of the Articles of Association: Amendment to Article 16 of the Articles of Association | Abstain | Against |
| 7.1 The Board of Directors proposes the re-election of Mr. Andreas Andreades as a member of the Board of Directors for a new term of office of one (1) year | For | For |
| 7.2 The Board of Directors proposes the election of Mr. Erik Hansen as a member of the Board of Directors for a term of office of one (1) year\ | For | For |
| 8. The Board of Directors proposes the re-election of PricewaterhouseCoopers SA, Geneva, as Auditors for a new term of office of one (1) year | For | For |
| 9. In the case of ad-hoc shareholder motions proposed during the general meeting, I authorize my proxy to act as follows in accordance with the board of | ||
| directors | Against | Against |
| 5-Sep-12 | Yes | |
|---|---|---|
| 1.1The board of directors proposes that the general meeting, having taken note of the reports of the auditors, approve the consolidated financial statements of the group, the | ||
| financial statements of the company and the directors report for the business year ended 31 March 2012 | For | For |
| 1.2The board of directors proposes that the 2012 compensation report as per pages 46 to 52 of the annual report and accounts 2012 be ratified (non- binding consultative | ||
| vote) | For | For |
| 2.Approve allocation of income and dividends of CHF 0.55 per A bearer share and CHF 0.055 per B registered share | For | For |
| 3.Discharge of the board of directors | For | For |
| 4.1 Re-election of the board of directors : Johann Rupert | For | For |
| 4.2 Re-election of the board of directors : Dr Franco Cologni | For | For |
| 4.3 Re-election of the board of directors : Lord Douro | For | For |
| 4.4 Re-election of the board of directors : Yves-Andre Istel | For | For |
| 4.5 Re-election of the board of directors : Richard Lepeu | For | For |
| 4.6 Re-election of the board of directors : Ruggero Magnoni | For | For |
| 4.7 Re-election of the board of directors : Josua Malherbe | For | For |
| 4.8 Re-election of the board of directors : Dr Frederick Mostert | For | For |
| 4.9 Re-election of the board of directors :Simon Murray | For | For |
|---|---|---|
| 4.10 Re-election of the board of directors : Alain Dominique Perrin | For | For |
| 4.11 Re-election of the board of directors : Guillaume Pictet | For | For |
| 4.12 Re-election of the board of directors : Norbert Platt | For | For |
| 4.13 Re-election of the board of directors : Alan Quasha | For | For |
| 4.14 Re-election of the board of directors : Maria Ramos | For | For |
| 4.15 Re-election of the board of directors : Lord Renwick of Clifton | For | For |
| 4.16 Re-election of the board of directors : Dominique Rochat | For | For |
| 4.17 Re-election of the board of directors : Jan Rupert | For | For |
| 4.18 Re-election of the board of directors : Gary Saage | For | For |
| 4.19 Re-election of the board of directors : Juergen Schrempp | For | For |
| 4.20 Re-election of the board of directors : Martha Wikstrom | For | For |
| 5. Election of the auditors / PricewaterhouseCoopers | For | For |
| 6. Ad-hoc | Against | Against |
| UHRN — 1. Annual report 2012. 2012 annual report of the board of directors. 2012 financial statements (balance sheet, income statement and notes) and 2012 consolidated financial
statements. Statutory auditors report .Approval of the reports and the financial statements | For | For |
| --- | --- | --- |
| 2. Discharge of the board of directors | For | For |
| 3. Resolution for the appropriation of the net income | For | For |
| 4. Re-election to the board of directors (Esther Grether, Nayla Hayek, Georges N. Hayek, Ernst Tanner, Claude Nicollier and Jean-Pierre Roth) | For | For |
| 5. Nomination of the statutory auditors / PricewaterhouseCoopers Ltd | For | For |
| 6. In the case of ad-hoc shareholder motions proposed during the general meeting, I authorize my proxy to act as follows in accordance with the board of
directors | Against | Against |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Registrant: The Swiss Helvetia Fund, Inc.
| By: |
|---|
| Rudolf Millisits, Chief Executive Officer |
Date August 21, 2013