UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANIES
Investment Company Act file number 811-04700
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The Gabelli Equity Trust Inc.
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(Exact name of registrant as specified in charter)
One Corporate Center
Rye, NY 10580-1422
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(Address of principal executive offices) (Zip code)
Bruce N. Alpert
Gabelli Funds, LLC
One Corporate Center
Rye, NY 10580-1422
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(Name and address of agent for service)
Registrant's telephone number, including area code: 1-800-422-3554
--------------------------
Date of fiscal year end: December 31
----------------
Date of reporting period: July 1, 2003 - June 30, 2004
------------------------------
Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (ss.ss. 239.24
and 274.5 of this chapter), to file reports with the Commission, not later than
August 31 of each year, containing the registrant's proxy voting record for the
most recent twelve-month period ended June 30, pursuant to section 30 of the
Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4).
The Commission may use the information provided on Form N-PX in its regulatory,
disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and
the Commission will make this information public. A registrant is not required
to respond to the collection of information contained in Form N-PX unless the
Form displays a currently valid Office of Management and Budget ("OMB") control
number. Please direct comments concerning the accuracy of the information
collection burden estimate and any suggestions for reducing the burden to the
Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington,
DC 20549-0609. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. ss. 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2003 TO JUNE 30, 2004
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RFS HOTEL INVESTORS, INC. RFS Special Meeting Date: 07/08/2003
Issuer: 74955J ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
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01 TO APPROVE THE AGREEMENT, AS AMENDED, BY AND Management For No No
AMONG CNL HOSPITALITY PROPERTIES, INC., A MARYLAND
CORPORATION, CNL ROSE ACQUISITION CORP., A DELAWARE
CORPORATION, RFS HOTEL INVESTORS, INC., A TENNESSEE
CORPORATION, CNL ROSE ACQUISITION OP, LP, A TENNESSEE
LIMITED PARTNERSHIP, AND RFS PARTNERSHIP, L.P.,
A TENNESSEE LIMITED PARTNERSHIP.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
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GABELLI EQUITY TRUST B01GETF0036152B 108 50,000 50,000 06/30/2003
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EMI GROUP PLC EMIPY Annual Meeting Date: 07/09/2003
Issuer: 268694 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO RECEIVE THE DIRECTORS REPORT AND THE FINANCIAL Management For No No
STATEMENTS.
02 TO DECLARE A FINAL DIVIDEND. Management For No No
03 TO APPROVE THE DIRECTORS REMUNERATION REPORT. Management For No No
04 TO RE-ELECT MR E L NICOLI AS A DIRECTOR. Management For No No
05 TO ELECT MR P A GEORGESCU AS A DIRECTOR. Management For No No
06 TO ELECT MR D J LONDONER AS A DIRECTOR. Management For No No
07 TO REAPPOINT THE AUDITOR. Management For No No
08 TO AUTHORIZE THE DIRECTORS TO DETERMINE THE REMUNERATION Management For No No
OF THE AUDITOR.
09 TO AUTHORIZE THE DIRECTORS TO ALLOT SHARES. Management For No No
10 TO AUTHORIZE THE DISAPPLICATION OF PRE-EMPTION Shareholder For No No
RIGHTS.
11 TO AUTHORIZE THE PURCHASE OF OWN SHARES. Management For No No
12 TO APPROVE THE EXECUTIVE SHARE INVESTMENT PLAN. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036152B 205 100,000 100,000 06/30/2003
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HOMEFED CORPORATION HFDC Annual Meeting Date: 07/09/2003
Issuer: 43739D ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDMENTS TO THE COMPANY S RESTATED Shareholder For No No
CERTIFICATE OF INCORPORATION, AS AMENDED, TO
EFFECT A REVERSE/FORWARD STOCK SPLIT AND TO REDUCE
THE NUMBER OF SHARES OF COMMON STOCK AUTHORIZED
FOR ISSUANCE IN CONNECTION WITH THE
REVERSE/FORWARD STOCK SPLIT.
03 APPROVAL OF AN AMENDMENT TO THE COMPANY S RESTATED Shareholder Against Yes No
CERTIFICATE OF INCORPORATION, AS AMENDED, TO
CREATE A CLASS OF PREFERRED STOCK, OF WHICH
3,000,000 SHARES WILL BE AUTHORIZED.
04 APPROVAL OF AN AMENDMENT TO THE COMPANY S 1999 Management For No No
STOCK INCENTIVE PLAN TO INCREASE TO 200,000 THE
NUMBER OF SHARES OF COMMON STOCK THAT WOULD BE
AVAILABLE UNDER THE PLAN IF THE PROPOSED REVERSE/
FORWARD STOCK SPLIT IS EFFECTED.
05 RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS TO AUDIT THE CONSOLIDATED
FINANCIAL STATEMENTS OF THE COMPANY AND ITS
SUBSIDIARIES FOR THE YEAR ENDED DECEMBER 31, 2003.
06 AUTHORIZATION FOR THE PROXIES TO VOTE UPON SUCH Management For No No
OTHER BUSINESS AS MAY PROPERLY BE PRESENTED TO
THE MEETING OR ANY ADJOURNMENTS OR POSTPONEMENTS
THEREOF.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
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GABELLI EQUITY TRUST B01GETF0036152B 208 4,753 4,753 07/08/2003
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COMPANIA DE TELECOMUNICACIONES DE CH CTC Special Meeting Date: 07/11/2003
Issuer: 204449 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE DISTRIBUTION OF AN EXTRAORDINARY Management For No No
DIVIDEND OF CH$17.5 PER SHARE TO BE CHARGED AGAINST
RETAINED EARNINGS AS OF DECEMBER 31, 2002.
02 APPROVAL OF THE MODIFICATION OF ARTICLE FIVE Management For No No
OF TELEFONICA CTC CHILE S BY-LAWS, AS A RESULT
OF AN INCREASE IN PAID-IN-CAPITAL DUE TO THE
CAPITALIZATION OF A PREMIUM PAID ON SHARES ISSUED
IN THE PAST.
03 APPROVAL TO ADOPT THE NECESSARY DECISIONS TO Management For No No
LEGALIZE THE SHAREHOLDERS MEETING S AGREEMENTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
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GABELLI EQUITY TRUST B01GETF0036152B 300 55,000 55,000 07/08/2003
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MIRANT CORPORATION Consent Meeting Date: 07/14/2003
Issuer: 604675 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 THE DEBTOR S PLAN Management No
02 RELEASE PROVISIONS CONTAINED IN SECTION 7.17 Management No
OF THE PLAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036152B AB4 900,000 0
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ALLEN TELECOM INC. ALN Special Meeting Date: 07/15/2003
Issuer: 018091 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 A PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF Management For No No
MERGER, DATED AS OF FEBRUARY 17, 2003, AS AMENDED,
BY AND AMONG ANDREW CORPORATION, ADIRONDACKS, LLC
AND ALLEN TELECOM, INC. (THE MERGER AGREEMENT ),
AND APPROVE THE MERGER AND THE OTHER TRANSACTIONS
CONTEMPLATED BY THE MERGER AGREEMENT.
02 A PROPOSAL TO APPROVE ADJOURNMENTS OR POSTPONEMENTS Management For No No
OF THE SPECIAL MEETING, IF NECESSARY, TO PERMIT
FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT
SUFFICIENT VOTES AT THE TIME OF THE SPECIAL
MEETING TO APPROVE THE ABOVE PROPOSAL.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
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GABELLI EQUITY TRUST B01GETF0036152B 108 280,000 280,000 07/01/2003
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BT GROUP PLC BTY Annual Meeting Date: 07/16/2003
Issuer: 05577E ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 REPORTS AND ACCOUNTS. Management For No No
02 REMUNERATION REPORT. Management For No No
03 FINAL DIVIDEND. Management For No No
04 RE-ELECT SIR ANTHONY GREENER. Management For No No
05 RE-ELECT LOUIS HUGHES. Management For No No
06 RE-ELECT MAARTEN VAN DEN BERGH. Management For No No
07 ELECT CLAYTON BRENDISH. Management For No No
08 REAPPOINTMENT AND REMUNERATION OF AUDITORS. Management For No No
09 AUTHORITY TO ALLOT SHARES. Shareholder For No No
10 AUTHORITY TO ALLOT SHARES FOR CASH. (SPECIAL RESOLUTION) Shareholder For No No
11 AUTHORITY TO PURCHASE OWN SHARES. (SPECIAL RESOLUTION) Management For No No
12 AUTHORITY FOR POLITICAL DONATIONS. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036152B 101 25,000 25,000 07/14/2003
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MODINE MANUFACTURING COMPANY MODI Annual Meeting Date: 07/16/2003
Issuer: 607828 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
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GABELLI EQUITY TRUST B01GETF0036152B 100 335,000 335,000 07/15/2003
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CHARTER COMMUNICATIONS, INC. CHTR Annual Meeting Date: 07/23/2003
Issuer: 16117M ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 AMENDMENT TO THE COMPANY S 2001 STOCK INCENTIVE Management Against Yes No
PLAN TO INCREASE BY 30,000,000 SHARES THE NUMBER
OF SHARES OF CLASS A COMMON STOCK AUTHORIZED
FOR ISSUANCE UNDER THE PLAN
03 AMENDMENTS TO THE 1999 OPTION PLAN AND THE 2001 Management Against Yes No
STOCK INCENTIVE PLAN TO AUTHORIZE THE REPRICING
OF OUTSTANDING STOCK OPTIONS
04 RATIFICATION OF KPMG LLP AS INDEPENDENT PUBLIC Management For No No
ACCOUNTANTS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036152B 107 30,000 30,000 07/21/2003
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MMO2 PLC OOM Annual Meeting Date: 07/30/2003
Issuer: 55309W ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 REPORT AND ACCOUNTS Management For No No
02 REMUNERATION REPORT Management For No No
03 ELECT DAVID CHANCE Management For No No
04 ELECT DAVID ARCULUS Management For No No
05 ELECT RUDOLF GROGER Management For No No
06 ELECT DAVID MCGLADE Management For No No
07 ELECT KENT THEXTON Management For No No
08 RE-ELECT PETER ERSKINE Management For No No
09 RE-ELECT NEELIE KROES Management For No No
10 RE-ELECT PAUL MYNERS Management For No No
11 RE-APPOINTMENT OF AUDITORS Management For No No
12 REMUNERATION OF AUDITORS Management For No No
13 AUTHORITY TO ALLOT SHARES Shareholder For No No
S14 POWER TO ALLOT SHARES FOR CASH Shareholder For No No
S15 AUTHORITY TO PURCHASE OWN SHARES *NOTE* VOTING Management For No No
CUT-OFF DATE: JULY 24, 2003 AT 3:00 P.M. EDT
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036152B 101 119,000 119,000 07/28/2003
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VODAFONE GROUP PLC VOD Annual Meeting Date: 07/30/2003
Issuer: 92857W ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO RECEIVE THE REPORT OF THE DIRECTORS AND FINANCIAL Management For No No
STATEMENTS
02 TO APPROVE THE REMUNERATION REPORT Management For No No
03 TO RE-APPOINT LORD MACLAURIN OF KNEBWORTH, DL Management For No No
AS A DIRECTOR
04 TO RE-APPOINT KENNETH HYDON AS A DIRECTOR Management For No No
05 TO RE-APPOINT THOMAS GEITNER AS A DIRECTOR Management For No No
06 TO RE-APPOINT PROFESSOR SIR ALEC BROERS AS A DIRECTOR Management For No No
07 TO RE-APPOINT JURGEN SCHREMPP AS A DIRECTOR Management For No No
08 TO ELECT DR. JOHN BUCHANAN AS A DIRECTOR Management For No No
09 TO APPROVE A FINAL DIVIDEND OF 0.8983 PER ORDINARY Management For No No
SHARE
10 TO RE-APPOINT DELOITTE & TOUCHE AS AUDITORS Management For No No
11 TO AUTHORIZE THE AUDIT COMMITTEE TO DETERMINE Management For No No
THE AUDITORS REMUNERATION
12 TO AUTHORIZE DONATIONS AND EXPENDITURE UNDER Management For No No
THE POLITICAL PARTIES, ELECTIONS AND REFERENDUMS
ACT 2000
13 TO RENEW AUTHORITY TO ALLOT SHARES UNDER ARTICLE Shareholder For No No
16.2 OF THE COMPANY S ARTICLES OF ASSOCIATION
14 TO RENEW AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS Management For No No
UNDER ARTICLE 16.3 OF THE COMPANY S ARTICLES
OF ASSOCIATION
15 TO AUTHORIZE THE COMPANY S PURCHASE OF ITS OWN Shareholder For No No
SHARES *NOTE - VOTING CUT-OFF DATE: JULY 23, 2003
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036152B 100 100,000 100,000 07/28/2003
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GTECH HOLDINGS CORPORATION GTK Annual Meeting Date: 08/04/2003
Issuer: 400518 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE CORPORATE FINANCIALS MANAGEMENT Management For No No
INCENTIVE PLAN FOR CHIEF EXECUTIVE OFFICER AND
SENIOR STAFF.
03 RATIFICATION OF ERNST & YOUNG LLP, INDEPENDENT Management For No No
CERTIFIED PUBLIC ACCOUNTANTS, AS AUDITORS FOR THE
FISCAL YEAR ENDING FEBRUARY 28, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036152B 106 8,000 8,000 07/28/2003
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PARK PLACE ENTERTAINMENT CORPORATION PPE Special Meeting Date: 09/10/2003
Issuer: 700690 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO AMEND THE COMPANY S AMENDED AND RESTATED CERTIFICATE Management For No No
OF INCORPORATION TO CHANGE THE NAME OF THE COMPANY
TO CAESARS ENTERTAINMENT, INC.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 430,000 430,000 08/18/2003
------------------------------------------------------------------------------------------------------------------------------------
DEL MONTE FOODS COMPANY DLM Annual Meeting Date: 09/12/2003
Issuer: 24522P ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE DEL MONTE FOODS COMPANY S ANNUAL INCENTIVE Management For No No
PLAN, AS AMENDED, TO COMPLY WITH SECTION 162(M)
OF THE INTERNAL REVENUE CODE.
03 TO RATIFY THE APPOINTMENT OF KPMG LLP AS DEL Management For No No
MONTE FOODS COMPANY S INDEPENDENT AUDITORS FOR ITS
FISCAL YEAR ENDING MAY 2, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 53,592 53,592 08/18/2003
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GERBER SCIENTIFIC, INC. GRB Annual Meeting Date: 09/18/2003
Issuer: 373730 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO OBTAIN SHAREHOLDER APPROVAL OF THE GERBER Management For No No
SCIENTIFIC, INC. 2003 EMPLOYEE STOCK OPTION PLAN.
03 TO OBTAIN SHAREHOLDER APPROVAL OF THE GERBER Management For No No
SCIENTIFIC, INC. NON-EMPLOYEE DIRECTOR S STOCK
GRANT PLAN.
04 SHAREHOLDER PROPOSAL TO REPEAL THE CLASSIFIED Shareholder Against No No
BOARD.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 100,000 100,000 09/10/2003
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GENERAL MILLS, INC. GIS Annual Meeting Date: 09/22/2003
Issuer: 370334 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF APPOINTMENT OF KPMG LLP AS INDEPENDENT Management For No No
AUDITOR.
03 ADOPTION OF THE GENERAL MILLS, INC. 2003 STOCK Management For No No
COMPENSATION PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 85,000 85,000 09/15/2003
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CATELLUS DEVELOPMENT CORPORATION CDX Annual Meeting Date: 09/26/2003
Issuer: 149111 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVE AND ADOPT THE AGREEMENT AND PLAN OF MERGER Management For No No
DATED JULY 31, 2003 AMONG CATELLUS DEVELOPMENT
CORPORATION, CATELLUS SUBCO, INC. AND CATELLUS
OPERATING LIMITED PARTNERSHIP PURSUANT TO WHICH
THE REIT CONVERSION WILL BE EFFECTED
02 DIRECTOR Management For No No
03 APPROVE THE AMENDMENT TO THE 2000 PERFORMANCE Management For No No
AWARD PLAN
04 APPROVE AND ADOPT THE 2003 PERFORMANCE AWARD PLAN Management For No No
05 STOCKHOLDER PROPOSAL RELATING TO STOCKHOLDER Shareholder For Yes No
RIGHTS PLAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 300,000 300,000 09/24/2003
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ROYCE VALUE TRUST, INC. RVT Annual Meeting Date: 09/29/2003
Issuer: 780910 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 36,000 36,000 09/16/2003
------------------------------------------------------------------------------------------------------------------------------------
UNITEDGLOBALCOM, INC. UCOMA Annual Meeting Date: 09/30/2003
Issuer: 913247 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF UNITEDGLOBALCOM, INC. EQUITY INCENTIVE Management For No No
PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 508 370,000 370,000 09/23/2003
------------------------------------------------------------------------------------------------------------------------------------
GENERAL MOTORS CORPORATION GMH Consent Meeting Date: 10/03/2003
Issuer: 370442 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE FIRST GM CHARTER AMENDMENT Management For No No
02 RATIFICATION OF THE NEW HUGHES CERTIFICATE OF Management For No No
INCORPORATION
03 RATIFICATION OF THE HUGHES SPLIT-OFF, INCLUDING Management For No No
THE SPECIAL DIVIDEND
04 RATIFICATION OF THE GM/NEWS STOCK SALE Management For No No
05 RATIFICATION OF THE NEWS STOCK ACQUISITION Management For No No
06 APPROVAL OF THE SECOND GM CHARTER AMENDMENT Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 165,000 165,000 09/29/2003
GABELLI EQUITY TRUST INC. B01GETF0036152B 832 180,323 180,323 09/29/2003
------------------------------------------------------------------------------------------------------------------------------------
FRANCE TELECOM FTE Special Meeting Date: 10/06/2003
Issuer: 35177Q ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O1 MODIFICATION TO THE DELEGATION TO THE BOARD OF Management For No No
DIRECTORS TO BUY, KEEP OR TRANSFER FRANCE TELECOM
SHARES AS GRANTED BY THE SHAREHOLDERS IN THEIR
ORDINARY GENERAL MEETING ON MAY 27, 2003.
E2 DELEGATION TO THE BOARD OF DIRECTORS TO ISSUE Management For No No
SHARES RESERVED FOR THE HOLDERS OF ORANGE SHARES
SUBSCRIBED TO OR HELD PURSUANT TO AN ORANGE STOCK
OPTION OR SHARE PURCHASE PLAN, OR THE SHARE
PURCHASE PLAN , THE ORANGE SENIOR DISCRETIONARY
SHARE PLAN AND THE RESTRICTED SHARE PLAN , WHO
HAVE SIGNED A LIQUIDITY CONTRACT WITH FRANCE
TELECOM.
E3 DELEGATION TO THE BOARD OF DIRECTORS TO INCREASE Shareholder For No No
THE CAPITAL FOR THE BENEFIT OF MEMBERS OF A FRANCE
TELECOM GROUP COMPANY SAVINGS PLAN.
E4 POWERS. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 7,000 7,000 09/29/2003
------------------------------------------------------------------------------------------------------------------------------------
THE PROCTER & GAMBLE COMPANY PG Annual Meeting Date: 10/14/2003
Issuer: 742718 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Management For No No
03 APPROVE THE PROCTER & GAMBLE 2003 NON-EMPLOYEE Management For No No
DIRECTORS STOCK PLAN
04 SHAREHOLDER PROPOSAL NO. 1 BOARD OF DIRECTORS Shareholder Against No No
TERMS
05 SHAREHOLDER PROPOSAL NO. 2 LABEL GENETICALLY Shareholder Against No No
ENGINEERED FOODS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 100,000 100,000 10/07/2003
------------------------------------------------------------------------------------------------------------------------------------
THE NEWS CORPORATION LIMITED NWS Annual Meeting Date: 10/15/2003
Issuer: 652487 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1A APPROVAL OF THE RE-ELECTION OF MR. LACHLAN MURDOCH, Management For No No
AS SET FORTH IN THE COMPANY S NOTICE OF MEETING
ENCLOSED HEREWITH.
1B APPROVAL OF THE RE-ELECTION OF MR. THOMAS PERKINS, Management For No No
AS SET FORTH IN THE COMPANY S NOTICE OF MEETING
ENCLOSED HEREWITH.
1C APPROVAL OF THE RE-ELECTION OF MR. STANLEY SHUMAN, Management For No No
AS SET FORTH IN THE COMPANY S NOTICE OF MEETING
ENCLOSED HEREWITH.
1D APPROVAL OF THE RE-ELECTION OF MR. ARTHUR SISKIND, Management For No No
AS SET FORTH IN THE COMPANY S NOTICE OF MEETING
ENCLOSED HEREWITH.
02 APPROVAL OF AN ORDINARY RESOLUTION TO GRANT OPTIONS Management For No No
TO CERTAIN EXECUTIVE DIRECTORS, AS SET FORTH IN
THE COMPANY S NOTICE OF MEETING ENCLOSED HEREWITH.
03 APPROVAL OF AN ORDINARY RESOLUTION THAT THE COMPANY Management For No No
APPROVES PAYMENT OF AN AGGREGATE OF UP TO A$1.85
MILLION (APPROXIMATELY US$1.2 MILLION) PER ANNUM
TO THE DIRECTORS, OTHER THAN ANY IN FULL-TIME
EMPLOYMENT OF THE COMPANY OR ANY OF ITS
SUBSIDIARIES, FOR THEIR SERVICES AS DIRECTORS, AS
SET FORTH IN THE COMPANY S NOTICE OF MEETING
ENCLOSED HEREWITH.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 703 10,000 10,000 10/01/2003
------------------------------------------------------------------------------------------------------------------------------------
DIAGEO PLC DEO Annual Meeting Date: 10/22/2003
Issuer: 25243Q ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 REPORTS AND ACCOUNTS 2003 Management For No No
02 DIRECTORS REMUNERATION REPORT 2003 Management For No No
03 DECLARATION OF FINAL DIVIDEND Management For No No
04 RE-ELECTION OF LORD BLYTH (3*) Management For No No
05 RE-ELECTION OF MR JK OATES (1*,3,4) Management For No No
06 RE-ELECTION OF MR PS WALSH (2*) Management For No No
07 RE-APPOINTMENT AND REMUNERATION OF AUDITORS Management For No No
08 DISAPPLICATION OF PRE-EMPTION RIGHTS Management For No No
09 AUTHORITY TO PURCHASE OWN ORDINARY SHARES Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 205 224,000 224,000 10/14/2003
------------------------------------------------------------------------------------------------------------------------------------
CHECKFREE CORPORATION CKFR Annual Meeting Date: 10/29/2003
Issuer: 162813 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE AND ADOPT THE CHECKFREE CORPORATION Management For No No
2003 INCENTIVE COMPENSATION PLAN. THE BOARD OF
DIRECTORS RECOMMENDS A VOTE AGAINST ITEM 3.
03 THE STOCKHOLDER PROPOSAL SET FORTH IN THE PROXY Shareholder For Yes No
STATEMENT.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 1,000 1,000 10/22/2003
------------------------------------------------------------------------------------------------------------------------------------
SARA LEE CORPORATION SLE Annual Meeting Date: 10/30/2003
Issuer: 803111 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS SARA LEE S INDEPENDENT ACCOUNTANTS FOR
FISCAL 2004.
03 TO VOTE ON A STOCKHOLDER PROPOSAL REGARDING CHARITABLE Shareholder Abstain Yes No
CONTRIBUTIONS.
04 TO VOTE ON A STOCKHOLDER PROPOSAL REGARDING SARA Shareholder Abstain Yes No
LEE S CODE OF CONDUCT.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 100,000 100,000 10/22/2003
------------------------------------------------------------------------------------------------------------------------------------
ARCHER-DANIELS-MIDLAND COMPANY ADM Annual Meeting Date: 11/06/2003
Issuer: 039483 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 1,000,000 1,000,000 10/29/2003
------------------------------------------------------------------------------------------------------------------------------------
BOCA RESORTS, INC. RST Annual Meeting Date: 11/07/2003
Issuer: 09688T ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE ACTION OF THE AUDIT COMMITTEE OF Management For No No
THE BOARD OF DIRECTORS IN APPOINTING ERNST &
YOUNG LLP AS THE COMPANY S INDEPENDENT PUBLIC
ACCOUNTANTS FOR THE YEAR ENDING JUNE 30, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 100,000 100,000 11/05/2003
------------------------------------------------------------------------------------------------------------------------------------
SCIENTIFIC-ATLANTA, INC. SFA Annual Meeting Date: 11/07/2003
Issuer: 808655 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE 2003 LONG-TERM INCENTIVE PLAN. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 44,000 44,000 11/05/2003
------------------------------------------------------------------------------------------------------------------------------------
THE FAIRCHILD CORPORATION FA Annual Meeting Date: 11/07/2003
Issuer: 303698 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE PERFORMANCE GOALS FOR INCENTIVE COMPENSATION Management For No No
FOR THE PRESIDENT.
03 TO APPROVE PERFORMANCE GOALS FOR INCENTIVE COMPENSATION Management For No No
FOR THE CHIEF EXECUTIVE OFFICER.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 115,000 115,000 11/06/2003
------------------------------------------------------------------------------------------------------------------------------------
MEREDITH CORPORATION MDP Annual Meeting Date: 11/10/2003
Issuer: 589433 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO ADOPT AMENDMENTS TO THE RESTATED ARTICLES Management Against Yes No
OF INCORPORATION RELATING TO LIMITATION OF
LIABILITY OF DIRECTORS FOR MONETARY DAMAGES AND
INDEMNIFICATION OF DIRECTORS AS PERMITTED UNDER
THE RECENTLY AMENDED IOWA BUSINESS CORPORATION
ACT.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 125,000 125,000 11/05/2003
------------------------------------------------------------------------------------------------------------------------------------
BIOGEN, INC. BGEN Special Meeting Date: 11/12/2003
Issuer: 090597 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO APPROVE THE AGREEMENT AND PLAN OF MERGER, Management For No No
DATED AS OF JUNE 20, 2003, BY AND AMONG IDEC
PHARMACEUTICALS CORPORATION, BRIDGES MERGER
CORPORATION AND BIOGEN.
02 TO APPROVE ANY PROPOSAL TO ADJOURN THE MEETING Management For No No
TO A LATER DATE, IF NECESSARY, TO SOLICIT ADDITIONAL
PROXIES IF THERE ARE NOT SUFFICIENT VOTES IN FAVOR
OF APPROVAL OF THE AGREEMENT AND PLAN OF MERGER.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 26,000 26,000 11/05/2003
------------------------------------------------------------------------------------------------------------------------------------
ALLEGHENY ENERGY, INC. AYE Annual Meeting Date: 11/14/2003
Issuer: 017361 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT ACCOUNTANTS.
03 SHAREHOLDER PROPOSAL REGARDING POISON PILLS. Shareholder For Yes No
04 SHAREHOLDER PROPOSAL REGARDING INDEXED OPTIONS. Shareholder Against No No
05 SHAREHOLDER PROPOSAL REGARDING PERFORMANCE-BASED Shareholder Against No No
STOCK OPTIONS.
06 SHAREHOLDER PROPOSAL REGARDING OPTION EXPENSING. Shareholder Against No No
07 SHAREHOLDER PROPOSAL REGARDING INDEPENDENT BOARD Shareholder Against No No
CHAIRMAN.
08 SHAREHOLDER PROPOSAL REGARDING ALLOW SIMPLE Shareholder Against No No
MAJORITY VOTE.
09 SHAREHOLDER PROPOSAL REGARDING ANNUAL ELECTION Shareholder Against No No
OF DIRECTORS.
10 SHAREHOLDER PROPOSAL REGARDING AUDITOR FEES. Shareholder Against No No
11 SHAREHOLDER PROPOSAL REGARDING REINCORPORATION. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 125,000 125,000 11/11/2003
------------------------------------------------------------------------------------------------------------------------------------
GAYLORD ENTERTAINMENT COMPANY GET Special Meeting Date: 11/18/2003
Issuer: 367905 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 PROPOSAL TO APPROVE THE ISSUANCE OF SHARES OF Management Abstain Yes No
COMMON STOCK UNDER THE AGREEMENT AND PLAN OF
MERGER, DATED AS OF AUGUST 4, 2003, BY AND AMONG
THE COMPANY, GET MERGER SUB, INC. AND RESORTQUEST
INTERNATIONAL, INC.
02 PROPOSAL TO ADJOURN THE SPECIAL MEETING TO A Management Abstain Yes No
LATER DATE, IF NECESSARY, TO SOLICIT ADDITIONAL
PROXIES IF THERE ARE NOT SUFFICIENT VOTES IN FAVOR
OF THE PROPOSAL TO APPROVE THE ISSUANCE OF SHARES
OF COMMON STOCK UNDER THE AGREEMENT AND PLAN OF
MERGER.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 245,000 245,000 11/11/2003
------------------------------------------------------------------------------------------------------------------------------------
CAMPBELL SOUP COMPANY CPB Annual Meeting Date: 11/21/2003
Issuer: 134429 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENT OF AUDITORS Management For No No
03 APPROVAL OF THE 2003 LONG-TERM INCENTIVE PLAN Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 100,000 100,000 11/18/2003
------------------------------------------------------------------------------------------------------------------------------------
DONALDSON COMPANY, INC. DCI Annual Meeting Date: 11/21/2003
Issuer: 257651 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS.
03 AMEND CERTIFICATE OF INCORPORATION TO INCREASE Shareholder For No No
AUTHORIZED SHARES OF COMMON STOCK FROM 80,000,000
TO 120,000,000.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 210,000 210,000 11/18/2003
------------------------------------------------------------------------------------------------------------------------------------
THE READER'S DIGEST ASSOCIATION, INC RDA Annual Meeting Date: 11/21/2003
Issuer: 755267 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 178,000 178,000 11/18/2003
------------------------------------------------------------------------------------------------------------------------------------
FOX ENTERTAINMENT GROUP, INC. FOX Annual Meeting Date: 11/25/2003
Issuer: 35138T ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For No No
YOUNG LLP AS INDEPENDENT ACCOUNTANTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 120,000 120,000 11/21/2003
------------------------------------------------------------------------------------------------------------------------------------
SPS TECHNOLOGIES, INC. ST Special Meeting Date: 12/02/2003
Issuer: 784626 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO ADOPT AND APPROVE THE AGREEMENT AND PLAN OF Management For No No
MERGER, DATED AS OF AUGUST 16, 2003, BY AND AMONG
SPS TECHNOLOGIES, INC., PRECISION CASTPARTS CORP.
AND STAR ACQUISITION, LLC, WHOLLY-OWNED SUBSIDIARY
OF PCC, WHICH PROVIDES FOR THE MERGER OF SPS WITH
AND INTO STAR ACQUISITION, WITH STAR ACQUISITION,
BEING THE SURVIVING ENTITY.
02 TO APPROVE ONE OR MORE ADJOURNMENTS OF THE SPECIAL Management For No No
MEETING, IF NECESSARY, TO PERMIT FURTHER
SOLICITATION OF PROXIES IF THERE ARE NOT
SUFFICIENT VOTES AT THE TIME OF THE SPECIAL
MEETING TO APPROVE PROPOSAL 1 ABOVE.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 170,000 170,000 11/18/2003
------------------------------------------------------------------------------------------------------------------------------------
THE HAIN CELESTIAL GROUP, INC. HAIN Annual Meeting Date: 12/04/2003
Issuer: 405217 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE THE AMENDMENT TO THE 2002 LONG TERM Management For No No
INCENTIVE AND STOCK PLAN TO INCREASE THE NUMBER
OF SHARES ISSUABLE OVER THE TERM OF THE PLAN BY
1,500,000 SHARES TO 3,100,000 SHARES IN THE
AGGREGATE.
03 TO APPROVE THE AMENDMENT TO THE 2000 DIRECTORS Management For No No
STOCK OPTION PLAN TO INCREASE THE NUMBER OF SHARES
ISSUABLE OVER THE TERM OF THE PLAN BY 200,000
SHARES TO 950,000 SHARES IN THE AGGREGATE.
04 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP, Management For No No
TO ACT AS INDEPENDENT AUDITORS OF THE COMPANY
FOR THE FISCAL YEAR ENDING JUNE 30, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 20,000 20,000 11/24/2003
------------------------------------------------------------------------------------------------------------------------------------
FOMENTO ECONOMICO MEXICANO, S.A. DE FMX Special Meeting Date: 12/10/2003
Issuer: 344419 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE AMENDMENT OF THE BY-LAWS OF THE Management For No No
COMPANY TO COMPLY WITH THE GENERAL PROVISIONS
APPLICABLE TO THE ISSUERS OF SECURITIES, ISSUED BY
THE MEXICAN SECURITIES COMMISSION AS PUBLISHED IN
THE OFFICIAL GAZETTE OF THE FEDERATION ( DIARIO
OFICIAL DE LA FEDERACION ) AS OF MARCH 19, 2003.*
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 25,000 25,000 12/04/2003
------------------------------------------------------------------------------------------------------------------------------------
ROBERT MONDAVI CORPORATION MOND Annual Meeting Date: 12/12/2003
Issuer: 609200 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR.
03 TO APPROVE AN AMENDMENT TO THE 1993 EQUITY INCENTIVE Management For No No
PLAN TO RESERVE AN ADDITIONAL 900,000 SHARES OF
CLASS A COMMON STOCK FOR ISSUANCE UNDER THAT PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 50,000 50,000 12/03/2003
------------------------------------------------------------------------------------------------------------------------------------
QWEST COMMUNICATIONS INTERNATIONAL I Q Annual Meeting Date: 12/16/2003
Issuer: 749121 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE QWEST COMMUNICATIONS INTERNATIONAL Management For No No
INC. AMENDED AND RESTATED EMPLOYEE STOCK PURCHASE
PLAN
03 SHAREOWNER PROPOSAL-REQUESTING WE EXCLUDE PENSION Shareholder For No No
CREDITS FROM NET INCOME WHEN DETERMINING ANNUAL
OR SHORT-TERM INCENTIVE COMPENSATION FOR EXECUTIVE
OFFICERS
04 SHAREOWNER PROPOSAL-REQUESTING WE TAKE NECESSARY Shareholder For No No
STEPS TO DECLASSIFY THE BOARD OF DIRECTORS
05 SHAREOWNER PROPOSAL-REQUESTING SHAREHOLDER APPROVAL Shareholder For No No
FOR CERTAIN FUTURE SEVERANCE AGREEMENTS TO EXECUTIVE
OFFICERS.
06 SHAREOWNER PROPOSAL-REQUESTING THE SUBSTANTIAL Shareholder Against No No
MAJORITY OF THE BOARD OF DIRECTORS BE INDEPENDENT
07 SHAREOWNER PROPOSAL-REQUESTING ALL FUTURE STOCK Shareholder Against No No
OPTION GRANTS TO SENIOR EXECUTIVES BE PERFORMANCE
BASED
08 SHAREOWNER PROPOSAL-REQUESTING THAT SOME PORTION Shareholder Against No No
OF FUTURE STOCK OPTION GRANTS TO SENIOR EXECUTIVES
BE PERFORMANCE BASED
09 SHAREOWNER PROPOSAL-REQUESTING THE EXPENSING Shareholder Against No No
IN ANNUAL INCOME STATEMENTS OF THE COST OF FUTURE
STOCK OPTION GRANTS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 800,000 800,000 12/10/2003
------------------------------------------------------------------------------------------------------------------------------------
UNITEDGLOBALCOM, INC. UCOMA Special Meeting Date: 12/17/2003
Issuer: 913247 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ISSUANCE OF A TOTAL OF UP TO Management For No No
171,238,160 SHARES OF UNITEDGLOBALCOM, INC. CLASS
A COMMON STOCK, AS MORE FULLY DESCRIBED IN THE
PROXY STATEMENT.
02 APPROVAL OF UNITEDGLOBALCOM S AMENDED EQUITY Management For No No
INCENTIVE PLAN FOR EMPLOYEES, DIRECTORS AND CONSULTANTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 508 360,000 360,000 12/09/2003
------------------------------------------------------------------------------------------------------------------------------------
ACUITY BRANDS, INC. AYI Annual Meeting Date: 12/18/2003
Issuer: 00508Y ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE THE AMENDED AND RESTATED ACUITY BRANDS, Management Against Yes No
INC. LONG-TERM INCENTIVE PLAN.
03 TO RATIFY THE APPOINTMENT OF THE INDEPENDENT AUDITOR. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 200,000 200,000 12/10/2003
------------------------------------------------------------------------------------------------------------------------------------
APACHE CORPORATION APA Special Meeting Date: 12/18/2003
Issuer: 037411 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION Shareholder For No No
TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF
THE COMPANY S COMMON STOCK FROM 215,000,000 SHARES
TO 430,000,000 SHARES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 36,000 36,000 12/09/2003
------------------------------------------------------------------------------------------------------------------------------------
GRUPO TELEVISA, S.A. TV Annual Meeting Date: 12/23/2003
Issuer: 40049J ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 AMENDMENTS TO THE DEED OF ISSUANCE OF THE ORDINARY Management For No
PARTICIPATION CERTIFICATES
02 RESOLUTION IN CONNECTION WITH THE ISSUANCE AND Management For No
EXCHANGE OF CERTIFICATES THAT EVIDENCE THE ABOVE-MENTIONED
ORDINARY PARTICIPATION CERTIFICATES
03 GENERAL MATTERS RELATED TO THE ABOVE ISSUES Management For No
E4 AMEND ARTICLES OF THE BY-LAWS Management For No
E5 REPORT REGARDING THE PURCHASE AND SALE OF SHARES Management For No
OF THE COMPANY AND AMENDMENT TO ARTICLE SIXTH OF
THE COMPANY S BY-LAWS
E6 APPOINTMENT OF DELEGATES WHO WILL CARRY OUT AND Management For No
FORMALIZE THE RESOLUTIONS ADOPTED AT THIS MEETING
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 206 185,000 185,000 12/18/2003
------------------------------------------------------------------------------------------------------------------------------------
DELTA AND PINE LAND COMPANY DLP Annual Meeting Date: 01/15/2004
Issuer: 247357 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE AUDITING FIRM OF KPMG, LLP. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 5,000 5,000 12/30/2003
------------------------------------------------------------------------------------------------------------------------------------
NEIMAN MARCUS GROUP, INC. Annual Meeting Date: 01/16/2004
Issuer: 640204 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 301 323,500 323,500 01/15/2004
------------------------------------------------------------------------------------------------------------------------------------
ENERGIZER HOLDINGS, INC. ENR Annual Meeting Date: 01/26/2004
Issuer: 29266R ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 40,000 40,000 01/16/2004
------------------------------------------------------------------------------------------------------------------------------------
JOHNSON CONTROLS, INC. JCI Annual Meeting Date: 01/28/2004
Issuer: 478366 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF PRICEWATERHOUSECOOPERS AS INDEPENDENT Management For No No
AUDITORS FOR 2004.
03 RATIFICATION OF THE LONG-TERM PERFORMANCE PLAN. Management For No No
04 RATIFICATION OF THE EXECUTIVE INCENTIVE COMPENSATION Management For No No
PLAN.
05 RATIFICATION OF THE 2003 STOCK PLAN FOR OUTSIDE Management For No No
DIRECTORS.
06 APPROVAL OF THE 2001 RESTRICTED STOCK PLAN AMENDMENT. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 97,000 97,000 01/23/2004
------------------------------------------------------------------------------------------------------------------------------------
LANDAUER, INC. LDR Annual Meeting Date: 02/04/2004
Issuer: 51476K ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO APPROVE PRICEWATERHOUSECOOPERS LLP Management For No No
AS AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 98,000 98,000 01/27/2004
------------------------------------------------------------------------------------------------------------------------------------
RALCORP HOLDINGS, INC. RAH Annual Meeting Date: 02/05/2004
Issuer: 751028 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 60,000 60,000 01/27/2004
------------------------------------------------------------------------------------------------------------------------------------
SYBRON DENTAL SPECIALTIES, INC. SYD Annual Meeting Date: 02/06/2004
Issuer: 871142 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 60,000 60,000 01/27/2004
------------------------------------------------------------------------------------------------------------------------------------
ANDREW CORPORATION ANDW Annual Meeting Date: 02/10/2004
Issuer: 034425 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO INCREASE THE NUMBER OF SHARES OF COMMON STOCK Management For No No
AVAILABLE FOR ISSUANCE UNDER THE ANDREW CORPORATION
EMPLOYEE STOCK PURCHASE PLAN BY 1,700,000.
03 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG AS Management For No No
INDEPENDENT PUBLIC AUDITORS FOR FISCAL YEAR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 240,000 240,000 01/28/2004
------------------------------------------------------------------------------------------------------------------------------------
UNITEDGLOBALCOM, INC. UCOMA Special Meeting Date: 02/11/2004
Issuer: 913247 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE AMENDMENTS TO UNITEDGLOBALCOM, Management For No No
INC. STOCK OPTION PLAN FOR NON-EMPLOYEE DIRECTORS
(EFFECTIVE JUNE 1, 1993), UNITEDGLOBALCOM, INC.
STOCK OPTION PLAN FOR NON-EMPLOYEE DIRECTORS
(EFFECTIVE MARCH 20, 1998), AND UNITEDGLOBALCOM,
INC. 1993 STOCK OPTION PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 508 360,000 360,000 02/04/2004
------------------------------------------------------------------------------------------------------------------------------------
NAVISTAR INTERNATIONAL CORPORATION NAV Annual Meeting Date: 02/17/2004
Issuer: 63934E ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 VOTE TO RATIFY THE SELECTION OF DELOITTE & TOUCHE Management For No No
LLP AS OUR INDEPENDENT AUDITOR.
03 VOTE TO APPROVE OUR 2004 PERFORMANCE INCENTIVE Management For No No
PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 405,000 405,000 01/28/2004
------------------------------------------------------------------------------------------------------------------------------------
LUCENT TECHNOLOGIES INC. LU Annual Meeting Date: 02/18/2004
Issuer: 549463 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 DIRECTORS PROPOSAL TO DECLASSIFY THE BOARD AND Management For No No
TO ALLOW FOR THE REMOVAL OF DIRECTORS WITHOUT
CAUSE
03 DIRECTORS PROPOSAL TO APPROVE OUR 2004 EQUITY Management For No No
COMPENSATION PLAN FOR NON-EMPLOYEE DIRECTORS
04 DIRECTORS PROPOSAL TO APPROVE A REVERSE STOCK Shareholder For No No
SPLIT IN ONE OF FOUR RATIOS
05 SHAREOWNER PROPOSAL TO REQUIRE SHAREOWNER APPROVAL Shareholder Against No No
OF FUTURE SEVERANCE AGREEMENTS
06 SHAREOWNER PROPOSAL TO DISCONTINUE EXECUTIVE Shareholder Against No No
EQUITY COMPENSATION PROGRAMS AFTER EXPIRATION
OF EXISTING COMMITMENTS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 130,000 130,000 02/05/2004
------------------------------------------------------------------------------------------------------------------------------------
TELECOM ARGENTINA STET-FRANCE TELECO TEO Special Meeting Date: 02/18/2004
Issuer: 879273 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPOINTMENT OF TWO SHAREHOLDERS TO SIGN THE MINUTES. Management For No No
02 RATIFICATION OF THE STEPS TAKEN BY THE SUPERVISORY Management For No No
COMMITTEE IN RESPECT OF THE APPOINTMENT OF THE
REGULAR AND ALTERNATE DIRECTORS.
03 DETERMINATION OF THE NUMBER OF REGULAR AND ALTERNATE Management For No No
DIRECTORS UNTIL THE FOLLOWING ANNUAL GENERAL
MEETING AND APPOINTMENT THEREOF.
04 APPOINTMENT OF REGULAR AND ALTERNATE MEMBERS Management For No No
OF THE SUPERVISORY COMMITTEE UNTIL THE FOLLOWING
ANNUAL GENERAL MEETING.
05 AMENDMENT OF SECTIONS 1 AND 10 AND INCORPORATION Management For No No
OF SECTION 10 BIS OF THE CORPORATE BYLAWS. APPOINTMENT
OF THE PERSONS IN CHARGE OF TAKING THE STEPS
CONCERNING THE APPROVAL AND REGISTRATION OF THE
AMENDMENTS AND TRANSFER OF THE PUBLIC OFFER AND
LISTING OF THE SECURITIES ISSUED BY THE COMPANY
DUE TO THE CHANGE OF THE CORPORATE NAME.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 209 42,000 42,000 01/29/2004
------------------------------------------------------------------------------------------------------------------------------------
AGERE SYSTEMS INC. AGRA Annual Meeting Date: 02/19/2004
Issuer: 00845V ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 209 125,000 125,000 01/27/2004
------------------------------------------------------------------------------------------------------------------------------------
GREIF, INC. GEFB Annual Meeting Date: 02/23/2004
Issuer: 397624 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO APPROVE AN AMENDMENT TO THE COMPANY S Management For No No
LONG-TERM INCENTIVE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 206 3,400 3,400 02/03/2004
------------------------------------------------------------------------------------------------------------------------------------
JOHN HANCOCK FINANCIAL SERVICES, INC JHF Special Meeting Date: 02/24/2004
Issuer: 41014S ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 ADOPTION OF THE MERGER AGREEMENT: THE ADOPTION Management For No No
OF THE AGREEMENT AND PLAN OF MERGER, DATED AS
OF 9/28/03, AMONG MANULIFE FINANCIAL CORPORATION,
JOHN HANCOCK FINANCIAL SERVICES, INC. AND JUPITER
MERGER CORPORATION, A WHOLLY-OWNED SUBSIDIARY OF
MANULIFE FINANCIAL CORPORATION, AS AMENDED BY THE
FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER,
DATED AS OF 12/29/03.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 80,000 80,000 01/27/2004
------------------------------------------------------------------------------------------------------------------------------------
NOVARTIS AG NVS Annual Meeting Date: 02/24/2004
Issuer: 66987V ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL Management For No No
STATEMENTS OF NOVARTIS AG AND THE GROUP CONSOLIDATED
FINANCIAL STATEMENTS FOR THE YEAR 2003.
02 APPROVAL OF THE ACTIVITIES OF THE BOARD OF DIRECTORS. Management For No No
03 APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS Management For No No
AG AS PER BALANCE SHEET AND DECLARATION OF DIVIDEND.
04 CONVERSION OF GENERAL RESERVES INTO FREE RESERVES. Shareholder For No No
05 REDUCTION OF SHARE CAPITAL. Shareholder For No No
06 FURTHER SHARE REPURCHASE PROGRAM. Shareholder For No No
07 AMENDMENT TO THE ARTICLES OF INCORPORATION. Management For No No
8A ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management For No No
OF PROF. DR. HELMUT SIHLER FOR A THREE-YEAR TERM.
8B ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management For No No
OF MR. HANS-JORG RUDLOFF FOR A THREE-YEAR TERM.
8C ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management For No No
OF DR. DANIEL VASELLA FOR A THREE-YEAR TERM.
9 APPOINTMENT OF THE AUDITORS AND THE GROUP AUDITORS. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 108,000 108,000 02/05/2004
------------------------------------------------------------------------------------------------------------------------------------
DEERE & COMPANY DE Annual Meeting Date: 02/25/2004
Issuer: 244199 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 320,000 320,000 02/24/2004
------------------------------------------------------------------------------------------------------------------------------------
CIBA SPECIALTY CHEMICALS HOLDING INC CSB Annual Meeting Date: 02/26/2004
Issuer: 17162W ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ANNUAL REPORT, OF THE ANNUAL Management For No No
FINANCIAL STATEMENTS AND OF THE CONSOLIDATED
STATEMENTS FOR 2003.
02 APPROVAL OF THE DISTRIBUTION OF 2003 RETAINED Management For No No
EARNINGS.
03 APPROVAL OF THE DISCHARGE OF THE BOARD OF DIRECTORS Management For No No
AND THE MANAGEMENT FROM LIABILITY FOR THEIR ACTIVITIES
IN THE YEAR 2003.
04 APPROVAL OF THE PROPOSAL OF THE BOARD OF DIRECTORS Management For No No
TO CANCEL 1,303,500 SHARES AS A CONSEQUENCE OF THE
SHARE BUYBACK PROGRAM OVER THE SECOND TRADING
LINE.
05 APPROVAL OF THE PROPOSAL OF THE BOARD OF DIRECTORS Shareholder For No No
TO REDUCE THE SHARE CAPITAL FROM CHF 424,959,702
TO CHF 212,479,851.
06 APPROVAL OF THE PROPOSAL OF THE BOARD OF DIRECTORS Management For No No
THAT THE NOMINAL SHARE CAPITAL AMOUNT REQUIRED TO
HAVE AN ITEM PUT ON THE AGENDA BE REDUCE FROM CHF
600,000 TO CHF 300,000 BY AMENDMENT OF ARTICLE 13
PARAGRAPH 1 OF THE ARTICLES OF ASSOCIATION.
07 APPROVAL OF THE PROPOSAL OF THE BOARD OF DIRECTORS Management For No No
TO RE-CREATE AN AUTHORIZED CAPITAL OF CHF 12
MILLION AND CANCEL THE EXISTING AUTHORIZED CAPITAL
OF CHF 24 MILLION.
08 APPROVAL OF THE PROPOSAL OF THE BOARD OF DIRECTORS Management For No No
TO RE-ELECT MS. GERTRUD HOHLER AND MR. ARMIN
MEYER AS MEMBERS OF THE BOARD.
09 APPROVAL OF THE PROPOSAL OF THE BOARD OF DIRECTORS Management For No No
TO RE-ELECT ERNST & YOUNG AG, ZURICH, AS AUDITORS
AND GROUP AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 206 5,400 5,400 02/24/2004
------------------------------------------------------------------------------------------------------------------------------------
THE WALT DISNEY COMPANY DIS Annual Meeting Date: 03/03/2004
Issuer: 254687 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS THE COMPANY S INDEPENDENT AUDITORS FOR
2004.
03 TO APPROVE THE HARRINGTON INVESTMENTS SHAREHOLDER Shareholder Against No No
PROPOSAL RELATING TO LABOR STANDARDS FOR CHINA.
04 TO APPROVE THE NEW YORK CITY RETIREMENT SYSTEMS Shareholder Against No No
AND PENSION FUNDS PROPOSAL RELATING TO LABOR
STANDARDS IN CHINA.
05 TO APPROVE THE SHAREHOLDER PROPOSAL RELATING Shareholder Against No No
TO THEME PARK SAFETY REPORTING.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 260,000 260,000 03/01/2004
------------------------------------------------------------------------------------------------------------------------------------
WM. WRIGLEY JR. COMPANY WWY Annual Meeting Date: 03/09/2004
Issuer: 982526 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 AMENDMENT TO THE 1997 MANAGEMENT INCENTIVE PLAN. Management For No No
03 RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS Management For No No
ERNST & YOUNG LLP FOR THE YEAR ENDING 12/31/04.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 175,000 175,000 03/03/2004
------------------------------------------------------------------------------------------------------------------------------------
FOMENTO ECONOMICO MEXICANO, S.A. DE FMX Annual Meeting Date: 03/11/2004
Issuer: 344419 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
I REPORT OF THE BOARD OF DIRECTORS; PRESENTATION Management For No No
OF THE FINANCIAL STATEMENTS OF FOMENTO ECONOMICO
MEXICANO, S.A. DE C.V., FOR THE 2003 FISCAL YEAR,
AND THE REPORT OF THE EXAMINER PURSUANT TO ARTICLE
172 OF THE GENERAL LAW OF COMMERCIAL COMPANIES
( LEY GENERAL DE SOCIEDADES MERCANTILES ).
II APPLICATION OF THE RESULTS FOR THE 2003 FISCAL Management For No No
YEAR, INCLUDING THE PAYMENT OF A CASH DIVIDEND,
IN MEXICO PESOS.
III PROPOSAL TO DETERMINE THE MAXIMUM AMOUNT TO BE Management For No No
USED IN THE SHARE REPURCHASE PROGRAM.
IV ELECTION OF THE DIRECTORS, EXAMINERS, CHAIRMAN Management For No No
AND SECRETARY OF THE BOARD OF DIRECTORS FOR THE
2004 FISCAL YEAR, AND RESOLUTION WITH RESPECT
TO THEIR REMUNERATION.
V APPOINTMENT OF COMMITTEES. Management For No No
VI APPOINTMENT OF DELEGATES FOR THE SHAREHOLDERS Management For No No
MEETING.
VII MINUTES OF THE SHAREHOLDERS MEETING. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 30,000 30,000 03/10/2004
------------------------------------------------------------------------------------------------------------------------------------
CLARCOR INC. CLC Annual Meeting Date: 03/22/2004
Issuer: 179895 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO ADOPT EMPLOYEE STOCK PURCHASE PLAN. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 100,000 100,000 03/09/2004
------------------------------------------------------------------------------------------------------------------------------------
IDEX CORPORATION IEX Annual Meeting Date: 03/23/2004
Issuer: 45167R ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF DELOITTE & TOUCHE LLP AS AUDITORS Management For No No
OF THE COMPANY.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 175,000 175,000 03/18/2004
------------------------------------------------------------------------------------------------------------------------------------
THE DIAL CORPORATION DL Special Meeting Date: 03/24/2004
Issuer: 25247D ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 ADOPTION OF THE AGREEMENT AND PLAN OF MERGER, Management For No No
DATED AS OF DECEMBER 14, 2003, BY AND AMONG HENKEL
KGAA, HENKEL MERGER CORPORATION AND THE DIAL CORPORATION.
02 IN THEIR DISCRETION, THE NAMED PROXIES ARE AUTHORIZED Management For No No
TO VOTE ON SUCH OTHER BUSINESS AS MAY PROPERLY
COME BEFORE THE SPECIAL MEETING, INCLUDING ANY
ADJOURNMENTS, POSTPONEMENTS OR CONTINUATIONS THEREOF.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 1,000,000 1,000,000 03/18/2004
------------------------------------------------------------------------------------------------------------------------------------
OMNOVA SOLUTIONS INC. OMN Annual Meeting Date: 03/25/2004
Issuer: 682129 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP Management For No No
AS THE INDEPENDENT AUDITORS OF THE COMPANY FOR
THE FISCAL YEAR ENDED NOVEMBER 30, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 232,300 232,300 03/18/2004
------------------------------------------------------------------------------------------------------------------------------------
GENCORP INC. GY Annual Meeting Date: 03/31/2004
Issuer: 368682 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Witheld Yes No
02 TO RATIFY THE AUDIT COMMITTEE S SELECTION OF Management For No No
ERNST & YOUNG LLP AS THE INDEPENDENT AUDITORS
OF THE COMPANY.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 260,000 260,000 0/31/2004
------------------------------------------------------------------------------------------------------------------------------------
T. ROWE PRICE GROUP, INC. TROW Annual Meeting Date: 04/08/2004
Issuer: 74144T ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For No No
THE COMPANY S INDEPENDENT ACCOUNTANT FOR FISCAL
YEAR 2004
03 APPROVAL OF THE PROPOSED 2004 STOCK INCENTIVE Management Against Yes No
PLAN AND COROLLARY AMENDMENT OF THE 2001 STOCK
INCENTIVE PLAN
04 IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED Management For No No
TO VOTE UPON SUCH OTHER BUSINESS AND FURTHER
BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING
OR ANY ADJOURNMENTS AND POSTPONEMENTS THEREOF
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 80,000 80,000 03/30/2004
------------------------------------------------------------------------------------------------------------------------------------
THE MIDLAND COMPANY MLAN Annual Meeting Date: 04/08/2004
Issuer: 597486 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE THE ADOPTION OF THE MIDLAND COMPANY Management For No No
EXECUTIVE ANNUAL INCENTIVE PLAN AND TO APPROVE
PERFORMANCE CONDITIONS APPLICABLE TO CERTAIN
AWARDS UNDER THE INCENTIVE PLAN.
03 TO APPROVE THE ADOPTION OF AN AMENDMENT TO THE Management For No No
MIDLAND COMPANY 2002 EMPLOYEE INCENTIVE STOCK PLAN
AND TO APPROVE PERFORMANCE CONDITIONS APPLICABLE
TO CERTAIN AWARDS UNDER THE 2002 PLAN AS WELL AS
PERFORMANCE CONDITIONS UNDER THE 1992 ASSOCIATE
STOCK INCENTIVE PLAN.
04 TO APPROVE THE ADOPTION OF THE MIDLAND COMPANY Management For No No
AGENT STOCK ACQUISITION PROGRAM.
05 TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Management For No No
LLP AS INDEPENDENT PUBLIC ACCOUNTANTS FOR FISCAL
YEAR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 190,000 190,000 03/26/2004
------------------------------------------------------------------------------------------------------------------------------------
FRANCE TELECOM FTE Special Meeting Date: 04/09/2004
Issuer: 35177Q ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O1 APPROVAL OF THE ANNUAL ACCOUNTS FOR THE FISCAL Management For No No
YEAR ENDED DECEMBER 31, 2003.
O2 APPROVAL OF CONSOLIDATED ACCOUNTS FOR THE FISCAL Management For No No
YEAR ENDED 31 DECEMBER 2003.
O3 ALLOCATION OF THE RESULTS FOR THE YEAR ENDED Management For No No
DECEMBER 31, 2003, AS SHOWN IN THE ANNUAL ACCOUNTS,
AND DISTRIBUTION.
O4 APPROVAL OF THE AGREEMENTS REFERRED TO IN ARTICLE Management For No No
L 225-38 OF THE COMMERCIAL CODE.
O5 DELEGATION TO THE BOARD OF DIRECTORS TO BUY, Management For No No
KEEP OR TRANSFER FRANCE TELECOM SHARES.
E6 FIXING THE ISSUE PRICE OF SECURITIES WHICH DO Management For No No
NOT CONFER ON THEIR HOLDERS THE SAME RIGHTS AS
ORDINARY SHARES.
E7 AMENDMENT OF ARTICLES 1, 2 AND 7 OF THE BY-LAWS Management For No No
TO BRING THEM INTO CONFORMITY WITH FRENCH LAW
NO. 90-568.
E8 AMENDMENT OF ARTICLE 13 OF THE BY-LAWS, RELATING Management For No No
TO THE BOARD OF DIRECTORS.
E9 AMENDMENT OF ARTICLES 14, 15, 17, 18 AND 19 OF Management For No No
THE BY-LAWS RELATING TO THE CHAIRMAN S POWERS
AND TO GENERAL MANAGEMENT.
E10 AMENDMENT OF THE BY-LAWS TO BRING THEM INTO CONFORMITY Management For No No
WITH THE PROVISIONS OF ARTICLE 55 OF DECREE NO.
67-236.
E11 AUTHORITY DELEGATED TO THE BOARD OF DIRECTORS Management For No No
TO ISSUE SHARES RESERVED FOR WANADOO S SHAREHOLDERS.
E12 DELEGATION TO THE BOARD OF DIRECTORS TO INCREASE Management For No No
THE CAPITAL FOR THE BENEFIT OF MEMBERS OF FRANCE
TELECOM COMPANY SAVINGS PLAN.
E13 POWERS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 5,000 5,000 03/26/2004
------------------------------------------------------------------------------------------------------------------------------------
THE TITAN CORPORATION TTN Special Meeting Date: 04/12/2004
Issuer: 888266 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 ADOPTION OF THE AGREEMENT AND PLAN OF MERGER, Management For No No
DATED AS OF SEPTEMBER 15, 2003, BY AND AMONG
LOCKHEED MARTIN CORPORATION, LMC SUB ONE, INC. AND
THE TITAN CORPORATION, AS AMENDED, AND APPROVAL OF
THE MERGER CONTEMPLATED THEREBY.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 100,000 100,000 03/04/2004
------------------------------------------------------------------------------------------------------------------------------------
THE BANK OF NEW YORK COMPANY, INC. BK Annual Meeting Date: 04/13/2004
Issuer: 064057 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF AUDITORS Management For No No
03 APPROVAL OF AN AMENDMENT TO THE 2004 MANAGEMENT Management For No No
INCENTIVE COMPENSATION PLAN
04 SHAREHOLDER PROPOSAL WITH RESPECT TO POLITICAL Shareholder Against No No
CONTRIBUTIONS
05 SHAREHOLDER PROPOSAL WITH RESPECT TO EXECUTIVE Shareholder Against No No
COMPENSATION
06 SHAREHOLDER PROPOSAL WITH RESPECT TO THE COMPOSITION Shareholder Against No No
OF THE RISK COMMITTEE
07 SHAREHOLDER PROPOSAL WITH RESPECT TO THE COMPANY S Shareholder For Yes No
RIGHTS PLAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 77,000 77,000 03/30/2004
------------------------------------------------------------------------------------------------------------------------------------
THE NEW YORK TIMES COMPANY NYT Annual Meeting Date: 04/13/2004
Issuer: 650111 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF NON-EMPLOYEE DIRECTORS STOCK INCENTIVE Management For No No
PLAN
03 RATIFICATION OF DELOITTE & TOUCHE LLP AS AUDITORS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 115,000 115,000 03/26/2004
------------------------------------------------------------------------------------------------------------------------------------
CATERPILLAR INC. CAT Annual Meeting Date: 04/14/2004
Issuer: 149123 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 AMEND OPTION PLAN Management Against Yes No
03 RATIFY AUDITORS Management For No No
04 STOCKHOLDER PROPOSAL - RIGHTS PLAN Shareholder For Yes No
05 STOCKHOLDER PROPOSAL - SALE OF EQUIPMENT TO ISRAEL Shareholder Against No No
06 STOCKHOLDER PROPOSAL - HIV/AIDS Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 10,000 10,000 03/30/2004
------------------------------------------------------------------------------------------------------------------------------------
BP P.L.C. BP Annual Meeting Date: 04/15/2004
Issuer: 055622 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
07 TO ELECT MR A BURGMANS AS A DIRECTOR Management For No No
08 TO REAPPOINT ERNST & YOUNG LLP AS AUDITORS Management For No No
09 TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY Management For No No
10 TO GIVE AUTHORITY TO ALLOT SHARES UP TO A SPECIFIED Shareholder For No No
AMOUNT
11 SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT Shareholder For No No
A LIMITED NUMBER OF SHARES FOR CASH WITHOUT MAKING
AN OFFER TO SHAREHOLDERS
12 SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY Management For No No
FOR THE PURCHASE OF ITS OWN SHARES BY THE COMPANY
13 TO AUTHORISE THE USE OF TREASURY SHARES FOR EMPLOYEE Management For No No
SHARE SCHEMES
14 TO APPROVE THE DIRECTORS REMUNERATION REPORT Management For No No
15 TO DETERMINE THE LIMIT FOR THE AGGREGATE REMUNERATION Management For No No
OF THE NON-EXECUTIVE DIRECTORS
16 TO RECEIVE THE DIRECTORS ANNUAL REPORT AND THE Management For No No
ACCOUNTS
17 SPECIAL SHAREHOLDER RESOLUTION: TO INSTRUCT THE Shareholder Against No No
COMPANY TO PREPARE A REPORT MAKING CERTAIN DISCLOSURES
ON MATTERS OF CONTROL AND RISK IN PROTECTED AND
SENSITIVE AREAS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 247,000 247,000 04/06/2004
------------------------------------------------------------------------------------------------------------------------------------
COMPANIA DE TELECOMUNICACIONES DE CH Annual Meeting Date: 04/15/2004
Issuer: 204449 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
A1 APPROVAL OF THE ANNUAL REPORT, BALANCE SHEET, Management For No No
INCOME STATEMENT AND REPORTS OF ACCOUNT INSPECTORS
AND INDEPENDENT AUDITORS
A2 APPROVAL OF DISTRIBUTION OF NET INCOME FOR FISCAL Management For No No
YEAR ENDED DECEMBER 31, 2003
A3 APPROVAL TO APPOINT TWO ACCOUNT INSPECTORS AND Management For No No
TWO ALTERNATE ACCOUNT INSPECTORS AND TO DETERMINE
THEIR COMPENSATION
A4 APPROVAL TO APPOINT THE INDEPENDENT AUDITORS Management For No No
WHO WILL AUDIT THE ACCOUNTS, INVENTORY, BALANCE
SHEET, AND OTHER STATEMENTS
A5 APPROVAL TO APPOINT THE DOMESTIC CREDIT RATING Management For No No
AGENCIES THAT WILL SET THE RISK RATING OF PUBLICLY
OFFERED ISSUES
A9 APPROVAL OF THE COMPENSATION FOR THE DIRECTORS Management For No No
COMMITTEE MEMBERS AND OF THE DIRECTORS COMMITTEE
BUDGET
A11 APPROVAL OF THE INVESTMENT AND FINANCING STRATEGY Shareholder For No No
PROPOSED BY MANAGEMENT (ACCORDING TO DECREE LAW
3,500)
A14 APPROVAL OF A SANTIAGO NEWSPAPER IN WHICH TO Management For No No
PUBLISH THE NOTICES FOR FUTURE SHAREHOLDERS
MEETINGS AND DIVIDEND PAYMENTS
A15 PROVIDE INFORMATION ON ALL ISSUES RELATING TO Management For No No
THE MANAGEMENT AND ADMINISTRATION OF THE BUSINESS
E1 APPROVAL OF THE SALE OF PUBLIC SERVICE PAGING Management For No No
LICENSES AND THE ASSETS RELATED TO THE INSTALLATION,
OPERATION AND DEVELOPMENT
E2 APPROVAL TO ADOPT THE NECESSARY PROCEDURES TO Management For No No
FORMALIZE THE AGREEMENTS REACHED AT THE EXTRAORDINARY
SHAREHOLDERS MEETING
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 300 100,000 100,000 04/06/2004
------------------------------------------------------------------------------------------------------------------------------------
H.B. FULLER COMPANY FUL Annual Meeting Date: 04/15/2004
Issuer: 359694 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE Management For No No
COMPANY S INDEPENDENT AUDITORS FOR THE FISCAL
YEAR ENDING NOVEMBER 27, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 40,000 40,000 03/31/2004
------------------------------------------------------------------------------------------------------------------------------------
TEXAS INSTRUMENTS INCORPORATED TXN Annual Meeting Date: 04/15/2004
Issuer: 882508 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 BOARD PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST Management For No No
& YOUNG LLP AS THE COMPANY S INDEPENDENT AUDITORS
FOR 2004.
03 STOCKHOLDER PROPOSAL REGARDING EXPENSING OF STOCK Shareholder Against No No
OPTIONS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 240,000 240,000 03/31/2004
------------------------------------------------------------------------------------------------------------------------------------
THE E.W. SCRIPPS COMPANY SSP Annual Meeting Date: 04/15/2004
Issuer: 811054 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 204 70,000 70,000 04/02/2004
------------------------------------------------------------------------------------------------------------------------------------
DANA CORPORATION DCN Annual Meeting Date: 04/19/2004
Issuer: 235811 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE THE ADDITIONAL COMPENSATION PLAN, Management For No No
AS AMENDED AND RESTATED
03 TO APPROVE THE EMPLOYEES STOCK PURCHASE PLAN, Management For No No
AS AMENDED AND RESTATED
04 TO APPROVE AMENDMENTS TO THE AMENDED AND RESTATED Management For No No
STOCK INCENTIVE PLAN
05 TO RATIFY PRICEWATERHOUSECOOPERS AS THE COMPANY S Management For No No
INDEPENDENT AUDITORS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 340,000 340,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
GENUINE PARTS COMPANY GPC Annual Meeting Date: 04/19/2004
Issuer: 372460 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF GENUINE PARTS COMPANY S 2004 ANNUAL Management For No No
INCENTIVE BONUS PLAN.
03 RATIFICATION OF THE SELECTION OF ERNST & YOUNG Management For No No
LLP AS THE COMPANY S INDEPENDENT AUDITORS FOR
THE FISCAL YEAR ENDING DECEMBER 31, 2004.
04 SHAREHOLDER PROPOSAL REGARDING POISON PILL. Shareholder For Yes No
05 SHAREHOLDER PROPOSAL REGARDING RESTRICTED SHARE Shareholder Against No No
PROGRAMS IN LIEU OF STOCK OPTIONS IN EXECUTIVE
COMPENSATION.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 250,000 250,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
CENDANT CORPORATION CD Annual Meeting Date: 04/20/2004
Issuer: 151313 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE AMENDMENTS TO THE ARTICLES OF INCORPORATION Management For No No
AND BY-LAWS OF THE COMPANY TO ELIMINATE CLASSIFICATION
OF THE BOARD OF DIRECTORS OF THE COMPANY.
03 TO RATIFY AND APPROVE THE APPOINTMENT OF DELOITTE Management For No No
& TOUCHE LLP AS THE COMPANY S INDEPENDENT AUDITORS
FOR THE YEAR ENDING DECEMBER 31, 2004.
04 STOCKHOLDER PROPOSAL REGARDING THE SEPARATION Shareholder Against No No
OF THE OFFICES OF CHIEF EXECUTIVE OFFICER AND
CHAIRMAN.
05 STOCKHOLDER PROPOSAL REGARDING CHIEF EXECUTIVE Shareholder Against No No
OFFICER COMPENSATION.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 160,000 160,000 04/06/2004
------------------------------------------------------------------------------------------------------------------------------------
MELLON FINANCIAL CORPORATION MEL Annual Meeting Date: 04/20/2004
Issuer: 58551A ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO AMEND THE CORPORATION S LONG-TERM Management Against Yes No
PROFIT INCENTIVE PLAN.
03 RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT Management For No No
PUBLIC ACCOUNTANTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 100,000 100,000 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
SPRINT CORPORATION FON Annual Meeting Date: 04/20/2004
Issuer: 852061 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY APPOINTMENT OF KPMG LLP AS INDEPENDENT Management For No No
AUDITORS OF SPRINT FOR 2004
03 STOCKHOLDER PROPOSAL CONCERNING STOCK OPTION Shareholder Against No No
INDEXING
04 STOCKHOLDER PROPOSAL CONCERNING CEO PAY CAP Shareholder Against No No
05 STOCKHOLDER PROPOSAL CONCERNING INDEPENDENT CHAIRMAN Shareholder Against No No
06 STOCKHOLDER PROPOSAL CONCERNING REPORT ON OUTSOURCING Shareholder Against No No
OFF-SHORE
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 350,000 350,000 04/06/2004
GABELLI EQUITY TRUST INC. B01GETF0036152B 506 230,000 230,000 04/06/2004
------------------------------------------------------------------------------------------------------------------------------------
SUNTRUST BANKS, INC. STI Annual Meeting Date: 04/20/2004
Issuer: 867914 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS FOR 2004.
03 PROPOSAL TO APPROVE THE COMPANY S 2004 STOCK Management For No No
PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 20,000 20,000 04/06/2004
------------------------------------------------------------------------------------------------------------------------------------
BORGWARNER INC. BWA Annual Meeting Date: 04/21/2004
Issuer: 099724 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO VOTE UPON A PROPOSAL TO APPROVE THE BORGWARNER Management For No No
INC. 2004 STOCK INCENTIVE PLAN.
03 TO VOTE UPON A PROPOSAL TO APPROVE AN AMENDMENT Shareholder For No No
TO THE COMPANY S RESTATED CERTIFICATE OF INCORPORATION
TO INCREASE THE AUTHORIZED COMMON STOCK OF THE
COMPANY IN ORDER TO PERMIT, AMONG OTHER THINGS, A
2-FOR-1 STOCK SPLIT.
04 TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Management For No No
LLP AS INDEPENDENT AUDITORS FOR THE COMPANY FOR
2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 30,000 30,000 04/02/2004
------------------------------------------------------------------------------------------------------------------------------------
BURLINGTON RESOURCES INC. BR Annual Meeting Date: 04/21/2004
Issuer: 122014 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AN AMENDMENT TO THE COMPANY S CERTIFICATE Shareholder For No No
OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED
SHARES OF COMMON STOCK OF THE COMPANY TO 650,000,000.
03 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS THE COMPANY S INDEPENDENT AUDITOR FOR
THE YEAR ENDED DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 140,000 140,000 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
DOW JONES & COMPANY, INC. DJ Annual Meeting Date: 04/21/2004
Issuer: 260561 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AUDITORS FOR 2004. Management For No No
03 AMENDMENT TO THE COMPANY S 2001 LONG-TERM INCENTIVE Management For No No
PLAN TO INCREASE THE SHARES RESERVED FOR ISSUANCE
FROM 7,000,000 TO 9,000,000 SHARES.
04 STOCKHOLDER PROPOSAL TO SEPARATE THE POSITIONS Shareholder Against No No
OF CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 20,000 20,000 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
HIBERNIA CORPORATION HIB Annual Meeting Date: 04/21/2004
Issuer: 428656 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP Management For No No
AS INDEPENDENT AUDITORS FOR THE COMPANY FOR 2004
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 25,000 25,000 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
STATE STREET CORPORATION STT Annual Meeting Date: 04/21/2004
Issuer: 857477 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO VOTE ON A STOCKHOLDER PROPOSAL TO EXEMPT THE Shareholder Against No No
BOARD OF DIRECTORS FROM MASSACHUSETTS GENERAL
LAWS, CHAPTER 156B, SECTION 50A(A).
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 80,000 80,000 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
THE COCA-COLA COMPANY KO Annual Meeting Date: 04/21/2004
Issuer: 191216 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS
03 SHARE-OWNER PROPOSAL REGARDING REPORT RELATED Shareholder For No No
TO GLOBAL HIV/AIDS PANDEMIC
04 SHARE-OWNER PROPOSAL REGARDING STOCK OPTION GLASS Shareholder Against No No
CEILING REPORT
05 SHARE-OWNER PROPOSAL REGARDING EXECUTIVE COMPENSATION Shareholder Against No No
06 SHARE-OWNER PROPOSAL REGARDING RESTRICTED STOCK Shareholder Against No No
07 SHARE-OWNER PROPOSAL REGARDING SENIOR EXECUTIVE Shareholder Against No No
PARTICIPATION IN COMPANY S COMPENSATION AND DEFERRAL
INVESTMENT PROGRAM
08 SHARE-OWNER PROPOSAL ON CHINA BUSINESS PRINCIPLES Shareholder Against No No
09 SHARE-OWNER PROPOSAL REGARDING SEPARATE POSITIONS Shareholder Against No No
OF CEO AND CHAIRMAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 35,000 35,000 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
AGCO CORPORATION AG Annual Meeting Date: 04/22/2004
Issuer: 001084 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 STOCKHOLDER PROPOSAL REGARDING ENVIRONMENTAL Shareholder Against No No
SUSTAINABILITY REPORTING
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 20,000 20,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
ALLTEL CORPORATION AT Annual Meeting Date: 04/22/2004
Issuer: 020039 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENTS OF INDEPENDENT AUDITORS Management For No No
03 STOCKHOLDER PROPOSAL- EMPLOYMENT OPPORTUNITY POLICY Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 25,000 25,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
CIRCOR INTERNATIONAL, INC. CIR Annual Meeting Date: 04/22/2004
Issuer: 17273K ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE SELECTION OF KPMG LLP AS THE INDEPENDENT Management For No No
AUDITORS OF THE COMPANY FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2004
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 95,000 95,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
LOCKHEED MARTIN CORPORATION LMT Annual Meeting Date: 04/22/2004
Issuer: 539830 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS Management For No No
03 STOCKHOLDER PROPOSAL BY EVELYN Y. DAVIS Shareholder Against No No
04 STOCKHOLDER PROPOSAL BY JOHN CHEVEDDEN Shareholder Against No No
05 STOCKHOLDER PROPOSAL BY UNITED ASSOCIATION S&P Shareholder Against No No
500 INDEX FUND
06 STOCKHOLDER PROPOSAL BY THE SISTERS OF MERCY Shareholder Against No No
AND OTHER GROUPS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 85,000 85,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
PEPSIAMERICAS, INC. PAS Annual Meeting Date: 04/22/2004
Issuer: 71343P ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDMENT TO 2000 STOCK INCENTIVE Management For No No
PLAN.
03 RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS. Management For No No
04 SHAREHOLDER PROPOSAL (PROXY STATEMENT P. 31). Shareholder Against No No
05 SHAREHOLDER PROPOSAL (PROXY STATEMENT P. 33). Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 200 580,000 580,000 04/19/2004
------------------------------------------------------------------------------------------------------------------------------------
PFIZER INC. PFE Annual Meeting Date: 04/22/2004
Issuer: 717081 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 A PROPOSAL TO APPROVE THE APPOINTMENT OF KPMG Management For No No
LLP AS INDEPENDENT AUDITORS FOR 2004.
03 A PROPOSAL TO APPROVE THE PFIZER INC. 2004 STOCK Management For No No
PLAN.
04 SHAREHOLDER PROPOSAL REQUESTING REVIEW OF THE Shareholder Against No No
ECONOMIC EFFECTS OF THE HIV/AIDS, TB AND MALARIA
PANDEMICS ON THE COMPANY S BUSINESS STRATEGY.
05 SHAREHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS. Shareholder Against No No
06 SHAREHOLDER PROPOSAL RELATING TO AN ANNUAL REPORT Shareholder Against No No
ON CORPORATE RESOURCES DEVOTED TO SUPPORTING
POLITICAL ENTITIES OR CANDIDATES.
07 SHAREHOLDER PROPOSAL SEEKING TO IMPOSE TERM LIMITS Shareholder Against No No
ON DIRECTORS.
08 SHAREHOLDER PROPOSAL REQUESTING A REPORT ON INCREASING Shareholder Against No No
ACCESS TO PFIZER PRODUCTS.
09 SHAREHOLDER PROPOSAL ON STOCK OPTIONS. Shareholder Against No No
10 SHAREHOLDER PROPOSAL ON IN VITRO TESTING. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 90,000 90,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
SENSIENT TECHNOLOGIES CORPORATION SXT Annual Meeting Date: 04/22/2004
Issuer: 81725T ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO AMEND THE SENSIENT TECHNOLOGIES CORPORATION Management For No No
2002 NON-EMPLOYEE DIRECTOR STOCK PLAN.
03 PROPOSAL TO APPROVE THE AMENDED AND RESTATED Management For No No
SENSIENT TECHNOLOGIES CORPORATION INCENTIVE
COMPENSATION PLAN FOR ELECTED CORPORATE OFFICERS
FOR PURPOSES OF SECTION 162(M) OF THE INTERNAL
REVENUE CODE OF 1986.
04 PROPOSAL TO RATIFY THE APPOINTMENT OF DELOITTE Management For No No
& TOUCHE LLP, CERTIFIED PUBLIC ACCOUNTANTS, AS THE
INDEPENDENT AUDITORS OF THE COMPANY FOR FISCAL 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 212,000 212,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
THOMAS INDUSTRIES INC. TII Annual Meeting Date: 04/22/2004
Issuer: 884425 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Witheld Yes No
02 PROPOSAL TO APPROVE AMENDED AND RESTATED THOMAS Management For No No
INDUSTRIES INC. 1995 INCENTIVE STOCK PLAN
03 SHAREHOLDER PROPOSAL-RIGHTS AGREEMENT Shareholder For Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 100,000 100,000 04/22/2004
------------------------------------------------------------------------------------------------------------------------------------
WYETH WYE Annual Meeting Date: 04/22/2004
Issuer: 983024 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF PRINCIPAL INDEPENDENT PUBLIC ACCOUNTANTS Management For No No
03 ADOPTION OF THE STOCKHOLDER PROPOSAL ON ACCESS Shareholder Against No No
TO AND AFFORDABILITY OF PRESCRIPTION DRUGS
04 ADOPTION OF STOCKHOLDER PROPOSAL ON ANIMAL TESTING Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 70,000 70,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
ABBOTT LABORATORIES ABT Annual Meeting Date: 04/23/2004
Issuer: 002824 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF DELOITTE & TOUCHE LLP AS AUDITORS. Management For No No
03 SHAREHOLDER PROPOSAL - PRESCRIPTION DRUGS. Shareholder Against No No
04 SHAREHOLDER PROPOSAL - POLITICAL CONTRIBUTIONS. Shareholder Against No No
05 SHAREHOLDER PROPOSAL - OPTION GRANTS FOR SENIOR Shareholder Against No No
EXECUTIVES.
06 SHAREHOLDER PROPOSAL - GLOBAL INFECTIOUS DISEASES. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 14,000 14,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
CINCINNATI BELL INC. CBB Annual Meeting Date: 04/23/2004
Issuer: 171871 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 403 26,000 26,000 04/21/2004
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 880,000 880,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
CURTISS-WRIGHT CORPORATION CW Annual Meeting Date: 04/23/2004
Issuer: 231561 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AUDITORS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 408 204,640 204,640 04/22/2004
------------------------------------------------------------------------------------------------------------------------------------
GATX CORPORATION GMT Annual Meeting Date: 04/23/2004
Issuer: 361448 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AUDITORS Management For No No
03 APPROVAL OF 2004 EQUITY INCENTIVE COMPENSATION Management For No No
PLAN
04 APPROVAL OF CASH INCENTIVE COMPENSATION PLAN Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 105,000 105,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
KELLOGG COMPANY K Annual Meeting Date: 04/23/2004
Issuer: 487836 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF INDEPENDENT AUDITOR FOR 2004 Management For No No
03 REPORT ON IMPACTS OF GENETICALLY ENGINEERED FOOD Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 275,000 275,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
HARLEY-DAVIDSON, INC. HDI Annual Meeting Date: 04/24/2004
Issuer: 412822 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE AMENDED CORPORATE SHORT TERM Management For No No
INCENTIVE PLAN.
03 APPROVAL OF THE 2004 INCENTIVE STOCK PLAN. Management For No No
04 RATIFICATION OF ERNST & YOUNG LLP AS AUDITORS. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 50,000 50,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
AMERICAN EXPRESS COMPANY AXP Annual Meeting Date: 04/26/2004
Issuer: 025816 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY SELECTION OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS.
03 SHAREHOLDER PROPOSAL TO ESTABLISH SIX-YEAR TERM Shareholder Against No No
LIMITS FOR DIRECTORS.
04 SHAREHOLDER PROPOSAL REQUESTING A SEPARATE ANNUAL Shareholder Against No No
REPORT DESCRIBING THE COMPANY S POLITICAL CONTRIBUTIONS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 550,000 550,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
CRANE CO. CR Annual Meeting Date: 04/26/2004
Issuer: 224399 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF DELOITTE & TOUCHE LLP AS INDEPENDENT Management For No No
AUDITORS FOR THE COMPANY FOR 2004.
03 APPROVAL OF THE 2004 STOCK INCENTIVE PLAN. Management Against Yes No
04 APPROVAL OF THE CORPORATE EVA INCENTIVE COMPENSATION Management For No No
PLAN.
05 SHAREHOLDER PROPOSAL REGARDING MACBRIDE PRINCIPLES. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 250,000 250,000 04/23/2004
------------------------------------------------------------------------------------------------------------------------------------
HONEYWELL INTERNATIONAL INC. HON Annual Meeting Date: 04/26/2004
Issuer: 438516 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF INDEPENDENT ACCOUNTANTS Management For No No
03 ANNUAL ELECTION OF DIRECTORS Shareholder Against No No
04 SHAREOWNER VOTING PROVISIONS Shareholder Against No No
05 SHAREOWNER INPUT - GOLDEN PARACHUTES Shareholder Against No No
06 RESOLUTION ON PAY DISPARITY Shareholder Against No No
07 CUMULATIVE VOTING Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 420,000 420,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
HUTTIG BUILDING PRODUCTS, INC. HBP Annual Meeting Date: 04/26/2004
Issuer: 448451 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF KPMG AS INDEPENDENT AUDITORS FOR Management For No No
THE COMPANY FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 32,222 32,222 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
CH ENERGY GROUP, INC. CHG Annual Meeting Date: 04/27/2004
Issuer: 12541M ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 115,000 115,000 04/23/2004
------------------------------------------------------------------------------------------------------------------------------------
COOPER INDUSTRIES, LTD. CBE Annual Meeting Date: 04/27/2004
Issuer: G24182 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINT ERNST & YOUNG AS INDEPENDENT AUDITORS Management For No No
FOR THE YEAR ENDING 12/31/2004.
03 APPROVE THE AMENDED AND RESTATED STOCK INCENTIVE Management Against Yes No
PLAN.
04 SHAREHOLDER PROPOSAL RELATING TO SOCIAL AND ENVIRONMENTAL Shareholder Against No No
ISSUES RELATED TO SUSTAINABILITY.
05 SHAREHOLDER PROPOSAL RELATING TO EXECUTIVE EQUITY Shareholder Against No No
COMPENSATION PLANS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 125,000 125,000 04/20/2004
------------------------------------------------------------------------------------------------------------------------------------
FEDDERS CORPORATION FJC Annual Meeting Date: 04/27/2004
Issuer: 313135 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF INCENTIVE COMPENSATION PLAN FOR EXECUTIVE Management For No No
OFFICERS.
03 APPROVAL OF A GRANT OF A PERFORMANCE BASED AWARD Management For No No
TO THE CHIEF EXECUTIVE OFFICER.
04 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For No No
TOUCHE, LLP AS THE COMPANY S INDEPENDENT AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 501 70,000 70,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
FORTUNE BRANDS, INC. FO Annual Meeting Date: 04/27/2004
Issuer: 349631 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS FOR 2004.
03 STOCKHOLDER PROPOSAL ENTITLED SHAREHOLDER VOTE Shareholder For Yes No
ON POISON PILLS TO ADOPT THE FOLLOWING RESOLUTION:
THE SHAREHOLDERS OF OUR COMPANY REQUEST THAT OUR
BOARD OF DIRECTORS SEEK SHAREHOLDER APPROVAL AT
THE EARLIEST SUBSEQUENT SHAREHOLDER ELECTION, FOR
THE ADOPTION, MAINTENANCE OR EXTENSION OF ANY
CURRENT OR FUTURE POISON PILL.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 38,000 38,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
MEADWESTVACO CORPORATION MWV Annual Meeting Date: 04/27/2004
Issuer: 583334 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS Management For No No
INDEPENDENT AUDITORS FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 50,000 50,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
MERCK & CO., INC. MRK Annual Meeting Date: 04/27/2004
Issuer: 589331 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF THE COMPANY S Management For No No
INDEPENDENT AUDITORS FOR 2004
03 PROPOSAL TO AMEND THE RESTATED CERTIFICATE OF Management For No No
INCORPORATION TO DECLASSIFY THE BOARD OF DIRECTORS
THE BOARD OF DIRECTORS RECOMMENDS A VOTE AGAINST
ITEMS 4 THROUGH 8
04 STOCKHOLDER PROPOSAL CONCERNING MANAGEMENT COMPENSATION Shareholder Against No No
05 STOCKHOLDER PROPOSAL CONCERNING EXTENSION OF Shareholder Against No No
PRESCRIPTION DRUG PATENTS
06 STOCKHOLDER PROPOSAL CONCERNING ETHICAL AND SOCIAL Shareholder Against No No
PERFORMANCE OF THE COMPANY
07 STOCKHOLDER PROPOSAL CONCERNING USE OF SHAREHOLDER Shareholder Against No No
RESOURCES FOR POLITICAL PURPOSES
08 STOCKHOLDER PROPOSAL CONCERNING A REPORT RELATED Shareholder Against No No
TO THE GLOBAL HIV/AIDS PANDEMIC
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 75,000 75,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
MOODY'S CORPORATION MCO Annual Meeting Date: 04/27/2004
Issuer: 615369 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
I DIRECTOR Management For No No
II APPROVAL OF THE AMENDED AND RESTATED 2001 MOODY S Management Against Yes No
CORPORATION KEY EMPLOYEES STOCK INCENTIVE PLAN
III APPROVAL OF THE 2004 MOODY S CORPORATION COVERED Management For No No
EMPLOYEE CASH INCENTIVE PLAN
IV RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For No No
ACCOUNTANTS FOR 2004
V STOCKHOLDER PROPOSAL REGARDING PERFORMANCE AND Shareholder Against No No
TIME-BASED RESTRICTED SHARES
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 30,000 30,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
PACCAR INC PCAR Annual Meeting Date: 04/27/2004
Issuer: 693718 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 AMEND CERTIFICATE OF INCORPORATION TO INCREASE Shareholder For No No
AUTHORIZED SHARES TO 400 MILLION
03 APPROVE AMENDMENTS TO RESTRICTED STOCK AND DEFERRED Management For No No
COMPENSATION PLAN FOR NON-EMPLOYEE DIRECTORS
04 STOCKHOLDER PROPOSAL REGARDING THE COMPANY S Shareholder For Yes No
SHAREHOLDER RIGHTS PLAN
05 STOCKHOLDER PROPOSAL REGARDING PERFORMANCE-BASED Shareholder Against No No
RESTRICTED STOCK
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 45,000 45,000 04/23/2004
------------------------------------------------------------------------------------------------------------------------------------
PULITZER INC. PTZ Annual Meeting Date: 04/27/2004
Issuer: 745769 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For No No
TOUCHE LLP, AS INDEPENDENT AUDITORS OF THE COMPANY
FOR THE 2004 FISCAL YEAR.
03 STOCKHOLDER PROPOSAL: RESOLVED, THE SHAREHOLDERS Shareholder Against No No
REQUEST THAT THE BOARD OF DIRECTORS ADOPT A POLICY
THAT IT WILL VOLUNTARILY COMPLY WITH CERTAIN NEW
LISTING STANDARDS OF THE NEW YORK STOCK EXCHANGE.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 47,100 47,100 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
ROLLINS, INC. ROL Annual Meeting Date: 04/27/2004
Issuer: 775711 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 680,000 680,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
SCHERING-PLOUGH CORPORATION SGP Annual Meeting Date: 04/27/2004
Issuer: 806605 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF DESIGNATION OF INDEPENDENT AUDITORS Management For No No
03 APPROVAL OF THE OPERATIONS MANAGEMENT TEAM INCENTIVE Management For No No
PLAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 80,000 80,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
SYNGENTA AG SYT Annual Meeting Date: 04/27/2004
Issuer: 87160A ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ANNUAL REPORT, THE ANNUAL FINANCIAL Management For No
STATEMENTS AND THE GROUP CONSOLIDATED FINANCIAL
STATEMENTS FOR THE YEAR 2003.
02 DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS Management For No
AND THE EXECUTIVE COMMITTEE.
03 APPROPRIATION OF BALANCE SHEET PROFIT 2003. Management For No
04 REDUCTION OF SHARE CAPITAL AND REPAYMENT OF NOMINAL Management For No
VALUE OF SHARES.
05 AMENDMENT OF THE ARTICLES OF INCORPORATION. Management For No
06 APPROVAL OF SHARE REPURCHASE. Management For No
7A ELECTION TO THE BOARD OF DIRECTORS: RE-ELECTION Management For No
OF: RUPERT GASSER
7B ELECTION TO THE BOARD OF DIRECTORS: RE-ELECTION Management For No
OF: HEINZ IMHOF
7C ELECTION TO THE BOARD OF DIRECTORS: RE-ELECTION Management For No
OF: MICHAEL PRAGNELL
08 RE-ELECTION OF ERNST & YOUNG AG AS AUDITORS OF Management For No
SYNGENTA AG AND GROUP AUDITORS FOR THE BUSINESS
YEAR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 10,000 10,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
AGL RESOURCES INC. ATG Annual Meeting Date: 04/28/2004
Issuer: 001204 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 50,000 50,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
E. I. DU PONT DE NEMOURS AND COMPANY DD Annual Meeting Date: 04/28/2004
Issuer: 263534 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 ON RATIFICATION OF ACCOUNTANTS Management For No No
03 ON GOVERNMENT SERVICE Shareholder Against No No
04 ON INTERNATIONAL WORKPLACE STANDARDS Shareholder Against No No
05 ON EXECUTIVE COMPENSATION Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 20,000 20,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
HERSHEY FOODS CORPORATION HSY Annual Meeting Date: 04/28/2004
Issuer: 427866 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVE APPOINTMENT OF KPMG LLP AS INDEPENDENT Management For No No
AUDITORS FOR 2004
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 20,000 20,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
NEWMONT MINING CORPORATION NEM Annual Meeting Date: 04/28/2004
Issuer: 651639 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS FOR 2004
03 STOCKHOLDER PROPOSAL Shareholder For Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 105,000 105,000 04/20/2004
------------------------------------------------------------------------------------------------------------------------------------
THE AES CORPORATION AES Annual Meeting Date: 04/28/2004
Issuer: 00130H ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE INDEPENDENT AUDITOR (DELOITTE Management For No No
& TOUCHE LLP)
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 75,000 75,000 04/21/2004
------------------------------------------------------------------------------------------------------------------------------------
THE MCGRAW-HILL COMPANIES, INC. MHP Annual Meeting Date: 04/28/2004
Issuer: 580645 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDED AND RESTATED 2002 STOCK INCENTIVE Management Against Yes No
PLAN.
03 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For No No
AUDITORS FOR 2004.
04 SHAREHOLDER PROPOSAL REQUESTING SHAREHOLDER VOTE Shareholder For Yes No
ON POISON PILLS .
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 100,000 100,000 04/20/2004
------------------------------------------------------------------------------------------------------------------------------------
VERIZON COMMUNICATIONS INC. VZ Annual Meeting Date: 04/28/2004
Issuer: 92343V ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF INDEPENDENT AUDITOR Management For No No
03 CUMULATIVE VOTING Shareholder Against No No
04 BOARD COMPOSITION Shareholder Against No No
05 SEPARATE CHAIRMAN AND CEO Shareholder Against No No
06 FUTURE POISON PILL Shareholder For Yes No
07 SUPPLEMENTAL EXECUTIVE RETIREMENT PLANS Shareholder Against No No
08 OPTIONS OR STOCK GRANTS BASED ON TRACKING STOCK Management Against No No
09 DIVERSITY REPORT ON OPTION GRANTS TO EMPLOYEES Management Against No No
10 REPORT ON POLITICAL CONTRIBUTIONS Shareholder Against No No
11 COLLECTION OF UNIVERSAL SERVICE AND NUMBER PORTABILIY Shareholder Against No No
FEES
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 320,000 320,000 04/20/2004
------------------------------------------------------------------------------------------------------------------------------------
WADDELL & REED FINANCIAL, INC. WDR Annual Meeting Date: 04/28/2004
Issuer: 930059 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 60,000 60,000 04/02/2004
------------------------------------------------------------------------------------------------------------------------------------
AMPCO-PITTSBURGH CORPORATION AP Annual Meeting Date: 04/29/2004
Issuer: 032037 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 195,000 195,000 04/02/2004
------------------------------------------------------------------------------------------------------------------------------------
CORNING INCORPORATED GLW Annual Meeting Date: 04/29/2004
Issuer: 219350 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS CORNING S INDEPENDENT AUDITORS FOR FISCAL
YEAR ENDING DECEMBER 31, 2004.
03 SHAREHOLDER PROPOSAL RELATING TO SEVERANCE AGREEMENTS Shareholder Against No No
WITH SENIOR EXECUTIVES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 500,000 500,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
DTE ENERGY COMPANY DTE Annual Meeting Date: 04/29/2004
Issuer: 233331 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 INDEPENDENT AUDITORS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 17,000 17,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
INVITROGEN CORPORATION IVGN Annual Meeting Date: 04/29/2004
Issuer: 46185R ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS OF THE COMPANY FOR
FISCAL YEAR 2004
03 ADOPTION OF THE COMPANY S 2004 EQUITY INCENTIVE Management Against Yes No
PLAN
04 AMENDMENT OF THE COMPANY S 1998 EMPLOYEE STOCK Management For No No
PURCHASE PLAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 47,000 47,000 04/27/2004
------------------------------------------------------------------------------------------------------------------------------------
MEDIA GENERAL, INC. MEG Annual Meeting Date: 04/29/2004
Issuer: 584404 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Witheld Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 339,000 339,000 04/29/2004
------------------------------------------------------------------------------------------------------------------------------------
SJW CORP. SJW Annual Meeting Date: 04/29/2004
Issuer: 784305 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 AMEND THE CORPORATION S BY-LAWS TO ESTABLISH Management For No No
THE PERMISSIBLE SIZE OF THE BOARD OF DIRECTORS
AS A RANGE FROM SEVEN TO ELEVEN DIRECTORS, AND SET
THE SPECIFIC NUMBER OF DIRECTORS AT EIGHT.
02 DIRECTOR Management For No No
03 RATIFY THE SELECTION OF KPMG LLP AS INDEPENDENT Management For No No
AUDITOR OF THE CORPORATION.
04 AUTHORIZE THE PROXY HOLDERS TO VOTE UPON SUCH Management For No No
OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE
ANNUAL MEETING OR ANY POSTPONEMENT OR ADJOURNMENT
THEREOF.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 30,000 30,000 04/02/2004
------------------------------------------------------------------------------------------------------------------------------------
TELECOM ARGENTINA STET-FRANCE TELECO TEO Annual Meeting Date: 04/29/2004
Issuer: 879273 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPOINTMENT OF TWO SHAREHOLDERS TO APPROVE AND Management For No No
SIGN THE MINUTES.
02 CONSIDERATION OF THE DOCUMENTS PROVIDED FOR IN Management For No No
SECTION 234, SUBSECTION 1, OF LAW 19,550, THE
RULES OF THE COMISION NACIONAL DE VALORES.
03 CONSIDERATION OF THE RESULTS OF THE YEAR AND Management For No No
TO CARRY OVER THE FULL NEGATIVE BALANCE FROM
UNAPPROPRIATED RETAINED EARNINGS.
04 CONSIDERATION OF THE PERFORMANCE OF THE BOARD Management For No No
AND SUPERVISORY COMMITTEE ACTING DURING THE FIFTEENTH
FISCAL YEAR.
05 CONSIDERATION OF THE COMPENSATION TO THE BOARD Management For No No
CORRESPONDING TO THE FISCAL YEAR ENDED DECEMBER
31, 2003.
06 AUTHORIZATION OF THE BOARD OF DIRECTORS TO MAKE Management For No No
ADVANCES OF FEES ESTABLISHED BY THE SHAREHOLDERS
MEETING TO THE DIRECTORS.
07 FEES OF THE SUPERVISORY COMMITTEE. Management For No No
08 DETERMINATION OF THE NUMBER OF DIRECTORS AND Management For No No
ALTERNATE DIRECTORS TO HOLD OFFICE DURING THE
SIXTEENTH FISCAL YEAR.
09 APPOINTMENT OF DIRECTORS AND ALTERNATE DIRECTORS Management For No No
TO HOLD OFFICE DURING THE SIXTEENTH FISCAL YEAR.
10 APPOINTMENT OF MEMBERS AND ALTERNATE MEMBERS Management For No No
OF THE SUPERVISORY COMMITTEE FOR THE SIXTEENTH
FISCAL YEAR.
11 APPOINTMENT OF INDEPENDENT AUDITORS OF THE FINANCIAL Management For No No
STATEMENTS CORRESPONDING TO THE 16TH FISCAL YEAR.
12 CONSIDERATION OF THE BUDGET FOR THE AUDIT COMMITTEE Management For No No
FOR THE FISCAL YEAR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 209 42,000 42,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
THE PHOENIX COMPANIES, INC. PNX Annual Meeting Date: 04/29/2004
Issuer: 71902E ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITOR.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 150,000 150,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
COCA-COLA ENTERPRISES INC. CCE Annual Meeting Date: 04/30/2004
Issuer: 191219 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE THE EXECUTIVE MANAGEMENT INCENTIVE Management For No No
PLAN (EFFECTIVE JANUARY 1, 2004)
03 TO APPROVE THE 2004 STOCK AWARD PLAN Management Against Yes No
04 TO APPROVE THE DEFERRED COMPENSATION PLAN FOR Management For No No
NONEMPLOYEE DIRECTORS (AS AMENDED AND RESTATED
EFFECTIVE FEBRUARY 17, 2004)
05 TO APPROVE THE UK EMPLOYEE SHARE PLAN Management For No No
06 TO APPROVE THE STOCK SAVINGS PLAN (BELGIUM) Management For No No
07 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP Management For No No
AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE
2004 FISCAL YEAR THE BOARD OF DIRECTORS RECOMMENDS
A VOTE AGAINST PROPOSALS 8 AND 9
08 SHAREOWNER PROPOSAL TO REQUEST SHAREOWNER APPROVAL Shareholder Against No No
OF CERTAIN SEVERANCE AGREEMENTS
09 SHAREOWNER PROPOSAL TO REQUEST ADOPTION OF PUBLICLY Shareholder Against No No
STATED GOALS FOR ENHANCED RATE OF BEVERAGE CONTAINER
RECOVERY IN THE UNITED STATES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 5,000 5,000 04/27/2004
------------------------------------------------------------------------------------------------------------------------------------
FERRO CORPORATION FOE Annual Meeting Date: 04/30/2004
Issuer: 315405 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 330,000 330,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
LAMSON & SESSIONS CO. LMS Annual Meeting Date: 04/30/2004
Issuer: 513696 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVE THE LAMSON & SESSIONS CO. 1998 INCENTIVE Management For No No
EQUITY PLAN (AS AMENDED AND RESTATED AS OF APRIL
30, 2004).
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 400,600 400,600 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
SBC COMMUNICATIONS INC. SBC Annual Meeting Date: 04/30/2004
Issuer: 78387G ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Unvoted
02 APPOINTMENT OF INDEPENDENT AUDITORS. Management Unvoted
03 APPROVE AN AMENDMENT TO SBC S BYLAWS. Management Unvoted
04 STOCKHOLDER PROPOSAL A. Shareholder Unvoted
05 STOCKHOLDER PROPOSAL B. Shareholder Unvoted
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 220,000 0
------------------------------------------------------------------------------------------------------------------------------------
TELEFONICA, S.A. TEF Annual Meeting Date: 04/30/2004
Issuer: 879382 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ANNUAL ACCOUNTS AND OF THE MANAGEMENT Management For No No
REPORT OF TELEFONICA, S.A. AND OF ITS CONSOLIDATED
GROUP OF COMPANIES, AS WELL AS THE PROPOSAL FOR
THE APPLICATION OF THE RESULTS OF TELEFONICA,
S.A., AND THAT OF THE MANAGEMENT OF ITS BOARD OF
DIRECTORS CORRESPONDING TO THE FISCAL YEAR 2003.
02 APPROVAL OF THE SHAREHOLDER REMUNERATION: DISTRIBUTION Management For No No
OF DIVIDENDS FROM 2003 NET INCOME AND FROM THE
ADDITIONAL PAID-IN-CAPITAL RESERVE.
03 APPROVAL OF THE DESIGNATION OF THE ACCOUNTS AUDITOR Management For No No
FOR THE 2004 FISCAL YEAR.
04 APPROVAL OF THE AUTHORIZATION FOR THE ACQUISITION Management For No No
OF TREASURY STOCK, DIRECTLY OR THROUGH GROUP COMPANIES.
05 APPROVAL, IF APPROPRIATE, OF THE REGULATIONS Management For No No
OF THE GENERAL MEETING OF SHAREHOLDERS OF TELEFONICA,
S.A. .
06 DELEGATION OF POWERS FOR THE FORMALIZING, INTERPRETING, Management For No No
CORRECTING AND EXECUTING OF THE RESOLUTIONS ADOPTED
BY THE ANNUAL GENERAL SHAREHOLDERS MEETING.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 208 274,000 274,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
MOTOROLA, INC. MOT Annual Meeting Date: 05/03/2004
Issuer: 620076 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 SHAREHOLDER PROPOSAL RE: COMMONSENSE EXECUTIVE Shareholder Against No No
COMPENSATION
03 SHAREHOLDER PROPOSAL RE: PERFORMANCE AND TIME-BASED Shareholder Against No No
RESTRICTED SHARES
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 140,000 140,000 04/28/2004
------------------------------------------------------------------------------------------------------------------------------------
THE BOEING COMPANY BA Annual Meeting Date: 05/03/2004
Issuer: 097023 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVE AMENDMENTS TO ELIMINATE CERTAIN SUPERMAJORITY Management For No No
VOTE REQUIREMENTS.
03 ADVISE ON APPOINTMENT OF DELOITTE & TOUCHE LLP Management For No No
AS INDEPENDENT AUDITORS.
04 PREPARE A REPORT ON MILITARY CONTRACTS. Shareholder Against No No
05 ADOPT HUMAN RIGHTS POLICIES. Shareholder Against No No
06 DECLASSIFY THE BOARD OF DIRECTORS. Shareholder Against No No
07 ADOPT SIMPLE MAJORITY VOTE. Shareholder Against No No
08 REQUIRE APPROVAL OF SEVERANCE AGREEMENTS. Shareholder Against No No
09 ADOPT RETENTION OF STOCK POLICY. Shareholder Against No No
10 GIVE EMPLOYEES CHOICE OF PENSION PLANS AT RETIREMENT Shareholder Against No No
OR TERMINATION.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 110,000 110,000 04/28/2004
------------------------------------------------------------------------------------------------------------------------------------
TOOTSIE ROLL INDUSTRIES, INC. TR Annual Meeting Date: 05/03/2004
Issuer: 890516 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS AUDITORS FOR THE FISCAL YEAR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 106,969 106,969 04/28/2004
------------------------------------------------------------------------------------------------------------------------------------
BRISTOL-MYERS SQUIBB COMPANY BMY Annual Meeting Date: 05/04/2004
Issuer: 110122 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF INDEPENDENT AUDITORS Management For No No
03 PUBLICATION OF POLITICAL CONTRIBUTIONS Shareholder Against No No
04 PROHIBITION OF POLITICAL CONTRIBUTIONS Shareholder Against No No
05 SEPARATION OF CHAIRMAN AND CEO POSITIONS Shareholder Against No No
06 HIV/AIDS-TB-MALARIA Shareholder Against No No
07 DIRECTOR VOTE THRESHOLD Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 135,000 135,000 04/28/2004
------------------------------------------------------------------------------------------------------------------------------------
CATELLUS DEVELOPMENT CORPORATION Annual Meeting Date: 05/04/2004
Issuer: 149113 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 80,000 80,000 04/28/2004
------------------------------------------------------------------------------------------------------------------------------------
CINERGY CORP. CIN Annual Meeting Date: 05/04/2004
Issuer: 172474 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF DELOITTE & TOUCHE LLP AS THE Management For No No
COMPANY S INDEPENDENT AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 20,000 20,000 04/28/2004
------------------------------------------------------------------------------------------------------------------------------------
KNIGHT-RIDDER, INC. KRI Annual Meeting Date: 05/04/2004
Issuer: 499040 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 20,000 Unvoted
------------------------------------------------------------------------------------------------------------------------------------
NASHUA CORPORATION NSH Annual Meeting Date: 05/04/2004
Issuer: 631226 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVE THE 2004 VALUE CREATION INCENTIVE PLAN. Management Abstain Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 70,000 70,000 04/26/2004
------------------------------------------------------------------------------------------------------------------------------------
THE DUN & BRADSTREET CORPORATION DNB Annual Meeting Date: 05/04/2004
Issuer: 26483E ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY THE SELECTION OF INDEPENDENT AUDITORS. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 20,000 20,000 04/30/2004
------------------------------------------------------------------------------------------------------------------------------------
THE LIBERTY CORPORATION LC Annual Meeting Date: 05/04/2004
Issuer: 530370 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Witheld Yes No
02 PROPOSAL TO APPROVE THE APPOINTMENT OF ERNST Management For No No
& YOUNG LLP AS INDEPENDENT PUBLIC ACCOUNTANTS
FOR LIBERTY.
03 SHAREHOLDER PROPOSAL DESCRIBED IN THE PROXY STATEMENT. Shareholder For Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 200,000 200,000 05/04/2004
------------------------------------------------------------------------------------------------------------------------------------
THE MANITOWOC COMPANY, INC. MTW Annual Meeting Date: 05/04/2004
Issuer: 563571 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 THE APPROVAL OF THE PROPOSED 2004 NON-EMPLOYEE Management For No No
DIRECTOR STOCK AND AWARDS PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 1,000 1,000 04/28/2004
------------------------------------------------------------------------------------------------------------------------------------
YOUNG BROADCASTING INC. YBTVA Annual Meeting Date: 05/04/2004
Issuer: 987434 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO APPROVE THE YOUNG BROADCASTING INC. Management For No No
2004 EQUITY INCENTIVE PLAN.
03 PROPOSAL TO APPROVE THE YOUNG BROADCASTING INC. Management For No No
2003 NON- EMPLOYEE DIRECTORS DEFERRED STOCK
UNIT PLAN.
04 PROPOSAL TO APPROVE AN AMENDMENT TO THE YOUNG Management For No No
BROADCASTING INC. 2001 EMPLOYEE STOCK PURCHASE
PLAN TO INCREASE THE TOTAL NUMBER OF SHARES AVAILABLE
THEREUNDER FROM 50,000 TO 100,000.
05 PROPOSAL TO RATIFY SELECTION OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 120,000 120,000 04/28/2004
------------------------------------------------------------------------------------------------------------------------------------
CONOCOPHILLIPS COP Annual Meeting Date: 05/05/2004
Issuer: 20825C ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS Management For No No
03 AUTHORIZE THE 2004 OMNIBUS STOCK AND PERFORMANCE Management Against Yes No
INCENTIVE PLAN
04 OFFICER & DIRECTOR COMPENSATION Shareholder Against No No
05 COMMONSENSE EXECUTIVE COMPENSATION Shareholder Against No No
06 ANWR DRILLING Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 103,217 103,217 05/04/2004
------------------------------------------------------------------------------------------------------------------------------------
EL PASO ELECTRIC COMPANY EE Annual Meeting Date: 05/05/2004
Issuer: 283677 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 854 400,000 400,000 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
EMC CORPORATION EMC Annual Meeting Date: 05/05/2004
Issuer: 268648 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL 2 - TO APPROVE AN AMENDMENT TO EMC S Management Against Yes No
2003 STOCK PLAN TO INCREASE BY 50,000,000 THE
NUMBER OF SHARES AVAILABLE FOR GRANT UNDER SUCH
PLAN, AND ALLOW AWARDS OF RESTRICTED STOCK AND
RESTRICTED STOCK UNITS TO BE GRANTED TO
NON-EMPLOYEE DIRECTORS, AS DESCRIBED IN EMC S
PROXY STATEMENT.
03 PROPOSAL 3 - TO APPROVE AN AMENDMENT TO EMC S Management For No No
1989 EMPLOYEE STOCK PURCHASE PLAN TO INCREASE BY
25,000,000 THE NUMBER OF SHARES AVAILABLE FOR
GRANT UNDER SUCH PLAN, AS DESCRIBED IN EMC S PROXY
STATEMENT.
04 PROPOSAL 4 - TO RATIFY THE SELECTION BY THE AUDIT Management For No No
COMMITTEE OF THE BOARD OF DIRECTORS OF
PRICEWATERHOUSECOOPERS LLP AS EMC S INDEPENDENT
AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004.
05 PROPOSAL 5 - TO ACT UPON A STOCKHOLDER PROPOSAL Shareholder Against No No
RELATING TO EXECUTIVE COMPENSATION, AS DESCRIBED
IN EMC S PROXY STATEMENT.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 100,000 100,000 05/04/2004
------------------------------------------------------------------------------------------------------------------------------------
FRANKLIN ELECTRIC CO., INC. FELE Annual Meeting Date: 05/05/2004
Issuer: 353514 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AN AMENDMENT TO THE COMPANY S RESTATED Shareholder For No No
ARTICLES OF INCORPORATION TO INCREASE THE NUMBER
OF SHARES OF AUTHORIZED COMMON STOCK.
03 APPOINTMENT OF INDEPENDENT AUDITORS - PROPOSAL Management For No No
TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP
AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 13,000 13,000 04/29/2004
------------------------------------------------------------------------------------------------------------------------------------
LUFKIN INDUSTRIES, INC. LUFK Annual Meeting Date: 05/05/2004
Issuer: 549764 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 60,000 60,000 04/29/2004
------------------------------------------------------------------------------------------------------------------------------------
PEPSICO, INC. PEP Annual Meeting Date: 05/05/2004
Issuer: 713448 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AUDITORS Management For No No
03 APPROVAL OF THE 2004 EXECUTIVE INCENTIVE COMPENSATION Management For No No
PLAN
04 SHAREHOLDER PROPOSAL (PROXY STATEMENT P.22) Shareholder Against No No
05 SHAREHOLDER PROPOSAL (PROXY STATEMENT P.23) Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 415,000 415,000 04/29/2004
------------------------------------------------------------------------------------------------------------------------------------
PLACER DOME INC. PDG Special Meeting Date: 05/05/2004
Issuer: 725906 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS. Management For No No
03 CONFIRMATION OF THE ADOPTION BY THE BOARD OF Management Against Yes No
DIRECTORS OF A REPLACEMENT SHAREHOLDERS RIGHTS
PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 50,000 50,000 04/29/2004
------------------------------------------------------------------------------------------------------------------------------------
SEALED AIR CORPORATION SEE Annual Meeting Date: 05/05/2004
Issuer: 81211K ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For No No
THE INDEPENDENT AUDITOR FOR THE YEAR ENDING DECEMBER
31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 1,000 1,000 04/29/2004
------------------------------------------------------------------------------------------------------------------------------------
TELUS CORPORATION TULCF Annual Meeting Date: 05/05/2004
Issuer: 87971M ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF DELOITTE & TOUCHE LLP AS AUDITORS Management For No No
FOR THE NEXT YEAR.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 52,500 52,500 05/04/2004
------------------------------------------------------------------------------------------------------------------------------------
THOMAS & BETTS CORPORATION TNB Annual Meeting Date: 05/05/2004
Issuer: 884315 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT PUBLIC Management For No No
ACCOUNTANTS
03 MANAGEMENT INCENTIVE PLAN Management Against Yes No
04 EQUITY COMPENSATION PLAN Management For No No
05 NON EMPLOYEE DIRECTORS EQUITY COMPENSATION PLAN Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 300,000 300,000 05/04/2004
------------------------------------------------------------------------------------------------------------------------------------
UNITRIN, INC. UTR Annual Meeting Date: 05/05/2004
Issuer: 913275 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE UNITRIN, INC., INCENTIVE BONUS Management For No No
PLAN.
03 APPROVAL OF EXTENSION OF UNITRIN, INC., 1995 Management For No No
NON-EMPLOYEE DIRECTOR STOCK OPTION PLAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 65,000 65,000 04/29/2004
------------------------------------------------------------------------------------------------------------------------------------
WATTS WATER TECHNOLOGIES, INC. WTS Annual Meeting Date: 05/05/2004
Issuer: 942749 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE SELECTION OF KPMG LLP AS THE INDEPENDENT Management For No No
AUDITORS OF THE COMPANY FOR THE CURRENT FISCAL
YEAR.
03 TO APPROVE THE WATTS WATER TECHNOLOGIES, INC. Management Against Yes No
2004 STOCK INCENTIVE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 235,000 235,000 05/04/2004
------------------------------------------------------------------------------------------------------------------------------------
APACHE CORPORATION APA Annual Meeting Date: 05/06/2004
Issuer: 037411 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE STOCKHOLDER PROPOSAL RELATING TO CLIMATE Shareholder Against No No
CHANGE.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 70,000 70,000 04/30/2004
------------------------------------------------------------------------------------------------------------------------------------
CENTURYTEL, INC. CTL Annual Meeting Date: 05/06/2004
Issuer: 156700 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE SELECTION OF KPMG LLP AS THE COMPANY Management For No No
S INDEPENDENT AUDITOR FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 117,000 117,000 04/08/2004
------------------------------------------------------------------------------------------------------------------------------------
CHURCH & DWIGHT CO., INC. CHD Annual Meeting Date: 05/06/2004
Issuer: 171340 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP Management For No No
AS INDEPENDENT AUDITORS OF THE COMPANY S 2004
FINANCIAL STATEMENTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 10,000 10,000 04/30/2004
------------------------------------------------------------------------------------------------------------------------------------
DELPHI CORPORATION DPH Annual Meeting Date: 05/06/2004
Issuer: 247126 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY SELECTION OF DELOITTE & TOUCHE LLP AS Management For No No
INDEPENDENT ACCOUNTANTS
03 APPROVE THE DELPHI CORPORATION ANNUAL INCENTIVE Management For No No
PLAN
04 APPROVE THE DELPHI CORPORATION LONG-TERM INCENTIVE Management For No No
PLAN
05 STOCKHOLDER PROPOSAL RELATING TO THE REDEMPTION Shareholder Against No No
OF DELPHI S STOCKHOLDER RIGHTS PLAN
06 STOCKHOLDER PROPOSAL RELATING TO THE ANNUAL ELECTION Shareholder Against No No
OF DIRECTORS
07 STOCKHOLDER PROPOSAL RELATING TO ADOPTION OF Shareholder For Yes No
CODE FOR DELPHI S INTERNATIONAL OPERATIONS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 40,000 40,000 04/30/2004
------------------------------------------------------------------------------------------------------------------------------------
SOUTHWEST GAS CORPORATION SWX Annual Meeting Date: 05/06/2004
Issuer: 844895 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Cumulated votes For Michael Melarkey No
and Sal Zizza who was nominaed from the floor
02 TO APPROVE THE AMENDED AND RESTATED MANAGEMENT Management Against Yes No
INCENTIVE PLAN.
03 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT PUBLIC ACCOUNTANTS OF THE COMPANY.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 20,000 20,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
TRANSPRO, INC. TPR Annual Meeting Date: 05/06/2004
Issuer: 893885 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS THE COMPANY S INDEPENDENT AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 105,000 105,000 04/30/2004
------------------------------------------------------------------------------------------------------------------------------------
VIVENDI UNIVERSAL V Annual Meeting Date: 05/06/2004
Issuer: 92851S ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE REPORTS AND INDIVIDUAL FINANCIAL Management For No No
STATEMENTS FOR FISCAL YEAR 2003.
02 APPROVAL OF THE REPORTS AND CONSOLIDATED FINANCIAL Management For No No
STATEMENTS FOR FISCAL YEAR 2003.
03 APPROVAL OF THE RELATED-PARTY AGREEMENTS DISCUSSED Management For No No
IN THE SPECIAL REPORT FROM THE STATUTORY AUDITORS.
04 ALLOCATION OF EARNINGS FOR FISCAL YEAR 2003. Management For No No
05 DIRECTOR Management For No No
15 AUTHORIZATION FOR THE BOARD OF DIRECTORS TO ISSUE Management For No No
TRADITIONAL BONDS AND/OR SIMILAR INSTRUMENTS.
16 AUTHORIZATION FOR THE COMPANY TO PURCHASE ITS Management For No No
OWN SHARES.
17 POWERS FOR CARRYING OUT LEGAL FORMALITIES. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 204 330,000 330,000 05/05/2004
------------------------------------------------------------------------------------------------------------------------------------
GAYLORD ENTERTAINMENT COMPANY GET Annual Meeting Date: 05/07/2004
Issuer: 367905 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 245,000 245,000 05/05/2004
------------------------------------------------------------------------------------------------------------------------------------
STARWOOD HOTELS & RESORTS WORLDWIDE, HOT Annual Meeting Date: 05/07/2004
Issuer: 85590A ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For No No
LLP AS THE COMPANY S INDEPENDENT AUDITORS FOR 2004.
03 APPROVAL OF THE 2004 LONG-TERM INCENTIVE COMPENSATION Management Against Yes No
PLAN.
04 APPROVAL OF AN AMENDMENT TO THE COMPANY S CHARTER Management For No No
TO DECLASSIFY THE BOARD OF DIRECTORS AND PROVIDE
FOR THE ANNUAL ELECTION OF DIRECTORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 203 45,000 45,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
SUPERIOR INDUSTRIES INTERNATIONAL, I SUP Annual Meeting Date: 05/10/2004
Issuer: 868168 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 REAFFIRMATION OF AN INCENTIVE BONUS PLAN FOR Management For No No
LOUIS L. BORICK.
03 APPROVAL OF AN INCENTIVE BONUS PLAN FOR STEVEN Management For No No
J. BORICK.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 24,000 24,000 05/03/2004
------------------------------------------------------------------------------------------------------------------------------------
TRINITY INDUSTRIES, INC. TRN Annual Meeting Date: 05/10/2004
Issuer: 896522 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE THE COMPANY S 2004 STOCK OPTION AND Management Against Yes No
INCENTIVE PLAN.
03 TO APPROVE RATIFICATION OF ERNST & YOUNG AS INDEPENDENT Management For No No
AUDITORS FOR FISCAL YEAR ENDING DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 50,000 50,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
ZIMMER HOLDINGS, INC. ZMH Annual Meeting Date: 05/10/2004
Issuer: 98956P ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 STOCKHOLDER PROPOSAL RELATING TO POISON PILLS. Shareholder For Yes No
03 STOCKHOLDER PROPOSAL RELATING TO AUDITOR RATIFICATION. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 11,822 11,822 05/03/2004
------------------------------------------------------------------------------------------------------------------------------------
ARGONAUT GROUP, INC. AGII Annual Meeting Date: 05/11/2004
Issuer: 040157 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO INCREASE THE AMOUNT OF AUTHORIZED SHARES OF Shareholder For No No
COMMON STOCK OF THE COMPANY FROM 35,000,000 TO
70,000,000.
03 TO APPROVE REPLACEMENT OF THE COMPANY S EXISTING Management For No No
EMPLOYEE STOCK INVESTMENT PLAN WITH THE PROPOSED
EMPLOYEE STOCK PURCHASE PLAN.
04 TO APPROVE AMENDMENTS TO THE COMPANY S AMENDED Management Against Yes No
AND RESTATED STOCK INCENTIVE PLAN.
05 TO APPROVE AMENDMENTS TO THE COMPANY S NON-EMPLOYEE Management Against Yes No
DIRECTOR STOCK OPTION PLAN.
06 TO CONSIDER AND ACT UPON SUCH OTHER BUSINESS Management For No No
AS MAY PROPERLY COME BEFORE THE ANNUAL MEETING
OR ANY ADJOURNMENTS OR POSTPONEMENTS THEREOF.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 34,000 34,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
ITT INDUSTRIES, INC. ITT Annual Meeting Date: 05/11/2004
Issuer: 450911 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
B RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS Management For No No
A DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 118,000 118,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
KERR-MCGEE CORPORATION KMG Annual Meeting Date: 05/11/2004
Issuer: 492386 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENT OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS FOR 2004.
03 STOCKHOLDER PROPOSAL REQUESTING ESTABLISHMENT Shareholder Against No No
OF AN OFFICE OF THE BOARD OF DIRECTORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 35,000 35,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
LEUCADIA NATIONAL CORPORATION LUK Annual Meeting Date: 05/11/2004
Issuer: 527288 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE AMENDMENT TO THE COMPANY S CERTIFICATE Management For No No
OF INCORPORATION EXTENDING THE EXPIRATION DATE OF
CERTAIN RESTRICTIONS ON THE TRANSFERABILITY OF THE
COMPANY S COMMON SHARES TO DECEMBER 31, 2024.
03 RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT ACCOUNTANTS OF THE COMPANY
FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 60,000 60,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
LIN TV CORP. TVL Annual Meeting Date: 05/11/2004
Issuer: 532774 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE AN AMENDMENT TO THE COMPANY S SECOND Management For No No
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION
TO CAUSE THE NUMBER OF DIRECTORS OF THE COMPANY TO
BE ESTABLISHED BY THE COMPANY S BOARD OF
DIRECTORS.
03 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS THE COMPANY S INDEPENDENT AUDITORS FOR
THE FISCAL YEAR ENDING DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 15,000 15,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
MGM MIRAGE MGG Annual Meeting Date: 05/11/2004
Issuer: 552953 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO CONSIDER AND ACT UPON THE RATIFICATION OF Management For No No
THE SELECTION OF INDEPENDENT AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 70,000 70,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
MIDAS, INC. MDS Annual Meeting Date: 05/11/2004
Issuer: 595626 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For No No
THE INDEPENDENT AUDITORS OF MIDAS, INC. FOR THE
FISCAL YEAR ENDING JANUARY 1, 2005.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 115,000 115,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
NORTHEAST UTILITIES NU Annual Meeting Date: 05/11/2004
Issuer: 664397 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF DELOITTE & TOUCHE LLP AS INDEPENDENT Management For No No
AUDITORS FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 300,000 300,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
REPUBLIC SERVICES, INC. RSG Annual Meeting Date: 05/11/2004
Issuer: 760759 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 ADJOURNMENT OF THE ANNUAL MEETING IN THE EVENT Management For No No
THAT THERE ARE NOT A SUFFICIENT NUMBER OF VOTES
PRESENT AT THE ANNUAL MEETING, EITHER IN PERSON OR
BY PROXY, TO ELECT DIRECTORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 65,000 65,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
AUTONATION, INC. AN Annual Meeting Date: 05/12/2004
Issuer: 05329W ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF KPMG LLP IS RECOMMENDED BY THE Management For No No
BOARD OF DIRECTORS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 300,000 300,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
GALLAHER GROUP PLC GLH Annual Meeting Date: 05/12/2004
Issuer: 363595 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO RECEIVE THE REPORT OF THE DIRECTORS AND THE Management For No No
ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2003.
02 TO DECLARE A FINAL DIVIDEND FOR THE YEAR ENDED Management For No No
31 DECEMBER 2003 OF 20.15P PER ORDINARY SHARE.
03 TO APPROVE THE DIRECTORS REMUNERATION REPORT Management For No No
IN THE ANNUAL REPORT AND FINANCIAL STATEMENTS
2003.
04 DIRECTOR Management For No No
09 TO REAPPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITORS Management For No No
OF THE COMPANY AND TO FIX THEIR REMUNERATION.
10 THAT THE COMPANY BE AND IS HEREBY AUTHORISED Management For No No
TO MAKE DONATIONS TO EU POLITICAL ORGANISATIONS
OR INCUR EU POLITICAL EXPENDITURE.
11 THAT GALLAHER LIMITED BE AUTHORISED TO MAKE DONATIONS Management For No No
TO EU POLITICAL ORGANISATIONS OR INCUR EU POLITICAL
EXPENDITURE.
12 THAT AUSTRIA TABAK AG & CO. KG BE AUTHORISED Management For No No
TO MAKE DONATIONS TO EU POLITICAL ORGANISATIONS
OR INCUR EU POLITICAL EXPENDITURE.
13 THAT FOR THE PURPOSES OF ARTICLE 10 OF THE COMPANY S Management For No No
ARTICLES OF ASSOCIATION THE SECTION 80 AMOUNT
SHALL BE 21,790,500 POUNDS.
14 THAT FOR THE PURPOSES OF ARTICLE 10 OF THE COMPANY S Management For No No
ARTICLES OF ASSOCIATION THE SECTION 89 AMOUNT
SHALL BE 3,268,500 POUNDS.
15 THAT THE COMPANY BE AND IS GRANTED AND UNCONDITIONALLY Management For No No
AUTHORISED TO MAKE MARKET PURCHASES OF THE COMPANY S
SHARES.
16 THAT THE ARTICLES OF ASSOCIATION BE AMENDED AS Management For No No
DETAILED IN THE EXPLANATORY NOTES TO THE NOTICE
OF MEETING.
17 THAT THE FIRST SENTENCE IN ARTICLE 90 IN THE Management For No No
ARTICLES OF ASSOCIATION BE AMENDED BY CHANGING
500,000 TO 1,000,000 POUNDS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 235,000 235,000 05/11/2004
------------------------------------------------------------------------------------------------------------------------------------
HERCULES INCORPORATED HPC Annual Meeting Date: 05/12/2004
Issuer: 427056 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDMENTS TO THE HERCULES BY-LAWS Management For No No
TO PROVIDE THAT DIRECTORS BE ELECTED BY PLURALITY
VOTE
03 RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS Management For No No
INDEPENDENT ACCOUNTANTS
04 APPROVAL OF AMENDMENTS TO THE HERCULES BY-LAWS Management For No No
AND RESTATED CERTIFICATE OF INCORPORATION TO
REINSTATE THE RIGHTS OF THE SHAREHOLDERS TO TAKE
ACTION BY WRITTEN CONSENT AND TO CALL SPECIAL
MEETINGS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 120,000 120,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
METRO-GOLDWYN-MAYER INC. MGM Annual Meeting Date: 05/12/2004
Issuer: 591610 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE SELECTION OF INDEPENDENT Management For No No
AUDITORS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 82,788 82,788 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
PRIMEDIA INC. PRM Annual Meeting Date: 05/12/2004
Issuer: 74157K ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY AND APPROVE THE SELECTION BY THE BOARD Management For No No
OF DIRECTORS OF DELOITTE & TOUCHE LLP AS INDEPENDENT
PUBLIC ACCOUNTANTS FOR THE COMPANY FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 400,000 400,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
REGAL ENTERTAINMENT GROUP RGC Annual Meeting Date: 05/12/2004
Issuer: 758766 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE AUDIT COMMITTEE S SELECTION Management For No No
OF KPMG LLP AS OUR INDEPENDENT AUDITORS FOR THE
FISCAL YEAR ENDING DECEMBER 30, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 15,000 15,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
TRIBUNE COMPANY TRB Annual Meeting Date: 05/12/2004
Issuer: 896047 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF INDEPENDENT PUBLIC ACCOUNTANTS. Management For No No
03 APPROVAL OF AMENDMENTS TO THE TRIBUNE COMPANY Management For No No
1997 INCENTIVE COMPENSATION PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 270,000 270,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
ALLEGHENY ENERGY, INC. AYE Annual Meeting Date: 05/13/2004
Issuer: 017361 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF ELIMINATION OF CUMULATIVE VOTING Management Against Yes No
IN THE ELECTION OF DIRECTORS.
03 APPROVAL OF DIRECTOR EQUITY COMPENSATION PLAN. Management For No No
04 APPROVAL OF ANNUAL INCENTIVE PLAN. Management For No No
05 RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS.
06 STOCKHOLDER PROPOSAL REGARDING SIMPLE MAJORITY Management For No No
VOTE.
07 STOCKHOLDER PROPOSAL REGARDING SHAREHOLDER INPUT Management For No No
ON POISON PILLS.
08 STOCKHOLDER PROPOSAL TO ELECT EACH DIRECTOR ANNUALLY. Management For No No
09 STOCKHOLDER PROPOSAL REGARDING INDEPENDENT BOARD Shareholder Against No No
CHAIRMAN.
10 STOCKHOLDER PROPOSAL REGARDING EXPENSING STOCK Shareholder Against No No
OPTIONS.
11 STOCKHOLDER PROPOSAL REGARDING RETENTION OF Shareholder Against No No
STOCK OBTAINED THROUGH OPTIONS.
12 STOCKHOLDER PROPOSAL REGARDING AUDITOR FEES. Shareholder Against No No
13 STOCKHOLDER PROPOSAL REGARDING PRE-EMPTIVE RIGHTS. Shareholder For Yes No
14 STOCKHOLDER PROPOSAL REGARDING REINCORPORATION Shareholder Against No No
IN DELAWARE.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 120,000 120,000 05/12/2004
------------------------------------------------------------------------------------------------------------------------------------
AMGEN INC. AMGN Annual Meeting Date: 05/13/2004
Issuer: 031162 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP Management For No No
AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE
YEAR ENDING DECEMBER 31, 2004.
3A STOCKHOLDER PROPOSAL #1 (EEO-1 REPORT). Shareholder Against No No
3B STOCKHOLDER PROPOSAL #2 (STOCK OPTION EXPENSING). Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 55,000 55,000 05/11/2004
------------------------------------------------------------------------------------------------------------------------------------
AZTAR CORPORATION AZR Annual Meeting Date: 05/13/2004
Issuer: 054802 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 THE ADOPTION OF THE 2004 EMPLOYEE STOCK OPTION Management Against Yes No
AND INCENTIVE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 110,000 110,000 05/12/2004
------------------------------------------------------------------------------------------------------------------------------------
DUKE ENERGY CORPORATION DUK Annual Meeting Date: 05/13/2004
Issuer: 264399 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF DELOITTE & TOUCHE LLP AS DUKE Management For No No
ENERGY S INDEPENDENT AUDITORS FOR 2004.
03 A SHAREHOLDER PROPOSAL RELATING TO DECLASSIFICATION Shareholder Against No No
OF DUKE ENERGY S BOARD OF DIRECTORS, IF PROPERLY
PRESENTED AT THE ANNUAL MEETING.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 385,000 385,000 05/11/2004
------------------------------------------------------------------------------------------------------------------------------------
FORD MOTOR COMPANY Annual Meeting Date: 05/13/2004
Issuer: 345370 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF SELECTION OF INDEPENDENT PUBLIC Management For No No
ACCOUNTANTS
03 RELATING TO DISCLOSURE OF OFFICERS COMPENSATION Shareholder Against No No
04 RELATING TO ESTABLISHING A COMMITTEE OF THE BOARD Shareholder Against No No
OF DIRECTORS TO EVALUATE ANY CONFLICT OF INTEREST
05 RELATING TO TERMINATING CERTAIN FORMS OF COMPENSATION Shareholder Against No No
FOR NAMED EXECUTIVES
06 RELATING TO LIMITING THE NUMBER OF EMPLOYEES Shareholder Against No No
APPOINTED AS DIRECTORS
07 RELATING TO THE COMPANY REPORTING ON GREENHOUSE Shareholder Against No No
GAS EMISSIONS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 860 15,000 15,000 05/11/2004
------------------------------------------------------------------------------------------------------------------------------------
JANUS CAPITAL GROUP INC. JNS Annual Meeting Date: 05/13/2004
Issuer: 47102X ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVE THE APPOINTMENT OF DELOITTE & TOUCHE Management For No No
LLP AS INDEPENDENT ACCOUNTANTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 5,000 5,000 05/11/2004
------------------------------------------------------------------------------------------------------------------------------------
MATTEL, INC. MAT Annual Meeting Date: 05/13/2004
Issuer: 577081 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS MATTEL S INDEPENDENT AUDITORS FOR THE
YEAR ENDING DECEMBER 31, 2004.
03 STOCKHOLDER PROPOSAL REGARDING MANAGEMENT COMPENSATION. Shareholder Against No No
04 STOCKHOLDER PROPOSAL REGARDING SERVICES PERFORMED Shareholder Against No No
BY INDEPENDENT AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 100,000 100,000 05/11/2004
------------------------------------------------------------------------------------------------------------------------------------
MAYTAG CORPORATION MYG Annual Meeting Date: 05/13/2004
Issuer: 578592 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 THE RATIFICATION OF THE SELECTION OF ERNST & Management For No No
YOUNG LLP AS INDEPENDENT AUDITOR FOR 2004.
03 APPROVAL OF THE AMENDED AND RESTATED MAYTAG EMPLOYEE Management For No No
DISCOUNT STOCK PURCHASE PLAN.
04 APPROVAL OF A COMPANY PROPOSAL TO REPEAL ARTICLE Management For No No
ELEVENTH OF MAYTAG S RESTATED CERTIFICATE OF INCORPORATION.
05 THE PROPOSAL OF A STOCKHOLDER CONCERNING THE Shareholder Against No No
CLASSIFICATION OF THE BOARD OF DIRECTORS.
06 THE PROPOSAL OF A STOCKHOLDER CONCERNING ADOPTION Shareholder For Yes No
OF POISON PILL PROVISIONS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 75,000 75,000 05/11/2004
------------------------------------------------------------------------------------------------------------------------------------
SEQUA CORPORATION SQAA Annual Meeting Date: 05/13/2004
Issuer: 817320 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Yes No
02 APPROVE THE 2003 SIX SIGMA RESTRICTED STOCK PLAN Management Abstain Yes No
03 APPROVE THE 2003 DIRECTORS STOCK AWARD PLAN Management Abstain Yes No
04 RATIFY APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT Management For No No
AUDITORS FOR 2004
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 84,500 84,500 05/12/2004
GABELLI EQUITY TRUST INC. B01GETF0036152B 203 74,600 74,600 05/12/2004
GABELLI EQUITY TRUST INC. B01GETF0036152B 302 3,000 3,000 05/12/2004
------------------------------------------------------------------------------------------------------------------------------------
PACTIV CORP. PTV Annual Meeting Date: 05/14/2004
Issuer: 695257 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY THE SELECTION OF ERNST & YOUNG LLP AS Management For No No
INDEPENDENT PUBLIC ACCOUNTANTS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 150,000 150,000 05/12/2004
------------------------------------------------------------------------------------------------------------------------------------
WASTE MANAGEMENT, INC. WMI Annual Meeting Date: 05/14/2004
Issuer: 94106L ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For No No
YOUNG LLP AS THE INDEPENDENT AUDITORS FOR 2004.
03 TO VOTE ON A PROPOSAL TO APPROVE OUR 2004 STOCK Management Against Yes No
INCENTIVE PLAN.
04 TO VOTE ON A PROPOSAL TO APPROVE OUR 2005 ANNUAL Management For No No
INCENTIVE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 400,000 400,000 05/12/2004
------------------------------------------------------------------------------------------------------------------------------------
GLAXOSMITHKLINE PLC GSK Annual Meeting Date: 05/17/2004
Issuer: 37733W ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O1 TO RECEIVE AND ADOPT THE DIRECTORS REPORT AND Management For No No
THE FINANCIAL STATEMENTS (ORDINARY RESOLUTION)
O2 TO APPROVE THE REMUNERATION REPORT (ORDINARY RESOLUTION) Management For No No
O3 TO ELECT MR H LAWRENCE CULP AS A DIRECTOR (ORDINARY Management For No No
RESOLUTION)
O4 TO ELECT MR CRISPIN DAVIS AS A DIRECTOR (ORDINARY Management For No No
RESOLUTION)
O5 TO ELECT SIR ROBERT WILSON AS A DIRECTOR (ORDINARY Management For No No
RESOLUTION)
O6 TO ELECT DR TACHI YAMADA AS A DIRECTOR (ORDINARY Management For No No
RESOLUTION)
O7 TO RE-ELECT SIR CHRISTOPHER HOGG AS A DIRECTOR Management For No No
(ORDINARY RESOLUTION)
O8 RE-APPOINTMENT OF AUDITORS (ORDINARY RESOLUTION) Management For No No
O9 REMUNERATION OF AUDITORS (ORDINARY RESOLUTION) Management For No No
S10 AUTHORISE THE COMPANY TO MAKE DONATIONS TO EU Management For No No
POLITICAL ORGAN- ISATIONS AND INCUR EU POLITICAL
EXPENDITURE (SPECIAL BUSINESS)
S11 DISAPPLICATION OF PRE-EMPTION RIGHTS (SPECIAL Management For No No
RESOLUTION)
S12 AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN Management For No No
SHARES (SPECIAL RESOLUTION)
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 4,000 4,000 05/12/2004
------------------------------------------------------------------------------------------------------------------------------------
THE CHARLES SCHWAB CORPORATION SCH Annual Meeting Date: 05/17/2004
Issuer: 808513 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE 2004 STOCK INCENTIVE PLAN. Management Against Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 45,000 45,000 05/14/2004
------------------------------------------------------------------------------------------------------------------------------------
AMETEK, INC. AME Annual Meeting Date: 05/18/2004
Issuer: 031100 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO AUTHORIZE AND APPROVE AN AMENDMENT Shareholder For No No
TO THE CERTIFICATE OF INCORPORATION INCREASING
AUTHORIZED SHARES OF COMMON STOCK FROM 100,000,000
TO 200,000,000.
03 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For No No
YOUNG LLP AS INDEPENDENT AUDITORS FOR THE YEAR
2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 236,000 236,000 05/13/2004
------------------------------------------------------------------------------------------------------------------------------------
CITIZENS COMMUNICATIONS COMPANY CZN Annual Meeting Date: 05/18/2004
Issuer: 17453B ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVE THE RATIFICATION OF KPMG LLP AS OUR INDEPENDENT Management For No No
PUBLIC ACCOUNTANTS FOR 2004.
03 STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD Shareholder Against No No
OF DIRECTORS ADOPT A FORMAL WRITTEN POLICY THAT
WOULD REQUIRE STOCKHOLDER APPROVAL OF FUTURE
SEVERANCE AGREEMENTS WITH SENIOR EXECUTIVES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 130,000 130,000 05/13/2004
------------------------------------------------------------------------------------------------------------------------------------
DEPARTMENT 56, INC. DFS Annual Meeting Date: 05/18/2004
Issuer: 249509 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE DEPARTMENT 56, INC. 2004 CASH Management For No No
INCENTIVE PLAN
03 APPROVAL OF THE DEPARTMENT 56, INC. 2004 STOCK Management Against Yes No
INCENTIVE PLAN
04 APPROVAL OF AUDITORS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 50,000 50,000 05/14/2004
------------------------------------------------------------------------------------------------------------------------------------
DEUTSCHE TELEKOM AG DT Annual Meeting Date: 05/18/2004
Issuer: 251566 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
02 APPROVAL OF THE RESOLUTION ON THE APPROPRIATION Management For No No
OF NET INCOME.
03 APPROVAL OF ACTIONS BY THE BOARD OF MANAGEMENT Management For No No
FOR THE FINANCIAL YEAR 2003.
04 APPROVAL OF ACTIONS BY THE SUPERVISORY BOARD Management For No No
FOR THE FINANCIAL YEAR 2003.
05 APPROVAL TO APPOINT INDEPENDENT AUDITOR AND GROUP Management For No No
AUDITOR FOR THE 2004 FINANCIAL YEAR.
06 APPROVAL OF THE RESOLUTION AUTHORIZING THE COMPANY Management For No No
TO PURCHASE AND USE ITS OWN SHARES.
07 APPROVAL OF THE RESOLUTION ON PARTIAL REVOCATION Management For No No
OF AS YET UNUSED PART OF AUTHORIZATION TO GRANT
SUBSCRIPTION RIGHTS.
08 APPROVAL OF THE RESOLUTION ON THE CANCELLATION Shareholder For No No
OF THE APPROVED CAPITAL 2000 AND THE CREATION OF
NEW APPROVED CAPITAL 2004.
09 APPROVAL TO CONCLUDE A PROFIT AND LOSS TRANSFER Management For No No
AGREEMENT WITH T-PUNKT VERTRIEBSGESELLSCHAFT MBH.
10 APPROVAL TO CONCLUDE A PROFIT AND LOSS TRANSFER Management For No No
AGREEMENT WITH TRAVIATA TELEKOMMUNIKATIONSDIENSTE
GMBH.
11 APPROVAL TO CONCLUDE A PROFIT AND LOSS TRANSFER Management For No No
AGREEMENT WITH NORMA TELEKOMMUNIKATIONSDIENSTE
GMBH.
12 APPROVAL TO CONCLUDE A PROFIT AND LOSS TRANSFER Management For No No
AGREEMENT WITH CARMEN TELEKOMMUNIKATIONSDIENSTE
GMBH.
13 APPROVAL OF THE RESOLUTION ON THE AMENDMENT OF Management For No No
SECTION 13 OF THE ARTICLES OF INCORPORATION.
14 APPROVAL OF THE RESOLUTION ON THE AMENDMENT OF Management For No No
SECTION 14 OF THE ARTICLES OF INCORPORATION.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 170,000 170,000 05/04/2004
------------------------------------------------------------------------------------------------------------------------------------
NORTHROP GRUMMAN CORPORATION NOC Annual Meeting Date: 05/18/2004
Issuer: 666807 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF DELOITTE Management For No No
& TOUCHE LLP AS THE COMPANY S INDEPENDENT AUDITOR.
03 SHAREHOLDER PROPOSAL REGARDING CRITERIA FOR MILITARY Shareholder Against No No
CONTRACTS.
04 SHAREHOLDER PROPOSAL REGARDING THE CLASSIFIED Shareholder Against No No
BOARD.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 136,000 136,000 05/13/2004
------------------------------------------------------------------------------------------------------------------------------------
THE ALLSTATE CORPORATION ALL Annual Meeting Date: 05/18/2004
Issuer: 020002 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT Management For No No
AUDITORS FOR 2004.
03 APPROVAL OF MATERIAL TERMS OF ANNUAL COVERED Management For No No
EMPLOYEE INCENTIVE COMPENSATION PLAN.
04 APPROVAL OF MATERIAL TERMS OF LONG-TERM EXECUTIVE Management For No No
INCENTIVE COMPENSATION PLAN.
05 PROVIDE CUMULATIVE VOTING FOR BOARD OF DIRECTORS. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 60,000 60,000 05/17/2004
------------------------------------------------------------------------------------------------------------------------------------
THE ST. JOE COMPANY JOE Annual Meeting Date: 05/18/2004
Issuer: 790148 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDMENT OF ARTICLES OF INCORPORATION Management Against Yes No
ELIMINATING PREEMPTIVE RIGHTS
03 RATIFICATION OF INDEPENDENT AUDITORS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 245,000 245,000 05/17/2004
------------------------------------------------------------------------------------------------------------------------------------
WESTAR ENERGY, INC. WR Annual Meeting Date: 05/18/2004
Issuer: 95709T ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION AND CONFIRMATION OF DELOITTE & TOUCHE Management For No No
LLP AS COMPANY AUDITORS
03 SHAREHOLDER PROPOSAL REGARDING THE PROCESS FOR Shareholder Against No No
NOMINATION OF A DIRECTOR
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 255,000 255,000 05/14/2004
------------------------------------------------------------------------------------------------------------------------------------
AMR CORPORATION AMR Annual Meeting Date: 05/19/2004
Issuer: 001765 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE SELECTION OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS FOR THE YEAR 2004.
03 STOCKHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS. Shareholder Against No No
04 STOCKHOLDER PROPOSAL RELATING TO CHANGE-IN-CONTROL Shareholder Against No No
AGREEMENTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 100,000 100,000 05/14/2004
------------------------------------------------------------------------------------------------------------------------------------
AT&T CORP. Annual Meeting Date: 05/19/2004
Issuer: 001957 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTORS Management For No No
02 RATIFICATION OF AUDITORS Management For No No
03 APPROVE THE AT&T 2004 LONG TERM INCENTIVE PROGRAM Management Against Yes No
04 TERM LIMITS FOR OUTSIDE DIRECTORS Shareholder Against No No
05 POISON PILL Shareholder For Yes No
06 SEPARATE THE CHAIR AND CEO POSITION Shareholder Against No No
07 EXECUTIVE COMPENSATION Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 505 280,000 280,000 05/14/2004
------------------------------------------------------------------------------------------------------------------------------------
AT&T WIRELESS SERVICES, INC. AWE Annual Meeting Date: 05/19/2004
Issuer: 00209A ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVE AND ADOPT THE AGREEMENT AND PLAN OF MERGER, Management For No No
DATED AS OF FEBRUARY 17, 2004, BY AND AMONG AT&T
WIRELESS SERVICES, INC., CINGULAR WIRELESS CORPORATION,
CINGULAR WIRELESS LLC, AND SOLELY WITH RESPECT
TO SECTION 5.3, 6.1(B) AND ARTICLE IX OF THE
AGREEMENT AND PLAN OF MERGER, SBC COMMUNICATIONS
INC. AND BELLSOUTH CORPORATION.
02 DIRECTOR Management For No No
03 RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS OUR INDEPENDENT AUDITORS.
04 VOTE ON SHAREHOLDER PROPOSAL ON EXECUTIVE COMPENSATION Shareholder Against No No
PROGRAM.
05 VOTE ON SHAREHOLDER PROPOSAL ON DISCONTINUING Shareholder Against No No
CERTAIN EXECUTIVE COMPENSATION.
06 VOTE ON SHAREHOLDER PROPOSAL ON VOTE REQUIREMENT Shareholder Against No No
FOR DIRECTOR ELECTIONS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 1,200,000 1,200,000 05/14/2004
------------------------------------------------------------------------------------------------------------------------------------
COMMONWEALTH TELEPHONE ENTERPRISES, CTCO Annual Meeting Date: 05/19/2004
Issuer: 203349 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT ACCOUNTANTS OF THE COMPANY FOR
THE FISCAL YEAR ENDING DECEMBER 31, 2004.
03 APPROVAL TO ADOPT THE CTE NON-MANAGEMENT DIRECTORS Management For No No
STOCK COMPENSATION PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 254,800 254,800 05/13/2004
------------------------------------------------------------------------------------------------------------------------------------
CORN PRODUCTS INTERNATIONAL, INC. CPO Annual Meeting Date: 05/19/2004
Issuer: 219023 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF KPMG LLP AS INDEPENDENT Management For No No
AUDITORS FOR THE COMPANY FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 100,000 100,000 05/14/2004
------------------------------------------------------------------------------------------------------------------------------------
DREYER'S GRAND ICE CREAM HOLDINGS, I Annual Meeting Date: 05/19/2004
Issuer: 261877 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 THE APPROVAL OF THE COMPANY S 2004 LONG-TERM Management For No No
INCENTIVE PLAN.
03 THE APPROVAL OF PRICEWATERHOUSECOOPERS LLP AS Management For No No
THE COMPANY S INDEPENDENT PUBLIC ACCOUNTANTS FOR
THE 2004 FISCAL YEAR OF THE COMPANY.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 120,000 120,000 05/18/2004
------------------------------------------------------------------------------------------------------------------------------------
HALLIBURTON COMPANY HAL Annual Meeting Date: 05/19/2004
Issuer: 406216 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO AMEND HALLIBURTON S CERTIFICATE OF Management For No No
INCORPORATION.
03 STOCKHOLDER PROPOSAL ON OPERATIONS IN IRAN. Shareholder Against No No
04 STOCKHOLDER PROPOSAL ON DIRECTOR ELECTION VOTE Shareholder Against No No
THRESHOLD.
05 STOCKHOLDER PROPOSAL TO SEPARATE CHAIRMAN/CEO. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 70,000 70,000 05/14/2004
------------------------------------------------------------------------------------------------------------------------------------
THE MCCLATCHY COMPANY MNI Annual Meeting Date: 05/19/2004
Issuer: 579489 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE MCCLATCHY S 2004 STOCK INCENTIVE PLAN. Management Against Yes No
03 TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Management For No No
LLP AS MCCLATCHY S INDEPENDENT AUDITORS FOR THE
2004 FISCAL YEAR.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 5,000 5,000 05/18/2004
------------------------------------------------------------------------------------------------------------------------------------
VIACOM INC. VIA Annual Meeting Date: 05/19/2004
Issuer: 925524 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP TO SERVE AS INDEPENDENT AUDITOR FOR VIACOM
INC. FOR FISCAL YEAR 2004.
03 APPROVAL OF THE VIACOM INC. 2004 LONG-TERM MANAGEMENT Management For No No
INCENTIVE PLAN.
04 APPROVAL OF THE AMENDED AND RESTATED VIACOM INC. Management For No No
2000 STOCK OPTION PLAN FOR OUTSIDE DIRECTORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 840,000 840,000 05/13/2004
------------------------------------------------------------------------------------------------------------------------------------
PARK-OHIO HOLDINGS CORP. PKOH Annual Meeting Date: 05/20/2004
Issuer: 700666 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 110,000 110,000 05/18/2004
------------------------------------------------------------------------------------------------------------------------------------
RAYONIER INC. RYN Annual Meeting Date: 05/20/2004
Issuer: 754907 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AN AMENDMENT TO THE COMPANY S ARTICLES Shareholder For No No
OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED
COMMON SHARES
03 APPROVAL OF AN AMENDMENT TO THE 2004 INCENTIVE Management Against Yes No
STOCK AND MANAGEMENT BONUS PLAN TO INCREASE THE
NUMBER OF SHARES AVAILABLE THEREUNDER
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 16,656 16,656 05/18/2004
------------------------------------------------------------------------------------------------------------------------------------
STANDARD MOTOR PRODUCTS, INC. SMP Annual Meeting Date: 05/20/2004
Issuer: 853666 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Witheld Yes No
02 TO CONSIDER AND VOTE UPON A PROPOSAL TO ADOPT Management For No No
THE COMPANY S 2004 OMNIBUS STOCK OPTION PLAN UNDER
WHICH 500,000 SHARES OF THE COMPANY S COMMON STOCK
WILL BE AVAILABLE FOR ISSUANCE THEREUNDER.
03 TO CONSIDER AND VOTE UPON A PROPOSAL TO ADOPT Management For No No
THE COMPANY S 2004 INDEPENDENT OUTSIDE DIRECTORS
STOCK OPTION PLAN WHICH 50,000 SHARES OF THE
COMPANY S COMMON STOCK WILL BE AVAILABLE FOR
ISSUANCE THEREUNDER.
04 SHAREHOLDER PROPOSAL CONCERNING PREFERRED SHARE Shareholder For Yes No
PURCHASE RIGHTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 163,000 163,000 05/20/2004
------------------------------------------------------------------------------------------------------------------------------------
THE GILLETTE COMPANY G Annual Meeting Date: 05/20/2004
Issuer: 375766 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF AUDITOR. Management For No No
03 APPROVAL OF THE 2004 LONG-TERM INCENTIVE PLAN. Management Against Yes No
05 SHAREHOLDER PROPOSAL TO LIMIT SERVICES PROVIDED Shareholder Against No No
BY THE AUDITOR.
06 SHAREHOLDER PROPOSAL TO EXPENSE STOCK OPTIONS. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 190,000 190,000 05/18/2004
------------------------------------------------------------------------------------------------------------------------------------
CADBURY SCHWEPPES PLC CSG Annual Meeting Date: 05/21/2004
Issuer: 127209 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 FINANCIAL STATEMENTS Management For No No
02 DECLARATION OF FINAL DIVIDEND 2003 Management For No No
03 DIRECTORS REMUNERATION REPORT Management For No No
04 DIRECTOR Management For No No
09 RE-APPOINTMENT OF AUDITORS Management For No No
10 REMUNERATION OF AUDITORS Management For No No
11 AUTHORITY TO ALLOT RELEVANT SECURITIES Shareholder For No No
12 AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS Management For No No
13 AUTHORITY TO PURCHASE OWN ORDINARY SHARES Management For No No
14 AMEND RULES OF THE SHARE OPTION PLAN 1994 Management For No No
15 AMEND RULES OF THE 1997 LONG TERM INCENTIVE PLAN Management For No No
16 APPROVAL OF THE BONUS SHARE RETENTION PLAN 2004 Management For No No
17 AMEND RULES OF EIGHT NAMED SHARE SCHEMES/PLANS Management For No No
18 ESTABLISH FURTHER EMPLOYEE SHARE PLAN OR PLANS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 302 30,000 30,000 05/20/2004
------------------------------------------------------------------------------------------------------------------------------------
CONSTELLATION ENERGY GROUP, INC. CEG Annual Meeting Date: 05/21/2004
Issuer: 210371 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS Management For No No
INDEPENDENT AUDITORS FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 10,000 10,000 05/19/2004
------------------------------------------------------------------------------------------------------------------------------------
FPL GROUP, INC. FPL Annual Meeting Date: 05/21/2004
Issuer: 302571 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For No No
TOUCHE LLP AS AUDITORS.
03 APPROVAL OF THE AMENDED AND RESTATED LONG TERM Management For No No
INCENTIVE PLAN, IN AN AMENDED FORM.
04 APPROVAL OF THE ANNUAL INCENTIVE PLAN AS REQUIRED Management For No No
BY THE INTERNAL REVENUE CODE.
05 APPROVAL OF THE PERFORMANCE-BASED AWARDS PROVISIONS Management For No No
OF THE AMENDED AND RESTATED LONG TERM INCENTIVE
PLAN AS REQUIRED BY THE INTERNAL REVENUE CODE.
06 APPROVAL OF AN AMENDMENT TO THE RESTATED ARTICLES Shareholder For No No
OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED
SHARES OF COMMON STOCK.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 10,000 10,000 05/18/2004
------------------------------------------------------------------------------------------------------------------------------------
PAXSON COMMUNICATIONS CORPORATION Annual Meeting Date: 05/21/2004
Issuer: 704231 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For No No
YOUNG LLP AS THE COMPANY S INDEPENDENT CERTIFIED
PUBLIC ACCOUNTANTS FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 140,000 140,000 05/18/2004
------------------------------------------------------------------------------------------------------------------------------------
TIME WARNER INC. Annual Meeting Date: 05/21/2004
Issuer: 887317 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF AUDITORS. Management For No No
03 STOCKHOLDER PROPOSAL REGARDING CHINA BUSINESS Shareholder Against No No
PRINCIPLES.
04 STOCKHOLDER PROPOSAL REGARDING REPORT ON PAY DISPARITY. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 750,000 750,000 05/19/2004
------------------------------------------------------------------------------------------------------------------------------------
TXU CORP. TXU Annual Meeting Date: 05/21/2004
Issuer: 873168 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AUDITORS - DELOITTE & TOUCHE LLP Management For No No
03 SHAREHOLDER PROPOSAL RELATED TO OFFICERS SALES Shareholder Against No No
OF RESTRICTED STOCK
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 95,000 95,000 05/19/2004
------------------------------------------------------------------------------------------------------------------------------------
CABLEVISION SYSTEMS CORPORATION CVC Annual Meeting Date: 05/25/2004
Issuer: 12686C ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY AND APPROVE THE APPOINTMENT Management For No No
OF KPMG LLP, AS INDEPENDENT AUDITORS OF THE COMPANY
FOR THE FISCAL YEAR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 1,510,000 1,510,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
ELECTRONIC DATA SYSTEMS CORPORATION EDS Annual Meeting Date: 05/25/2004
Issuer: 285661 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENT OF AUDITORS. Management For No No
03 SHAREHOLDER PROPOSAL REGARDING CLASSIFIED BOARD. Shareholder Against No No
04 SHAREHOLDER PROPOSAL REGARDING RIGHTS PLAN. Shareholder For Yes No
05 SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTE. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 5,000 5,000 05/19/2004
------------------------------------------------------------------------------------------------------------------------------------
HENRY SCHEIN, INC. HSIC Annual Meeting Date: 05/25/2004
Issuer: 806407 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO AMEND AND RESTATE THE COMPANY S 1994 Management Against Yes No
STOCK OPTION PLAN.
03 PROPOSAL TO AMEND THE COMPANY S 1996 NON-EMPLOYEE Management Against Yes No
DIRECTOR STOCK INCENTIVE PLAN.
04 PROPOSAL TO ADOPT THE HENRY SCHEIN, INC. 2004 Management For No No
EMPLOYEE STOCK PURCHASE PLAN.
05 PROPOSAL TO RATIFY THE SELECTION OF BDO SEIDMAN, Management For No No
LLP AS THE COMPANY S INDEPENDENT CERTIFIED PUBLIC
ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER
25, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 18,000 18,000 05/22/2004
------------------------------------------------------------------------------------------------------------------------------------
J.P. MORGAN CHASE & CO. JPM Annual Meeting Date: 05/25/2004
Issuer: 46625H ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 MERGER PROPOSAL Management For No No
02 DIRECTOR Management For No No
03 APPOINTMENT OF EXTERNAL AUDITOR Management For No No
04 RE-APPROVAL OF KEY EXECUTIVE PERFORMANCE PLAN Management For No No
05 ADJOURNMENT OF MEETING, IF NECESSARY, TO SOLICIT Management For No No
ADDITIONAL PROXIES
06 DIRECTOR TERM LIMIT Shareholder Against No No
07 CHARITABLE CONTRIBUTIONS Shareholder Against No No
08 POLITICAL CONTRIBUTIONS Shareholder Against No No
09 SEPARATION OF CHAIRMAN AND CEO Shareholder Against No No
10 DERIVATIVE DISCLOSURE Shareholder Against No No
11 AUDITOR INDEPENDENCE Shareholder Against No No
12 DIRECTOR COMPENSATION Shareholder Against No No
13 PAY DISPARITY Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 45,000 45,000 05/22/2004
------------------------------------------------------------------------------------------------------------------------------------
MARTIN MARIETTA MATERIALS, INC. MLM Annual Meeting Date: 05/25/2004
Issuer: 573284 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF SELECTION OF ERNST & YOUNG LLP Management For No No
AS INDEPENDENT AUDITORS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 15,000 15,000 05/20/2004
------------------------------------------------------------------------------------------------------------------------------------
QWEST COMMUNICATIONS INTERNATIONAL I Q Annual Meeting Date: 05/25/2004
Issuer: 749121 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 MANAGEMENT S PROPOSAL TO AMEND OUR RESTATED CERTIFICATE Management For No No
OF INCORPORATION TO DECLASSIFY THE BOARD OF DIRECTORS
AND TO ALLOW FOR THE REMOVAL OF DIRECTORS WITHOUT
CAUSE
03 STOCKHOLDER PROPOSAL - REQUESTING WE AMEND OUR Shareholder Against No No
BYLAWS TO REQUIRE THAT AN INDEPENDENT DIRECTOR
WHO HAS NOT SERVED AS OUR CEO SERVE AS OUR CHAIRMAN
04 STOCKHOLDER PROPOSAL - REQUESTING STOCKHOLDER Shareholder Against No No
APPROVAL FOR CERTAIN BENEFITS FOR SENIOR EXECUTIVES
UNDER OUR NON-QUALIFIED PENSION OR SUPPLEMENTAL
EXECUTIVE RETIREMENT PLANS
05 STOCKHOLDER PROPOSAL - REQUESTING WE AMEND OUR Shareholder Against No No
GOVERNANCE GUIDELINES TO PROVIDE THAT WE NOMINATE
DIRECTORS SUCH THAT A TWO-THIRDS MAJORITY OF
DIRECTORS WOULD BE INDEPENDENT UNDER THE STANDARD
ADOPTED BY THE COUNCIL OF INSTITUTIONAL INVESTORS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 1,000,000 1,000,000 05/20/2004
------------------------------------------------------------------------------------------------------------------------------------
AMPHENOL CORPORATION APH Annual Meeting Date: 05/26/2004
Issuer: 032095 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF DELOITTE & TOUCHE LLP AS INDEPENDENT Management For No No
PUBLIC ACCOUNTANTS OF THE COMPANY.
03 RATIFICATION AND APPROVAL OF THE INCREASE IN Shareholder For No No
THE NUMBER OF AUTHORIZED SHARES.
04 RATIFICATION AND APPROVAL OF THE 2004 STOCK OPTION Management For No No
PLAN FOR DIRECTORS OF AMPHENOL CORPORATION.
05 RATIFICATION AND APPROVAL OF THE 2004 AMPHENOL Management For No No
EXECUTIVE INCENTIVE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 1,000 1,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
BCE INC. BCE Special Meeting Date: 05/26/2004
Issuer: 05534B ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTING DELOITTE & TOUCHE LLP AS AUDITORS Management For No No
3A (SHAREHOLDER PROPOSAL NO. 1) DISCLOSE DIRECTORSHIPS Shareholder For No No
OF EACH NOMINEE DIRECTOR FOR PAST FIVE YEARS
3B (SHAREHOLDER PROPOSAL NO. 2) PROHIBIT THE CEO Shareholder Against No No
FROM SERVING ON THE BOARD OF ANOTHER LISTED COMPANY
3C (SHAREHOLDER PROPOSAL NO. 3) SUPPLEMENTAL DISCLOSURE Shareholder Against No No
OF EXECUTIVE PENSION PLANS
3D (SHAREHOLDER PROPOSAL NO. 4) REQUIRE ALL INSIDERS Shareholder Against No No
TO GIVE 10 DAYS NOTICE OF INTENT TO TRADE IN
ANY BCE SECURITIES
3E (SHAREHOLDER PROPOSAL NO. 5) PROHIBIT AUDITORS Shareholder Against No No
FROM PROVIDING ANY SERVICES OTHER THAN AUDIT
AND AUDIT-RELATED SERVICES
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 290,000 290,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
CAESARS ENTERTAINMENT, INC. CZR Annual Meeting Date: 05/26/2004
Issuer: 127687 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE THE CAESARS ENTERTAINMENT, INC. 2004 Management Against Yes No
LONG TERM INCENTIVE PLAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 430,000 430,000 05/22/2004
------------------------------------------------------------------------------------------------------------------------------------
COMCAST CORPORATION Annual Meeting Date: 05/26/2004
Issuer: 20030N ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 INDEPENDENT AUDITORS. Management For No No
03 2002 RESTRICTED STOCK PLAN. Management For No No
04 AMENDMENT TO ARTICLES OF INCORPORATION. Management For No No
05 ESTABLISH A TWO-THIRDS INDEPENDENT BOARD. Shareholder Against No No
06 DISCLOSE POLITICAL CONTRIBUTIONS. Shareholder Against No No
07 NOMINATE TWO DIRECTORS FOR EVERY OPEN DIRECTORSHIP. Shareholder Against No No
08 LIMIT COMPENSATION FOR SENIOR EXECUTIVES. Shareholder Against No No
09 ADOPT A RECAPITALIZATION PLAN. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 370,000 370,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
EXXON MOBIL CORPORATION XOM Annual Meeting Date: 05/26/2004
Issuer: 30231G ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF INDEPENDENT AUDITORS (PAGE 27). Management For No No
03 APPROVAL OF 2004 NON-EMPLOYEE DIRECTOR RESTRICTED Management For No No
STOCK PLAN (PAGE 28).
04 POLITICAL CONTRIBUTIONS (PAGE 30). Shareholder Against No No
05 POLITICAL CONTRIBUTIONS REPORT (PAGE 32). Shareholder Against No No
06 MEDIA RESPONSE ON EQUATORIAL GUINEA (PAGE 34). Shareholder Against No No
07 BOARD CHAIRMAN AND CEO (PAGE 37). Shareholder Against No No
08 EXECUTIVE COMPENSATION (PAGE 39). Shareholder Against No No
09 EQUITY COMPENSATION REPORT (PAGE 40). Shareholder Against No No
10 AMENDMENT OF EEO POLICY (PAGE 42). Shareholder Against No No
11 CLIMATE SCIENCE REPORT (PAGE 44). Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 80,000 80,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
GRAFTECH INTERNATIONAL LTD. GTI Annual Meeting Date: 05/26/2004
Issuer: 384313 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
A DIRECTOR Management For No No
B THE STOCKHOLDER PROPOSAL REGARDING REINSTATEMENT Shareholder Against No No
OF CERTAIN RETIREE LIFE AND MEDICAL BENEFITS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 70,000 70,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
GRAY TELEVISION, INC. GTN Annual Meeting Date: 05/26/2004
Issuer: 389375 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 THE PROPOSAL TO APPROVE THE AMENDMENT TO THE Management For No No
GRAY TELEVISION, INC. 2002 LONG TERM INCENTIVE
PLAN TO INCREASE THE NUMBER OF SHARES OF COMMON
STOCK RESERVED FOR ISSUANCE THEREUNDER BY
2,000,000 SHARES.
03 THE PROPOSAL TO APPROVE THE AMENDMENT TO GRAY S Shareholder For No No
RESTATED ARTICLES OF INCORPORATION TO INCREASE
THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK
FROM 50,000,000 AUTHORIZED SHARES TO 100,000,000
AUTHORIZED SHARES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 120,000 120,000 05/21/2004
GABELLI EQUITY TRUST INC. B01GETF0036152B 205 27,500 27,500 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
DENNY'S CORPORATION DNYY Annual Meeting Date: 05/27/2004
Issuer: 24869P ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 A PROPOSAL TO RATIFY THE BOARD OF DIRECTORS Management For No No
SELECTION OF KPMG LLP AS THE PRINCIPAL INDEPENDENT
AUDITORS OF DENNY S CORPORATION AND ITS SUBSIDIARIES
FOR THE YEAR 2004.
03 A PROPOSAL TO APPROVE DENNY S 2004 INCENTIVE Management For No No
PROGRAM FOR EMPLOYEES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 10,108 10,108 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
DUQUESNE LIGHT HOLDINGS, INC. Annual Meeting Date: 05/27/2004
Issuer: 266233 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDMENTS TO THE 2002 LONG-TERM Management For No No
INCENTIVE PLAN
03 RATIFICATION OF AUDITORS-DELOITTE & TOUCHE LLP Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 110,000 110,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
HILTON HOTELS CORPORATION HLT Annual Meeting Date: 05/27/2004
Issuer: 432848 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF ERNST & YOUNG LLP AS THE COMPANY S Management For No No
AUDITORS FOR 2004.
03 APPROVAL OF THE COMPANY S 2004 OMNIBUS EQUITY Management Against Yes No
COMPENSATION PLAN.
04 APPROVAL OF THE COMPANY S ANNUAL INCENTIVE PLAN. Management For No No
05 A STOCKHOLDER PROPOSAL CONCERNING BOARD DECLASSIFICATION. Shareholder Against No No
06 A STOCKHOLDER PROPOSAL CONCERNING BOARD INDEPENDENCE. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 650,000 650,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
INAMED CORPORATION IMDC Annual Meeting Date: 05/27/2004
Issuer: 453235 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE AMENDMENT TO THE CERTIFICATE Shareholder For No No
OF INCORPORATION INCREASING THE NUMBER OF
AUTHORIZED SHARES OF COMMON STOCK, PAR VALUE
$0.01, FROM 50,000,000 TO 100,000,000 SHARES.
03 TO APPROVE THE 2004 PERFORMANCE STOCK OPTION Management For No No
PLAN.
04 APPROVAL OF THE AMENDMENT TO THE 2003 RESTRICTED Management For No No
STOCK PLAN INCREASING THE SHARE RESERVE BY 150,000
SHARES.
05 TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR Management For No No
INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2004.
06 ANY OTHER MATTERS AS MAY PROPERLY COME BEFORE Management For No No
THE MEETING OR ANY ADJOURNMENT OR POSTPONEMENT
THEREOF. AS TO THESE OTHER MATTERS, THE UNDERSIGNED
HEREBY CONFERS DISCRETIONARY AUTHORITY.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 16,000 16,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
NEXTEL COMMUNICATIONS, INC. NXTL Annual Meeting Date: 05/27/2004
Issuer: 65332V ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For No No
TOUCHE LLP AS THE COMPANY S INDEPENDENT AUDITORS
FOR 2004.
03 APPROVAL OF THE NEXTEL COMMUNICATIONS, INC. AMENDED Management For No No
AND RESTATED ASSOCIATE STOCK PURCHASE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 90,000 90,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
RIGGS NATIONAL CORPORATION RIGS Annual Meeting Date: 05/27/2004
Issuer: 766570 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE Management For No No
INDEPENDENT PUBLIC ACCOUNTANTS FOR 2004.
03 SHAREHOLDER PROPOSAL CONCERNING DISCLOSURE OF Shareholder Against No No
POLITICAL CONTRIBUTIONS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 60,000 60,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
ROGERS WIRELESS COMMUNICATIONS INC. RCN Annual Meeting Date: 05/27/2004
Issuer: 775315 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 ELECTION OF DIRECTORS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 177,000 177,000 05/21/2004
------------------------------------------------------------------------------------------------------------------------------------
THE FRANCE GROWTH FUND, INC. FRF Special Meeting Date: 05/27/2004
Issuer: 35177K ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO APPROVE THE LIQUIDATION AND DISSOLUTION OF Management For No No
THE FUND PURSUANT TO THE PROVISIONS OF THE PLAN
OF DISSOLUTION, LIQUIDATION AND TERMINATION OF
THE FUND.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 20,000 20,000 05/22/2004
------------------------------------------------------------------------------------------------------------------------------------
CMS ENERGY CORPORATION CMS Annual Meeting Date: 05/28/2004
Issuer: 125896 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF INDEPENDENT AUDITORS. Management For No No
03 PROPOSAL TO AMEND PERFORMANCE INCENTIVE STOCK Management For No No
PLAN.
04 PROPOSAL TO APPROVE DEDUCTIBILITY OF INCENTIVE Management For No No
AWARDS.
05 PROPOSAL TO AMEND ARTICLES OF INCORPORATION. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 100,000 100,000 05/24/2004
------------------------------------------------------------------------------------------------------------------------------------
SIX FLAGS, INC. PKS Annual Meeting Date: 06/01/2004
Issuer: 83001P ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO APPROVE THE ADOPTION OF THE COMPANY S Management For No No
2004 STOCK OPTION AND INCENTIVE PLAN.
03 PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP Management For No No
AS THE COMPANY S INDEPENDENT PUBLIC ACCOUNTANTS
FOR THE YEAR ENDING DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 210,000 210,000 05/24/2004
------------------------------------------------------------------------------------------------------------------------------------
DEUTSCHE BANK AG DB Annual Meeting Date: 06/02/2004
Issuer: D18190 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
02 APPROPRIATION OF DISTRIBUTABLE PROFIT Management For No
03 RATIFICATION OF THE ACTS OF MANAGEMENT OF THE Management For No
BOARD OF MANAGING DIRECTORS FOR THE 2003 FINANCIAL
YEAR
04 RATIFICATION OF THE ACTS OF MANAGEMENT OF THE Management For No
SUPERVISORY BOARD FOR THE 2003 FINANCIAL YEAR
05 ELECTION OF THE AUDITOR FOR THE 2004 FINANCIAL Management For No
YEAR
06 AUTHORIZATION TO ACQUIRE OWN SHARES FOR TRADING Management For No
PURPOSES (SECTION 71 (1) NO. 7 STOCK CORPORATION
ACT)
07 AUTHORIZATION TO ACQUIRE OWN SHARES PURSUANT Management For No
TO SECTION 71 (1) NO. 8 STOCK CORPORATION ACT
08 CREATION OF NEW AUTHORIZED CAPITAL AND AMENDMENT Management For No
TO THE ARTICLES OF ASSOCIATION
09 CREATION OF NEW AUTHORIZED CAPITAL (WITH THE Management For No
POSSIBILITY TO EXCLUDE PRE-EMPTIVE RIGHTS PURSUANT
TO SECTION 186 (3) 4 STOCK CORPORATION ACT) AND
AMENDMENT OF THE ARTICLES OF ASSOCIATION
10 AUTHORIZATION TO ISSUE PARTICIPATORY NOTES OR Management For No
BONDS WITH WARRANTS AND CONVERTIBLE BONDS AND
PARTICIPATORY NOTES, CONDITIONAL CAPITAL AND
AMENDMENT OF THE ARTICLES OF ASSOCIATION
2A COUNTERMOTION 1 Management For No
2B COUNTERMOTION 1 Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 898 157,000 157,000 05/24/2004
------------------------------------------------------------------------------------------------------------------------------------
GENERAL MOTORS CORPORATION GM Annual Meeting Date: 06/02/2004
Issuer: 370442 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY SELECTION OF INDEPENDENT ACCOUNTANTS Management For No No
03 ELIMINATE AWARDING, REPRICING, OR RENEWING STOCK Shareholder Against No No
OPTIONS
04 ELIMINATE OPTIONS, SARS, AND SEVERANCE PAYMENTS Shareholder Against No No
05 REQUIRE AN INDEPENDENT CHAIRMAN SEPARATE FROM Shareholder Against No No
CHIEF EXECUTIVE OFFICER
06 APPOINT INDEPENDENT DIRECTORS TO KEY BOARD COMMITTEES Shareholder Against No No
07 REPORT ON GREENHOUSE GAS EMISSIONS Shareholder Against No No
08 APPROVE GOLDEN PARACHUTES Shareholder Against No No
09 REQUIRE SENIOR EXECUTIVES AND DIRECTORS TO RETAIN Shareholder Against No No
STOCK OBTAINED BY EXERCISING OPTIONS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 150,000 150,000 05/24/2004
------------------------------------------------------------------------------------------------------------------------------------
INGERSOLL-RAND COMPANY LIMITED IR Annual Meeting Date: 06/02/2004
Issuer: G4776G ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 ADOPTION OF AMENDED AND RESTATED INCENTIVE STOCK Management Against Yes No
PLAN OF 1998.
03 APPROVAL OF AMENDED AND RESTATED BYE-LAWS. Management For No No
04 APPOINTMENT OF INDEPENDENT AUDITORS AND AUTHORIZATION Management For No No
OF BOARD OF DIRECTORS TO FIX THE AUDITORS REMUNERATION.
05 SHAREHOLDER PROPOSAL TO DECLASSIFY THE BOARD Shareholder Against No No
OF DIRECTORS.
06 SHAREHOLDER PROPOSAL TO CHANGE THE COMPANY S Shareholder Against No No
JURISDICTION OF INCORPORATION.
07 SHAREHOLDER PROPOSAL TO REQUIRE THE SEPARATION Shareholder Against No No
OF THE CHIEF EXECUTIVE OFFICER AND THE CHAIR
OF THE BOARD.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 20,000 20,000 05/27/2004
------------------------------------------------------------------------------------------------------------------------------------
THE DIRECTV GROUP, INC. Annual Meeting Date: 06/02/2004
Issuer: 25459L ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE 2004 STOCK PLAN Management For No No
03 APPROVAL OF THE EXECUTIVE OFFICER CASH BONUS Management For No No
PLAN
04 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For No No
PUBLIC ACCOUNTANTS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 148,444 148,444 05/24/2004
------------------------------------------------------------------------------------------------------------------------------------
FLORIDA EAST COAST INDUSTRIES, INC. FLA Annual Meeting Date: 06/03/2004
Issuer: 340632 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 100,000 100,000 05/25/2004
------------------------------------------------------------------------------------------------------------------------------------
GEMSTAR-TV GUIDE INTERNATIONAL, INC. GMST Annual Meeting Date: 06/03/2004
Issuer: 36866W ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF ERNST & YOUNG LLP AS THE COMPANY S Management For No No
INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 365,000 365,000 05/25/2004
------------------------------------------------------------------------------------------------------------------------------------
FLOWERS FOODS, INC. FLO Annual Meeting Date: 06/04/2004
Issuer: 343498 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Withheld Yes No
02 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT PUBLIC ACCOUNTANTS FOR FLOWERS
FOODS INC. FOR THE 2004 FISCAL YEAR.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 62,400 62,400 05/29/2004
------------------------------------------------------------------------------------------------------------------------------------
THE TITAN CORPORATION TTN Special Meeting Date: 06/07/2004
Issuer: 888266 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 ADOPTION OF THE AGREEMENT AND PLAN OF MERGER, Management For No No
DATED AS OF SEPTEMBER 15, 2003, BY AND AMONG
LOCKHEED MARTIN CORPORATION, LMC SUB ONE, INC. AND
THE TITAN CORPORATION, AS AMENDED, AND APPROVAL OF
THE MERGER CONTEMPLATED THEREBY.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 100,000 100,000 05/26/2004
------------------------------------------------------------------------------------------------------------------------------------
PRUDENTIAL FINANCIAL, INC. PRU Annual Meeting Date: 06/08/2004
Issuer: 744320 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS FOR THE YEAR ENDING
DECEMBER 31, 2004.
03 A SHAREHOLDER PROPOSAL REGARDING CHARITABLE CONTRIBUTIONS. Shareholder Against No No
04 A SHAREHOLDER PROPOSAL REGARDING THE ANNUAL ELECTION Shareholder Against No No
OF DIRECTORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 102 2,500 2,500 05/27/2004
------------------------------------------------------------------------------------------------------------------------------------
LIBERTY MEDIA CORPORATION L Annual Meeting Date: 06/09/2004
Issuer: 530718 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE LIBERTY MEDIA CORPORATION 2000 Management For No No
INCENTIVE PLAN (AS AMENDED AND RESTATED EFFECTIVE
APRIL 19, 2004)
03 RATIFICATION OF KPMG LLP AS OUR INDEPENDENT AUDITORS Management For No No
FOR THE FISCAL YEAR ENDED DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 2,216,352 2,216,352 05/28/2004
------------------------------------------------------------------------------------------------------------------------------------
ALBERTSON'S, INC. ABS Annual Meeting Date: 06/10/2004
Issuer: 013104 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS. Management For No No
03 APPROVAL OF THE ALBERTSON S, INC. 2004 EQUITY Management Against Yes No
AND PERFORMANCE INCENTIVE PLAN.
04 SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTE Shareholder Against No No
FOR DIRECTOR ELECTIONS.
05 SHAREHOLDER PROPOSAL REGARDING SIMPLE MAJORITY Shareholder Against No No
VOTING.
06 SHAREHOLDER PROPOSAL REGARDING EXECUTIVE SEVERANCE Shareholder Against No No
AGREEMENTS.
07 SHAREHOLDER PROPOSAL REGARDING CLASSIFIED BOARD. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 104 190,000 190,000 05/28/2004
------------------------------------------------------------------------------------------------------------------------------------
COLDWATER CREEK INC. CWTR Annual Meeting Date: 06/12/2004
Issuer: 193068 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF KPMG LLP AS INDEPENDENT Management For No No
PUBLIC ACCOUNTANTS OF THE COMPANY FOR THE FISCAL
YEAR ENDING JANUARY 29, 2005.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 22,500 22,500 06/02/2004
------------------------------------------------------------------------------------------------------------------------------------
BIOGEN IDEC INC. Annual Meeting Date: 06/16/2004
Issuer: 09062X ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS THE COMPANY S INDEPENDENT ACCOUNTANTS FOR
THE FISCAL YEAR ENDING DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 103 29,900 29,900 06/08/2004
------------------------------------------------------------------------------------------------------------------------------------
THE J.M. SMUCKER COMPANY SJM Consent Meeting Date: 06/17/2004
Issuer: 832696 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ISSUANCE OF SMUCKER COMMON SHARES Management For No No
IN A MERGER OF INTERNATIONAL MULTIFOODS CORPORATION
WITH AND INTO MIX ACQUISITION CORPORATION, A
WHOLLY OWNED SUBSIDIARY OF THE J.M. SMUCKER COMPANY.
02 APPROVAL OF ADJOURNMENTS OR POSTPONEMENTS OF Management For No No
SPECIAL MEETING, IF NECESSARY, TO PERMIT FURTHER
SOLICITATION OF PROXIES IF THERE ARE NOT
SUFFICIENT VOTES AT THE TIME OF THE SPECIAL
MEETING TO APPROVE THE ABOVE PROPOSAL.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 405 2,000 2,000 06/16/2004
------------------------------------------------------------------------------------------------------------------------------------
ENERGY EAST CORPORATION EAS Annual Meeting Date: 06/18/2004
Issuer: 29266M ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE AN AMENDMENT TO THE CERTIFICATE OF Management For No No
INCORPORATION TO ELIMINATE THE CLASSIFICATION
OF THE BOARD OF DIRECTORS.
03 TO APPROVE AN AMENDMENT TO THE CERTIFICATE OF Management Against Yes No
INCORPORATION TO ELIMINATE CUMULATIVE VOTING
IN THE ELECTION OF DIRECTORS.
04 TO APPROVE AN EXISTING EMPLOYEE STOCK PURCHASE Management For No No
PLAN.
05 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT PUBLIC ACCOUNTANTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 50,000 50,000 06/10/2004
------------------------------------------------------------------------------------------------------------------------------------
FLOWSERVE CORPORATION FLS Annual Meeting Date: 06/22/2004
Issuer: 34354P ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL AND ADOPTION OF THE FLOWSERVE CORPORATION Management Against Yes No
2004 STOCK COMPENSATION PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 105 115,000 115,000 06/18/2004
------------------------------------------------------------------------------------------------------------------------------------
NEC CORPORATION NIPNY Annual Meeting Date: 06/22/2004
Issuer: 629050 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE PROPOSED APPROPRIATION OF RETAINED Management For No
EARNINGS FOR THE 166TH BUSINESS PERIOD
02 PARTIAL AMENDMENTS TO THE ARTICLES OF INCORPORATION Management For No
03 DIRECTOR Management For No No
4A ELECTION OF CORPORATE AUDITOR: SHIGEO MATSUMOTO Management For No
4B ELECTION OF CORPORATE AUDITOR: TSUNEO KABE Management For No
4C ELECTION OF CORPORATE AUDITOR: MUNEO SHIGEMATSU Management For No
05 ISSUANCE OF STOCK ACQUISITION RIGHTS WITH FAVORABLE Management For No
CONDITIONS TO PERSONS OTHER THAN THE SHAREHOLDERS
FOR THE PURPOSE OF GRANTING STOCK OPTIONS
06 PRESENTATION OF RETIREMENT ALLOWANCES TO RETIRED Management For No
DIRECTORS AND RETIRING CORPORATE AUDITOR
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 204 7,500 7,500 06/17/2004
------------------------------------------------------------------------------------------------------------------------------------
SONY CORPORATION SNE Annual Meeting Date: 06/22/2004
Issuer: 835699 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
C1 TO AMEND A PART OF THE ARTICLES OF INCORPORATION. Management For No No
C2 TO ELECT 16 DIRECTORS. Management For No No
C3 TO ISSUE STOCK ACQUISITION RIGHTS FOR THE SHARES Management For No No
OF COMMON STOCK OF THE CORPORATION FOR THE PURPOSE
OF GRANTING STOCK OPTIONS.
C4 TO ISSUE STOCK ACQUISITION RIGHTS FOR THE SHARES Management For No No
OF SUBSIDIARY TRACKING STOCK OF THE CORPORATION
FOR THE PURPOSE OF GRANTING STOCK OPTIONS.
S5 TO AMEND THE ARTICLES OF INCORPORATION WITH RESPECT Shareholder Against No No
TO DISCLOSURE TO SHAREHOLDERS OF REMUNERATION AND
OTHER AMOUNTS PAID TO EACH DIRECTOR AND CORPORATE
EXECUTIVE OFFICER.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 307 45,000 45,000 06/11/2004
------------------------------------------------------------------------------------------------------------------------------------
THE CENTRAL EUROPE AND RUSSIA FUND I CEE Annual Meeting Date: 06/22/2004
Issuer: 153436 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE Management For No No
AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS
LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR
ENDING OCTOBER 31, 2004.
03 TO APPROVE A STOCKHOLDER PROPOSAL TO TERMINATE Shareholder Against No No
THE INVESTMENT ADVISORY AGREEMENT BETWEEN THE
FUND AND DEUTSCHE ASSET MANAGEMENT INTERNATIONAL GMBH.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 77,333 77,333 06/10/2004
------------------------------------------------------------------------------------------------------------------------------------
THE NEW GERMANY FUND, INC. GF Annual Meeting Date: 06/22/2004
Issuer: 644465 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE Management For No No
AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS
LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2004.
03 TO APPROVE A STOCKHOLDER PROPOSAL TO TERMINATE Shareholder Against No No
THE INVESTMENT ADVISORY AGREEMENT BETWEEN THE
FUND AND DEUTSCHE ASSET MANAGEMENT INTERNATIONAL GMBH.
04 TO APPROVE A STOCKHOLDER PROPOSAL TO REQUEST Shareholder Against No No
THAT THE BOARD OF DIRECTORS PROMPTLY TAKE THE
STEPS NECESSARY TO OPEN END THE FUND OR OTHERWISE
ENABLE STOCKHOLDERS TO REALIZE NET ASSET VALUE FOR
THEIR SHARES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 106 70,000 70,000 06/10/2004
------------------------------------------------------------------------------------------------------------------------------------
INTERACTIVECORP IACI Annual Meeting Date: 06/23/2004
Issuer: 45840Q ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 THE PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST Management For No No
& YOUNG LLP TO SERVE AS THE INDEPENDENT AUDITORS
OF THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2004
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 101 475,000 475,000 06/11/2004
------------------------------------------------------------------------------------------------------------------------------------
GRIFFIN LAND & NURSERIES, INC. GRIF Annual Meeting Date: 06/24/2004
Issuer: 398231 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 AUTHORIZATION OF THE SELECTION OF INDEPENDENT Management For No No
ACCOUNTANTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 55,000 55,000 06/11/2004
------------------------------------------------------------------------------------------------------------------------------------
KERR-MCGEE CORPORATION KMG Special Meeting Date: 06/25/2004
Issuer: 492386 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ISSUANCE OF SHARES OF KERR-MCGEE Management For No No
CORPORATION COMMON STOCK IN CONNECTION WITH THE
MERGER OF WESTPORT RESOURCES CORPORATION WITH AND
INTO KERR-MCGEE (NEVADA) LLC, A WHOLLY OWNED
SUBSIDIARY OF KERR-MCGEE CORPORATION.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 107 35,000 35,000 06/18/2004
------------------------------------------------------------------------------------------------------------------------------------
ALIANT INC. ALINF Annual Meeting Date: 06/28/2004
Issuer: 01609F ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 AUDITORS Management For No No
03 OTHER MATTERS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 109 4,066 4,066 06/23/2004
------------------------------------------------------------------------------------------------------------------------------------
MATSUSHITA ELECTRIC INDUSTRIAL CO., MC Annual Meeting Date: 06/29/2004
Issuer: 576879 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO APPROVE THE PROPOSED ALLOCATION OF PROFIT Management For No No
WITH RESPECT TO THE 97TH FISCAL PERIOD.
02 TO MAKE PARTIAL AMENDMENTS TO THE COMPANY S ARTICLES Management For No No
OF INCORPORATION.
03 DIRECTOR Management For No No
4A ELECTION AS CORPORATE AUDITOR: YUKIO FURUTA Management For No No
4B ELECTION AS CORPORATE AUDITOR: IKUO HATA Management For No No
05 TO GRANT RETIREMENT ALLOWANCES TO RETIRING DIRECTORS Management For No No
FOR THEIR MERITORIOUS SERVICE.
06 TO GRANT RETIREMENT ALLOWANCES TO RETIRING CORPORATE Management For No No
AUDITORS FOR THEIR MERITORIOUS SERVICE.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 209 15,000 15,000 06/25/2004
------------------------------------------------------------------------------------------------------------------------------------
METRO-GOLDWYN-MAYER INC. MGM Annual Meeting Date: 06/29/2004
Issuer: 591610 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE SELECTION OF INDEPENDENT AUDITORS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 82,788 82,788 06/23/2004
------------------------------------------------------------------------------------------------------------------------------------
TELEPHONE AND DATA SYSTEMS, INC. TDS Annual Meeting Date: 06/29/2004
Issuer: 879433 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DECLASSIFICATION AMENDMENT Management For No No
02 DIRECTOR Management For No No
03 2004 LONG-TERM INCENTIVE PLAN Management For No No
04 RATIFY ACCOUNTANTS FOR 2004 Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 100 406,000 406,000 06/15/2004
------------------------------------------------------------------------------------------------------------------------------------
UNITED STATES CELLULAR CORPORATION USM Annual Meeting Date: 06/29/2004
Issuer: 911684 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY ACCOUNTANTS FOR 2004. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST INC. B01GETF0036152B 108 20,000 20,000 06/15/2004
------------------------------------------------------------------------------------------------------------------------------------
VODAFONE GROUP PLC AGM Meeting Date: 07/30/2003
Issuer: G93882101 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* PLEASE CLICK ON THE ABOVE LINK TO ACCESS VODAFONE Non-Voting Non-Vote Proposal No
GROUP S 2003 NOTICE OF ANNUAL GENERAL MEETING
AND ANNUAL REVIEW & SUMMARY FINANCIAL STATEMENT
1. RECEIVE THE REPORT OF THE DIRECTORS AND FINANCIAL Management For No
STATEMENTS FOR THE YE 31 MAR 2003
2. APPROVE THE REMUNERATION REPORT OF THE BOARD Management For No
FOR THE YE 31 MAR 2003
3. RE-APPOINT LORD MACLAURIN OF KNEBWORTH DL, A Management For No
DIRECTOR RETIRING IN ACCORDANCE WITH THE COMPANY S
ARTICLES OF ASSOCIATION, AS A DIRECTOR OF THE
COMPANY
4. RE-APPOINT MR. KENNETH HYDON, A DIRECTOR RETIRING Management For No
IN ACCORDANCE WITH THE COMPANY S ARTICLES OF
ASSOCIATION, AS A DIRECTOR OF THE COMPANY
5. RE-APPOINT MR. THOMAS GEITNER, A DIRECTOR RETIRING Management For No
IN ACCORDANCE WITH THE COMPANY S ARTICLES OF
ASSOCIATION, AS A DIRECTOR OF THE COMPANY
6. RE-APPOINT PROFESSOR SIR ALEC BROERS, A DIRECTOR Management For No
RETIRING IN ACCORDANCE WITH THE COMPANY S ARTICLES
OF ASSOCIATION, AS A DIRECTOR OF THE COMPANY
7. RE-APPOINT MR. JURGEN SCHREMPP, A DIRECTOR Management For No
RETIRING IN ACCORDANCE WITH THE COMPANY S ARTICLES
OF ASSOCIATION, AS A DIRECTOR OF THE COMPANY
8. RE-APPOINT DR. JOHN BUCHANAN, A DIRECTOR RETIRING
IN ACCORDANCE WITH THE COMPANY S ARTICLES OF
ASSOCIATION, AS A DIRECTOR OF THE COMPANY
9. APPROVE THAT THE FINAL DIVIDEND RECOMMENDED BY Management For No
THE DIRECTORS OF 0.8983P PER ORDINARY SHARE FOR
THE YE 31 MAR 2003 BE DECLARED PAYABLE ON THE
ORDINARY SHARES OF THE COMPANY TO ALL MEMBERS
WHOSE NAMES APPEAR ON THE REGISTER OF MEMBERS ON 6
JUN 2003 AND THAT SUCH DIVIDEND BE PAID ON 8 AUG
2003
10. RE-APPOINT DELOITTE & TOUCHE AS AUDITORS TO THE Management For No
COMPANY UNTIL THE NEXT AGM
11. AUTHORIZE THE AUDIT COMMITTEE TO DETERMINE THE Management For No
REMUNERATION OF THE AUDITORS
12. AUTHORIZE THE COMPANY AND ANY COMPANY WHICH IS Management For No
OR BECOMES A SUBSIDIARY OF THE COMPANY DURING THE
PERIOD TO WHICH THIS RESOLUTION RELATES AND FOR
THE PURPOSES OF PART XA OF THE COMPANIES ACT 1985,
TO MAKE DONATIONS TO EU POLITICAL ORGANIZATIONS OR
INCUR EU POLITICAL EXPENDITURE DURING THE PERIOD
ENDING ON THE DATE OF THE COMPANY S AGM IN 2004
PROVIDED THAT ANY SUCH DONATIONS AND EXPENDITURE
MADE BY THE COMPANY TOGETHER WITH THOSE MADE BY
ANY SUBSIDIARY COMPANY WHILE IT IS A SUBSIDIARY OF
THE COMPANY SHALL NOT EXCEED IN AGGREGATE GBP
100,000 DURING THAT PERIOD
13. RENEW THE AUTHORITY CONFERRED ON THE DIRECTORS Management For No
BY ARTICLE 16.2 OF THE COMPANY S ARTICLES OF
ASSOCIATION AND FOR THIS PURPOSE: 13.1) THE
SECTION 80 AMOUNT BE USD 900,000,000; AND 13.2)
THE PRESCRIBED PERIOD BE THE PERIOD ENDING ON THE
DATE OF THE AGM IN 2004 OR ON 30 OCT 2004,
WHICHEVER IS THE EARLIER
S.14 APPROVE THAT, SUBJECT TO THE PASSING OF RESOLUTION Management For No
13, THE POWER CONFERRED ON THE DIRECTORS BY ARTICLE
16.3 OF THE COMPANY S ARTICLES OF ASSOCIATION
BE RENEWED FOR THE PRESCRIBED PERIOD SPECIFIED
IN RESOLUTION 13.2 AND FOR SUCH PERIOD THE SECTION
89 AMOUNT BE USD 340,000,000
S.15 AUTHORIZE THE COMPANY, GENERALLY AND UNCONDITIONALLY, Management For No
FOR THE PURPOSES OF SECTION 166 OF THE COMPANIES
ACT 1985, TO MAKE MARKET PURCHASES (AS DEFINED IN
SECTION 163 OF THAT ACT) OF ORDINARY SHARES OF USD
0.10 EACH IN THE CAPITAL OF THE COMPANY PROVIDED
THAT: 15.1) THE MAXIMUM AGGREGATE NUMBER OF
ORDINARY SHARES WHICH MAY BE PURCHASED IS
6,800,000,000; 15.2) THE MINIMUM PRICE WHICH MAY
BE PAID FOR EACH ORDINARY SHARE IS USD 0.10; 15.3)
THE MAXIMUM PRICE (EXCLUDING EXPENSES) WHICH MAY
BE PAID FOR ANY ORDINARY SHARE IS AN AMOUNT EQUAL
TO 105% OF THE AVERAGE OF THE MIDDLE MARKET
CLOSING PRICE OF THE COMPANY S ORDINARY SHARES AS
DERIVED FROM THE OFFICIAL LIST OF THE LONDON STOCK
EXCHANGE FOR THE 5 BUSINESS DAYS IMMEDIATELY
PRECEDING THE DAY ON WHICH SUCH SHARE IS
CONTRACTED TO BE PURCHASED; AND 15.4) THIS
AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE
AGM OF THE COMPANY HELD IN 2004 OR ON 30 OCT 2004,
WHICHEVER IS THE EARLIER, UNLESS SUCH AUTHORITY IS
RENEWED PRIOR TO THAT TIME (EXCEPT IN RELATION TO
THE PURCHASE OF ORDINARY SHARES THE CONTRACT FOR
WHICH WAS CONCLUDED BEFORE THE EXPIRY OF SUCH
AUTHORITY AND WHICH MIGHT BE EXECUTED WHOLLY OR
PARTLY AFTER SUCH EXPIRY)
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 000 553,888 553,888 07/25/2003
------------------------------------------------------------------------------------------------------------------------------------
VIVENDI UNIVERSAL EGM Meeting Date: 08/11/2003
Issuer: F97982AB2 ISIN: FR0000485666 BLOCKING
SEDOL: 7042715, 7070211
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. AMEND CONDITIONS 6 (A), 6 (B) (I) AND 6 (C) OF Management For No
THE TERMS AND CONDITIONS OF THE BONDS CONTAINED IN
THE OFFERING CIRCULAR DATED 27 FEB 2001
2. AUTHORIZE THE ISSUER AND/OR THE FISCAL AGENT Management For No
TO CARRY OUT ALL MEASURES INCIDENTAL TO SUCH
CHANGES TO THE CONDITIONS INCLUDING THE CONTINUED
LISTING OF THE BONDS ON THE LUXEMBOURG STOCK
EXCHANGE AND ALL OTHER NECESSARY FORMALITIES
3. DESIGNATE THE PLACE WHERE THE MINUTES AND OTHER Management For No
DOCUMENTS CONCERNING THE GENERAL MEETING WILL BE
KEPT
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 40,900 40,900 08/01/2003
------------------------------------------------------------------------------------------------------------------------------------
HARMONY GOLD MINING CO LTD EGM Meeting Date: 09/01/2003
Issuer: S34320101 ISIN: ZAE000015228
SEDOL: 0410568, 4410564, 6410562, 7413021
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* PLEASE NOTE THAT THIS IS AN OGM. THANK YOU. Non-Voting Non-Vote Proposal No
1.S1 APPROVE THAT THE AUTHORIZED ORDINARY SHARE CAPITAL Management For No
OF THE COMPANY BE INCREASED FROM ZAR 125,000,000
DIVIDED INTO 250,000,000 ORDINARY SHARES OF 50
CENTS EACH TO ZAR 175,000,000 MILLION DIVDIED INTO
350,000,000 ORDINARY SHARES OF 50 CENTS EACH BY
THE CREATION OF 100,000,000 NEW ORDINARY SHARES OF
50 CENTS EACH RANKING PARI PASSU IN ALL RESPECTS
WITH THE EXISTING ORDINARY SHARES IN THE
AUTHORIZED SHARE CAPITAL OF THE COMPANY
2.O1 APPROVE THE PROPOSAL BY THE COMPANY OF THE SCHEME, Management For No
THE MAKING BY THE COMPANY OF THE SUBSTITUTE OFFER,
AND THE ISSUE BY THE COMPANY OF THE CONSIDERATION
SHARES
3.O2 AUTHORIZE THE COMPANY, SUBJECT TO THE PASSING Management For No
AND REGISTRATION OF THE SPECIALRESOLUTION TO BE
PROPOSED AT THE OGM AT WHICH THIS ORDINARY
RESOLUTION NO. 2 WILL BE PROPOSED, TO ALLOT AND
ISSUE, AFTER PROVIDING FOR THE REQUIREMENTS OF THE
EMPLOYEE SHARE SCHEMES, ALL OR ANY OF THE UNISSUED
ORDINARY SHARES OF 50 CENTS EACH IN THE CAPITAL OF
THE COMPANY, CREATED IN TERMS OF THE SPECIAL
RESOLUTION REFERRED TO ABOVE, AT SUCH TIME OR
TIMES TO SUCH PERSONS OR BODIES CORPORATE UPON
SUCH TERMS AND CONDITIONS AS THE DIRECTORS OF THE
COMPANY MAY FROM TIME TO TIME AT THEIR SOLE
DISCRETION DETERMINE, SUBJECT TO THE PROVISIONS OF
THE ACT AND THE LISTINGS REQUIREMENTS OF THE JSE
4.O3 AUTHORIZE THE DIRECTORS OF THE COMPANY, SUBJECT Management For No
TO THE PASSING AND REGISTRATION OF THE SPECIAL
RESOLUTION TO BE PROPOSED AT THE OGM AT WHICH THIS
ORDINARY RESOLUTION NO. 3 WILL BE PROPOSED, TO
ALLOT AND ISSUE ALL OR ANY OF THE AUTHORIZED BUT
UNISSUED ORDINARY SHARES OF 50 CENTS EACH IN THE
CAPITAL OF THE COMPANY CREATED IN TERMS OF THE
SPECIAL RESOLUTION REFERRED TO ABOVE TO SUCH
PERSON OR PERSONS AND ON SUCH TERMS AND CONDITIONS
AS THE DIRECTORS MAY, WITHOUT RESTRICTION, FROM
TIME TO TIME, DEEM FIT AND WHEN SUITABLE
OPPORTUNITIES ARISE, THEREFORE SUBJECT TO THE
FOLLOWING REQUIREMENTS OF THE LISTING REQUIREMENTS
OF THE JSE: A) THAT THIS AUTHORITY WILL EXPIRE THE
EARLIER OF 15 MONTHS FROM THE PASSING OF THIS
RESOLUTION OR THE CONCLUSION OF THE NEXT AGM; B)
THAT A PAID PRESS ANNOUNCEMENT GIVING FULL DETAILS
WILL BE PUBLISHED AT THE TIME OF ANY ISSUE
REPRESENTING, ON A CUMULATIVE BASIS WITHIN ONE
YEAR, 5% OR MORE OF THE NUMBER OF SHARES IN ISSUE
PRIOR TO THE ISSUES; C) THAT ISSUES IN THE
AGGREGATE IN ONE YEAR WILL NOT EXCEED 15% OF THE
NUMBER OF SHARES OF THE COMPANY S ISSUED ORDINARY
SHARE CAPITAL; D) THAT IN DETERMINING THE PRICE AT
WHICH AN ISSUE OF SHARES MAY BE MADE IN TERMS OF
THIS AUTHORITY, THE MAXIMUM DISCOUNT PERMITTED
WILL BE 10% OF THE WEIGHTED AVERAGE TRADED PRICE
ON THE JSE OF THOSE SHARES OVER THE 30 BUSINESS
DAYS PRIOR TO THE DATE THAT THE PRICE OF THE ISSUE
IS DETERMINED OR AGREED BY THE DIRECTORS OF THE
COMPANY
5.O4 AUTHORIZE ANY ONE OF THE DIRECTORS TO SIGN ALL Management For No
SUCH DOCUMENTS AND DO ALL SUCHTHINGS AS MAY BE
NECESSARY FOR OR INCIDENTAL TO THE IMPLEMENTATION
OF THE SPECIAL AND THE ORDINARY RESOLUTIONS TO
BE PROPOSED AT THE OGM AT WHICH THIS ORDINARY
RESOLUTION NO. 4 WILL BE PROPOSED
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 72,500 72,500 08/30/2003
------------------------------------------------------------------------------------------------------------------------------------
DIAGEO PLC AGM Meeting Date: 10/22/2003
Issuer: G42089113 ISIN: GB0002374006
SEDOL: 0237400, 5399736, 5460494, 5409345
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE THE DIRECTORS AND THE AUDITORS REPORTS Management For No
AND THE ACCOUNTS FOR THE YE 30 JUN 2003
2. APPROVE THE DIRECTORS REMUNERATION REPORT FOR Management For No
THE YE 30 JUN 2003
3. DECLARE A FINAL DIVIDEND ON THE ORDINARY SHARES Management For No
4. RE-ELECT LORD BLYTH OF ROWINGTON AS A DIRECTOR Management For No
5. RE-ELECT MR. J.K. OATES AS A DIRECTOR Management For No
6. RE-ELECT MR. P.S. WALSH AS A DIRECTOR Management For No
7. RE-APPOINT KPMG AUDIT PLC AS THE AUDITORS OF Management For No
THE COMPANY UNTIL THE CONCLUSIONOF THE NEXT
GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE
THE COMPANY AND AUTHORIZE THE DIRECTORS TO
DETERMINE THEIR REMUNERATION
S.8 APPROVE TO RENEW THE POWER CONFERRED ON THE DIRECTORS Management For No
BY PARAGRAPH 4.3 OF ARTICLE 4 OF THE COMPANY S
ARTICLES OF ASSOCIATION FOR A PERIOD EXPIRING AT
THE CONCLUSION OF THE NEXT AGM OF THE COMPANY OR
ON 21 JAN 2005, WHICHEVER IS EARLIER AND FOR SUCH
PERIOD THE MAXIMUM AMOUNT OF EQUITY SECURITIES
WHICH THE DIRECTORS MAY SO ALLOT IN ACCORDANCE
WITH PARAGRAPH 4.4 (C) OF ARTICLE 4 SECTION 95
PRESCRIBED AMOUNT REFERRED TO IN ARTICLE 4.4(C)
SHALL BE GBP 44,833,003
S.9 AUTHORIZE THE COMPANY TO MAKE MARKET PURCHASES Management For No
SECTION 163 OF THE COMPANIES ACT 1985 AS AMENDED
OF UP TO 309,885,718 ORDINARY SHARES OF 28 101/104
PENCE EACH, AT A MINIMUM PRICE OF 28 101/104 PENCE
FOR AN ORDINARY SHARE AND UP TO 105% OF THE
AVERAGE MIDDLE MARKET QUOTATIONS FOR SUCH SHARES
DERIVED FROM THE LONDON STOCK EXCHANGE DAILY
OFFICIAL LIST, OVER THE PREVIOUS 5 BUSINESS DAYS;
AUTHORITY EXPIRES AT THE CONCLUSION OF THE NEXT
AGM ; THE COMPANY, BEFORE THE EXPIRY, MAY MAKE A
CONTRACT TO PURCHASE ORDINARY SHARES WHICH WILL OR
MAY BE EXECUTED WHOLLY OR PARTLY AFTER SUCH EXPIRY
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 100,000 100,000 10/15/2003
------------------------------------------------------------------------------------------------------------------------------------
SYNTHES-STRATEC INC EGM Meeting Date: 10/23/2003
Issuer: 87162M102 ISIN: US87162M1027
SEDOL: 4532673, 2457648, 2518589, 4604840
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE TO INCREASE THE MAXIMUM NUMBER OF MEMBERS Management For No No
OF THE BOARD OF DIRECTORS FROM NINE TO TEN
DIRECTORS AND THE PROPOSED NEW ARTICLE SIXTH (B)
(I)
2. AUTHORIZE THE ISSUANCE OF 510,725 SHARES OF COMMON Management For No No
STOCK FREE OF PREEMPTIVE RIGHTS OF CURRENT Management For No No
SHAREHOLDERS TO SUBSCRIBE FOR SUCH SHARES FOR THE
PURPOSE OF CREATING THE SHARES TO BE DELIVERED IN
ACCORDANCE WITH THE STOCK PURCHASE AGREEMENT,
DATED 12 AUG 2003 RELATING TO THE SALE AND
PURCHASE OF ALL SHARES IN MATHYS MEDICAL LTD.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 10,000 10,000 10/21/2003
------------------------------------------------------------------------------------------------------------------------------------
GREEK ORGANISATION OF FOOTBALL PROGNOSTICS SA OPAP EGM Meeting Date: 10/29/2003
Issuer: X5967A101 ISIN: GRS419003009 BLOCKING
SEDOL: 7107250
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE THE TERMS OF LABOUR CONTRACT 2003 BETWEEN Management For No
GREEK ORGANIZATION OF FOOTBALL S.A. AND THEIR
EMPLOYEES ASSOCIATION
2. APPROVE THE SPONSORSHIPS PLAN 2003 AND PREAPPROVAL Management For No
OF SPONSORSHIPS PLAN 2004
3. APPROVE THE FEES OF COMPANY EXECUTIVES AND Management For No
EMPLOYEES WHO HAVE WORKED FOR THE THIRD SHARES
OFFER, MAR-JUL 2003
4. ELECT THE BOARD OF DIRECTOR MEMBERS BY THE Management For No
SHAREHOLDERS GENERAL MEETING, AFTER THE
MODIFICATION OF COMPANY S ARTICLES OF ASSOCIATION
AND ACCORDING TO THE PROVISIONS OF C.L. 2190/1920
AND THE COMPANY S ARTICLES OF ASSOCIATION
5. ELECT INDEPENDENT NON EXECUTIVE BOARD OF DIRECTOR Management For No
MEMBERS ACCORDING TO THE L.3016/2002
6. APPROVE THE LABOUR CONTRACT BETWEEN GREEK Management For No
ORGANIZATION OF FOOTBALL AND THE MANAGING DIRECTOR
7. AMEND ARTICLE 21 OF THE COMPANY S ARTICLES OF Management For No
ASSOCIATION, GENERAL MANAGERS
8. ISSUES AND ANNOUNCEMENTS Other For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 45,000 45,000 10/15/2003
------------------------------------------------------------------------------------------------------------------------------------
PUBLISHING & BROADCASTING LIMITED AGM Meeting Date: 10/30/2003
Issuer: Q7788C108 ISIN: AU000000PBL6
SEDOL: 6637082, 5636820
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE AND APPROVE THE CONSOLIDATED FINANCIAL Management For No
STATEMENTS OF THE COMPANY AND ITS CONTROLLED
ENTITIES AND THE REPORTS OF THE DIRECTORS AND THE
AUDITOR FOR THE FYE 30 JUN 2003
2.a RE-ELECT MR. JOHN ALEXANDER AS A DIRECTOR, WHO Management For No
RETIRES BY ROTATION IN ACCORDANCE WITH CLAUSE
6.1(F) OF THE COMPANY S CONSTITUTION
2.b RE-ELECT MR. GRAHAM CUBBIN AS A DIRECTOR, WHO Management For No
RETIRES BY ROTATION IN ACCORDANCE WITH CLAUSE
6.1(F) OF THE COMPANY S CONSTITUTION
2.c RE-ELECT MR. RICHARD TURNER AS A DIRECTOR, WHO Management For No
RETIRES BY ROTATION IN ACCORDANCE WITH CLAUSE
6.1(F) OF THE COMPANY S CONSTITUTION
2.d RE-ELECT SIR LAURENCE MUIR AS A DIRECTOR, WHO Management For No
RETIRES BY ROTATION
3. APPROVE TO INCREASE THE TOTAL AGGREGATE Management For No
REMUNERATION TO BE PAID TO THE NON-EXECUTIVE
DIRECTORS IN ANY YEAR BY AUD 650,000 TO AUD
1,000,000
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 160,000 160,000 10/15/2003
------------------------------------------------------------------------------------------------------------------------------------
HARMONY GOLD MINING COMPANY LIMITED HMY Annual Meeting Date: 11/14/2003
Issuer: 413216 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 ADOPTION OF 2003 AUDITED FINANCIAL STATEMENTS Management For No
02 FIXING THE REMUNERATION OF DIRECTORS Management For No
03 DIRECTOR Management For No No
4A RE-ELECTION OF DIRECTOR IN TERMS OF THE COMPANY S Management For No
ARTICLES OF ASSOCIATION: TSA GROBICKI
4B RE-ELECTION OF DIRECTOR IN TERMS OF THE COMPANY S Management For No
ARTICLES OF ASSOCIATION: MF PLEMING
4C RE-ELECTION OF DIRECTOR IN TERMS OF THE COMPANY S Management For No
ARTICLES OF ASSOCIATION: ZB SWANEPOEL
S1 INSERTION OF NEW ARTICLE 2A AS PART OF THE COMPANY S Management For No
ARTICLES OF ASSOCIATION
S2 AMENDING ARTICLE 46 OF THE COMPANY S ARTICLES Management For No
OF ASSOCIATION
S3 AMENDING ARTICLE 103 OF THE COMPANY S ARTICLES Management For No
OF ASSOCIATION
S4 AMENDING ARTICLE 109 OF THE COMPANY S ARTICLES Management For No
OF ASSOCIATION
S5 GRANTING AUTHORITY FOR SHARE REPURCHASES Management For No
O1 APPROVING THE HARMONY (2003) SHARE OPTION SCHEME Management For No
O2 PLACING THE BALANCE OF THE UNISSUED SHARES OF Management For No
THE COMPANY UNDER THE CONTROL OF THE DIRECTORS
O3 AUTHORISING THE DIRECTORS TO ISSUE SHARES FOR Management For No
CASH
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036102B 300 35,000 35,000 11/11/2003
INTERNATIONAL, INC.
------------------------------------------------------------------------------------------------------------------------------------
GREEK ORGANISATION OF FOOTBALL PROGNOSTICS SA OPAP EGM Meeting Date: 12/23/2003
Issuer: X5967A101 ISIN: GRS419003009 BLOCKING
SEDOL: 7107250
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE THE AMENDMENT OF ARTICLE 3 OF THE COMPANY S Management For No
STATUTE-REGISTERED OFFICE
2. APPROVE THE FINAL TERMS OF THE 2003 COLLECTIVE Management For No
LABOUR AGREEMENT BETWEEN OPAP S.A. AND THE UNION
OF ITS EMPLOYEES
3. VARIOUS ISSUES-ANNOUNCEMENTS Other For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST- B01GETF0036102B 45,000 45,000 12/15/2003
INTERNATIONAL, INC.
------------------------------------------------------------------------------------------------------------------------------------
NOVARTIS AG NVS Annual Meeting Date: 02/24/2004
Issuer: 66987V ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL Management For No No
STATEMENTS OF NOVARTIS AG AND THE GROUP CONSOLIDATED
FINANCIAL STATEMENTS FOR THE YEAR 2003.
02 APPROVAL OF THE ACTIVITIES OF THE BOARD OF DIRECTORS. Management For No No
03 APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS Management For No No
AG AS PER BALANCE SHEET AND DECLARATION OF DIVIDEND.
04 CONVERSION OF GENERAL RESERVES INTO FREE RESERVES. Shareholder For No No
05 REDUCTION OF SHARE CAPITAL. Shareholder For No No
06 FURTHER SHARE REPURCHASE PROGRAM. Shareholder For No No
07 AMENDMENT TO THE ARTICLES OF INCORPORATION. Management For No No
8A ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management For No No
OF PROF. DR. HELMUT SIHLER FOR A THREE-YEAR TERM.
8B ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management For No No
OF MR. HANS-JORG RUDLOFF FOR A THREE-YEAR TERM.
8C ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management For No No
OF DR. DANIEL VASELLA FOR A THREE-YEAR TERM.
9 APPOINTMENT OF THE AUDITORS AND THE GROUP AUDITORS. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 109 41,000 41,000 02/15/2004
------------------------------------------------------------------------------------------------------------------------------------
GREEK ORGANISATION OF FOOTBALL PROGNOSTICS SA OPAP AGM Meeting Date: 02/27/2004
Issuer: X5967A101 ISIN: GRS419003009 BLOCKING
SEDOL: 7107250
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE THE FINANCIAL STATEMENTS FOR THE FY 2003 Management For No
AFTER HEARING THE BOARD OF DIRECTOR S AND THE
AUDITORS RELEVANT REPORTS
2. APPROVE THE PROFITS APPROPRIATION Management For No
3. APPROVE THE EXEMPTION OF THE MEMBERS OF THE BOARD
OF DIRECTORS AND THE CERTIFIED AUDITORS FROM ANY
LIABILITY FOR INDEMNITY REGARDING THE FY 2003
4. ELECT THE CERTIFIED AUDITORS, 2 REGULAR AND 2 Management For No
SUBSTITUTE, FOR THE FY 2004 AND APPROVE TO
DETERMINE THEIR REMUNERATION
5. APPROVE THE REMUNERATION OF THE MEMBERS AND Management For No
SECRETARY OF THE BOARD OF DIRECTORS FOR THE FY 2004
6. APPROVE THE PARTICIPATION OF THE MEMBERS OF THE Management For No
BOARD OF DIRECTORS IN COMMITTEES AND APPROVE THE
LUMP SUM FOR THE FY 2004
7. RATIFY THE ELECTION OF NEW MEMBERS OF THE BOARD Management For No
OF DIRECTORS IN REPLACEMENT OF THOSE WHO RESIGNED
8. APPROVE THE ACQUISITION CONTRACTS OF BET AND Management For No
TECHNOLOGY DEVELOPMENT COMPANIES IN CYPRUS
9. MISCELLANEOUS ANNOUNCEMENTS Other For No
* PLEASE NOTE THAT THIS IS AN ORDINARY GENERAL Non-Voting Non-Vote Proposal No
MEETING. THANK YOU
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 45,000 45,000 02/16/2004
------------------------------------------------------------------------------------------------------------------------------------
NRJ GROUP EGM Meeting Date: 03/09/2004
Issuer: F6637Z112 ISIN: FR0000121691 BLOCKING
SEDOL: 5996126
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* PLEASE NOTE THAT THIS IS A COMBINED MEETING. THANK Non-Voting Non-Vote Proposal No
YOU.
O.1 RECEIVE THE EXECUTIVE COMMITTEE REPORT AND THE Management For No
GENERAL AUDITOR S REPORT, AND APPROVE THE ACCOUNTS
AND THE BALANCE SHEET FOR THE FISCAL YEAR CLOSED
30 SEP 2003; ACKNOWLEDGE THAT THE PROFITS FOR
THE FY IS EUR 6,871,753.55
O.2 ACKNOWLEDGE THAT THE CONSOLIDATED ACCOUNTS WERE Management For No
PRESENTED, AND THAT THE EXECUTIVE COMMITTEE REPORT
FOR THE GROUP IS INCLUDED IN THE SUPERVISORY
BOARD REPORT; CONSOLIDATED NET INCOME: EUR 52,201.00
AND NET INCOME SHARE GROUP EUR 52,148.00
O.3 APPROVE THE APPROPRIATION OF PROFITS AS FOLLOWS: Management For No
PROFITS FOR THE FY: EUR 6,871,753.55; SPECIAL
RESERVE ON LONG TERM CAPITAL GAINS: EUR 179,052.93;
GLOBAL DIVIDEND: EUR 18,160,948.00; AND, THE
SHAREHOLDERS WILL RECEIVE A NET DIVIDEND OF EUR
0.21, WITH A CORRESPONDING TAX CREDIT OF EUR
0.1050; THIS DIVIDEND WILL BE PAID ON 15 MAR 2004
O.4 APPROVE THE SPECIAL AUDITOR S REPORT, IN ACCORDANCE Management For No
WITH THE PROVISIONS OF ARTICLE L.225-86 AND FOLLOWING
OF THE LAW OF THE COMMERCIAL LAW
O.5 ACKNOWLEDGE THE INFORMATION CONTAINED IN THE Management For No
REPORT OF THE EXECUTIVE COMMMITTEE ON THE PLANS
OF STOCK-OPTIONS
O.6 GRANT PERMANENT DISCHARGE TO THE MEMBERS OF THE Management For No
EXECUTIVE COMMITTEE AND THE SUPERVISORY BOARD
FOR THE COMPLETION OF ITS ASSIGNMENT FOR THE
CURRENT YEAR
O.7 APPROVE TO ALLOCATE EUR 50,000.00 TO THE MEMBERS Management For No
OF THE SUPERVISORY BOARD
O.8 APPOINT MR. ANTOINE GISCARD D. ESTAING AS MEMBER Management For No
OF SUPERVISORY BOARD FOR A PERIOD OF 2 YEARS
O.9 APPOINT MR. HERVE PHILIPPE AS MEMBER OF SUPERVISORY Management For No
BOARD FOR A PERIOD OF 2 YEARS
O.10 GRANT ALL POWERS TO THE BEARER OF A COPY OR AN Management For No
EXTRACT OF THE MINUTES OF THE PRESENT TO ACCOMPLISH
ALL DEPOSITS AND PUBLICATIONS PRESCRIBED BY LAW
O.11 APPROVE TO MODIFY THE ARTICLE OF ASSOCIATION Management For No
NUMBER 13.2
O.12 APPROVE TO MODIFY THE ARTICLE OF ASSOCIATION Management For No
NUMBER 13.3B
O.13 APPROVE TO MODIFY THE ARTICLE OF ASSOCIATION Management For No
NUMBER 19
E.14 AUTHORIZE THE EXECUTIVE COMMITTEE TO PROCEED, Management For No
IN FRANCE OR ABROAD, WITH THE ISSUE OF NEW SHARES,
RESERVED TO THE EMPLOYEES OF THE COMPANY, UP TO A
NOMINAL AMOUNT OF EUR 10,000.00; AND AUTHORIZE THE
EXECUTIVE COMMITTEE TO TAKE ALL NECESSARY MEASURES
AND ACCOMPLISH ALL FORMALITIES NECESSARY TO
CARRY-OUT THE ADOPTED CAPITAL INCREASE; AUTHORITY
EXPIRES AT THE END OF 26 MONTHS ;
O.15 GRANT ALL POWERS TO THE BEARER OF A COPY OR AN Management For No
EXTRACT OF THE MINUTES OF THE PRESENT TO ACCOMPLISH
ALL DEPOSITS AND PUBLICATIONS PRESCRIBED BY LAW
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 40,375 40,375 03/01/2004
------------------------------------------------------------------------------------------------------------------------------------
UBS AG AGM Meeting Date: 04/15/2004
Issuer: H8920M855 ISIN: CH0012032030 BLOCKING
SEDOL: 2193607, 7126114, 2782179
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE THE ANNUAL REPORT, THE GROUP AND THE Management For No
PARENT COMPANY ACCOUNTS FOR 2003, REPORTS OF THE
GROUP AND THE STATUTORY AUDITORS
2. APPROVE THE APPROPRIATION OF RETAINED EARNINGS Management For No
DIVIDEND FOR FY 2003
3. GRANT DISCHARGE TO THE MEMBERS OF THE BOARD OF Management For No
DIRECTORS AND THE GROUP EXECUTIVE BOARD
4.1 RE-ELECT SIR PETER DAVIS AS A DIRECTOR Management For No
4.2.1 ELECT MR. STEPHAN HAERINGER AS A NEW BOARD MEMBER Management For No
4.2.2 ELECT MR. HELMUT PANKE AS A NEW BOARD MEMBER Management For No
4.2.3 ELECT MR. PETER SPUHLER AS A NEW BOARD MEMBER Management For No
4.3 RE-ELECT ERNST YOUNG LTD., BASEL, AS THE GROUP Management For No
AND THE STATUTORY AUDITORS
5.1 APPROVE TO CANCEL THE SHARES REPURCHASED UNDER Management For No
THE 2003/2004 SHARE BUYBACK PROGRAM AND RESPECTIVE
AMENDMENT OF ARTICLE 4 OF THE ARTICLES OF ASSOCIATION
5.2 APPROVE THE NEW 2004/2005 SHARE BUYBACK PROGRAM Management For No
* PLEASE NOTE THAT THIS IS THE PART II OF THE NOTICE Non-Voting Non-Vote Proposal No
SENT UNDER MEETING #118239. THANK YOU
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 20,000 20,000 04/10/2004
------------------------------------------------------------------------------------------------------------------------------------
TELEFONICA MOVILES SA OGM Meeting Date: 04/16/2004
Issuer: E9016S114 ISIN: ES0178401016
SEDOL: 4695532
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* PLEASE NOTE THAT THIS IS AN AMENDMENT TO MID Non-Voting Non-Vote Proposal No
#125936 DUE TO AN ADDITIONAL RESOLUTION. PLEASE
ALSO NOTE THE NEW CUTOFF DATE. ALL VOTES RECEIVED
ON THE PREVIOUS MEETING WILL BE DISREGARDED AND
YOU WILL NEED TO REINSTRUCT ON THIS NOTICE OF
MEETING. THANK YOU.
1. APPROVE THE ANNUAL STATEMENTS AND MANAGEMENT Management For No
REPORT BOTH FOR TELEFONICA MOVILES, S.A., AS
WELL AS FOR IT S CONSOLIDATED GROUP OF CORPORATIONS,
AS WELL AS OF THE ALLOCATION OF THE EARNINGS
OF TELEFONICA MOVILES, S.A. AND OF THE MANAGEMENT
BY ITS BOARD OF DIRECTORS, ALL WITH REGARD TO
THE FY CORRESPONDING TO THE YE 2003
2. APPROVE THE CASH DIVIDEND DISTRIBUTION TO THE Management For No
SHAREHOLDERS WITH A CHARGE TO THE EARNINGS OF THE
FY 2003
3. APPOINT AN AUDITOR FOR THE FY 2004 Management For No
4. AUTHORIZE THE ACQUISITION OF ITS OWN SHARES, Management For No
EITHER DIRECTLY OR THROUGH CORPORATIONS WITHIN THE
GROUP
5. APPROVE THE GENERAL SHAREHOLDERS MEETING CODE Management For No
OF CONDUCT
6. AUTHORIZE THE BOARD OF DIRECTORS TO FORMALIZE, Management For No
CORRECT, INTERPRET AND IMPLEMENT THE RESOLUTIONS
ADOPTED ON THE GENERAL MEETING
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 90,000 90,000 04/01/2004
------------------------------------------------------------------------------------------------------------------------------------
TECHNIP (EX-TECHNIP-COFLEXIP), PARIS MIX Meeting Date: 04/21/2004
Issuer: F90676101 ISIN: FR0000131708 BLOCKING
SEDOL: 4122018, 4874160
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O.1 APPROVE THE ACCOUNTS AND THE BALANCE SHEET FOR Management For No
THE FYE ON 31 DEC 2003, AS PRESENTED TO IT
O.2 APPROVE THE PROFITS FOR FY: EUR 8,298,133.22; Management For No
THE LEGAL RESERVE: 10% OF THE SHARE CAPITAL
O.3 ACKNOWLEDGE THAT THE CONSOLIDATED ACCOUNTS WERE Management For No
PRESENTED, AND THAT THE BOARDOF DIRECTORS REPORT
FOR THE GROUP IS INCLUDED IN THE BOARD OF DIRECTORS
REPORT
O.4 APPROVE THE AUDITORS SPECIAL REPORT, IN ACCORDANCE Management For No
WITH THE PROVISIONS OF ARTICLE L. 225-38 AND
FOLLOWING THE FRENCH COMMERCIAL LAW
O.5 GRANT PERMANENT DISCHARGE TO THE MEMBERS OF THE Management For No
SUPERVISORY BOARD AND TO THE DIRECTORS FOR THE
COMPLETION OF THEIR ASSIGNMENT FOR THE CURRENT
YEAR
O.6 GRANT TO THE BOARD OF DIRECTORS FEES IN REMUNERATION Management For No
FOR THEIR SERVICES FOR AN AMOUNT OF EUR 250,000.00
WHICH SHALL REMAIN UNTIL FURTHER NOTICE IS GIVEN
BY THE SHAREHOLDERS GENERAL MEETING; THE BOARD OF
DIRECTORS SHALL BEAR THE RIGHT TO DISTRIBUTE THIS
AMOUNT AS IT SEES FIT AMONG ITS MEMBERS; THE
PRESENT RESOLUTION CANCELS THE AUTHORIZATION GIVEN
TO THE BOARD OF DIRECTORS BY THE COMBINED GENERAL
MEETING DATED 11 APR 2003 IN ITS RESOLUTION 19
O.7 APPROVE TO RENEW THE TERMS OF OFFICE OF THE CABINET Management For No
BARBIER, FRINAULT ET AUTRES AS THE STATUTORY
AUDITORS FOR A PERIOD OF 6 YEARS
O.8 APPOINT THE CABINET PRICEWATERHOUSECOOPERS AUDIT Management For No
AS THE STATUTORY AUDITOR
O.9 APPROVE TO RENEW THE TERM OF OFFICE OF FRINAULT Management For No
ET AUTRES AS A DEPUTY AUDITORFOR A PERIOD OF
6 YEARS
O.10 APPOINT M. YVES NICOLAS AS THE DEPUTY AUDITOR Management For No
FOR A PERIOD OF 6 YEARS
O.11 AUTHORIZE THE BOARD OF DIRECTORS TO TRADE THE Management For No
COMPANY S SHARES ON THE STOCK EXCHANGE, NOTABLY IN
VIEW OF ADJUSTING THEIR PRICE AS PER THE FOLLOWING
CONDITIONS: MAXIMUM PURCHASE PRICE: EUR 150.00,
MINIMUM SELLING PRICE: EUR 75.00; MAXIMUM NUMBER
OF SHARES TO BE TRADED: 10% OF THE SHARE CAPITAL;
AUTHORITY IS GIVEN FOR A PERIOD OF 18 MONTHS ;
AUTHORIZE THE BOARD OF DIRECTORS TO TAKE ALL
NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY
FORMALITIESC
E.12 APPROVE TO OVERHAUL THE ARTICLES OF ASSOCIATION Management For No
IN ORDER TO HARMONIZE THEM WITH THE LEGAL PROVISIONS
IN FORCE
O.13 APPROVE THE SHAREHOLDING PLAN IN FAVOR OF THE Management For No
EMPLOYEES OF THE AMERICAN COMPANIES OF THE GROUP
WITHIN THE CONTEXT OF THE CAPITAL INCREASES
O.14 APPROVE TO DELEGATE ALL POWERS TO THE BOARD OF Management For No
DIRECTORS TO PROCEED, IN FRANCE OR ABROAD, WITH
THE ISSUE OF SHARES OR SECURITIES FOR A MAXIMUM
NOMINAL AMOUNT OF EUR 37,500,000.00; AUTHORITY IS
GIVEN TILL 11 JUN 2005 ; AUTHORIZE THE BOARD OF
DIRECTORS TO TAKE ALL NECESSARY MEASURES AND
ACCOMPLISH ALL NECESSARY FORMALITIES
O.15 AUTHORIZE THE BOARD OF DIRECTORS TO USE THE AUTHORIZATIONS Management For No
GRANTED BY THE RESOLUTIONS 4,5,6 AT THE COMBINED
GENERAL MEETING OF 11 JUL 2003 AS WELL AS THE
RESOLUTION 14 OF THE PRESENT MEETING, IN A PERIOD
OF TAKE-OVER OR EXCHANGED BID UPON THE SECURITIES
OF THE COMPANY; AUTHORITY IS VALID TILL THE ISSUE
OF THE GENERAL MEETING WHICH WILL HAVE TO
DELIBERATE UPON THE ACCOUNTS OF THE FYE 31 DEC
2004
O.16 GRANT ALL POWERS TO THE BEARER OF A COPY OR AN Management For No
EXTRACT OF THE MINUTES OF THE PRESENT IN ORDER
TO ACCOMPLISH ALL DEPOSITS AND PUBLICATIONS WHICH
ARE PRESCRIBED BY LAW
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 7,500 7,500 04/01/2004
------------------------------------------------------------------------------------------------------------------------------------
BOUYGUES, GUYANCOURT MIX Meeting Date: 04/22/2004
Issuer: F11487125 ISIN: FR0000120503 BLOCKING
SEDOL: 4002121, 7164028, 4115159, 2696612, 4067528
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O.1 APPROVE THE ACCOUNTS AND THE BALANCE SHEET FOR Management For No
THE FY 2003, OF NET PROFITS EUR 216,422,001.36
AND GRANT PERMANENT DISCHARGE TO THE DIRECTORS
ON COMPLETION OF THEIR ASSIGNMENTS FOR THE FY
2003
O.2 APPROVE THE CONSOLIDATED ACCOUNTS AT 31 DEC 2003, Management For No
OF NET PROFITS GROUP SHARES EUR 450,000,000.00
O.3 APPROVE THE APPROPRIATION OF PROFITS AS FOLLOWS: Management For No
PROFITS FOR THE FY: EUR 219,302,777.88; SPECIAL
RESERVE ON LONG TERM CAPITAL GAIN: EUR 5,437,937.00;
GLOBAL DIVIDEND: EUR 16,659,988.45; ADDITIONAL
DIVIDEND: 149,939,986.05; BALANCE CARRIED FORWARD:
EUR 47,264,856.38; AND, THE SHAREHOLDERS WILL
RECEIVE A NET DIVIDEND OF EUR 0.50, WITH A CORRESPONDING
TAX CREDIT OF EUR 0.25; THIS DIVIDEND WILL BE
PAID ON 29 APR 2004
O.4 APPROVE THE SPECIAL AUDITORS REPORT, IN ACCORDANCE Management For No
WITH THE PROVISIONS OF ARTICLES L.225-40 AND
L.225-38 OF THE FRENCH COMMERCIAL LAW
O.5 APPOINT MR. CHARLES DE CROISSET AS A DIRECTOR Management For No
REPLACING MR. ALAIN POUYAT, FOR THE UNEFFECTED
PART OF HIS TERM
O.6 APPOINT MR. THIERRY JOURDAINE AS A DIRECTOR REPLACING Management For No
MR. DANIEL DEVILLEBICHOT, FOR THE UNEFFECTED
PART OF HIS TERM
O.7 APPROVE TO RENEW THE TERM OF OFFICE OF MR. CHARLES Management For No
DE CROISSET AS A DIRECTOR FOR 6 YEARS
O.8 APPROVE TO RENEW THE TERM OF OFFICE OF MR. YVES Management For No
GABRIEL AS A DIRECTOR FOR 6 YEARS
O.9 APPROVE TO RENEW THE TERM OF OFFICE OF MR. FINANCIERE Management For No
PINAULT AS A DIRECTOR FOR 6 YEARS
O.10 APPOINT MR. ALAIN POUYAT AS A DIRECTOR FOR 6 Management For No
YEARS
O.11 APPROVE TO RENEW THE TERM OF OFFICE OF MAZARS Management For No
ET GUERARD AS THE AUDITOR FOR 6 YEARS
O.12 APPROVE TO RENEW THE TERM OF OFFICE OF THIERRY Management For No
COLIN AS THE DEPUTY AUDITOR FOR 6 YEARS
O.13 AUTHORIZE THE BOARD, IN SUBSTITUTION FOR THE Management For No
AUTHORITY OF THE CGM ON 25 MAY 2000, TO ISSUE DEBT
SECURITIES FOR A MAXIMUM AMOUNT OF EUR
4,000,000,000.00, SECURITIES WITH INTEREST RATE
AND/OR PREMIUM SHOULD BE INCLUDED IN THIS AMOUNT;
AUTHORITY EXPIRES AT THE END OF 5 YEARS
O.14 AUTHORIZE THE BOARD, IN SUBSTITUTION FOR THE Management For No
AUTHORITY OF THE CGM ON 24 APR 2003, TO REPURCHASE
THE COMPANY SHARES AT A MAXIMUM PRICE OF 1,000,000,000.00;
NOT EXCEEDING 10% OF THE SHARE CAPITAL ; TO TRADE
THE COMPANY S SHARES ON THE STOCK EXCHANGE IN VIEW
OF ADJUSTING THEIR PRICE AS PER THE FOLLOWING
CONDITIONS: AT A MAXIMUM PRICE OF EUR 50.00;
MINIMUM PRICE OF EUR 20.00; AUTHORITY EXPIRES AT
THE END OF 18 MONTHS
E.15 AUTHORIZE THE BOARD, IN SUBSTITUTION FOR THE Management For No
AUTHORITY OF THE CGM ON 25 APR 2002, TO INCREASE
THE SHARE CAPITAL BY ISSUING SHARES AND
SECURITIES, GIVING ACCESS TO THE SHARE CAPITAL
WITH PREFERENTIAL SUBSCRIPTION RIGHT AND BY
INCORPORATION OF RESERVES, NOT MORE THAN EUR
150,000,000.00 EUR 4,000,000,000.00 FOR DEBIT
SECURITIES , THEY SHALL BE GRANTED PREFERABLY TO
THE OWNERS OF SHARES AND INVESTMENT CERTIFICATES
WHO CAN SUBSCRIBE AS OF RIGHT; AUTHORITY EXPIRES
AT THE END OF 26 MONTHS
E.16 AUTHORIZE THE BOARD, IN SUBSTITUTION FOR THE Management For No
AUTHORITY OF THE CGM ON 25 APR 2002, TO ISSUE
SHARES AND SECURITIES CAPITAL BY ISSUING SHARES
AND SECURITIES, GIVING ACCESS TO THE SHARE CAPITAL
WITH PREFERENTIAL SUBSCRIPTION RIGHT AND BY
INCORPORATION OF RESERVES, NOT MORE THAN EUR
150,000,000.00 EUR 4,000,000,000.00 FOR DEBIT
SECURITIES , THESE LIMITS SHALL BE INCLUDED IN THE
LIMITS SET FOR RESOLUTION 15 ABOVE, SUCH
SECURITIES MAY REMUNERATE SECURITIES BROUGHT TO
THE COMPANY IN A PUBLIC EXCHANGE OFFER INITIATED
IN ACCORDANCE WITH ARTICLE L.225-148 OF THE FRENCH
COMMERCIAL LAW; AUTHORITY EXPIRES AT THE END OF 26
MONTHS
E.17 APPROVE THAT RESOLUTION 15 AND 16 ABOVE SHALL Management For No
BE USED IN A PERIOD OF TAKE-OVER BID OR EXCHANGE
THE AMOUNT OF EUR 150,000,000,000.00; THE
AUTHORITY IS VALID TILL THE MEETING CALLED TO
DELIBERATE ON THE 2004 ACCOUNTS AND APPROVE THE
SUBSCRIBERS TO THE 1.70% 1999-2006 BOUYGUES LOAN
ON 16 APR 2004;
E.18 AUTHORIZE THE BOARD TO ISSUE SHARES TO BE PAID-UP Management For No
IN CASH, NOT EXCEEDING 10% OF THE SHARE CAPITAL,
THIS SHARE ISSUE BE RESERVED TO THE EMPLOYEES OF
THE GROUP WHO SUBSCRIBED TO 1 OF THE GROUP SAVING
PLANS, SUCH CAPITAL INCREASE SHALL NOT EXCEED 10%
OF THE TOTAL CAPITAL INCREASE RESULTING FROM
RESOLUTIONS 15 AND 16 ABOVE; AND; THE BOARD SHALL
DELIBERATE ON THE ADVISABILITY OF THIS CAPITAL
INCREASE; AUTHORITY EXPIRE AT THE END OF 26 MONTHS
E.19 GRANT ALL POWER TO THE BOARD TO DECREASE THE Management For No
SHARE CAPITAL, BY CANCELING REPURCHASED SHARES,
NOT EXCEEDING 10% OF THE SHARE CAPITAL IN 24
MONTHS; REDUCE THE SHARE CAPITAL AND MODIFY THE
ARTICLES ACCORDINGLY; AUTHORITY EXPIRES AT THE
END OF 18 MONTHS ;
E.20 AUTHORIZE THE BOARD TO ISSUE OPTIONS TO SUBSCRIBE Management For No
OR TO BUY SHARES, IN ACCORDANCE WITH ARTICLE
L.225-182 OF THE FRENCH DECREE OF 23 MAR 1967,
THESE OPTIONS SHALL BE EXERCISED NOT LATER THAN 7
YEARS AFTER THEY ARE GRANTED AND ARE RESERVED TO
SOME CATEGORIES OF EMPLOYEES AND SOCIAL
REPRESENTATIVES; AUTHORITY EXPIRES AT THE END OF
28 MONTHS ;
E.21 MODIFY THE BY-LAWS ARTICLES 13 IN ACCORDANCE Management For No
WITH FINANCIAL SECURITY LAW
E.22 MODIFY THE BY-LAWS ARTICLES 15 IN ACCORDANCE Management For No
WITH FINANCIAL SECURITY LAW
E.23 DELEGATE ALL POWERS FOR THE BOARD OF DIRECTORS Management For No
TO GRANT STOCK OPTIONS
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 25,000 25,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
SYNTHES-STRATEC INC AGM Meeting Date: 04/22/2004
Issuer: 87162M102 ISIN: US87162M1027 BLOCKING
SEDOL: 4532673, 2457648, 2518589, 4604840
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE THE REPORT ON THE BUSINESS YEAR 2003 Non-Voting Non-Vote Proposal No
2. APPROVE THE REPORT ON THE FY, THE ANNUAL ACCOUNTS Management For No
AND THE CONSOLIDATED ACCOUNTS FOR 2003
3. APPROVE THE REPORT ON DIVIDEND APPROVED BY THE Management For No
BOARD OF DIRECTORS
4. ELECT THE BOARD OF DIRECTORS Management For No
5. RATIFY THE SELECTION OF HOLDING COMPANY AND GROUP Management For No
AUDITORS FOR 2004
6. AMEND THE CERTIFICATE OF INCORPORATION: STOCK Management For No
SPLIT
7. AMEND THE CERTIFICATE OF INCORPORATION: CHANGE Management For No
OF COMPANY NAME
8. AUTHORIZE THE BOARD OF DIRECTORS FOR A ONE-TIME Management For No
ISSUANCE OF COMMON STOCK
* MISCELLANEOUS Non-Voting Non-Vote Proposal No
* THE PRACTICE OF SHARE BLOCKING VARIES WIDELY Non-Voting Non-Vote Proposal No
IN THIS MARKET. PLEASE CONTACT YOUR ADP CLIENT
SERVICE REPRESENTATIVE TO OBTAIN BLOCKING INFORMATION
FOR YOUR ACCOUNTS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 10,000 10,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
AVIVA PLC AGM Meeting Date: 04/27/2004
Issuer: G0683Q109 ISIN: GB0002162385
SEDOL: 0216238, 4191007, 4100490, 5983991
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE AND APPROVE THE COMPANY S REPORT AND Management For No
THE ACCOUNTS FOR THE YE 31 DEC 2003
2. DECLARE A FINAL DIVIDEND OF 15.15 PENCE PER Management For No
ORDINARY SHARE OF THE COMPANY FORTHE YE 31 DEC
2003 TO BE PAID ON 17 MAY 2004 TO THE SHAREHOLDERS
WHO ARE IN THE REGISTER OF MEMBER AT THE CLOSE OF
BUSINESS ON 26 MAR 2004
3. ELECT MS. ANNA CATALANO AS A DIRECTOR OF THE Management For No
COMPANY UNTIL THE NEXT AGM
4. ELECT MS. CAROLE PIWNICA AS A DIRECTOR OF THE Management For No
COMPANY UNTIL THE NEXT AGM
5. RE-ELECT MR. GEORGE PAUL AS A DIRECTOR OF THE Management For No
COMPANY, WHO RETIRES BY ROTATION IN ACCORDANCE
WITH THE ARTICLES OF ASSOCIATION
6. RE-ELECT MR. PHILIP SCOTT AS A DIRECTOR OF THE Management For No
COMPANY, WHO RETIRES BY ROTATION IN ACCORDANCE
WITH THE ARTICLES OF ASSOCIATION
7. RE-ELECT MR. PATRICK SNOWBALL AS A DIRECTOR OF Management For No
THE COMPANY, WHO RETIRES BY ROTATION IN ACCORDANCE
WITH THE ARTICLES OF ASSOCIATION
8. RE-ELECT MRS. ELIZABETH VALLANCE AS A DIRECTOR Management For No
OF THE COMPANY, WHO RETIRES BYROTATION IN
ACCORDANCE WITH THE ARTICLES OF ASSOCIATION
9. RE-APPOINT ERNST & YOUNG LLP AS THE AUDITORS Management For No
OF THE COMPANY UNTIL THE CONCLUSION OF THE NEXT AGM
10. AUTHORIZE THE DIRECTORS TO DETERMINE THE AUDITOR S
REMUNERATION
11. APPROVE TO RENEW THE AUTHORITY CONFERRED ON THE Management For No
DIRECTORS BY ARTICLE 5.04(A) OF THE COMPANY S
ARTICLES OF ASSOCIATION; AND AUTHORIZE THE DIRECTORS,
FOR THE PURPOSES OF SECTION 80 OF THE COMPANIES
ACT 1985, TO ALLOT THE COMPANY S UNISSUED SHARES
UP TO AN NOMINAL AMOUNT OF GBP 185 MILLION THE
AMOUNT OF THE COMPANY S AUTHORIZED BUT UNISSUED
SHARE CAPITAL AS AT 24 FEB 2004 BEING
APPROXIMATELY 33% OF THE TOTAL ISSUED ORDINARY
SHARE CAPITAL ; AUTHORITY EXPIRES THE EARLIER OF
THE CONCLUSION OF THE NEXT AGM OF THE COMPANY OR
15 MONTHS
S.12 APPROVE TO RENEW THE POWER CONFERRED ON THE DIRECTORS Management For No
BY ARTICLE 5.04(B) OF THE COMPANY S ARTICLES OF
ASSOCIATION AND AUTHORIZE THE DIRECTORS TO ALLOT
EQUITY SECURITIES OF THE COMPANY FOR CASH,
DISAPPLYING THE STATUTORY PRE-EMPTION RIGHTS
SECTION 89 , PROVIDED THAT THIS POWER IS LIMITED
TO THE ALLOTMENT OF EQUITY SECURITIES IN
CONNECTION WITH A RIGHTS OR SCRIP DIVIDEND, OR
OTHER SIMILAR ISSUE AND UP TO AN AGGREGATE NOMINAL
AMOUNT OF GBP 28 MILLION 5% OF THE ISSUED SHARE
CAPITAL OF THE COMPANY AS AT 24 FEB 2004 ;
AUTHORITY EXPIRES THE EARLIER OF THE CONCLUSION OF
THE NEXT AGM OF THE COMPANY OR 15 MONTHS ; AND
AUTHORIZE THE DIRECTORS TO ALLOT EQUITY SECURITIES
AFTER THE EXPIRY OF THIS AUTHORITY IN PURSUANCE OF
SUCH AN OFFER OR AGREEMENT MADE PRIOR TO SUCH
EXPIRY
13. APPROVE, IN ACCORDANCE WITH SECTION 241A OF THE Management For No
COMPANIES ACT 1985 AND THE DIRECTOR S REMUNERATION
REPORT REGULATIONS 2002, TO APPROVE THE DIRECTOR S
REMUNERATION REPORT CONTAINED IN THE REPORT AND
THE ACCOUNTS FOR THE YE 31 DEC 2003
14. AUTHORIZE THE COMPANY TO MAKE DONATIONS TO EU Management For No
POLITICAL ORGANIZATIONS AND INCUR EU POLITICAL
EXPENDITURE IN AN AGGREGATE AMOUNT NOT EXCEEDING
GBP 100,000 IN EACH SUCCESSIVE PERIOD OF 12
MONTHS; AUTHORITY EXPIRES THE EARLIER OF THE DATE
OF THE NEXT AGM OF THE COMPANY THE EARLIER OF THE
CONCLUSION OF THE AGM OF THE COMPANY IN 2008 OR 48
MONTHS
15. AUTHORIZE THE DIRECTORS TO: A) EXERCISE THE POWER Management For No
CONFERRED ON THEM BY ARTICLE 31.16 OF THE COMPANY S
S ARTICLES OF ASSOCIATION SO THAT THE HOLDERS OF
ORDINARY SHARES IN THE COMPANY BE PERMITTED TO
ELECT TO RECEIVE NEW ORDINARY SHARES IN THE
COMPANY, CREDITED AS FULLY PAID, INSTEAD OF THE
WHOLE OR PAR OF ANY DIVIDENDS INCLUDING INTERIM
DIVIDEND PAID BY THE DIRECTORS OR DECLARED BY THE
COMPANY IN GENERAL MEETING AS THE CASE BE AFTER 27
APR 2004 AND ON OR BEFORE 26 APR 2009; AND B)
CAPITALIZE AN AMOUNT EQUAL TO THE AGGREGATE
NOMINAL VALUE OF THE NEW ORDINARY SHARES OF THE
COMPANY TO BE ALLOTTED PURSUANT TO ANY ELECTIONS
MADE AS AFORESAID OUT OF THE AMOUNT STANDING TO
THE CREDIT OF RESERVES INCLUDING ANY SHARE PREMIUM
ACCOUNT OR CAPITAL REDEMPTION RESERVE OR THE
PROFIT AND LOSS ACCOUNT, TO APPLY SUCH SUM IN
PAYING UP SUCH ORDINARY SHARES IN THE COMPANY IN
FULL AND TO ALLOT SUCH ORDINARY SHARES TO THE
SHAREHOLDERS OF THE COMPANY VALIDLY MAKING SUCH
ELECTIONS IN ACCORDANCE WITH THEIR RESPECTIVE
S.16 AMEND ARTICLES 5.04, 3.04, 16.01, 18.09, 16.05, Management For No
18.02 AND 31.16 OF THE COMPANY S ARTICLES OF
ASSOCIATION
S.17 AUTHORIZE THE COMPANY TO MAKE MARKET PURCHASES Management For No
SECTION 163(3) OF THE COMPANIES ACT 1985 OF UP TO
225 MILLION ORDINARY SHARES 10% OF THE ISSUED
ORDINARY SHARE CAPITAL OF 25 PENCE EACH IN THE
CAPITAL OF THE COMPANY, AT A MINIMUM PRICE OF 25
PENCE AND UP TO 105% OF THE AVERAGE MIDDLE MARKET
QUOTATIONS FOR SUCH SHARES DERIVED FROM THE LONDON
STOCK EXCHANGE DAILY OFFICIAL LIST, OVER THE
PREVIOUS 5 BUSINESS DAYS; AUTHORITY EXPIRES THE
EARLIER OF THE CONCLUSION OF THE NEXT AGM OF THE
COMPANY OR 15 MONTHS ; THE COMPANY, BEFORE THE
EXPIRY, MAY MAKE A CONTRACT TO PURCHASE ORDINARY
SHARES WHICH WILL OR MAY BE EXECUTED WHOLLY OR
PARTLY AFTER SUCH EXPIRY
S.18 AUTHORIZE THE COMPANY TO MAKE MARKET PURCHASES Management For No
SECTION 163(3) OF THE COMPANIES ACT 1985 OF UP TO
100 MILLION 8 3/4% CUMULATIVE IRREDEEMABLE
PREFERENCE SHARES OF GBP 1 EACH IN THE COMPANY 8
3/4% PREFERENCE SHARES , AT A MINIMUM PRICE OF 25
PENCE AND UP TO 105% OF THE AVERAGE MIDDLE MARKET
QUOTATIONS FOR SUCH SHARES DERIVED FROM THE LONDON
STOCK EXCHANGE DAILY OFFICIAL LIST, OVER THE
PREVIOUS 5 BUSINESS DAYS; AUTHORITY EXPIRES THE
EARLIER OF THE CONCLUSION OF THE NEXT AGM OF THE
COMPANY OR 15 MONTHS ; THE COMPANY, BEFORE THE
EXPIRY, MAY MAKE A CONTRACT TO PURCHASE 8 3/4%
PREFERENCE SHARES WHICH WILL OR MAY BE EXECUTED
WHOLLY OR PARTLY AFTER SUCH EXPIRY
S.19 AUTHORIZE THE COMPANY TO MAKE MARKET PURCHASES Management For No
SECTION 163(3) OF THE COMPANIES ACT 1985 OF UP TO
100 MILLION 8 1/8% CUMULATIVE IRREDEEMABLE
PREFERENCE SHARES OF GBP 1 EACH IN THE COMPANY 8
1/8% PREFERENCE SHARES , AT A MINIMUM PRICE OF 25
PENCE AND UP TO 105% OF THE AVERAGE MIDDLE MARKET
QUOTATIONS FOR SUCH SHARES DERIVED FROM THE LONDON
STOCK EXCHANGE DAILY OFFICIAL LIST, OVER THE
PREVIOUS 5 BUSINESS DAYS; AUTHORITY EXPIRES THE
EARLIER OF THE CONCLUSION OF THE NEXT AGM OF THE
COMPANY OR 15 MONTHS ; THE COMPANY, BEFORE THE
EXPIRY, MAY MAKE A CONTRACT TO PURCHASE 8 1/8%
PREFERENCE SHARES WHICH WILL OR MAY BE EXECUTED
WHOLLY OR PARTLY AFTER SUCH EXPIRY
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 80,000 80,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
MEDIASET SPA AGM Meeting Date: 04/27/2004
Issuer: T6688Q107 ISIN: IT0001063210 BLOCKING
SEDOL: 5077946, 5474774
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* PLEASE NOTE IN THE EVENT THE MEETING DOES NOT Non-Voting Non-Vote Proposal No
REACH QUORUM, THERE WILL BE A SECOND CALL ON
28 APR 2004. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS
WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA
IS AMENDED. PLEASE BE ALSO ADVISED THAT YOUR
SHARES WILL BE BLOCKED UNTIL THE QUORUM IS MET
OR THE MEETING IS CANCELLED. THANK YOU
* PLEASE NOTE THAT THIS IS A MIX MEETING. THANK Non-Voting Non-Vote Proposal No
YOU.
O.1 APPROVE THE FINANCIAL STATEMENT, CONSOLIDATED Management For No
FINANCIAL STATEMENT, BOARD OF DIRECTORS AND AUDITORS
REPORT OF 31 DEC 2003 AND ANY ADJOURNMENT THEREOF
O.2 AUTHORIZE TO BUY BACK OF SHARES AND ANY ADJOURNMENT Management For No
THEREOF
E.1 AMEND TO THE ARTICLES OF ASSOCIATION Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 165,000 165,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
SEKISUI HOUSE LTD AGM Meeting Date: 04/27/2004
Issuer: J70746136 ISIN: JP3420600003
SEDOL: 4798680, 6793906, 5763450
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JY9, FINAL JY 9, SPECIAL JY 0
2 AMEND ARTICLES TO: AUTHORIZE SHARE REPURCHASES Management For No
AT BOARD S DISCRETION
3.1 ELECT DIRECTOR Management For No
3.2 ELECT DIRECTOR Management For No
3.3 ELECT DIRECTOR Management For No
3.4 ELECT DIRECTOR Management For No
3.5 ELECT DIRECTOR Management For No
3.6 ELECT DIRECTOR Management For No
3.7 ELECT DIRECTOR Management For No
3.8 ELECT DIRECTOR Management For No
3.9 ELECT DIRECTOR Management For No
3.10 ELECT DIRECTOR Management For No
3.11 ELECT DIRECTOR Management For No
3.12 ELECT DIRECTOR Management For No
3.13 ELECT DIRECTOR Management For No
4 APPOINT INTERNAL STATUTORY AUDITOR Management For No
5 APPROVE RETIREMENT BONUSES FOR DIRECTORS Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 40,000 40,000 04/15/2004
------------------------------------------------------------------------------------------------------------------------------------
NEWMONT MINING CORPORATION NEM Annual Meeting Date: 04/28/2004
Issuer: 651639 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS FOR 2004
03 STOCKHOLDER PROPOSAL Shareholder For Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036102B 106 25,000 25,000 04/20/2004
INTERNATIONAL, INC.
------------------------------------------------------------------------------------------------------------------------------------
TOTAL SA MIX Meeting Date: 04/28/2004
Issuer: F92124100 ISIN: FR0000120271 BLOCKING
SEDOL: 5638279, 5836976, 0214663, 4905413, 4617462, 5180628
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O.1 APPROVE THE READING OF THE BOARD OF DIRECTORS Management For No
REPORT AND THE GENERAL AUDITORS REPORT AND
APPROVE THE ACCOUNTS AND THE BALANCE SHEET OF
THE COMPANY TOTAL S.A. FOR THE FY 2003
O.2 RECEIVE THE CONSOLIDATED ACCOUNTS AND THAT THE Management For No
BOARD OF DIRECTORS REPORT FORTHE GROUP IS INCLUDED
IN THE BOARD OF DIRECTORS REPORT
O.3 APPROVE THE PROFITS FOR THE FY AS FOLLOWS: EUR Management For No
3,272,172,931.00; PRIOR RETAINED EARNINGS: EUR
1,056,490,628.00; DISTRIBUTABLE PROFITS: EUR
4,328,663,559.00 AND APPROVE THE APPROPRIATION
OF THE PROFITS AS FOLLOWS: TOTAL NUMBER OF SHARES:
655,130,985; GLOBAL DIVIDEND: EUR 3,079,115,630.00;
BALANCE CARRIED FORWARD: EUR 1,249,547,929.00
AND SHAREHOLDERS WILL RECEIVE A NET DIVIDEND
OF EUR 4.70 WITH A CORRESPONDING TAX CREDIT
O.4 APPROVE THE SPECIAL AUDITORS REPORT, IN ACCORDANCE Management For No
WITH THE PROVISIONS OF ARTICLE L.225-38 OF THE
COMMERCIAL LAW
O.5 AUTHORIZE THE BOARD, IN SUBSTITUTION FOR THE Management For No
AUTHORITY OF THE RESOLUTION 6 OFTHE COMBINED
GENERAL MEETING OF 06 MAY 2003, TO TRADE THE
COMPANY S SHARES ON THE STOCK EXCHANGE, NOTABLY IN
VIEW OF ADJUSTING THEIR PRICE AS PER THE FOLLOWING
CONDITIONS: MAXIMUM PURCHASE PRICE: EUR 250.00;
MINIMUM SELLING PRICE: EUR 100.00; MAXIMUM NUMBER
OF SHARES TO BE TRADED: 10% OF THE SHARE CAPITAL;
AUTHORITY EXPIRES AT THE END OF 18 MONTHS ; AND
AUTHORIZE THE BOARD OF DIRECTORS TO TAKE ALL
NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY
FORMALITIES
O.6 AUTHORIZE THE BOARD OF DIRECTORS, IN FRANCE OR Management For No
ABROAD, IN SUBSTITUTION FOR THE AUTHORITY OF THE
RESOLUTION 21 OF THE COMBINED GENERAL MEETING OF
22 MAR 2000, WITH THE ISSUE OF BOND ISSUES,
SUBORDINATED OR NOT, DEBT SECURITIES, SUBORDINATED
OR NOT PERMANENTLY, UP TO A NOMINAL AMOUNT OF EUR
10,000,000,000.00; AUTHORITY EXPIRES AT THE END OF
5 YEARS
O.7 APPROVE TO RENEW THE TERM OF OFFICE OF MR. THIERRY Management For No
DESMAREST AS A DIRECTOR FOR A PERIOD OF 3 YEARS
O.8 APPROVE TO RENEW THE TERM OF OFFICE OF MR. THIERRY Management For No
DERUDDER AS A DIRECTOR FORA PERIOD OF 3 YEARS
O.9 APPROVE TO RENEW THE TERM OF OFFICE OF MR. SERGE Management For No
TCHURUK AS A DIRECTOR FOR A PERIOD OF 3 YEARS
O.10 APPOINT MR. DANIEL BOEUF AS A DIRECTOR, IN ACCORDANCE Management For No
WITH THE PROVISION OF THE ARTICLE 11, WHO REPRESENTS
THE SHAREHOLDING WAGE EARNERS FOR A PERIOD OF
3 YEARS
O.11 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDERS Shareholder For No
PROPOSAL: APPOINT MR. PHILIPPE MARCHANDISE AS A
DIRECTOR, IN ACCORDANCE WITH THE PROVISION OF THE
ARTICLE 11, WHO REPRESENTS THE SHAREHOLDING WAGE
EARNERS FOR A PERIOD OF 3 YEARS
O.12 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDERS Shareholder For No
PROPOSAL: APPOINT MR. CYRIL MOUCHE AS A DIRECTOR,
IN ACCORDANCE WITH THE PROVISION OF THE ARTICLE
11, WHO REPRESENTS THE SHAREHOLDING WAGE EARNERS
FOR A PERIOD OF 3 YEARS
O.13 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDERS Shareholder For No
PROPOSAL: APPOINT MR. ALAN CRAMER AS A DIRECTOR,
IN ACCORDANCE WITH THE PROVISION OF THE ARTICLE
11, WHO REPRESENTS THE SHAREHOLDING WAGE EARNERS
FOR A PERIOD OF 3 YEARS
O.14 APPOINT FIRM ERNST AND YOUNG AUDIT IN PLACE OF Management For No
THE FIRM BARBIER, FRINAULT ANDAUTRES, AS THE
STATUTORY AUDITOR FOR A PERIOD OF 6 YEARS
O.15 APPROVE TO RENEW THE TERM OF OFFICE OF THE FIRM Management For No
KPMG AUDIT AS THE STATUTORY AUDITOR FOR A PERIOD
OF 6 YEARS
O.16 APPOINT MR. PIERRE JOUANNE, WHO REPLACES MR. Management For No
ALAIN GROSMANN, AS THE DEPUTY AUDITOR FOR A PERIOD
OF 6 YEARS
O.17 APPOINT MR. JEAN-LUC DECORNOY AS THE DEPUTY AUDITOR, Management For No
WHO REPLACES THE FIRM SALUSTRO REYDEL, FOR A
PERIOD OF 6 YEARS
O.18 APPROVE THE ALLOCATION OF EUR 900,000.00 TO THE Management For No
DIRECTORS AS THE ATTENDANCE FEES
E.19 AUTHORIZE THE BOARD OF DIRECTORS, IN SUBSTITUTION Management For No
FOR THE AUTHORITY OF THE RESOLUTION 9 OF THE
COMBINED GENERAL MEETING OF 22 MAR 2000, TO GRANT
TO THE BENEFIT OF THE MEMBERS TO BE CHOSEN BY IT,
STOCK OPTIONS GRANTING THE RIGHT TO PURCHASE THE
COMPANY S NEW AND EXISTING SHARES WITHIN A LIMIT
OF 3% OF THE SHARE CAPITAL, AND TO SET THE PRICE
OF THE SAID SHARES IN ACCORDANCE WITH THE
PROVISIONS OF ARTICLES L.225-177 TO L.225-186 OF
THE COMMERCIAL LAW; AUTHORITY EXPIRES AT THE END
OF 38 MONTHS ; AND AUTHORIZE THE BOARD OF
DIRECTORS TO TAKE ALL NECESSARY MEASURES AND
ACCOMPLISH ALL NECESSARY FORMALITIES
E.20 AUTHORIZE THE BOARD OF DIRECTORS, IN SUBSTITUTION Management For No
FOR THE AUTHORITY OF THE RESOLUTION 11 OF THE
COMBINED GENERAL MEETING OF 22 MAR 2000, TO
PROCEED WITH THE PREFERENTIAL RIGHT, IN FRANCE OR
ABOARD, WITH THE ISSUE OF SHARES, EQUITY WARRANTS
AND THE SECURITIES UP TO A NOMINAL AMOUNT OF EUR
4,000,000,000.00; AUTHORITY EXPIRES AT THE END OF
26 MONTHS ; AND AUTHORIZE THE BOARD OF DIRECTORS
TO TAKE ALL NECESSARY MEASURES AND ACCOMPLISH ALL
NECESSARY FORMALITIES
E.21 AUTHORIZE THE BOARD OF DIRECTORS TO PROCEED WITHOUT Management For No
THE PREFERENTIAL RIGHT, IN FRANCE OR ABOARD,
WITH THE ISSUE OF SECURITIES UP TO A NOMINAL
AMOUNT OF EUR 2,000,000,000.00
E.22 APPROVE THE CAPITAL INCREASE, RESERVED FOR THE Management For No
EMPLOYEES
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1
* PLEASE NOTE IN THE EVENT THE MEETING DOES NOT Non-Voting Non-Vote Proposal No
REACH QUORUM, THERE WILL BE A SECOND CALL ON 14
MAY 2004. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS
WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA
IS AMENDED. PLEASE BE ALSO ADVISED THAT YOUR
SHARES WILL BE BLOCKED UNTIL THE QUORUM IS MET OR
THE MEETING IS CANCELLED. THANK YOU
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 7,907 7,907 04/20/2004
------------------------------------------------------------------------------------------------------------------------------------
ASTRAZENECA PLC AZN Annual Meeting Date: 04/29/2004
Issuer: 046353 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 TO RECEIVE THE DIRECTORS REPORT AND ACCOUNTS Management For No No
FOR THE YEAR ENDED DECEMBER 31, 2003
02 TO CONFIRM DIVIDENDS Management For No No
03 TO RE-APPOINT KPMG AUDIT PLC, LONDON AS AUDITOR Management For No No
04 TO AUTHORIZE THE DIRECTORS TO AGREE THE REMUNERATION Management For No No
OF THE AUDITOR
05 DIRECTOR Management For No No
06 TO APPROVE THE DIRECTORS REMUNERATION REPORT Management For No No
FOR THE YEAR ENDED DECEMBER 31, 2003
07 TO ADOPT NEW ARTICLES OF ASSOCIATION Management For No No
08 TO AUTHORIZE LIMITED EU POLITICAL DONATIONS Management For No No
09 TO AUTHORIZE THE DIRECTORS TO ALLOT UNISSUED Shareholder For No No
SHARES
10 TO AUTHORIZE THE DIRECTORS TO DISAPPLY PRE-EMPTION Management For No No
RIGHTS
11 TO AUTHORIZE THE COMPANY TO PURCHASE ITS OWN Management For No No
SHARES
12 TO AUTHORIZE INCREASE OF CAP ON NON-EXECUTIVE Management For No No
DIRECTORS REMUNERATION
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 108 40,146 40,146 04/20/2004
------------------------------------------------------------------------------------------------------------------------------------
PEARSON PLC AGM Meeting Date: 04/30/2004
Issuer: G69651100 ISIN: GB0006776081
SEDOL: 5684283, 0677608
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE AND CONSIDER THE ACCOUNTS OF THE COMPANY Management For No
AND THE REPORTS OF THE DIRECTORS OF THE COMPANY
AND THE AUDITORS FOR THE YE 31 DEC 2003
2. DECLARE A FINAL DIVIDEND ON THE ORDINARY SHARES Management For No
3. RE-ELECT MR. DENNIS STEVENSON AS A DIRECTOR Management For No
4. RE-ELECT MR. JOHN MAKINSON AS A DIRECTOR Management For No
5. RE-ELECT MR. REUBEN MARK AS A DIRECTOR Management For No
6. RE-ELECT MR. VERNON SANKEY AS A DIRECTOR Management For No
7. RECEIVE AND APPROVE THE REPORT OF THE DIRECTORS Management For No
REMUNERATION
8. RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS THE Management For No
AUDITORS FOR THE ENSUING YEAR
9. AUTHORIZE THE DIRECTORS TO DETERMINE THE Management For No
REMUNERATION OF THE AUDITORS
10. AUTHORIZE THE DIRECTORS, IN SUBSTITUTION OF THE Management For No
AUTHORITY OF THE AGM OF 25 APR 2003, SUBJECT TO
THE PASSING OF RESOLUTION 11 OF THE AGM OF 25 MAR
2004, TO ALLOT RELEVANT SECURITIES SECTION 80 OF
THE COMPANIES ACT 1985 UP TO AN AGGREGATE NOMINAL
AMOUNT OF GBP 66, 871,000; AUTHORITY EXPIRES ON 29
APR 2009 ; AND THE DIRECTORS MAY MAKE ALLOTMENTS
DURING THE RELEVANT PERIOD WHICH MAY BE EXERCISED
AFTER THE RELEVANT PERIOD
11. APPROVE TO INCREASE THE AUTHORIZED SHARE CAPITAL Management For No
OF THE COMPANY FROM GBP 294,500,000 BY GBP
1,000,000 TO GBP 295,500,000 BY THE CREATION OF
4,000,000 ORDINARY SHARES OF 25P EACH
S.12 AUTHORIZE THE BOARD OF DIRECTORS OF THE COMPANY, Management For No
PURSUANT TO SECTION 95, TO ALLOT EQUITY SECURITIES
SECTION 94 FOR CASH PURSUANT TO THE AUTHORITY
CONFERRED BY RESOLUTION 10, DISAPPLYING THE
STATUTORY PRE-EMPTION RIGHTS SECTION 89(1) ,
PROVIDED THAT THIS POWER IS LIMITED TO THE
ALLOTMENT OF EQUITY SECURITIES: I) IN CONNECTION
WITH A RIGHTS ISSUE IN FAVOR OF ORDINARY
SHAREHOLDERS; II) UP TO AN AGGREGATE NOMINAL VALUE
OF GBP 10,030,000; AUTHORITY EXPIRES ON 29 APR
2009 ; AND THE BOARD MAY ALLOT EQUITY SECURITIES
AFTER THE EXPIRY OF THIS AUTHORITY IN PURSUANCE OF
SUCH AN OFFER OR AGREEMENT MADE PRIOR TO SUCH
EXPIRY
S.13 AUTHORIZE THE COMPANY, PURSUANT TO ARTICLE 9 Management For No
OF THE COMPANY S ARTICLES OF ASSOCIATION, TO
MAKE MARKET PURCHASES SECTION 163(3) OF THE
COMPANIES ACT 1985 OF UP TO 80,000,000 ORDINARY
SHARES OF 25P EACH IN THE CAPITAL OF THE COMPANY,
AT A MINIMUM PRICE OF 25P AND EQUAL TO 105% OF THE
AVERAGE MARKET VALUE FOR SUCH SHARES DERIVED FROM
THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST,
OVER THE PREVIOUS 5 BUSINESS DAYS; AUTHORITY
EXPIRES ON 29 JUL 2005 ; THE COMPANY, BEFORE THE
EXPIRY, MAY MAKE A CONTRACT TO PURCHASE ORDINARY
SHARES WHICH WILL OR MAY BE EXECUTED WHOLLY OR
PARTLY AFTER SUCH EXPIRY
S.14 APPROVE TO ADOPT THE DOCUMENT PRODUCED TO THE Management For No
MEETING AS THE ARTICLES OF ASSOCIATION OF THE
COMPANY IN SUBSTITUTION FOR AND TO THE EXCLUSION
OF THE PRESENT ARTICLES OF ASSOCIATION OF THE
COMPANY
15. APPROVE TO EXTEND THE PEARSON PLC UK WORLDWIDE Management For No
SAVE FOR SHARE PLAN UNTIL 30 APR 2014 AND
AUTHORIZE THE DIRECTORS TO OPERATE SAVINGS-RELATED
SHARES OPTION PLANS IN COUNTRIES OTHER THAN THE UK
ON TERMS SIMILAR TO AND SUBJECT TO THE OVERALL
LIMITS CONTAINED IN THE PEARSON PLC UK WORLDWIDE
SAVE FOR SHARE PLAN AND AUTHORIZE THE DIRECTORS TO
BE COUNTED IN THE QUORUM AT A MEETING OF THE
DIRECTORS AND VOTE AS DIRECTORS ON ANY OTHER
MATTER CONNECTED WITH THE PEARSON PLC UK WORLDWIDE
SAVE FOR SHARES PLAN OR ANY PLAN ESTABLISHED
ABOVE, NOTWITHSTANDING THAT THEY MAY BE INTERESTED
IN THE SAME
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 60,000 60,000 04/20/2004
------------------------------------------------------------------------------------------------------------------------------------
ALLIANZ AG, MUENCHEN AGM Meeting Date: 05/05/2004
Issuer: D03080112 ISIN: DE0008404005
SEDOL: 5231485, 0018490, 5479531, 7158333, 0048646, 5242487, 5766749
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE THE FINANCIAL STATEMENTS AND THE ANNUAL Management For No
REPORT FOR THE FY 2003 WITH THE REPORT OF THE
SUPERVISORY BOARD, THE GROUP FINANCIAL STATEMENTS
AND THE GROUP ANNUAL REPORT
2. APPROVE THE APPROPRIATION OF THE DISTRIBUTABLE Management For No
PROFIT OF EUR 580,000,000 AS FOLLOWS: PAYMENT
OF A DIVIDEND OF EUR 1.50 PER NO-PAR SHARES;
EUR 29,390,439.50;SHALL BE ALLOCATED TO THE REVENUE
RESERVES; AND EX-DIVIDEND AND PAYABLE DATE: 06
MAY 2004
3. RATIFY THE ACTS OF THE BOARD OF MANAGING DIRECTORS Management For No
4. RATIFY THE ACTS OF THE SUPERVISORY BOARD Management For No
5. AUTHORIZE THE BOARD OF MANAGING DIRECTORS, IN Management For No
REVOCATION OF THE AUTHORIZED CAPITAL 2003/I AND
2003/II WITH THE CONSENT OF THE SUPERVISORY BOARD
TO INCREASE THE SHARE CAPITAL BY UP TO EUR
650,000,000 THROUGH THE ISSUE OF NEW REGARDING
NO-PAR SHARES AGAINST CONTRIBUTIONS IN CASH AND/OR
KIND, ON OR BEFORE 04 MAY 2009;SHAREHOLDERS SHALL
BE GRANTED SUBSCRIPTION RIGHTS FOR A CAPITAL
INCREASE AGAINST CASH PAYMENT; AND EXCEPT FOR
RESIDUAL AMOUNTS, AGAINST CONTRIBUTIONS IN KIND,
AND IN ORDER TO GRANT SUCH RIGHTS TO HOLDERS OF
CONVERTIBLE OR OPTION RIGHTS AND CORRESPONDINGLY
AMEND THE ARTICLES OF ASSOCIATION
6. AUTHORIZE THE BOARD OF MANAGING DIRECTORS, IN Management For No
REVOCATION OF THE AUTHORIZED CAPITAL 2001/II WITH
THE CONSENT OF THE SUPERVISORY BOARD TO INCREASE
THE SHARE CAPITAL BY UP TO EUR 10,000,000 THROUGH
THE ISSUE OF NEW REGARDING NO-PAR SHARES AGAINST
CONTRIBUTIONS IN CASH, ON OR BEFORE 04 MAY 2009;
SHAREHOLDERS SUBSCRIPTION RIGHTS MAY BE EXCLUDED
FOR THE ISSUE OF THE EMPLOYEE SHARES AND FOR
RESIDUAL AMOUNTS AND CORRESPONDINGLY AMEND THE
ARTICLES OF ASSOCIATION
7. AUTHORIZE THE BOARD OF MANAGING DIRECTORS WITH Management For No
THE CONSENT OF THE SUPERVISORYBOARD, TO ISSUE THE
CONVERTIBLE AND/OR WARRANT BONDS OF UP TO EUR
10,000,000,000 AND CONFERRING CONVERTIBLE AND/OR
OPTION RIGHTS FOR THE SHARES OF THE COMPANY ONCE
OR MORE THAN ONCE ON OR BEFORE 04 MAY 2009; AND
THE SHAREHOLDERS SHALL BE GRANTED SUBSCRIPTION
RIGHTS EXCEPT FOR RESIDUAL AMOUNTS, IN ORDER TO
GRANT SUCH RIGHTS TO THE HOLDERS OF PREVIOUSLY
ISSUED BONDS FOR THE ISSUE OF BONDS CONFERRING
CONVERTIBLE OPTION RIGHTS FOR SHARES OF THE
COMPANY OF UP TO 10% THE OF SHARE CAPITAL AT A
PRICE NOT MATERIALLY BELOW THEIR THEORETICAL
MARKET VALUE, AND FOR THE ISSUE OF THE BONDS
AGAINST CONTRIBUTIONS IN KIND; THE COMPANY S SHARE
CAPITAL SHALL BE INCREASED ACCORDINGLY UP TO EUR
250,000,000 THROUGH THE ISSUE OF UP TO 97, 656,250
NEW REGARDING NO-PAR SHARES INSOFAR AS CONVERTIBLE
AND/OR OPTION RIGHTS ARE EXERCISED
8. AUTHORIZE THE COMPANY TO ACQUIRE AND SELL OWN Management For No
SHARES, FOR THE PURPOSE SECURITIES TRADING
FINANCIAL INSTITUTIONS AT A PRICE NOT DEVIATING
MORE THAN 10% FROM THEIR MARKET PRICE, ON OR
BEFORE 04 NOV 2005; THE TRADING PORTFOLIO OF
SHARES TO BE ACQUIRED FOR SUCH PURPOSE SHALL NOT
EXCEED 5% OF THE SHARE CAPITAL AT THE END OF ANY
GIVEN DAY
9. AUTHORIZE THE COMPANY TO ACQUIRE OWN SHARES FOR Management For No
THE PURPOSES OTHER THAN SECURITIES TRADING UP TO
10% OF ITS SHARE CAPITAL, THROUGH THE STOCK
EXCHANGE AT A PRICE NOT DIFFERING MORE THAN 15%
FROM THE MARKET PRICE OF THE SHARES OR BY THE WAY
OF A REPURCHASE OFFER AT A PRICE NOT DIFFERING
MORE THAN 20% FROM THE MARKET PRICE, ON OR BEFORE
04 NOV 2005; AND AUTHORIZE THE BOARD OF MANAGING
DIRECTORS TO DISPOSE OF THE SHARES IN A MANNER
OTHER THAN THE STOCK EXCHANGE OR AN OFFER TO THE
SHAREHOLDERS IF THE SHARES ARE SOLD AT A PRICE NOT
MATERIALLY BELOW THEIR MARKET PRICE, TO USE THE
SHARES FOR THE ACQUISITION PURPOSES TO FLOAT THE
SHARES ON THE FOREIGN STOCK EXCHANGES, TO USE THE
SHARES FOR THE FULFILLMENT OF THE CONVERTIBLE OR
OPTION RIGHTS TO OFFER THE SHARES TO THE EMPLOYEES
OF THE COMPANY OR ITS AFFILIATES AND TO RETIRE THE
SHARES
10. APPROVE THE CONTROL AND THE PROFIT TRANSFER AGREEMENT Management For No
WITH JOTA- VERROEGENSVERWALTUNGSGESELL-SCHAFT
MBH A WHOLLY OWNED SUBSIDIARY OF THE COMPANY,
EFFECTIVE RETROACTIVELY FROM 01 JAN 2004 UNTIL
31 DEC 2008
* PLEASE BE ADVISED THAT ALLIANZ AG SHARES ARE Non-Voting Non-Vote Proposal No
ISSUED IN REGISTERED FORM AND AS SUCH DO NOT
REQUIRE SHARE BLOCKING IN ORDER TO ENTITLE YOU
TO VOTE. THANK YOU
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 4,000 4,000 04/30/2004
------------------------------------------------------------------------------------------------------------------------------------
CRH PLC AGM Meeting Date: 05/05/2004
Issuer: G25508105 ISIN: IE0001827041
SEDOL: 4182249, 0182704
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE THE COMPANY S FINANCIAL STATEMENTS AND Management For No
THE REPORTS OF THE DIRECTORS AND THE AUDITORS FOR
THE YE 31 DEC 2003
2. DECLARE A DIVIDEND ON THE ORDINARY SHARES Management For No
3.a RE-ELECT MR. D.M. KENNEDY AS A DIRECTOR IN ACCORDANCE Management For No
WITH ARTICLE 103
3.b RE-ELECT MR. P.J. MOLLOY AS A DIRECTOR IN ACCORDANCE Management For No
WITH ARTICLE 103
3.c RE-ELECT MR. W.I. O MAHONY AS A DIRECTOR IN ACCORDANCE Management For No
WITH ARTICLE 103
3.d RE-ELECT MR. D.W. DAYLE AS A DIRECTOR IN ACCORDANCE Management For No
WITH ARTICLE 109
3.e RE-ELECT MR. J.M. DE JONG AS A DIRECTOR IN ACCORDANCE Management For No
WITH ARTICLE 109
3.f RE-ELECT MR. M. LEE AS A DIRECTOR IN ACCORDANCE Management For No
WITH ARTICLE 109
3.g RE-ELECT MR. T.V. NEILL AS A DIRECTOR IN ACCORDANCE Management For No
WITH ARTICLE 109
4. AUTHORIZE THE DIRECTORS TO FIX THE REMUNERATION
OF THE AUDITORS
S.5 AUTHORIZE THE DIRECTORS OF THE COMPANY IN PURSUANT Management For No
TO THE ARTICLE 11(E) OF THE ARTICLES OF ASSOCIATION
OF THE COMPANY TO ALLOT EQUITY SECURITIES FOR CASH
AND IN RESPECT OF SUB-PARAGRAPH (III) THEREOF UP
TO AN AGGREGATE VALUE OF EUR 8,968,000;
AUTHORIZATION EXPIRES EARLIER THE DATE OF AGM IN
2005 OR 04 AUG 2005
6. AUTHORIZE THE DIRECTORS PURSUANT TO ARTICLE 135(B) Management For No
OF THE ARTICLES OF ASSOCIATION OF THE COMPANY TO
OFFER TO THE HOLDERS OF ORDINARY SHARES IN THE
CAPITAL OF THE COMPANY THE RIGHT TO ELECT TO
RECEIVE AN ALLOTMENT OF ADDITIONAL ORDINARY SHARES
CREDITED AS FULLY PAID INSTEAD OF CASH IN RESPECT
OF ALL OR PART OF ANY DIVIDEND OR DIVIDENDS
FALLING TO BE DECLARED OR PAID DURING THE PERIOD
COMMENCING ON THE DATE OF ADOPTION OF THIS
RESOLUTION; AUTHORIZATION EXPIRES ON THE DATE OF
AGM IN 2009
S.7 AMEND ARTICLE 14 OF THE ARTICLES OF ASSOCIATION Management For No
OF THE COMPANY BY DELETING AND ADDING THE NEW
ARTICLE AS SPECIFIED
S.8 AMEND ARTICLE 153 OF THE ARTICLES OF ASSOCIATION Management For No
OF THE COMPANY
S.9 AMEND ARTICLE 62 OF THE ARTICLES OF ASSOCIATION Management For No
OF THE COMPANY
S.10 AUTHORIZE THE COMPANY TO PURCHASE ORDINARY SHARES Management For No
SECTION 212 OF THE COMPANIES ACT, 1990 SUBJECT TO
PASSING OF RESOLUTION 9; AUTHORIZATION EXPIRES AT
THE CLOSE OF BUSINESS ON THE EARLIER DATE OF THE
AGM IN 2005 OR 04 AUG 2005
S.11 AUTHORIZE THE COMPANY TO RE-ISSUE TREASURY SHARES Management For No
SECTION 212 OF THE COMPANIES ACT, 1990 SUBJECT TO
PASSING OF RESOLUTION 9; AUTHORIZATION EXPIRES AT
THE CLOSE OF BUSINESS ON THE EARLIER DATE OF THE
AGM IN 2005 OR 04 AUG 2005
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 100,500 100,500 04/30/2004
------------------------------------------------------------------------------------------------------------------------------------
VIVENDI UNIVERSAL Annual Meeting Date: 05/06/2004
Issuer: 92851S ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE REPORTS AND INDIVIDUAL FINANCIAL Management For No No
STATEMENTS FOR FISCAL YEAR 2003.
02 APPROVAL OF THE REPORTS AND CONSOLIDATED FINANCIAL Management For No No
STATEMENTS FOR FISCAL YEAR 2003.
03 APPROVAL OF THE RELATED-PARTY AGREEMENTS DISCUSSED Management For No No
IN THE SPECIAL REPORT FROM THE STATUTORY AUDITORS.
04 ALLOCATION OF EARNINGS FOR FISCAL YEAR 2003. Management For No No
05 DIRECTOR Management For No No
15 AUTHORIZATION FOR THE BOARD OF DIRECTORS TO ISSUE Management For No No
TRADITIONAL BONDS AND/OR SIMILAR INSTRUMENTS.
16 AUTHORIZATION FOR THE COMPANY TO PURCHASE ITS Management For No No
OWN SHARES.
17 POWERS FOR CARRYING OUT LEGAL FORMALITIES. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 204 43,900 43,900 04/30/2004
------------------------------------------------------------------------------------------------------------------------------------
HARMONY GOLD MINING COMPANY LIMITED HMY Annual Meeting Date: 05/07/2004
Issuer: 413216 ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
01 ORDINARY RESOLUTION NUMBER 1 Management For No No
02 ORDINARY RESOLUTION NUMBER 2 Management For No No
03 ORDINARY RESOLUTION NUMBER 3 Management For No No
04 ORDINARY RESOLUTION NUMBER 4 Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST B01GETF0036102B 300 35,000 35,000 05/03/2004
INTERNATIONAL, INC.
------------------------------------------------------------------------------------------------------------------------------------
GALLAHER GROUP PLC, LONDON AGM Meeting Date: 05/12/2004
Issuer: G3708C105 ISIN: GB0003833695
SEDOL: 0383369, 5830309
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE THE REPORT OF THE DIRECTORS AND THE Management For No
ACCOUNTS FOR THE YE 31 DEC 2003 AND THE AUDITORS
REPORT THEREON
2. DECLARE A FINAL DIVIDEND OF 20.15P PER ORDINARY Management For No
SHARE FOR THE YE 31 DEC 2003 PAYABLE ON 21 MAY
2004 TO THE SHAREHOLDERS ON THE REGISTER AT THE
CLOSE OF BUSINESS ON 19 MAR 2004
3. APPROVE THE DIRECTORS REMUNERATION REPORT IN Management For No
THE ANNUAL REPORT AND THE FINANCIAL STATEMENTS 2003
4. RE-ELECT MR. NIGEL NORTHRIDGE AS A DIRECTOR OF Management For No
THE COMPANY
5. RE-ELECT MR. MARK ROLFE AS A DIRECTOR OF THE COMPANY Management For No
6. RE-ELECT MR. NEIL ENGLAND AS A DIRECTOR OF THE Management For No
COMPANY
7. RE-ELECT MR. RICHARD DELBRIDGE AS A DIRECTOR Management For No
OF THE COMPANY
8. ELECT MR. RONNIC BELL AS A DIRECTOR OF THE COMPANY Management For No
9. RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS THE Management For No
AUDITORS OF THE COMPANY, AND AUTHORIZE THE
DIRECTORS TO FIX THE AUDITORS REMUNERATION
10. AUTHORIZE THE COMPANY, FOR THE PURPOSE OF THE Management For No
COMPANIES ACT 1985 THE ACT , TO MAKE DONATIONS TO
EU POLITICAL ORGANIZATION AND TO INCUR EU
POLITICAL EXPENDITURE SECTION 347A OF THE ACT , UP
TO A MAXIMUM AGGREGATE AMOUNT OF GBP 50,000 PER
ANNUM ; AUTHORITY EXPIRES AT THE CONCLUSION OF THE
COMPANY S AGM TO BE HELD ON 2005
11. AUTHORIZE GALLAHER LIMITED, FOR THE PURPOSE OF Management For No
THE COMPANIES ACT 1985 THE ACT , TO MAKE DONATIONS
TO EU POLITICAL ORGANIZATION AND TO INCUR EU
POLITICAL EXPENDITURE SECTION 347A OF THE ACT , UP
TO A MAXIMUM AGGREGATE AMOUNT OF GBP 50,000 PER
ANNUM ; AUTHORITY EXPIRES AT THE CONCLUSION OF THE
COMPANY S AGM TO BE HELD ON 2005
12. AUTHORIZE AUSTRIA TABAK AG & CO. KG, FOR THE Management For No
PURPOSE OF THE COMPANIES ACT 1985 THE ACT , TO
MAKE DONATIONS TO EU POLITICAL ORGANIZATION AND TO
INCUR EU POLITICAL EXPENDITURE SECTION 347A OF THE
ACT , UP TO A MAXIMUM AGGREGATE AMOUNT OF GBP
50,000 PER ANNUM ; AUTHORITY EXPIRES AT THE
CONCLUSION OF THE COMPANY S AGM TO BE HELD ON 2005
13. AUTHORIZE THE BOARD, FOR THE PURPOSE OF ARTICLE Management For No
10 OF THE COMPANY S ARTICLES OF ASSOCIATION
WHETHER OR NOT SUCH ARTICLE 10 IS AMENDED PURSUANT
TO RESOLUTION 16 , THE SECTION 80 AMOUNT SHALL BE
GBP 21,790,500; AUTHORITY EXPIRES THE EARLIER OF
THE CONCLUSION OF NEXT AGM OF THE COMPANY TO BE
HELD IN 2005 OR 11 AUG 2005 , BUT DURING THIS
PERIOD THE BOARD MAY MAKE OFFERS AND ENTER INTO
AGREEMENTS WHICH WOULD, OR MIGHT NEED RELEVANT
SECURITIES TO BE ALLOTTED AFTER THIS PERIOD
S.14 AUTHORIZE THE BOARD, FOR THE PURPOSE OF ARTICLE Management For No
10 OF THE COMPANY S ARTICLES OF ASSOCIATION
WHETHER OR NOT SUCH ARTICLE 10 IS AMENDED PURSUANT
TO RESOLUTION 16 , THE SECTION 89 AMOUNT SHALL BE
GBP 3,268,500; AUTHORITY EXPIRES THE EARLIER OF
THE CONCLUSION OF NEXT AGM OF THE COMPANY TO BE
HELD IN 2005 OR 11 AUG 2005 , BUT DURING THIS
PERIOD THE BOARD MAY MAKE OFFERS AND ENTER INTO
AGREEMENTS WHICH WOULD, OR MIGHT NEED EQUITY
SECURITIES TO BE ALLOTTED AFTER THIS PERIOD
S.15 AUTHORIZE THE COMPANY, TO MAKE MARKET PURCHASES Management For No
SECTION 163(3) OF THE COMPANIES ACT 1985 OF UP TO
65,372,200 ORDINARY SHARES OF 10P EACH IN THE
CAPITAL OF THE COMPANY, AT A MINIMUM PRICE OF 10P
AND NOT MORE THAN 105% ABOVE THE AVERAGE MARKET
VALUE FOR SUCH SHARES DERIVED FROM THE LONDON
STOCK EXCHANGE DAILY OFFICIAL LIST, OVER THE
PREVIOUS 5 BUSINESS DAYS; AUTHORITY EXPIRES THE
EARLIER OF THE CONCLUSION OF NEXT AGM OF THE
COMPANY TO BE HELD IN 2005 OR 11 AUG 2005 ; THE
COMPANY, BEFORE THE EXPIRY, MAY MAKE A CONTRACT TO
PURCHASE ORDINARY SHARES WHICH WILL OR MAY BE
EXECUTED WHOLLY OR PARTLY AFTER SUCH EXPIRY
S.16 AMEND ARTICLE 10.1(B), 10.2, 10.2(B) OF THE COMPANY S Management For No
ARTICLES OF ASSOCIATION
S.17 AMEND ARTICLES OF ASSOCIATION, BY CHANGING THE Management For No
AMOUNT GBP 500,00 SPECIFIED INTHE FIRST SENTENCE
OF ARTICLE 90 TO AN AMOUNT OF GBP 1,000,000
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 30,000 30,000 05/03/2004
------------------------------------------------------------------------------------------------------------------------------------
CHRISTIAN DIOR SA MIX Meeting Date: 05/13/2004
Issuer: F26334106 ISIN: FR0000130403 BLOCKING
SEDOL: 4061393, 4194545, 4069030, 5690097
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE THE BOARD OF DIRECTORS AND THE AUDITOR S Management For No
REPORT, AND APPROVE THE CONSOLIDATED ACCOUNTS
AND THE BALANCE SHEET FOR THE FYE 31 DEC 2003
2. RECEIVE THE BOARD OF DIRECTORS, THE CHAIRMAN Management For No
OF THE BOARD OF DIRECTORS AND THE AUDITOR S
REPORTS, AND APPROVE THE ACCOUNTS AND THE BALANCE
SHEET FOR THE FYE 31 DEC 2003; AND GRANT PERMANENT
DISCHARGE TO THE DIRECTORS FOR THE COMPLETION OF
THEIR ASSIGNMENT FOR THE CURRENT YEAR
3. APPROVE THE SPECIAL AUDITOR S REPORT, IN Management For No
ACCORDANCE WITH THE PROVISIONS OF ARTICLE L.225-38
AND FOLLOWINGS OF THE FRENCH COMMERCIAL LAW
4. APPROVE THE APPROPRIATION OF PROFITS AS FOLLOWS: Management For No
PROFITS FOR THE FY: EUR 127,401,175.01; PRIOR
RETAINED EARNINGS: EUR 143,951,604.44 AND A
DISTRIBUTABLE RESULT OF EUR 271,358,779.45
ALLOCATED AS: GLOBAL DIVIDEND: EUR 158,102,531.76;
BALANCE CARRIED FORWARD: EUR 113,256,247.69; AND
ACKNOWLEDGE THAT AN INTERIM DIVIDEND OF EUR 0.28
HAS ALREADY PAID ON 04 DEC 2003 AND THE
SHAREHOLDERS WILL RECEIVE REMAINING DIVIDEND OF
EUR 0.59, WITH A CORRESPONDING TAX CREDIT OF EUR
0.295; THIS DIVIDEND WILL BE PAID ON 19 MAY 2004
5. APPROVE TO RENEW THE TERM OF OFFICE OF MR. M. Management For No
ANTOINE BERNHEIM AS A DIRECTOR FOR 3 YEARS
6. APPROVE TO RENEW THE TERM OF OFFICE OF MR. M. Management For No
RAYMOND WIBAUX AS A DIRECTOR FOR 3 YEARS
7. AUTHORIZE THE BOARD, IN SUBSTITUTION FOR THE Management For No
AUTHORITY OF THE CGM ON 15 MAY 2003, TO TRADE THE
COMPANY SHARES ON THE STOCK EXCHANGE IN VIEW OF
ADJUSTING THEIR PRICE AS PER THE FOLLOWING
CONDITIONS: MAXIMUM PURCHASE PRICE: EUR 90.00;
MINIMUM SELLING PRICE: EUR 20.00; AND, MAXIMUM
NUMBER OF SHARES TO BE TRADED: 0.50%; AUTHORITY
EXPIRES AT THE END OF 18 MONTHS
8. APPROVE TO MODIFY ARTICLES 8, 9, 10, 15, 16, Management For No
AND 19 OF THE ARTICLES OF ASSOCIATIONS
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 22,000 22,000 05/03/2004
------------------------------------------------------------------------------------------------------------------------------------
TOTAL SA MIX Meeting Date: 05/14/2004
Issuer: F92124100 ISIN: FR0000120271 BLOCKING
SEDOL: 5638279, 5836976, 0214663, 4905413, 4617462, 5180628
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O.1 APPROVE THE READING OF THE BOARD OF DIRECTORS Management For No
REPORT AND THE GENERAL AUDITORS REPORT AND
APPROVE THE ACCOUNTS AND THE BALANCE SHEET OF
THE COMPANY TOTAL S.A. FOR THE FY 2003
O.2 RECEIVE THE CONSOLIDATED ACCOUNTS AND THAT THE Management For No
BOARD OF DIRECTORS REPORT FORTHE GROUP IS INCLUDED
IN THE BOARD OF DIRECTORS REPORT
O.3 APPROVE THE REPORTS BY THE BOARD OF DIRECTORS Management For No
AND BY THE AUDITORS HAVING BEENMADE AVAILABLE
TO THE SHAREHOLDERS, THE CONSOLIDATED BALANCE
SHEET AND THE CONSOLIDATED FINANCIAL STATEMENTS
OF TOTAL S.A. FOR THE FYE 31 DEC 2003
O.4 APPROVE THE PROFITS FOR THE FY AS FOLLOWS: EUR Management For No
3,272,172,931.00; PRIOR RETAINED EARNINGS: EUR
1,056,490,628.00; DISTRIBUTABLE PROFITS: EUR
4,328,663,559.00 AND APPROVE THE APPROPRIATION
OF THE PROFITS AS FOLLOWS: TOTAL NUMBER OF SHARES:
655,130,985; GLOBAL DIVIDEND: EUR 3,079,115,630.00;
BALANCE CARRIED FORWARD: EUR 1,249,547,929.00
AND SHAREHOLDERS WILL RECEIVE A NET DIVIDEND
OF EUR 4.70 WITH A CORRESPONDING TAX CREDIT
O.5 AUTHORIZE THE BOARD, IN SUBSTITUTION FOR THE Management For No
AUTHORITY OF THE RESOLUTION 6 OFTHE COMBINED
GENERAL MEETING OF 06 MAY 2003, TO TRADE THE
COMPANY S SHARES ON THE STOCK EXCHANGE, NOTABLY
IN VIEW OF ADJUSTING THEIR PRICE AS PER THE FOLLOWING
CONDITIONS: MAXIMUM PURCHASE PRICE: EUR 250.00;
MINIMUM SELLING PRICE: EUR 100.00; MAXIMUM NUMBER
OF SHARES TO BE TRADED: 10% OF THE SHARE CAPITAL;
AUTHORITY EXPIRES AT THE END OF 18 MONTHS ;
AND AUTHORIZE THE BOARD OF DIRECTORS TO TAKE
ALL NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY
FORMALITIES
O.6 AUTHORIZE THE BOARD OF DIRECTORS, IN FRANCE OR Management For No
ABROAD, IN SUBSTITUTION FOR THE AUTHORITY OF THE
RESOLUTION 21 OF THE COMBINED GENERAL MEETING OF
22 MAR 2000, WITH THE ISSUE OF BOND ISSUES,
SUBORDINATED OR NOT, DEBT SECURITIES, SUBORDINATED
OR NOT PERMANENTLY, UP TO A NOMINAL AMOUNT OF EUR
10,000,000,000.00; AUTHORITY EXPIRES AT THE END OF
5 YEARS
0.7 APPROVE TO RENEW THE TERM OF OFFICE OF MR. THIERRY Management For No
DESMAREST AS A DIRECTOR FOR A PERIOD OF 3 YEARS
O.8 APPROVE TO RENEW THE TERM OF OFFICE OF MR. THIERRY Non-Voting Non-Vote Proposal No
DERUDDER AS A DIRECTOR FORA PERIOD OF 3 YEARS
O.9 APPROVE TO RENEW THE TERM OF OFFICE OF MR. SERGE Management For No
TCHURUK AS A DIRECTOR FOR A PERIOD OF 3 YEARS
O.10 APPOINT MR. DANIEL BOEUF AS A DIRECTOR, IN ACCORDANCE Management For No
WITH THE PROVISION OF THE ARTICLE 11, WHO REPRESENTS
THE SHAREHOLDING WAGE EARNERS FOR A PERIOD OF
3 YEARS
O.11 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDERS Shareholder Against No
PROPOSAL: APPOINT MR. PHILIPPE MARCHANDISE AS
A DIRECTOR, IN ACCORDANCE WITH THE PROVISION
OF THE ARTICLE 11, WHO REPRESENTS THE SHAREHOLDING
WAGE EARNERS FOR A PERIOD OF 3 YEARS
O.12 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDERS Shareholder Against No
PROPOSAL: APPOINT MR. CYRIL MOUCHE AS A DIRECTOR,
IN ACCORDANCE WITH THE PROVISION OF THE ARTICLE
11, WHO REPRESENTS THE SHAREHOLDING WAGE EARNERS
FOR A PERIOD OF 3 YEARS
O.13 PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDERS Shareholder Against No
PROPOSAL: APPOINT MR. ALAN CRAMER AS A DIRECTOR,
IN ACCORDANCE WITH THE PROVISION OF THE ARTICLE
11, WHO REPRESENTS THE SHAREHOLDING WAGE EARNERS
FOR A PERIOD OF 3 YEARS
O.14 APPOINT FIRM ERNST AND YOUNG AUDIT IN PLACE OF Management For No
THE FIRM BARBIER, FRINAULT ANDAUTRES, AS THE
STATUTORY AUDITOR FOR A PERIOD OF 6 YEARS
O.15 APPROVE TO RENEW THE TERM OF OFFICE OF THE FIRM Management For No
KPMG AUDIT AS THE STATUTORY AUDITOR FOR A PERIOD
OF 6 YEARS
O.16 APPOINT MR. PIERRE JOUANNE, WHO REPLACES MR. Management For No
ALAIN GROSMANN, AS THE DEPUTY AUDITOR FOR A PERIOD
OF 6 YEARS
O.17 APPOINT MR. JEAN-LUC DECORNOY AS THE DEPUTY AUDITOR, Management For No
WHO REPLACES THE FIRM SALUSTRO REYDEL, FOR A
PERIOD OF 6 YEARS
O.18 APPROVE THE ALLOCATION OF EUR 900,000.00 TO THE Management For No
DIRECTORS AS THE ATTENDANCE FEES
E.19 AUTHORIZE THE BOARD OF DIRECTORS, IN SUBSTITUTION Management For No
FOR THE AUTHORITY OF THE RESOLUTION 9 OF THE
COMBINED GENERAL MEETING OF 22 MAR 2000, TO GRANT
TO THE BENEFIT OF THE MEMBERS TO BE CHOSEN BY IT,
STOCK OPTIONS GRANTING THE RIGHT TO PURCHASE THE
COMPANY S NEW AND EXISTING SHARES WITHIN A LIMIT
OF 3% OF THE SHARE CAPITAL, AND TO SET THE PRICE
OF THE SAID SHARES IN ACCORDANCE WITH THE
PROVISIONS OF ARTICLES L.225-177 TO L.225-186 OF
THE COMMERCIAL LAW; AUTHORITY EXPIRES AT THE END
OF 38 MONTHS ; AND AUTHORIZE THE BOARD OF
DIRECTORS TO TAKE ALL NECESSARY MEASURES AND
ACCOMPLISH ALL NECESSARY FORMALITIES
E.20 AUTHORIZE THE BOARD OF DIRECTORS, IN SUBSTITUTION Management For No
FOR THE AUTHORITY OF THE RESOLUTION 11 OF THE
COMBINED GENERAL MEETING OF 22 MAR 2000, TO
PROCEED WITH THE PREFERENTIAL RIGHT, IN FRANCE OR
ABOARD, WITH THE ISSUE OF SHARES, EQUITY WARRANTS
AND THE SECURITIES UP TO A NOMINAL AMOUNT OF EUR
4,000,000,000.00; AUTHORITY EXPIRES AT THE END OF
26 MONTHS ; AND AUTHORIZE THE BOARD OF DIRECTORS
TO TAKE ALL NECESSARY MEASURES AND ACCOMPLISH ALL
NECESSARY FORMALITIES
E.21 AUTHORIZE THE BOARD OF DIRECTORS TO PROCEED WITHOUT Management For No
THE PREFERENTIAL RIGHT, IN FRANCE OR ABOARD,
WITH THE ISSUE OF SECURITIES UP TO A NOMINAL
AMOUNT OF EUR 2,000,000,000.00
E.22 APPROVE THE CAPITAL INCREASE, RESERVED FOR THE Management For No
EMPLOYEES
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1
* PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING Non-Voting Non-Vote Proposal No
# 129612 DUE TO CHANGE IN THE MEETING DATE. ALL
VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE
DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON
THIS MEETING NOTICE. THANK YOU.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 7,907 7,907 05/03/2004
------------------------------------------------------------------------------------------------------------------------------------
GLAXOSMITHKLINE PLC AGM Meeting Date: 05/17/2004
Issuer: G3910J112 ISIN: GB0009252882
SEDOL: 0925288, 4907657
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE AND ADOPT THE DIRECTOR S REPORT AND THE Management For No
FINANCIAL STATEMENTS FOR THE YE 31 DEC 2003
2. APPROVE THE REMUNERATION REPORT FOR THE YE 31 Management For No
DEC 2003
3. ELECT MR. H. LAWRENCE CULP AS A DIRECTOR OF THE Management For No
COMPANY
4. ELECT MR. CRISPIN DAVIS AS A DIRECTOR OF THE COMPANY Management For No
5. ELECT SIR. ROBERT WILSON AS A DIRECTOR OF THE Management For No
COMPANY
6. ELECT DR. TACHI YAMADA AS A DIRECTOR OF THE COMPANY Management For No
7. RE-ELECT SIR. CHRISTOPHER HOGG AS A DIRECTOR Management For No
OF THE COMPANY
8. AUTHORIZE THE AUDIT COMMITTEE TO RE-APPOINT Management For No
PRICEWATERHOUSECOOPERS LLP AS THEAUDITORS TO THE
COMPANY TO HOLD OFFICE FROM THE CONCLUSION OF THE
MEETING TO THE CONCLUSION OF THE NEXT MEETING AT
WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY
9. AUTHORIZE THE AUDIT COMMITTEE TO DETERMINE THE Management For No
REMUNERATION OF THE AUDITORS
10. AUTHORIZE THE COMPANY, FOR THE PURPOSES OF PART Management For No
XA OF THE COMPANIES ACT 1985,TO MAKE DONATIONS TO
EU POLITICAL ORGANIZATION AND TO INCUR EU
POLITICAL EXPENDITURE UP TO AN AGGREGATE AMOUNT
NOT EXCEEDING GBP 100,000; AUTHORITY EXPIRES AT
THE CONCLUSION OF THE COMPANY S AGM IN 2005
S.11 AUTHORIZE THE DIRECTORS, PURSUANT TO SECTION Management For No
95 OF THE ACT, TO ALLOT EQUITY SECURITIES SECTION
94 FOR CASH PURSUANT TO THE AUTHORITY CONFERRED BY
RESOLUTION 20 PASSED AT THE AGM HELD ON 21 MAY
2001 WHICH EXPIRES AT THE END OF THE COMPANY S AGM
IN 2006 OR, IF EARLIER ON 20 MAY 2006, AND /OR
WHERE SUCH ALLOTMENT CONSTITUTES AN ALLOTMENT OF
EQUITY SECURITIES BY VIRTUE OF SECTION 94 (3A),
DISAPPLYING THE STATUTORY PRE-EMPTION RIGHTS
SECTION 89(1) , PROVIDED THAT THIS POWER IS
LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES: A)
IN CONNECTION WITH A RIGHTS ISSUE IN FAVOR OF
ORDINARY SHAREHOLDERS; B) UP TO AN AGGREGATE
NOMINAL AMOUNT OF GBP 74,330,954 AUTHORITY EXPIRES
AT THE END OF THE NEXT AGM OF THE COMPANY TO BE
HELD IN 2005 OR ON 16 NOV 2005
S.12 AUTHORIZE THE COMPANY, FOR THE PURPOSE OF SECTION Management For No
166 OF THE ACT, TO MAKE MARKET PURCHASES SECTION
163(3) OF ITS OWN ORDINARY SHARES OF 25 PENCE
EACH, MINIMUM PRICE OF 25 PENCE AND UP TO AN
AMOUNT EQUAL TO 105% OF THE AVERAGE MIDDLE MARKET
QUOTATIONS FOR SUCH SHARES DERIVED FROM THE LONDON
STOCK EXCHANGE DAILY OFFICIAL LIST, OVER THE
PREVIOUS 5 BUSINESS DAYS; AUTHORITY EXPIRES THE
EARLIER OF THE CONCLUSION OF THE NEXT AGM OF THE
COMPANY TO BE HELD IN 2005 OR 16 NOV 2005 ; THE
COMPANY, BEFORE THE EXPIRY, MAY MAKE A CONTRACT TO
PURCHASE ORDINARY SHARES WHICH WILL OR MAY BE
EXECUTED WHOLLY OR PARTLY AFTER SUCH EXPIRY
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 75,036 75,036 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
PERNOD-RICARD MIX Meeting Date: 05/17/2004
Issuer: F72027109 ISIN: FR0000120693 BLOCKING
SEDOL: 4682318, 4427100, 4682329
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1.
O.1 APPROVE THE ACCOUNTS AND THE BALANCE SHEET FOR Management For No
THE FY 2003; PROFITS FOR THE FY EUR 249,015,436.39
O.2 APPROVE THE ACCOUNTS AND THE BALANCE SHEET FOR Management For No
THE FY 2003 AND GRANT THE BOARD PERMANENT DISCHARGE
FOR THE COMPLETION OF THEIR ASSIGNMENTS
O.3 APPROVE THE APPROPRIATION OF THE PROFITS AS FOLLOWS: Management For No
:PROFITS FOR THE FY EUR 249,015,436.39 PLUS PRIOR
RETAINED EARNINGS EUR 325,568,033.05 TOTAL TO
APPROPRIATE EUR 574,583,469.44; LEGAL RESERVE:
EUR 4,370,012.96; FIRST DIVIDEND: EUR 13,110,039.07;
COMPLEMENTARY DIVIDEND EUR125,038,759.69; WITHHOLDING
AMOUNT: EUR15,634,589.00 BALANCE CARRY FORWARD;
EUR 416,430,068.72; NET DIVIDEND PER SHARE: EUR
1.96 WITH EUR 0.98 TAX CREDIT, TO BE PAID ON
25 MAY 2004
O.4 APPROVE THE SPECIAL AUDITOR S REPORT ON REGULATED Management For No
AGREEMENTS AND APPROVES THEAGREEMENTS EXECUTED
DURING THE 2003 FY
O.5 APPROVE TO RENEW THE TERM OF OFFICE OF MR. PATRICK Management For No
RICARD AS A DIRECTOR FOR 4YEARS
O.6 APPOINT MR. RICHARD BURROWS AS A DIRECTOR FOR Management For No
4 YEARS
O.7 APPOINT MR. PIERRE PRINGUET AS A DIRECTOR FOR Management For No
4 YEARS
O.8 APPROVE TO RENEW THE TERM OF OFFICE AS STATUTORY Management For No
AUDITOR OF MAZARS ET GUERARDFOR 6 YEARS
O.9 ACKNOWLEDGE THE RESIGNATION OF MR. JOSE MARETTE Management For No
AS DEPUTY AUDITOR AND APPOINTMR. PATRICK DE CAMBOURG
AS NEW DEPUTY AUDITOR FOR 6 YEARS
O.10 APPROVE TO NOT TO RENEW THE TERM OF OFFICE OF Management For No
MR. SALUSTRO-REYDEL AS THE DEPUTY AUDITOR
O.11 APPROVE TO BRING THE AMOUNT OF ATTENDANCE FEES Management For No
FOR THE BOARD OF DIRECTORS, SUBJECT TO THE APPROVAL
OF E.14, TO EUR 864,450.00 FOR THE CURRENT FY
O.12 AUTHORIZE THE BOARD TO BUY THE COMPANY SHARES Management For No
OF UP TO 7,048,408 10% OF THE SHARE CAPITAL
ON THE STOCK EXCHANGE, AT MAXIMUM PURCHASE PRICE
OF EUR150.00; AUTHORITY EXPIRES AFTER 18MONTHS
O.13 AUTHORIZE THE BOARD TO ISSUE BONDS UP TO A MAXIMUM Management For No
NOMINAL AMOUNT OF EUR 3,000,000,000; AUTHORITY
EXPIRES AFTER 5 YEARS
E.14 APPROVE TO EXTEND THE ENDING DATE OF THE CURRENT Management For No
FY BY 6 MONTHS, CLOSING IT ON 30 JUN 2005, TO
BEGIN THE NEXT FY ON 01 JUL AND CLOSE THEM ON 30
JUN AND TO MODIFY THE ARTICLE 36 OF ARTICLES OF
ASSOCIATION
E.15 APPROVE TO BRING THE NUMBER OF DIRECTORS FROM Management For No
15 TO 18 AND FIX THEIR TERM OF OFFICE AT 4 YEARS
AND TO AMEND ARTICLES 16 AND 18 OF THE ARTICLES
OF ASSOCIATION ACCORDINGLY
E.16 APPROVE TO HARMONIZE THE ARTICLES OF ASSOCIATION Management For No
WITH THE FRENCH LAW ON FINANCIAL SECURITY 2003-706
OF 01 AUG 2003, NAMELY : ARTICLE 20 THE CHAIRMAN
OF THE BOARD CONDUCTS THE ACTIVITIES OF THE BOARD
AND MAKES SURE THAT IT IS IN A POSITION TO
ACCOMPLISH ITS ASSIGNMENT, ARTICLE 23 THE BOARD
EFFECTS ALL CONTROLS IT DEEMS NECESSARY, ARTICLE
27 EXCEPT FOR ORDINARY AGREEMENTS, ALL AGREEMENTS
SIGNED WITH THE COMPANY BY THE CHAIRMAN, THE
GENERAL MANAGER, A DIRECTOR, A SHAREHOLDER OWNING
MORE THAN 10% VOTING RIGHTS MUST COMPLY WITH THE
CONTROL PROCEDURES SET UP BY THE FRENCH COMMERCIAL
CODE, ARTICLE 29 THE AUDITORS MUST ATTEND ALL
MEETINGS CONCERNING THE FY ACCOUNTS
E.17 APPROVE TO REDUCE THE SHARE CAPITAL BY CANCELLING Management For No
SHARES NOT USED IN A STOCK OPTION PLAN, NOT EXCEEDING
EUR 21,850,065.11 AUTHORITY EXPIRES AFTER 24MONTHS
E.18 AUTHORIZE THE BOARD TO GRANT OPTIONS TO SUBSCRIBE Management For No
NEW SHARES OR BUY EXISTING SHARES, RESERVED TO
SOME BENEFICIARIES; AUTHORITY EXPIRES AFTER
38 MONTHS
E.19 AUTHORIZE THE BOARD TO INCREASE THE SHARE CAPITAL Management For No
BY ISSUING SECURITIES WITH PREFERENTIAL
SUBSCRIPTION RIGHT EXCEPT PREFERRED SHARES AND
INCORPORATING RESERVES AS PERMITTED BY LAW; THIS
SHARE CAPITAL INCREASE SHALL NOT EXCEED EUR
200,000,000.00 FOR SECURITIES, EUR
3,000,000,000.00 FOR DEBT SECURITIES AND THESE
LIMITS SHALL INCLUDE THE SHARE CAPITAL INCREASES
STIPULATED IN E.20; AUTHORITY EXPIRES AFTER 26
MONTHS
E.20 AUTHORIZE THE BOARD TO INCREASE THE SHARE CAPITAL Management For No
BY ISSUING SECURITIES WITHOUT PREFERENTIAL
SUBSCRIPTION RIGHT EXCEPT PREFERRED SHARES ;THIS
SHARE CAPITAL INCREASE SHALL NOT EXCEED THE LIMITS
SET FOR E.19; THE SECURITIES ISSUED MAY BE USED TO
REMUNERATE SECURITIES CONTRIBUTED TO THE COMPANY
IN A PUBLIC EXCHANGE OFFER COMPLYING WITH THE
CONDITIONS SET BY L.225-148 OF THE FRENCH TRADE
CODE AUTHORITY EXPIRES AFTER 26 MONTHS
E.21 APPROVE THAT THE DELEGATIONS GIVEN TO THE BOARD Management For No
PER E.19 AND E.20 SHALL BE SUSPENDED IN CASE OF
PUBLIC OFFERINGS ON THE COMPANY SHARES, EXCEPT IF
SAID CAPITAL INCREASES WERE APPROVED AND MADE
PUBLIC BEFORE THE ACQUISITION OFFER WAS
REGISTERED; THIS DECISION IS MAINTAINED TILL THE
MEETING CALLED TO DELIBERATE OF THE FY 2005
E.22 GRANT ALL POWERS TO THE BEARER OF A COPY OR AN Management For No
EXTRACT OF THE MINUTES OF THE PRESENT TO ACCOMPLISH
ALL DEPOSITS AND PUBLICATIONS PRESCRIBED BY LAW
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 6,750 6,750 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
CHEUNG KONG (HOLDINGS) LTD AGM Meeting Date: 05/20/2004
Issuer: Y13213106 ISIN: HK0001000014
SEDOL: 6191458, 5633100, 6190273
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE THE AUDITED FINANCIAL STATEMENTS AND Management For No
THE REPORTS OF THE DIRECTORS ANDTHE AUDITORS FOR
THE YE 31 DEC 2003
2. DECLARE A FINAL DIVIDEND Management For No
3. ELECT THE DIRECTORS Management For No
4. APPOINT THE AUDITORS AND AUTHORIZE THE DIRECTORS
Management For No TO FIX THEIR REMUNERATION
5.1 AUTHORIZE THE DIRECTORS, TO ISSUE AND DISPOSE Management For No
OF ADDITIONAL SHARES, NOT EXCEEDING 20% OF THE
EXISTING ISSUED SHARE CAPITAL OF THE COMPANY
AT THE DATE OF THE RESOLUTION; AUTHORITY IS
VALID UNTIL THE NEXT AGM
5.2 AUTHORIZE THE DIRECTORS TO REPURCHASE SHARES Management For No
OF HKD 0.50 EACH IN THE CAPITAL OF THE COMPANY
DURING THE RELEVANT PERIOD IN ACCORDANCE WITH ALL
APPLICABLE LAWS AND THE REQUIREMENTS OF THE RULES
GOVERNING THE LISTING OF SECURITIES ON THE STOCK
EXCHANGE OF HONG KONG LIMITED OR OF ANY OTHER
STOCK EXCHANGE, NOT EXCEEDING 10% OF THE AGGREGATE
NOMINAL AMOUNT OF THE ISSUED SHARE CAPITAL OF THE
COMPANY; AUTHORITY EXPIRES THE EARLIER OF THE
CONCLUSION OF THE NEXT AGM OF THE COMPANY OR THE
EXPIRATION OF THE PERIOD WITHIN WHICH THE NEXT AGM
OF THE COMPANY IS TO BE HELD BY LAW
5.3 APPROVE TO EXTEND THE GENERAL MANDATE GRANTED Management For No
TO THE DIRECTORS OF THE COMPANYTO ISSUE AND DISPOSE
OF ADDITIONAL SHARES PURSUANT TO RESOLUTION 5.1,
BY THE ADDITION OF AN AMOUNT REPRESENTING THE
AGGREGATE NOMINAL AMOUNT OF THE SHARE CAPITAL
REPURCHASED BY THE COMPANY PURSUANT TO RESOLUTION
5.2, PROVIDED THAT SUCH AMOUNT DOES NOT EXCEED 10%
OF THE AGGREGATE NOMINAL AMOUNT OF THE ISSUED
SHARE CAPITAL OF THE COMPANY AT THE DATE OF
PASSING THIS RESOLUTION
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 70,000 70,000 05/06/2004
------------------------------------------------------------------------------------------------------------------------------------
CHEUNG KONG (HOLDINGS) LTD EGM Meeting Date: 05/20/2004
Issuer: Y13213106 ISIN: HK0001000014
SEDOL: 6191458, 5633100, 6190273
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
S.1 AMEND ARTICLES 2, 16, 37, 38, 80, 84(B), 91(A), Management For No
95(C), 101(A)(VII), 102(I), 102(J), 102(K), 102(L),
103(A), 107, 109, 118, 183(A) AND 183(B) OF THE
ARTICLES OF ASSOCIATION OF THE COMPANY
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 70,000 70,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
GREEK ORGANISATION OF FOOTBALL PROGNOSTICS SA OPAP AGM Meeting Date: 05/20/2004
Issuer: X5967A101 ISIN: GRS419003009 BLOCKING
SEDOL: 7107250
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE THE FINANCIAL STATEMENTS OF 2003 Management For No
2. APPROVE THE PROFITS DISPOSAL Management For No
3. APPROVE THE DISMISSAL OF THE BOARD OF DIRECTOR Management For No
MEMBERS AND CHARRERED ACCOUNTANTS FROM ANY
COMPENSATIONNAL RESPONSIBILITY FOR 2003
4. ELECT 2 ORDINARY AND 2 SUBSTITUTE CHARRERED Management For No
ACCOUNTANTS FOR 2004 AND DEFINITION OF SALARIES
5. APPROVE THE SALARIES OF MEMBERS AND OF SECRETARY Management For No
OF THE BOARD OF DIRECTOR FOR 2004
6. APPROVE THE PARTICIPATION OF THE BOARD OF DIRECTOR Management For No
MEMBERS IN COMMITTEES AND OF COMPENSATION FOR 2004
7. APPROVE THE ELECTION OF THE BOARD OF DIRECTOR Management For No
MEMBERS AND ELECT THE BOARD OF DIRECTOR MEMBERS
8. AUTHORIZE THE BOARD OF DIRECTOR TO SIGN THE Management For No
CONTRACT AND DEFINITION OF MONTHLY COMPENSATION OF
BOARD OF DIRECTOR S PRESIDENT AND OF NEW MANAGER
OF THE COMPANY
9. VARIOUS ISSUES - ANNOUNCEMENTS Other For No
* PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING Non-Voting Non-Vote Proposal No
# 124533 DUE TO CHANGE IN THE MEETING DATE. ALL
VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE
DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON
THIS MEETING NOTICE. THANK YOU.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 55,000 55,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
HILTON GROUP PLC AGM Meeting Date: 05/21/2004
Issuer: G45098103 ISIN: GB0005002547
SEDOL: 5474752, 0500254
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE AND ADOPT THE REPORTS OF THE DIRECTORS Management For No
AND AUDITOR AND THE ACCOUNTS OF THE COMPANY FOR
THE YE 31 DEC 2003
2. DECLARE A FINAL DIVIDEND OF 5.52P ON EACH OF Management For No
THE 10P ORDINARY SHARES FOR THE YE 31 DEC 2003
PAYABLE ON 01 JUN 2004
3.1 RE-APPOINT SIR IAN ROBINSON AS A DIRECTOR OF Management For No
THE COMPANY
3.2 RE-APPOINT MR. L.P. LUPO AS A DIRECTOR OF THE Management For No
COMPANY
3.3 RE-APPOINT MR. I.P. LIVINGSTON AS A DIRECTOR Management For No
OF THE COMPANY
3.4 RE-APPOINT MR. C.J. RODRIGUES AS A DIRECTOR OF Management For No
THE COMPANY
4. RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS THE Management For No
AUDITOR OF THE COMPANY AND AUTHORIZE THE DIRECTORS
TO FIX THEIR REMUNERATION
5.1 APPROVE THE 2003 DIRECTORS REMUNERATION REPORT Management For No
5.2 AUTHORIZE THE COMPANY, FOR THE PURPOSES OF PART Management For No
XA OF THE COMPANIES ACT 1985, TO MAKE DONATIONS
TO EU POLITICAL ORGANIZATIONS UP TO GBP 15,000 AND
TO INCUR EU POLITICAL EXPENDITURE UP TO GBP
15,000; AND AUTHORIZE LADBROKES LIMITED, A WHOLLY
OWNED SUBSIDIARY OF THE COMPANY, FOR THE PURPOSES
OF PART XA OF THE COMPANIES ACT 1985, TO MAKE
DONATIONS TO EU POLITICAL ORGANIZATIONS UP TO GBP
35,000 AND TO INCUR EU POLITICAL EXPENDITURE UP TO
GBP 35,000; AUTHORITY EXPIRES AT THE CONCLUSION OF
THE NEXT AGM
5.3 APPROVE TO INCREASE THE SHARE CAPITAL OF THE Management For No
COMPANY FROM GBP 216,000,000 TO GBP 226,000,000
BY THE CREATION OF 100,000,000 ADDITIONAL ORDINARY
SHARES OF 10P EACH IN THE CAPITAL OF THE COMPANY
5.4 AUTHORIZE THE DIRECTORS, FOR THE PURPOSES OF Management For No
SECTION 80 OF THE COMPANIES ACT 1985, TO ALLOT
RELEVANT SECURITIES SECTION 80(2) UP TO AN
AGGREGATE NOMINAL AMOUNT OF GBP 52,700,00;
AUTHORITY EXPIRES THE EARLIER OF AGM OF THE
COMPANY IN 2005 OR 20 AUG 2005 ; AND THE DIRECTORS
MAY ALLOT RELEVANT SECURITIES AFTER THE EXPIRY OF
THIS AUTHORITY IN PURSUANCE OF SUCH AN OFFER OR
AGREEMENT MADE PRIOR TO SUCH EXPIRY
S.5.5 AUTHORIZE THE DIRECTORS, TO ALLOT EQUITY SECURITIES Management For No
FOR CASH, PURSUANT TO SECTION 94 OF THE COMPANIES
ACT 1985 AND SUBJECT TO THE PASSING OF RESOLUTION
5.4, DISAPPLYING THE STATUTORY PRE-EMPTION RIGHTS
SECTION 89(1) OF THE COMPANIES ACT 1985 , PROVIDED
THAT THIS POWER IS LIMITED TO THE ALLOTMENT OF
EQUITY SECURITIES: A) UP TO AN AGGREGATE NOMINAL
AMOUNT OF GBP 7,911,979; B) UP TO AN AGGREGATE
NOMINAL AMOUNT OF GBP 52,700,000 IN CONNECTION
WITH A RIGHTS ISSUE IN FAVOR OF ORDINARY
SHAREHOLDERS; AUTHORITY EXPIRES THE EARLIER OF AGM
OF THE COMPANY IN 2005 OR 20 AUG 2005 ; AND THE
DIRECTORS MAY ALLOT EQUITY SECURITIES AFTER THE
EXPIRY OF THIS AUTHORITY IN PURSUANCE OF SUCH AN
OFFER OR AGREEMENT MADE PRIOR TO SUCH EXPIRY
S.5.6 AUTHORIZE THE COMPANY TO MAKE MARKET PURCHASES Management For No
SECTION 163(3) OF THE COMPANIES ACT 1985 OF UP TO
158,239,580 ORDINARY SHARES OF THE COMPANY OF 10P
EACH IN THE CAPITAL OF THE COMPANY, AT A MINIMUM
PRICE OF 10P AND UP TO 105% OF THE AVERAGE MIDDLE
MARKET QUOTATIONS FOR SUCH SHARES DERIVED FROM THE
LONDON STOCK EXCHANGE DAILY OFFICIAL LIST, OVER
THE PREVIOUS 5 BUSINESS DAYS; AUTHORITY EXPIRES
THE EARLIER OF AGM OF THE COMPANY IN 2005 OR 20
AUG 2005 ; THE COMPANY, BEFORE THE EXPIRY, MAY
MAKE A CONTRACT TO PURCHASE ORDINARY SHARES WHICH
WILL OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER
SUCH EXPIRY
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 275,000 275,000 05/10/2004
------------------------------------------------------------------------------------------------------------------------------------
IRISH LIFE & PERMANENT PLC AGM Meeting Date: 05/21/2004
Issuer: G4945H105 ISIN: IE0004678656
SEDOL: 0467865, 4455253
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE THE ACCOUNTS FOR THE YE 31 DEC 2003 AND Management For No
THE REPORTS OF THE DIRECTORS AND AUDITORS THEREON
2. DECLARE A FINAL DIVIDEND ON THE ORDINARY SHARES Management For No
IN THE CAPITAL OF THE COMPANY FOR THE YE 31 DEC
2003
3.a RE-APPOINT MR. DENIS CASEY AS A DIRECTOR, WHO Management For No
RETIRE IN ACCORDANCE WITH THE ARTICLES OF ASSOCIATION
3.b RE-APPOINT MR. KIERAN MCGOWAN AS A DIRECTOR, Management For No
WHO RETIRE IN ACCORDANCE WITH THE ARTICLES OF
ASSOCIATION
3.c RE-APPOINT MR. KEVIN MURPHY AS A DIRECTOR, WHO Management For No
RETIRE IN ACCORDANCE WITH THE ARTICLES OF ASSOCIATION
3.d RE-APPOINT MR. FINBAR SHEEHAN AS A DIRECTOR, Management For No
WHO RETIRE IN ACCORDANCE WITH THE ARTICLES OF
ASSOCIATION
3.e RE-APPOINT MR. DAVID WENT AS A DIRECTOR, WHO Management For No
RETIRE IN ACCORDANCE WITH THE ARTICLES OF ASSOCIATION
4. AUTHORIZE THE DIRECTORS TO FIX THE REMUNERATION Management For No
OF THE AUDITORS
S.5 AUTHORIZE THE COMPANY, FOR THE PURPOSE OF SECTION Management For No
155 OF THE COMPANIES ACT 1963, TO MAKE MARKET
PURCHASES SECTION 212 OF THE COMPANIES ACT, 1990
OF THE COMPANY S ORDINARY SHARES, IN ACCORDANCE
WITH AND SUBJECT TO THE PROVISIONS OF THE
COMPANIES ACT, 1990 AND THE RESTRICTION AND
PROVISIONS, OF UP TO AGGREGATE NUMBER OF ORDINARY
SHARES WILL BE 26,951,133; AND FOR THE PURPOSES OF
THE SECTION 209 OF THE COMPANIES ACT, 1990, THE
REISSUE PRICE RANGE AT WHICH ANY TREASURY SHARE
DEFINED BY THE SECTION 209 REISSUED OFF-MARKET BE
THE PRICE RANGE IN THE ARTICLES OF ASSOCIATION OF
THE COMPANY; AUTHORITY EXPIRES THE EARLIER OF THE
CONCLUSION OF THE NEXT AGM OF THE COMPANY OR 20
AUG 2005
S.6 AUTHORIZE THE DIRECTORS, PURSUANT TO SECTION Management For No
23 AND SECTION 24(1) OF THE COMPANIES ACT 1983, TO
ALLOT EQUITY SECURITIES SECTION 23 FOR CASH
PURSUANT TO THE AUTHORITY CONFERRED BY RESOLUTION
8, DISAPPLYING THE STATUTORY PRE-EMPTION RIGHTS
SECTION 23(1) , PROVIDED THAT THIS POWER IS
LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES A)
IN CONNECTION WITH A RIGHTS ISSUE, OPEN OFFER OR
OTHER OFFERS IN FAVOR OF ORDINARY SHAREHOLDERS;
AND B) UP TO AN AGGREGATE NOMINAL VALUE OF GBP
4,312,181 5% OF THE ISSUED ORDINARY SHARE CAPITAL
; AUTHORITY EXPIRES THE EARLIER OF THE CONCLUSION
OF THE AGM OF THE COMPANY OR 15 MONTHS ; AND,
AUTHORIZE THE DIRECTORS TO ALLOT EQUITY SECURITIES
AFTER THE EXPIRY OF THIS AUTHORITY IN PURSUANCE OF
SUCH AN OFFER OR AGREEMENT MADE PRIOR TO SUCH
EXPIRY
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 90,000 90,000 05/15/2004
------------------------------------------------------------------------------------------------------------------------------------
LLOYDS TSB GROUP PLC AGM Meeting Date: 05/21/2004
Issuer: G5542W106 ISIN: GB0008706128
SEDOL: 5460524, 0870612
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. RECEIVE THE ACCOUNTS AND THE REPORTS OF THE Management For No
DIRECTORS AND OF THE AUDITORS FORTHE YE 31 DEC 2003
2. APPROVE THE DIRECTORS REMUNERATION REPORT Management For No
CONTAINED IN THE REPORT AND ACCOUNTS
3.a ELECT MR. P.G. AYLIFFE AS A DIRECTOR, WHO RETIRES Management For No
UNDER ARTICLE 78 OF THE COMPANY S ARTICLES OF
ASSOCIATION
3.b ELECT DR. W.C.G. BERNDT AS A DIRECTOR, WHO RETIRES Management For No
UNDER ARTICLE 78 OF THE COMPANY S ARTICLES OF
ASSOCIATION
3.c ELECT MRS. A.A. KNIGHT AS A DIRECTOR, WHO RETIRES Management For No
UNDER ARTICLE 78 OF THE COMPANY S ARTICLES OF
ASSOCIATION
3.d ELECT MRS. H.A. WEIR AS A DIRECTOR, WHO RETIRES Management For No
UNDER ARTICLE 78 OF THE COMPANY S ARTICLES OF
ASSOCIATION
4.a RE-ELECT MR. EWAN BROWN AS A DIRECTOR, WHO RETIRES Management For No
BY ROTATION UNDER ARTICLE 81 OF THE COMPANY S
ARTICLE OF ASSOCIATION
4.b RE-ELECT MR. MR. J.E. DANIELS AS A DIRECTOR, Management For No
WHO RETIRE BY ROTATION UNDER ARTICLE 81 OF THE
COMPANY S ARTICLE OF ASSOCIATION
4.c RE-ELECT MR. D.P. PRITCHARD AS A DIRECTOR, WHO Management For No
RETIRES BY ROTATION UNDER ARTICLE 81 OF THE COMPANY S
ARTICLE OF ASSOCIATION
4.d RE-ELECT MR. M.A. VAN DEN BERGH AS A DIRECTOR, Management For No
WHO RETIRES BY ROTATION UNDER ARTICLE 81 OF THE
COMPANY S ARTICLE OF ASSOCIATION
5. RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS THE AUDITORS Management For No
6. AUTHORIZE THE DIRECTORS TO SET THE REMUNERATION Management For No
OF THE AUDITORS
7. APPROVE TO RENEW THE AUTHORITY CONFERRED ON THE Management For No
DIRECTORS BY PARAGRAPH 9.2 OFTHE ARTICLE 9 OF THE
COMPANY S ARTICLES OF ASSOCIATION, FOR THE PERIOD
ENDING ON THE DAY OF THE AGM IN 2005 OR ON 20 AUG
2005, WHICHEVER IS EARLIER, AND FOR THAT PERIOD
THE SECTION 80 AMOUNT SHALL BE GBP 334,068,329,
USD 40,000,000, EUR 40,000,000 AND JPY 250,000,000
S.8 APPROVE TO RENEW THE AUTHORITY CONFERRED ON THE Management For No
DIRECTORS, SUBJECT TO THE PASSING OF RESOLUTION 7,
BY PARAGRAPH 9.3 OF THE ARTICLE 9 OF THE COMPANY S
ARTICLES OF ASSOCIATION AND FOR THAT PERIOD THE
SECTION 89 AMOUNT SHALL BE GBP 70,913,582, AND THE
SALE OF TREASURY SHARES SHALL BE TREATED AS AN
ALLOTMENT OF EQUITY SECURITIES FOR THE PURPOSE OF
ARTICLE 9
S.9 APPROVE TO RENEW THE AUTHORITY GIVEN TO THE COMPANY, Management For No
TO MAKE MARKET PURCHASES SECTION 163 OF THE COMPANIES
ACT 1985 OF UP TO 567 MILLION ORDINARY SHARES OF
25P EACH IN THE CAPITAL OF THE COMPANY, AT A
MINIMUM PRICE OF 25P AND UP TO 105% OF THE AVERAGE
MIDDLE MARKET QUOTATIONS FOR SUCH SHARES DERIVED
FROM THE STOCK EXCHANGE DAILY OFFICIAL LIST, OVER
THE PREVIOUS 5 BUSINESS DAYS; AUTHORITY EXPIRES
THE EARLIER OF THE CONCLUSION OF THE NEXT AGM OF
THE COMPANY IN 2005 OR 20 NOV 2005 ; THE COMPANY,
BEFORE THE EXPIRY, MAY MAKE A CONTRACT TO PURCHASE
ORDINARY SHARES WHICH WILL OR MAY BE EXECUTED
WHOLLY OR PARTLY AFTER SUCH EXPIRY
S.10 APPROVE AND ADOPT THE NEW ARTICLES OF ASSOCIATION Management For No
OF THE COMPANY, SUBJECT TO THE PASSING OF RESOLUTIONS
7 AND 8 IN SUBSTITUTION FOR THE EXISTING ARTICLES
OF ASSOCIATION
11. APPROVE THE DRAFT RULES OF THE LLOYDS TSB PERFORMANCE Management For No
SHARE PLAN PLAN AS SPECIFIED AND AUTHORIZE THE
DIRECTORS TO CAUSE THE RULES TO BE ADOPTED IN, OR
SUBSTANTIALLY IN, THE FORM OF THE DRAFT AND TO DO
ALL ACTS AND THINGS NECESSARY OR EXPEDIENT TO
CARRY THE PLAN INTO EFFECT; AND APPROVE THE
AMENDMENT TO THE LLOYDS TSB GROUP NO. 2 EXECUTIVE
SHARE OPTION SCHEME 1997 AS SPECIFIED AND
AUTHORIZE THE DIRECTORS TO ADOPT THE AMENDMENTS
FROM 01 JAN 2005
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 85,000 85,000 05/15/2004
------------------------------------------------------------------------------------------------------------------------------------
ENI SPA, ROMA MIX Meeting Date: 05/25/2004
Issuer: T3643A145 ISIN: IT0003132476 BLOCKING
SEDOL: 7145056
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* PLEASE NOTE IN THE EVENT THE MEETING DOES NOT Non-Voting Non-Vote Proposal No
REACH QUORUM, THERE WILL BE A SECOND CALL ON 26
MAY 2004 AND A THIRD CALL ON 28 MAY 2004.
CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN
VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED.
PLEASE BE ALSO ADVISED THAT YOUR SHARES WILL BE
BLOCKED UNTIL THE QUORUM IS MET OR THE MEETING IS
CANCELLED. THANK YOU
O.1 RECEIVE THE FINANCIAL STATEMENT AND THE CONSOLIDATED Management For No
FINANCIAL STATEMENT AT 31 DEC 2003 AND ALSO THE
BOARD OF DIRECTORS AND THE AUDITORS REPORT
O.2 APPROVE THE ALLOCATION OF NET INCOME Management For No
O.3 GRANT AUTHORITY TO PURCHASE ENI SHARES Management For No
O.4 APPOINT THE INDEPENDENT AUDITORS FOR THE THREE-YEAR Management For No
PERIOD 2004-2006
O.5 AMENDMENT TO ARTICLE 2.1 OF ENI S.P.A. S SHAREHOLDERS Management For No
MEETING REGULATION
O.6 APPROVE THE EMOLUMENTS OF THE DIRECTORS Management For No
E.1 AMEND THE ARTICLES 2.1, 11.2, 12.2, 13, 16.1, Management For No
17.2, 17.3, 19.3 AND 23 OF ENI BY-LAWS PURSUANT
TO THE LEGISLATIVE DECREE NO. 6 DATED 17 JAN
2003
E.2 AMEND ARTICLES 17.3, 19.1 AND 28.1 OF ENI BY-LAWS Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 50,000 50,000 05/17/2004
------------------------------------------------------------------------------------------------------------------------------------
ITO-YOKADO CO LTD AGM Meeting Date: 05/27/2004
Issuer: J25209115 ISIN: JP3142800006
SEDOL: 5335149, 4468723, 6467944
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JY16, FINAL JY 18, SPECIAL JY 0
2 AMEND ARTICLES TO: CHANGE LOCATION OF HEAD OFFICE Management For No
- AUTHORIZE SHAREREPURCHASES AT BOARD S DISCRETION
- LIMIT DIRECTORS AND INTERNAL AUDITORS LEGAL LIABILITY
3.1 ELECT DIRECTOR Management For No
3.2 ELECT DIRECTOR Management For No
3.3 ELECT DIRECTOR Management For No
3.4 ELECT DIRECTOR Management For No
3.5 ELECT DIRECTOR Management For No
3.6 ELECT DIRECTOR Management For No
3.7 ELECT DIRECTOR Management For No
3.8 ELECT DIRECTOR Management For No
3.9 ELECT DIRECTOR Management For No
3.10 ELECT DIRECTOR Management For No
3.11 ELECT DIRECTOR Management For No
3.12 ELECT DIRECTOR Management For No
3.13 ELECT DIRECTOR Management For No
3.14 ELECT DIRECTOR Management For No
3.15 ELECT DIRECTOR Management For No
3.16 ELECT DIRECTOR Management For No
3.17 ELECT DIRECTOR Management For No
4 APPOINT INTERNAL STATUTORY AUDITOR Management For No
5 APPROVE RETIREMENT BONUSES FOR DIRECTORS AND Management For No
STATUTORY AUDITOR
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 22,000 22,000 05/20/2004
------------------------------------------------------------------------------------------------------------------------------------
THE SWATCH GROUP AG, NEUENBURG AGM Meeting Date: 05/27/2004
Issuer: H83949141 ISIN: CH0012255151 BLOCKING
SEDOL: 7184725
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* THE PRACTICE OF SHARE BLOCKING VARIES WIDELY Non-Voting Non-Vote Proposal No
IN THIS MARKET. PLEASE CONTACT YOUR ADP CLIENT
SERVICE REPRESENTATIVE TO OBTAIN BLOCKING INFORMATION
FOR YOUR ACCOUNTS.
1. APPROVE THE BUSINESS REPORT OF 2003 Management For No
2. GRANT DISCHARGE TO THE MEMBERS OF THE BOARD OF Management For No
DIRECTORS
3. APPROVE THE APPROPRIATION OF THE BALANCE SHEET Management For No
PROFIT
4. ELECT THE BOARD OF DIRECTORS Management For No
5. ELECT THE AUDITORS AND THE GROUP AUDITOR Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 10,000 10,000 05/22/2004
------------------------------------------------------------------------------------------------------------------------------------
AVENTIS MIX Meeting Date: 06/11/2004
Issuer: F0590R100 ISIN: FR0000130460 BLOCKING
SEDOL: 5416839, 7166002, 4736817
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O.1 APPROVE THE COMPANY S FINANCIAL STATEMENTS THE Management For No
PARENT-COMPANY FINANCIAL STATEMENTS FOR THE
YE 31 DEC 2003 SHOWING A NET PROFIT OF EUR 847,051,268.13
O.2 APPROVE THE CONSOLIDATED FINANCIAL STATEMENTS Management For No
FOR THE YE 31 DEC 2003 SHOWING A CONSOLIDATED
NET PROFIT OF EUR 1,901,270,000
O.3 APPROVE THE APPROPRIATION OF EARNINGS AND A NET Management For No
DIVIDEND OF EUR 0.82 ASSOCIATED WITH A TAX CREDIT
OF EUR 0.41 FOR A GROSS DIVIDEND OF EUR 1.23 AND
THAT THE COUPON BE DETACHED ON 15 JUN 2004 AND THE
DIVIDEND BE PAYABLE IN EUROS AS OF 15 JUL 2004
O.4 APPROVE THE AGREEMENTS MENTIONED IN THE AUDITORS Management For No
SPECIAL REPORT REGULATED AGREEMENTS
O.5 AUTHORIZE THE MANAGEMENT BOARD TO ACQUIRE UP Management For No
TO A MAXIMUM OF 80,229,280 OF THE COMPANY S OWN
SHARES, OR LESS THAN 10% OF THE NUMBER OF SHARES
OUTSTANDING FOR THE FOLLOWING PURPOSES: A)
STABILIZE THE TRADING PRICE OF THE COMPANY S
STOCK; B) BUY AND TO SELL THE COMPANY S SHARES IN
CONSIDERATION OF MARKET CONDITIONS; C) GRANT
SHARES TO EMPLOYEES OR DIRECTORS AND OFFICERS OF
THE COMPANY; D) HOLD SUCH SHARES AND TRANSFER THEM
BY ANY MEANS, INCLUDING BY MEANS OF OPTION
TRANSACTIONS, IN PARTICULAR VIA THEIR SALE ON THE
STOCK MARKET OR OVER THE COUNTER, THE SALE OF
BLOCKS OF SHARES IN CONNECTION WITH PUBLIC
PURCHASE, EXCHANGE OR SALE OFFERINGS, AND THE
PURCHASE OR THE SALE OF BUY OR SELL OPTIONS; E)
USE SUCH SHARES IN ANY OTHER APPROPRIATE MANNER TO
OPTIMIZE THE MANAGEMENT OF THE STOCKHOLDERS EQUITY
OF THE COMPANY AND TO EFFECT TRANSACTIONS TO
FURTHER THE EXTERNAL GROWTH OF THE COMPANY; F)
CANCEL THE ACQUIRED SHARES; MAXIMUM PURCHASE PRICE
SHALL NOT EXCEED EUR 100 AND THE MINIMUM SALE
PRICE SHALL NOT BE LESS THAN EUR 50; AUTHORIZATION
IS GRANTED FOR A PERIOD OF 18 MONTHS
O.6 APPOINT MR. YVES NICOLAS AS A SUBSTITUTE AUDITOR Management For No
UNTIL THE CLOSE OF THE GENERAL MEETING CONVENED
TO VOTE ON THE ACCOUNTS FOR 2005
E.7 APPROVE TO COMPLY WITH THE NEW PROVISIONS OF Management For No
ARTICLE L.233-7 OF THE FRENCH COMMERCIAL CODE TO
AMEND PARAGRAPHS 1.A, 1.B AND 3 OF ARTICLE 7 OF
THE COMPANY S ARTICLES OF ASSOCIATION, PERTAINING
TO THE NOTICE PERIOD FOR DECLARING THE CROSSING OF
THRESHOLDS IN THE COMPANY S SHARE CAPITAL AND THAT
THIS PERIOD BE REDUCED TO 5 TRADING DAYS AS FROM
THE DATE ON WHICH THE THRESHOLD HAS BEEN CROSSED
FROM 15 DAYS
E.8 AMEND PARAGRAPH 2 OF ARTICLE 11 OF THE COMPANY S Management For No
ARTICLES OF ASSOCIATION TO CHANGE THE TERM
OF APPOINTMENT OF MEMBERS OF THE MANAGEMENT BOARD
TO 3 YEARS FROM 5 YEARS
E.9 AMEND PARAGRAPH 2 OF ARTICLE 13 OF THE COMPANY S Management For No
ARTICLES OF ASSOCIATION TO CHANGE THE TERM
OF APPOINTMENT OF NEW SUPERVISORY BOARD MEMBERS
TO 3 YEARS FROM 5 YEARS
O.10 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. JEAN-MARC BRUEL AS A MEMBER OF SUPERVISORY
BOARD FOR A PERIOD OF 3 YEARS
O.11 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. MARTIN FRUHAUF AS A MEMBER OF THE SUPERVISORY
BOARD FOR A PERIOD OF 3 YEARS
O.12 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. SERGE KAMPF AS A MEMBER OF THE SUPERVISORY
BOARD FOR A PERIOD OF 3 YEARS
O.13 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. HUBERT MARKL AS A MEMBER OF THE SUPERVISORY
BOARD FOR A PERIOD OF 3 YEARS
O.14 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. GUNTER METZ AS A MEMBER OF THE SUPERVISORY
BOARD FOR A PERIOD OF 3 YEARS
O.15 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. DIDIER PINEAU-VALENCIENNE AS A MEMBER
OF THE SUPERVISORY BOARD FOR A PERIOD OF 3 YEARS
O.16 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. SEHAM RAZZOUQI AS A MEMBER OF THE SUPERVISORY
BOARD FOR A PERIOD OF 3 YEARS
O.17 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. MICHEL RENAULT AS A MEMBER OF THE SUPERVISORY
BOARD FOR A PERIOD OF 3 YEARS
O.18 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. HANS-JURGEN SCHINZLER AS A MEMBER OF THE
SUPERVISORY BOARD FOR A PERIOD OF 3 YEARS
O.19 APPROVE THE RENEWAL OF THE TERM OF APPOINTMENT Management For No
OF MR. MARC VIENOT AS A MEMBER OF THE SUPERVISORY
BOARD FOR A PERIOD OF 3 YEARS
O.20 GRANT FULL POWERS TO THE BEARER OF A COPY OR Management For No
EXTRACT OF THE MINUTES OF THIS MEETING TO UNDERTAKE
ANY FORMALITIES FOR PUBLIC NOTICE OR RECORDING
PURPOSES
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
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GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 15,000 15,000 05/30/2004
------------------------------------------------------------------------------------------------------------------------------------
ALTADIS SA AGM Meeting Date: 06/15/2004
Issuer: E0432C106 ISIN: ES0177040013
SEDOL: 5444012, 5860652, 5843114
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* IN ACCORDANCE WITH CURRENT LEGAL REGULATIONS Non-Voting Non-Vote Proposal No
AND THE COMPANY BY-LAWS, AT ITS MEETING ON 11 MAY
2004, AND WITH THE REQUIRED PRESENCE OF ITS LEGAL
REPRESENTATIVE, THE BOARD OF DIRECTORS OF ALTADIS,
S.A., UNANIMOUSLY RESOLVED TO CALL AN ORDINARY
GENERAL MEETING OF SHAREHOLDERS, TO BE HELD AT
SECOND CALL IN MADRID, AT THE IFEMA, AUDITORIUM
(2ND FLOOR), PARQUE FERIAL JUAN CARLOS I, CAMPO DE
LAS NACIONES, AT 16:00, ON JUNE 15TH 2004 (IN THE
EVENT THAT THE MEETING IS NOT HELD AT FIRST
NOTICE, LIKEWISE CALLED AT THE SAME PLACE AND TIME
THE PREVIOUS DAY, JUNE 14TH 2003) TO DISCUSS AND
DECIDE UPON THE FOLLOWING ITEMS (PLEASE ALSO BE
ADVISED THAT ADDITIONAL INFORMATION CONCERNING
ALTADIS, S.A. CAN ALSO BE VIEWED ON THE COMPANY S
WEBSITE: WWW.ALTADIS.COM AND THE LINKS LISTED):
1. EXAMINATION AND APPROVAL, IF APPLICABLE, OF THE Management For No
ANNUAL ACCOUNTS (BALANCE SHEET, PROFIT AND LOSS
ACCOUNT AND REPORT) AND THE MANAGEMENT REPORT, AS
WELL AS THE MANAGEMENT OF THE BOARD OF DIRECTORS,
FOR THE YEAR 2003, OF ALTADIS, S.A. AND ITS
CONSOLIDATED GROUP AND THE PROPOSED APPLICATION OF
RESULTS AND DISTRIBUTION OF DIVIDENDS. IT IS
PROPOSED TO APPROVE THE ANNUAL ACCOUNTS (BALANCE
SHEET, PROFIT AND LOSS ACCOUNT AND REPORT), AND
THE MANAGEMENT REPORT FOR THE YEAR ENDED 31
DECEMBER 2003 OF THE COMPANY AND ITS CONSOLIDATED
GROUP, AND TO APPROVE THE CORPORATE MANAGEMENT AND
DECIDE ON THE APPLICATION OF THE RESULTS WHICH
CONSISTS OF PAYING, FROM THE PROFITS OF THE YEAR
(EURO 291,353 THOUSAND), A DIVIDEND OF EURO 0.80
PER SHARE. THE REMAINDER SHALL BE DESTINED TO
INCREASE THE BALANCE OF THE VOLUNTARY RESERVES OF
ALTADIS, S.A. CONSEQUENTLY, THE RESOLUTION OF THE
BOARD TO PAY A DIVIDEND OF EURO 0.35 PER SHARE IS
RATIFIED AND IT IS PROPOSED TO PAY A SUPPLEMENTARY
DIVIDEND IN THE AMOUNT OF EURO 0.45 PER SHARE, ON
22 JUNE 2004, WHICH WOULD BRING THE TOTAL DIVIDEND
OF THE YEAR TO EURO 0.80 PER SHARE
2. RATIFICATION OF BOARD MEMBERS. IN ACCORDANCE Management For No
WITH ARTICLE 34 OF THE BY-LAWS, IT IS PROPOSED TO
RATIFY THE APPOINTMENT AS MEMBERS OF THE BOARD OF
DIRECTORS OF THOSE DIRECTORS APPOINTED BY
CO-OPTATION TO OCCUPY SUCH POSTS DURING THE
TIME-PERIOD FROM THE ORDINARY GENERAL SHAREHOLDERS
MEETING OF 10 JUNE 2003 UP TO THE DATE OF THE
PRESENT GENERAL SHAREHOLDERS MEETING
3. APPOINTMENT OR RE-ELECTION OF AUDITORS OF ALTADIS, Management For No
S.A. AND ITS CONSOLIDATED GROUP FOR 2004. IT IS
PROPOSED TO RE-ELECT AS AUDITORS OF THE COMPANY
AND ITS CONSOLIDATED GROUP, THE COMPANY DELOITTE &
TOUCHE ESPANA, S.L. , WHICH WILL CARRY OUT THE
AUDIT FOR 2004, EMPOWERING THE BOARD OF DIRECTORS,
WHICH MAY DELEGATE TO THIS END THE AUDIT AND
CONTROL COMMITTEE, TO ENTER INTO THE CORRESPONDING
SERVICE AGREEMENT, BASED ON THE REMUNERATION FOR
THE PREVIOUS YEAR, WITH THE CLAUSES AND CONDITIONS
IT MAY DEEM CONVENIENT, HAVING ALSO THE POWERS TO
CARRY OUT ANY MODIFICATIONS AS MAY BE PERTINENT IN
ACCORDANCE WITH THE LEGISLATION IN FORCE AT ALL
TIMES
4. REDUCTION OF SHARE CAPITAL BY WAY OF AMORTISATION Management For No
OF OWN SHARES, GIVING RISE TO REVISED TEXT OF
BY-LAWS ARTICLE ON SHARE CAPITAL. THE RESOLUTION
PUT FORWARD FOR THE APPROVAL OF THE GENERAL
SHAREHOLDERS MEETING BY THE BOARD OF DIRECTORS IN
RELATION WITH THIS MATTER IS TRANSCRIBED BELOW:
REDUCE THE SHARE CAPITAL OF THE COMPANY IN THE
AMOUNT OF EURO 4.350.000, BY WAY OF AMORTISATION
OF 7.250.000 OWN SHARES CURRENTLY IN TREASURY
STOCK, WHICH HAVE BEEN PREVIOUSLY ACQUIRED UNDER
AUTHORISATION FROM THE GENERAL SHAREHOLDERS
MEETING, WITHIN THE SCOPE OF ARTICLES 75 AND
ONWARDS AND UNDER ADDITIONAL PROVISION 1, SECTION
2, OF THE COMPANIES ACT. CONSEQUENTLY, ARTICLE 5
OF THE BY-LAWS IS MODIFIED CONCERNING THE FIGURE
FOR THE SHARE CAPITAL, AND SHALL READ AS FOLLOWS:
ARTICLE 5 - SHARE CAPITAL THE SHARE CAPITAL IS ONE
HUNDRED AND SIXTY-NINE MILLION, NINE HUNDRED AND
THIRTY-TWO THOUSAND, EIGHT HUNDRED AND FIFTY-FIVE
EURO AND SIXTY CENT (EURO 169,932,855.60),
REPRESENTED BY TWO HUNDRED AND EIGHTY-THREE
MILLION, TWO HUNDRED AND TWENTY-ONE THOUSAND, FOUR
HUNDRED AND TWENTY-SIX SHARES (283,221,426 SHARES)
OF 0.60 NOMINAL EURO EACH, ALL OF THE SAME TYPE,
NUMBERED FROM 1 TO 283,221,426 INCLUSIVE, FULLY
SUBSCRIBED AND PAID UP. THE REDUCTION SHOULD BE
CARRIED OUT IN A MAXIMUM TIME PERIOD OF SIX
MONTHS, FROM THE DATE OF THE PRESENT RESOLUTION.
THE REDUCTION OF CAPITAL IS CHARGED TO RESERVES,
CANCELLING THE UNAVAILABLE RESERVE REFERRED TO IN
ARTICLE 79.3 OF THE COMPANIES ACT. THE REDUCTION
DOES NOT BRING ABOUT ANY RETURN OF CONTRIBUTIONS
GIVEN THAT THE COMPANY ITSELF IS THE OWNER OF THE
AMORTISED SHARES. THEREFORE, THE PURPOSE OF THE
REDUCTION SHALL BE TO AMORTISE OWN SHARES. IT IS
PROPOSED TO DELEGATE TO THE BOARD OF DIRECTORS THE
CARRYING OUT OF ANY PROCEDURES WHICH MAY BE
NECESSARY UNDER LAW IN ORDER TO COMPLETE OR
RECTIFY, AS THE CASE MAY BE, THAT WHICH IS ADOPTED
HERE AND, IN PARTICULAR, IN ORDER THAT THE BOARD
OF DIRECTORS MAY: REQUEST THAT THE AMORTISED
SHARES ARE NOT QUOTED, AS ESTABLISHED UNDER
APPLICABLE LEGISLATION; DRAFT AND PUBLISH, WHERE
NECESSARY, THE ANNOUNCEMENTS REFERRED TO IN
ARTICLE 165 OF THE COMPANIES ACT; SHOULD THE RIGHT
TO OPPOSE BE EXERCISED BY ANY OF THE HOLDERS OF
THE SAME, WHERE APPLICABLE, COMPLY WITH THE
REQUIREMENTS ESTABLISHED IN ARTICLE 166, SECTION
3, OF THE ACT; AND, IN GENERAL, ADOPT ANY
RESOLUTIONS AND CARRY OUT ANY ACTS WHICH MAY BE
NECESSARY IN ORDER TO REDUCE THE CAPITAL AND
AMORTISE THE SHARES, WITH EXPRESS POWERS TO
RECTIFY OR COMPLEMENT PREVIOUS RESOLUTIONS
DEPENDING ON THE VERBAL OR WRITTEN QUALIFICATION
GIVEN BY THE MERCANTILE REGISTRAR, GRANTING THE
CORRESPONDING PUBLIC DEED(S), AND DESIGNATING THE
PERSON(S) WHO MAY INTERVENE IN THE FORMALISATION
OF THE SAME. IT IS ALSO PROPOSED TO DELEGATE,
INDISCRIMINATELY, TO THE CHAIRMAN OF THE BOARD OF
DIRECTORS AND THE SECRETARY OF THE BOARD, THE
POWERS NECESSARY IN ORDER TO FORMALISE THE PRESENT
RESOLUTION, BEING ABLE, TO THIS EFFECT, TO GRANT
ANY TYPE OF PUBLIC OR PRIVATE DOCUMENT, INCLUDING
TO COMPLEMENT OR RECTIFY THE RESOLUTION, AND IN
ORDER TO PROCEED WITH THE REGISTRATION OF THE SAME
IN THE CORRESPONDING MERCANTILE REGISTRY AND IN
ANY OTHER ENTITIES AS APPROPRIATE.
5. AUTHORISATION TO THE BOARD OF DIRECTORS TO ACQUIRE Management For No
OWN SHARES, DIRECTLY OR THROUGH GROUP ENTITIES,
WITHIN THE LIMITS AND IN ACCORDANCE WITH THE LEGAL
REQUIREMENTS, FOR A MAXIMUM PERIOD OF EIGHTEEN
MONTHS, RENDERING NULL AND VOID THAT PART NOT USED
OF THE AUTHORISATION GRANTED BY THE GENERAL
SHAREHOLDERS MEETING OF 10 JUNE 2003, AND
AUTHORISATION FOR THE SALE AND/OR APPLICATION OF
THESE SHARES TO THE REMUNERATION SYSTEMS ENVISAGED
IN ARTICLE 75 OF THE COMPANIES ACT. IT IS PROPOSED
TO EXPRESSLY AUTHORISE THE BOARD OF DIRECTORS, IN
ACCORDANCE WITH ARTICLE 75 OF THE REVISED TEXT IN
FORCE OF THE COMPANIES ACT, TO ACQUIRE SHARES OF
ALTADIS, S.A., EITHER DIRECTLY BY THE COMPANY
ITSELF OR INDIRECTLY THROUGH ENTITIES OF ITS
GROUP, UP TO A MAXIMUM AMOUNT OF SHARES
REPRESENTING 5% OF THE SHARE CAPITAL AND AT A
PRICE OR VALUE WHICH MAY NOT BE LESS THAN THE
NOMINAL VALUE OF THE SHARES OR GREATER THAN THEIR
QUOTED PRICE ON THE STOCK EXCHANGE. THE
ACQUISITION FOR WHICH AUTHORISATION IS REQUESTED
MAY BE EFFECTED BY WAY OF PURCHASE, EXCHANGE,
DONATION, ATTRIBUTION, OR GRANTING OF PAYMENT AND,
IN GENERAL, BY ANY OTHER METHOD OF ACQUISITION BY
PAYMENT OF SHARES IN CIRCULATION AND FULLY PAID
UP, INCLUDING THE USE OF FINANCIAL INSTRUMENTS, IN
PARTICULAR ALL THOSE OPTIONS OPERATIONS (PUTS AND
CALLS), AND FOR A MAXIMUM PERIOD OF EIGHTEEN
MONTHS TO RUN FROM THE ADOPTION OF THIS
RESOLUTION. THESE SHARES WHICH ARE ACQUIRED SHALL
NOT ENJOY ANY PUBLIC RIGHT, NOT EVEN THE VOTING
RIGHT, THE ECONOMIC RIGHTS WHICH CORRESPOND TO
THEM BEING ATTRIBUTED PROPORTIONALLY TO THE REST
OF THE SHARES IN ACCORDANCE WITH ARTICLE 79 OF THE
ACT. THE BOARD OF DIRECTORS IS AUTHORISED TO
CREATE AT THE TIME OF ACQUISITION OF THE SHARES, A
SPECIAL UNAVAILABLE RESERVE ON THE DEBIT SIDE OF
ITS BALANCE SHEET WHICH SHALL BE CHARGED TO FREELY
AVAILABLE RESERVES IN AN AMOUNT EQUIVALENT TO THE
ACQUISITION VALUE OF THE SAID SHARES. THIS
AUTHORISATION RENDERS NULL AND VOID THAT AGREED BY
THE GENERAL SHAREHOLDERS MEETING ON 10 JUNE 2003.
SIMILARLY, AND IN ACCORDANCE WITH PARAGRAPH 2 OF
POINT 1 OF ARTICLE 75 OF THE COMPANIES ACT,
EXPRESS AUTHORISATION IS GRANTED FOR THE
ACQUISITION OF THE SHARES OF THE COMPANY BY ANY OF
THE GROUP COMPANIES UNDER THE TERMS CONTAINED
HEREIN. IT IS EXPRESSLY STATED THAT THE SHARES
WHICH ARE ACQUIRED AS A RESULT OF THIS
AUTHORISATION MAY BE ALLOCATED EITHER FOR SALE OR
FOR APPLICATION TO THE REMUNERATION SYSTEMS
OUTLINED IN THE THIRD PARAGRAPH OF SECTION 1 OF
ARTICLE 75 OF THE COMPANIES ACT. THE BOARD OF
DIRECTORS SHALL, WHEN APPLICABLE, DECIDE UPON THE
SALE, MAINTENANCE OR AMORTISATION OF THE SHARES
ACQUIRED
6. AUTHORISATION TO THE BOARD OF DIRECTORS TO ISSUE Management For No
ON ONE OR VARIOUS OCCASIONS NON-CONVERTIBLE
DEBENTURES, BONDS OR ANY OTHER VALUES, SHARES AND
EFFECTS AS MAY BE USED TO CREATE OR RECOGNISE A
DEBT, UNDER THE TERMS, TIME LIMITS AND CONDITIONS
LEGALLY ESTABLISHED, RENDERING NULL AND VOID THE
PREVIOUS AUTHORISATION, NOT USED, CONCEDED FOR
THIS PURPOSE BY THE GENERAL SHAREHOLDERS MEETING.
IT IS PROPOSED TO AUTHORISE THE BOARD OF
DIRECTORS, IN THE WIDEST SCOPE PERMITTED BY LAW,
TO ISSUE, IN ACCORDANCE WITH THE REQUIREMENTS
INDICATED BY LEGISLATION IN FORCE, NON-CONVERTIBLE
DEBENTURES OR BONDS OF ANY TYPE, PROMISSORY NOTES,
STOCK OPTIONS OR OTHER SIMILAR VALUES WITH OR
WITHOUT OPTION AND, IN GENERAL, ANY OTHER VALUE OR
FINANCIAL INSTRUMENT, REPRESENTED BY SHARES OR
ACCOUNTING ENTRIES, IN EURO OR ANY OTHER CURRENCY,
AS WELL AS TO APPROVE PLANS OR PROGRAMMES FOR THE
ISSUE OF BONDS, DEBENTURES, PROMISSORY NOTES OR
WARRANTS. THE ABOVE MAY BE ISSUED, AT THE
DISCRETION OF THE BOARD, EITHER ON ONE OCCASION OR
ON AS MANY OCCASIONS AS THE BOARD ITSELF MAY DEEM
FIT, AND THE BOARD, IN TURN, MAY DELEGATE THE
POWER INVESTED IN IT, IN ACCORDANCE WITH THE LAW,
TO OTHER BOARD MEMBERS, TO THE SECRETARY OF THE
BOARD AND TO THE CFO OF THE GROUP IN CASES OF
APPROVAL OF PROGRAMMES OR PLANS FOR ISSUE OF
BONDS, DEBENTURES, PROMISSORY NOTES OR WARRANTS,
IN ORDER THAT THEY MAY SPECIFY THE CONDITIONS OF
ISSUE IN LINE WITH THE BASIS OF THE PLAN OR
PROGRAMME OF ISSUE APPROVED BY THE BOARD OF
DIRECTORS. THIS DELEGATION OF POWERS INCLUDES THE
POWER TO DESIGNATE THE INTERVENING BODY AND TO SET
TERMS AND CONDITIONS IN ACCORDANCE WITH APPLICABLE
LEGISLATION. THIS AUTHORISATION IS GRANTED FOR THE
MAXIMUM TIME PERMITTED BY THE LEGISLATION IN FORCE
AND RENDERS NULL AND VOID THE FORMER AUTHORISATION
GRANTED BY THE GENERAL SHAREHOLDERS MEETING OF 10
JUNE 2003
7. MODIFICATION OF ARTICLE 22 OF THE BY-LAWS Management For No
(ELIMINATES THE NEED TO HOLD AT LEAST 50 SHARES TO
BE ENTITLED TO ATTEND THE GENERAL SHAREHOLDERS
MEETING), ARTICLE 23 (INCLUDES CONFERRING
REPRESENTATION BY WAY OF REMOTE COMMUNICATION),
ARTICLE 25 (ELIMINATES THE REQUIREMENT FOR
QUALIFIED QUORUMS AND MAJORITIES FOR THE ADOPTION
OF CERTAIN RESOLUTIONS AND INCLUDES THE EXERCISE
OR DELEGATION OF VOTING RIGHT VIA E-MAIL OR ANY
OTHER MEANS OF REMOTE COMMUNICATION) AND ARTICLE
28 (BROADENS THE SCOPE OF SHAREHOLDERS RIGHT TO
INFORMATION). IT IS PROPOSED TO MODIFY THE
BY-LAWS, AS PROPOSED BY THE BOARD OF DIRECTORS,
AND CONSISTING OF THE MODIFICATION OF ARTICLE 22
OF THE BY-LAWS (ELIMINATES THE NEED TO HOLD AT
LEAST 50 SHARES TO BE ENTITLED TO ATTEND THE
GENERAL SHAREHOLDERS MEETING), ARTICLE 23
(INCLUDES CONFERRING REPRESENTATION BY WAY OF
REMOTE COMMUNICATION), ARTICLE 25 (ELIMINATES THE
REQUIREMENT FOR QUALIFIED QUORUMS AND MAJORITIES
FOR THE ADOPTION OF CERTAIN RESOLUTIONS AND
INCLUDES THE EXERCISE OR DELEGATION OF VOTING
RIGHT VIA E-MAIL OR ANY OTHER MEANS OF REMOTE
COMMUNICATION) AND ARTICLE 28 (BROADENS THE SCOPE
OF SHAREHOLDERS RIGHT TO INFORMATION), WITH THE
FOLLOWING TEXT: ARTICLE 22.- RIGHT TO ATTEND 1.-
ALL OF THE COMPANY SHAREHOLDERS SHALL BE ENTITLED
TO ATTEND THE GENERAL SHAREHOLDERS MEETING,
PROVIDED THEIR SHARES ARE DULY REGISTERED IN THE
ACCOUNTING REGISTER OF THE AUTHORISED ENTITY FIVE
DAYS PRIOR TO THE DATE ON WHICH THE SHAREHOLDERS
MEETING IS TO BE HELD, AND PROVIDED THEY RETAIN
OWNERSHIP OF THESE SHARES ON THAT DATE. 2.- THE
MEMBERS OF THE BOARD OF DIRECTORS MUST ATTEND THE
SHAREHOLDERS MEETING. IF THE CHAIRMAN CONSIDERS IT
NECESSARY, THE SHAREHOLDERS MEETING MAY BE
ATTENDED BY THE GENERAL MANAGERS AND ALL OTHER
EXECUTIVES OR TECHNICAL EXPERTS OF THE COMPANY AS
WELL AS ANY OTHER PERSONS WHOSE ATTENDANCE IS
CONDUCIVE TO THE EFFECTIVE PROGRESS OF THE
MEETING. ARTICLE 23.- REPRESENTATION AT THE
GENERAL SHAREHOLDERS MEETING 1.- ALL SHAREHOLDERS
MAY BE REPRESENTED AT THE GENERAL SHAREHOLDERS
MEETING BY ANY OTHER SHAREHOLDER ENTITLED TO
ATTEND IN HIS/HER OWN RIGHT, WITHOUT PREJUDICE TO
THE PROVISIONS OF ARTICLE 108 OF THE COMPANIES
ACT. 2.- IN THE SAME WAY LEGAL ENTITIES AND MINORS
OR DISABLED PERSONS SHALL ATTEND THE GENERAL
SHAREHOLDERS MEETING THROUGH THEIR AUTHORISED
REPRESENTATIVES WHO MAY, LIKEWISE, DELEGATE SUCH
REPRESENTATION TO ANOTHER SHAREHOLDER. 3.- SUCH
REPRESENTATION SHALL BE CONFERRED EITHER IN
WRITING OR BY ANY OTHER MEANS OF REMOTE
COMMUNICATION WHICH COMPLIES WITH THE REQUIREMENTS
ESTABLISHED BY LAW, AND SHALL BE SPECIFIC FOR EACH
SHAREHOLDERS MEETING. 4.- REPRESENTATION MAY BE
REJECTED WHERE THIS IS CONFERRED TO THE TRUSTEE OR
OSTENSIBLE PARTNER. ARTICLE 25 .- QUORUM AND
MAJORITIES 1.- BOTH ORDINARY AND EXTRAORDINARY
SHAREHOLDERS MEETINGS SHALL BE DEEMED TO BE
VALIDLY CONVENED WHERE, AT FIRST OR SECOND CALL,
THE PORTION OF THE SHARE CAPITAL STIPULATED IN
THIS RESPECT AS THE MINIMUM BY CURRENT LEGISLATION
IN EACH CASE IS PRESENT OR REPRESENTED. 2.-
RESOLUTIONS MUST BE ADOPTED BY ONE HALF PLUS ONE
OF THE VOTES ATTACHED TO THE SHARES PRESENT OR
REPRESENTED, EXCEPT WHERE THE LAW REQUIRES A
GREATER MAJORITY. 3.- THE RIGHT TO VOTE ON
PROPOSALS REGARDING THE MATTERS ON THE AGENDA AT
ANY TYPE OF GENERAL SHAREHOLDERS MEETING MAY BE
DELEGATED OR EXERCISED BY THE SHAREHOLDERS BY
POST, ELECTRONIC MAIL OR ANY OTHER MEANS OF REMOTE
COMMUNICATION, PROVIDED THAT THE IDENTITY OF THE
PARTY EXERCISING HIS/HER RIGHT TO VOTE IS DULY
ESTABLISHED. ARTICLE 28.- SHAREHOLDERS RIGHT TO
INFORMATION 1.- UP TO THE SEVENTH DAY PRIOR TO THE
PLANNED DATE OF THE GENERAL SHAREHOLDERS MEETING,
SHAREHOLDERS MAY REQUEST THAT THE BOARD OF
DIRECTORS PROVIDES INFORMATION OR CLARIFICATIONS
WITH RESPECT TO THE MATTERS ON THE AGENDA, AND MAY
PRESENT THE QUESTIONS THEY DEEM APPROPRIATE IN
WRITING. LIKEWISE, SHAREHOLDERS MAY REQUEST
INFORMATION OR CLARIFICATIONS OR MAY FORMULATE
QUESTIONS IN WRITING REGARDING THE INFORMATION
AVAILABLE TO THE PUBLIC WHICH THE COMPANY HAS
COMMUNICATED TO THE NATIONAL SECURITIES COMMISSION
SINCE THE LAST GENERAL SHAREHOLDERS MEETING. THE
MEMBERS OF THE BOARD SHALL BE OBLIGED TO PROVIDE
THE INFORMATION REQUESTED IN ACCORDANCE WITH THE
PRECEDING PARAGRAPH, IN WRITING, UP TO THE DATE ON
WHICH THE GENERAL SHAREHOLDERS MEETING IS HELD.
2.- DURING THE COURSE OF THE GENERAL SHAREHOLDERS
MEETING, SHAREHOLDERS MAY VERBALLY REQUEST THE
INFORMATION OR CLARIFICATIONS THEY DEEM
APPROPRIATE REGARDING THE MATTERS ON THE AGENDA.
SHOULD IT NOT BE POSSIBLE TO RESPOND TO SUCH A
REQUEST AT THE TIME, THE MEMBERS OF THE BOARD
SHALL BE OBLIGED TO PROVIDE THE REQUESTED
INFORMATION IN WRITING, WITHIN THE SEVEN DAYS
FOLLOWING THE CONCLUSION OF THE GENERAL
SHAREHOLDERS MEETING. 3.- THE MEMBERS OF THE BOARD
SHALL BE OBLIGED TO PROVIDE THE INFORMATION
REQUESTED IN ACCORDANCE WITH THE PROVISIONS
ESTABLISHED HEREIN, SAVE WHERE THE CHAIRMAN JUDGES
THAT THE DISCLOSURE OF SUCH INFORMATION MAY BE
DETRIMENTAL TO THE COMPANY S INTERESTS, AS SET OUT
IN THE REGULATIONS OF THE GENERAL SHAREHOLDERS
MEETING. 4.- THE REQUEST FOR INFORMATION MAY NOT
BE DENIED WHEN FORMULATED BY SHAREHOLDERS
REPRESENTING AT LEAST ONE FOURTH OF THE COMPANY
SHARE CAPITAL.
8. EXAMINATION AND APPROVAL, AS THE CASE MAY BE, Management For No
OF THE REGULATIONS OF THE GENERAL SHAREHOLDERS
MEETING OF ALTADIS, S.A. IT IS PROPOSED TO APPROVE
THE DRAFT REGULATIONS OF THE GENERAL SHAREHOLDERS
MEETING OF ALTADIS, S.A., AS PRESENTED TO THE
MEETING BY THE BOARD OF DIRECTORS OF THE COMPANY,
THE COMPLETE TEXT OF WHICH IS ATTACHED HERETO
9. DELEGATION OF POWERS TO FORMALISE, INTERPRET, Management For No
RECTIFY, REGISTER AND EXECUTE THE RESOLUTIONS
ADOPTED BY THE GENERAL SHAREHOLDERS MEETING. IT IS
PROPOSED TO DELEGATE TO THE BOARD OF DIRECTORS, IN
THE WIDEST SCOPE POSSIBLE, INCLUDING THE POWER TO
DELEGATE TOTALLY OR PARTIALLY THE POWERS RECEIVED
IN THE EXECUTIVE COMMITTEE, AS MANY POWERS AS MAY
BE NECESSARY IN ORDER TO SUPPLEMENT, DEVELOP,
EXECUTE AND RECTIFY ANY OF THE RESOLUTIONS ADOPTED
BY THE GENERAL SHAREHOLDERS MEETING. THE POWER TO
RECTIFY SHALL ENCOMPASS THE POWER TO MAKE AS MANY
MODIFICATIONS, AMENDMENTS AND ADDITIONS AS MAY BE
NECESSARY OR CONVENIENT AS A CONSEQUENCE OF
RESERVATIONS OR OBSERVATIONS RAISED BY THE
REGULATING BODIES OF THE STOCK MARKET, THE STOCK
EXCHANGES, THE MERCANTILE REGISTRY AND ANY OTHER
PUBLIC AUTHORITY WITH COMPETENCE IN RELATION TO
THE RESOLUTIONS ADOPTED. IN THE SAME WAY, IT IS
PROPOSED TO DELEGATE, INDISCRIMINATELY, TO THE
CHAIRMAN OF THE BOARD OF DIRECTORS AND THE
SECRETARY OF THE BOARD THE POWERS NECESSARY TO
FORMALISE THE RESOLUTIONS ADOPTED BY THE GENERAL
SHAREHOLDERS MEETING, AND TO REGISTER THOSE WHICH
MAY BE SUBJECT TO THIS REQUIREMENT, TOTALLY OR
PARTIALLY, BEING ABLE TO THIS EFFECT TO GRANT ANY
TYPE OF DOCUMENT, EITHER PUBLIC OR PRIVATE,
INCLUDING FOR THE SUPPLEMENTATION OR RECTIFICATION
OF THESE RESOLUTIONS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 60,000 60,000 06/01/2004
------------------------------------------------------------------------------------------------------------------------------------
TOKYO ELECTRON LTD AGM Meeting Date: 06/22/2004
Issuer: J86957115 ISIN: JP3571400005
SEDOL: 6895675, 5791707
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JY4, FINAL JY 6, SPECIAL JY 0
2 AMEND ARTICLES TO: AUTHORIZE SHARE REPURCHASES Management For No
AT BOARD S DISCRETION
3.1 ELECT DIRECTOR Management For No
3.2 ELECT DIRECTOR Management For No
3.3 ELECT DIRECTOR Management For No
3.4 ELECT DIRECTOR Management For No
3.5 ELECT DIRECTOR Management For No
3.6 ELECT DIRECTOR Management For No
3.7 ELECT DIRECTOR Management For No
3.8 ELECT DIRECTOR Management For No
3.9 ELECT DIRECTOR Management For No
4.1 APPOINT INTERNAL STATUTORY AUDITOR Management For No
4.2 APPOINT INTERNAL STATUTORY AUDITOR Management For No
5 APPOINT EXTERNAL AUDITORS Management For No
6 APPROVE RETIREMENT BONUSES FOR DIRECTOR AND STATUTORY Management For No
AUDITOR
7 APPROVE ADJUSTMENT TO AGGREGATE COMPENSATION Management For No
CEILING FOR DIRECTORS
8 APPROVE EXECUTIVE STOCK OPTION PLAN Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 14,400 14,400 06/11/2004
------------------------------------------------------------------------------------------------------------------------------------
SANOFI SYNTHELABO MIX Meeting Date: 06/23/2004
Issuer: F5548N101 ISIN: FR0000120578 BLOCKING
SEDOL: 5696589, 7166239, 5671735
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O.1 APPROVE THE ACCOUNTS AND THE BALANCE SHEET OF Management For No
THE FY 2003, SHOWING PROFITS AMOUNTING TO EUR
1,683,957,043.77
O.2 APPROVE THE CONSOLIDATED ACCOUNTS OF THE FY 2003 Management For No
AS PRESENTED TO IT
O.3 APPROVE THE APPROPRIATIONS: PROFITS FOR THE FY Management For No
EUR 1,683,957,043.77 MINUS EUR 96,113.00 TO LEGAL
RESERVE TOTAL EUR 1,683,860,930.77 PLUS PRIOR
RETAINED EARNINGS EUR 234,647,599.90 TOTAL EUR
1,918,508,530.67 SPECIAL RESERVE ON LONG TERM
CAPITAL GAINS EUR 553,612,957.45 GLOBAL DIVIDEND
EUR 1,364,895,573.22; IF THE NUMBER OF SHARES
EXISTING AT DIVIDEND PAYMENT DATE REQUIRES IT, THE
NECESSARY AMOUNTS WILL BE DEDUCTED FROM SPECIAL
RESERVE ON LONG-TERM CAPITAL GAINS; NET DIVIDEND
PER SHARE EUR 1.02 WITH EUR 0.51 TAX CREDIT PAID
IN CASH MINUS THE EUR 0.97 INTERIM DIVIDEND AT THE
SETTLEMENT DATE OF THE OFFER
O.4 APPROVE THE AGREEMENTS MENTIONED IN THE SPECIAL Management For No
AUDITORS REPORT, IN ACCORDANCE WITH THE PROVISIONS
OF ARTICLE L. 225-40 OF THE FRENCH TRADE CODE
O.5 AUTHORIZE THE BOARD, IN SUBSTITUTION OF THE AUTHORITY Management For No
GRANTED AT IN RESOLUTION 6 OF 19 MAY 2003, TO
TRADE THE COMPANY SHARES ON THE STOCK EXCHANGE,
NOTABLY IN VIEW OF ADJUSTING THEIR PRICE AND
IMPLEMENTING RESOLUTION 12 BELOW; MAXIMUM PURCHASE
PRICE EUR 90.00; MAXIMUM AMOUNT TO BE USED FOR
SUCH OPERATIONS EUR 6,595,632,630.00 AND EUR
13,026,566,790.00 IF THE PUBLIC OFFERINGS ON THE
AVENTIS SHARES 10% OF THE SHARE CAPITAL ; THE
REPURCHASED SHARES KEPT BY THE COMPANY WILL HAVE
NO VOTING RIGHT AND NO DIVIDEND; THEY SHALL NOT
EXCEED 10% OF THE SHARE CAPITAL; MAXIMUM NUMBER OF
SHARES TO BE ACQUIRED: 10% OF THE SHARE CAPITAL;
AUTHORITY EXPIRES AT THE END OF 18 MONTHS AS OF 30
JUN 2004
O.6 AUTHORIZE THE BOARD TO ISSUE BONDS AND SIMILAR Management For No
SECURITIES FOR MAXIMUM NOMINAL AMOUNT OF EUR
7,000,000,000.00; THIS LIMIT INCLUDED ALL ISSUES
OF THE SAME SORT; AUTHORITY EXPIRES AT THE END
OF 5 YEARS
E.7 AUTHORIZE THE BOARD TO INCREASE THE SHARE CAPITAL Management For No
BY ISSUING SHARES AND OTHER SECURITIES WITH
PREFERENTIAL SUBSCRIPTION RIGHT, WITHIN THE LIMITS
BELOW: A) EUR 750,000,000.00 FOR SHARES AND
SECURITIES; THIS LIMIT IS ALSO VALID FOR
RESOLUTION 8 AND IS INCLUDED IN THE OVERALL LIMIT
OF EUR 1,250,000,000.00 SET FOR RESOLUTIONS 8 AND
10; B) EUR 7,000,000,000.00 FOR DEBT SECURITIES;
THIS LIMIT IS ALSO VALID FOR RESOLUTION 8 BUT DOES
NOT INCLUDE RESOLUTION 6; AUTHORITY EXPIRES AT THE
END OF 26 MONTHS
E.8 AUTHORIZE THE BOARD TO INCREASE THE SHARE CAPITAL Management For No
BY ISSUING SHARES AND OTHER SECURITIES WITHOUT
PREFERENTIAL SUBSCRIPTION RIGHT, WITHIN THE LIMITS
BELOW: A) EUR 750,000,000.00 FOR SHARES AND
SECURITIES; THIS LIMIT IS ALSO VALID FOR
RESOLUTION 7 AND IS INCLUDED IN THE OVERALL LIMIT
OF EUR 1,250,000,000.00 SET FOR RESOLUTIONS 7 AND
10; B) 7,000,000,000.00 FOR DEBT SECURITIES; THIS
LIMIT IS ALSO VALID FOR RESOLUTION 7 BUT DOES NOT
INCLUDE RESOLUTION 6; AUTHORITY EXPIRES AT THE END
OF 26 MONTHS ; IT DOES NOT INTERFERE WITH ANY
SHARE CAPITAL INCREASE WHICH MIGHT BE DECIDED IN
RELATION TO THE PUBLIC OFFERING LAUNCHED ON
AVENTIS
E.9 AUTHORIZE THE BOARD TO USE RESOLUTIONS 7 AND Management For No
8 TO INCREASE THE SHARE CAPITAL; THIS DECISION IS
MAINTAINED TILL THE END OF THE MEETING CALLED TO
DELIBERATE ON THE 2004 ACCOUNTS, IN CASE A
TAKEOVER BID OR AN EXCHANGE BID IS LAUNCHED ON THE
COMPANY SECURITIES
E.10 AUTHORIZE THE BOARD ALL POWERS TO INCREASE THE Management For No
SHARE CAPITAL BY A MAXIMUM NOMINAL AMOUNT OF
EUR 500,000,000.00 BY INCORPORATION OF RESERVES;
THIS LIMIT BEING INCLUDED IN THE OVERALL LIMIT OF
EUR 1,250,000,000.00 SET FOR RESOLUTIONS 7 AND 8;
AUTHORITY EXPIRES AT THE END OF 26 MONTHS
E.11 AUTHORIZE THE BOARD TO INCREASE THE SHARE CAPITAL Management For No
BY A MAXIMUM OF 2%, BY ISSUING VARIOUS SECURITIES
RESERVED TO THE EMPLOYEES, RETIRED AND PRE-RETIRED
EMPLOYEES OF THE GROUP WHO SUBSCRIBED TO ONE OF
THE EXISTING SAVINGS PLANS; THESE SECURITIES SHALL
BE SUBSCRIBED IN CASH AND MAY BE COUPLED WITH FREE
SHARES OR SECURITIES ISSUED PER RESOLUTIONS 8 AND
10; AUTHORITY EXPIRES AT THE END OF 26 MONTHS
E.12 AUTHORIZE THE BOARD TO GRANT TO SOME EMPLOYEES Management For No
TO BE LISTED BY IT OPTIONS TO SUBSCRIBE TO NEW
SHARES OR REPURCHASED SHARES, NOT EXCEEDING 2% OF
THE SHARE CAPITAL; AUTHORITY EXPIRES AT THE END OF
38 MONTHS
E.13 AUTHORIZE THE BOARD TO REDUCE THE SHARE CAPITAL Management For No
BY CANCELLING SELF-DETAINED SHARES, NOT EXCEEDING
10% OF THE SHARE CAPITAL IN 24 MONTHS; AUTHORITY
EXPIRES AT THE END OF 26 MONTHS
E.14 APPROVE, SUBJECT TO THE POSITIVE RESULTS TO THE Management For No
PUBLIC OFFERING OF 26 JAN 2004 AND FURTHER BIDDING
OF 26 APR 2004 ON THE AVENTIS SHARES, TO INCREASE
THE SHARE CAPITAL BY THE NUMBER OF SHARES
NECESSARY TO REMUNERATE THE AVENTIS SHARES BROUGHT
BY SHAREHOLDERS IN FRANCE, GERMANY AND THE UNITED
STATES; WITH REGARD TO THE PROPOSED EXCHANGE RATE
1 MAIN COMBINED OFFERING: 5 SANOFI SYNTHELABO
SHARES AND EUR 120.00 FOR EVERY 6 AVENTIS SHARES
AND 2 SUBSIDIARY EXCHANGER OFFER: 1.1739 SANOFI
SYNTHELABO SHARE FOR 1 AVENTIS SHARE AND THE
OVERALL PROPORTION OF 71% SANOFI SYNTHELABO SHARES
AND 29% IN CASH, THE MAXIMUM NUMBER OF SANOFI
SYNTHELABO SHARES TO BE ISSUED IS 714,548,243 FOR
A NOMINAL AMOUNT OF EUR 1,429,096,486.00; THESE
SHARES SHALL BE IDENTICAL TO THE OLD SANOFI
SYNTHELABO SHARES AND WILL BEAR DIVIDEND FOR 2003
AND ANY FURTHER DIVIDEND DISTRIBUTED AFTER THEIR
ISSUE DATE. SUCH DECISION DOES NOT INVALIDATE
RESOLUTIONS 7-8-9-10-11 OF THIS MEETING
E.15 APPROVE TO CHANGE THE COMPANY NAME FOR SANOFI-AVENTIS Management For No
AND TO MODIFY ARTICLE OF ASSOCIATION 2 ACCORDINGLY
E.16 APPROVE TO REDUCE THE TERM OF THE DIRECTORS TO Management For No
4 YEARS AND MODIFY ARTICLE OF ASSOCIATION 11
ACCORDINGLY
E.17 APPROVE TO HARMONIZE ARTICLE OF ASSOCIATION 12 Management For No
WITH THE FRENCH FINANCIAL SECURITY LAW: INSTEAD
OF QUOTE REPRESENTING UNQUOTE THE BOARD OF DIRECTORS,
THE CHAIRMAN ORGANISES AND SUPERVISES ITS ACTIVITIES
O.18 APPROVE TO RENEW THE TERM OF OFFICE OF MR. JEAN-FRANCOIS Management For No
DEHECQ AS A DIRECTOR FOR 4 YEARS
O.19 APPROVE TO RENEW THE TERM OF OFFICE OF MR. RENE Management For No
BARBIER AS A DIRECTOR FOR 4 YEARS
O.20 APPROVE TO RENEW THE TERM OF OFFICE OF MR. ROBERT Management For No
CASTAIGNE AS A DIRECTOR FOR 4 YEARS
O.21 APPROVE TO RENEW THE TERM OF OFFICE OF MR. THIERRY Management For No
DESMAREST AS A DIRECTOR FOR 4 YEARS
O.22 APPROVE TO RENEW THE TERM OF OFFICE OF MR. LINDSAY Management For No
OWEN-JONES AS A DIRECTOR FOR 4 YEARS
O.23 APPROVE TO RENEW THE TERM OF OFFICE OF MR. BRUNO Management For No
WEYMULLER AS A DIRECTOR
O.24 APPROVE TO CONFIRM THE TERM OF OFFICE OF MR. Management For No
LORD DOURO AS A DIRECTOR FOR 4 YEARS
O.25 APPROVE TO CONFIRM THE TERM OF OFFICE OF MR. Management For No
GERARD VAN KEMMEL AS A DIRECTOR FOR 4 YEARS
O.26 APPOINT MR. CHRISTIAN MULLIEZ AS A DIRECTOR FOR Management For No
4 YEARS
O.27 APPOINT MR. JEAN-MARC BRUEL AS A DIRECTOR FOR Management For No
4 YEARS, SUBJECT TO THE REALIZATION OF THE OFFERINGS
INITIATED BY THE COMPANY ON THE AVENTIS SHARES
O.28 APPOINT MR. JURGEN DORMAN AS A DIRECTOR FOR 4 Management For No
YEARS, SUBJECT TO THE REALIZATION OF THE OFFERINGS
INITIATED BY THE COMPANY ON THE AVENTIS SHARES
O.29 APPOINT MR. JEAN-RENE FOURTOU AS A DIRECTOR FOR Management For No
4 YEARS, SUBJECT TO THE REALIZATION OF THE OFFERINGS
INITIATED BY THE COMPANY ON THE AVENTIS SHARES
O.30 APPOINT MR. SERGE KAMPF AS A DIRECTOR FOR 4 YEARS, Management For No
SUBJECT TO THE REALIZATION OF THE OFFERINGS INITIATED
BY THE COMPANY ON THE AVENTIS SHARES
O.31 APPOINT MR. IGOR LANDAU AS A DIRECTOR FOR 4 YEARS, Management For No
SUBJECT TO THE REALIZATION OF THE OFFERINGS INITIATED
BY THE COMPANY ON THE AVENTIS SHARES
O.32 APPOINT MR. HUBERT MARKL AS A DIRECTOR FOR 4 Management For No
YEARS, SUBJECT TO THE REALIZATION OF THE OFFERINGS
INITIATED BY THE COMPANY ON THE AVENTIS SHARES
O.33 APPOINT MR. KLAUS POHLE AS A DIRECTOR FOR 4 YEARS, Management For No
SUBJECT TO THE REALIZATION OF THE OFFERINGS INITIATED
BY THE COMPANY ON THE AVENTIS SHARES
O.34 APPOINT MR. HERMANN SCHOLL AS A DIRECTOR FOR Management For No
4 YEARS, SUBJECT TO THE REALIZATION OF THE OFFERINGS
INITIATED BY THE COMPANY ON THE AVENTIS SHARES
O.35 ACKNOWLEDGE THE MANDATES OF THE DIRECTORS OF Management For No
THE COMPANIES: ELF AQUITAINE, I OREAL AND PIERRE
CASTRES SAINT-MARTIN, PIERRE-GILLES DE GENNES
AND HERVE GUERIN EXPIRES TO THE EXIT FROM THIS
PRESENT MEETING
O.36 APPROVE TO SET AN AMOUNT OF EUR 1,000,000.00 Management For No
TO BE ALLOCATED TO THE BOARD OF DIRECTORS AS
ATTENDANCE FEES
O.37 GRANT ALL POWERS TO THE BEARER OF A COPY OR AN Management For No
EXTRACT OF THE MINUTES OF THE PRESENT TO ACCOMPLISH
ALL DEPOSITS AND PUBLICATIONS PRESCRIBED BY LAW
* A VERIFICATION PERIOD EXISTS IN FRANCE. PLEASE Non-Voting Non-Vote Proposal No
SEE HTTP://ICS.ADP.COM/MARKETGUIDE FOR COMPLETE
INFORMATION. VERIFICATION PERIOD: REGISTERED
SHARES: 1 TO 5 DAYS PRIOR TO THE MEETING DATE,
DEPENDS ON COMPANY S BY-LAWS. BEARER SHARES: 6
DAYS PRIOR TO THE MEETING DATE. FRENCH RESIDENT
SHAREOWNERS MUST COMPLETE, SIGN AND FORWARD THE
PROXY CARD DIRECTLY TO THE SUB CUSTODIAN. PLEASE
CONTACT YOUR CLIENT SERVICE REPRESENTATIVE TO
OBTAIN THE NECESSARY CARD, ACCOUNT DETAILS AND
DIRECTIONS. THE FOLLOWING APPLIES TO NON-RESIDENT
SHAREOWNERS: PROXY CARDS: ADP WILL FORWARD VOTING
INSTRUCTIONS TO THE GLOBAL CUSTODIANS THAT HAVE
BECOME REGISTERED INTERMEDIARIES, ON ADP VOTE
DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIAN WILL SIGN THE
PROXY CARD AND FORWARD TO THE LOCAL CUSTODIAN. IF
YOU ARE UNSURE WHETHER YOUR GLOBAL CUSTODIAN ACTS
AS REGISTERED INTERMEDIARY, PLEASE CONTACT ADP.
TRADES/VOTE INSTRUCTIONS: SINCE FRANCE MAINTAINS A
VERIFICATION PERIOD, FOR VOTE INSTRUCTIONS
SUBMITTED THAT HAVE A TRADE TRANSACTED (SELL) FOR
EITHER THE FULL SECURITY POSITION OR A PARTIAL
AMOUNT AFTER THE VOTE INSTRUCTION HAS BEEN
SUBMITTED TO ADP AND THE GLOBAL CUSTODIAN ADVISES
ADP OF THE POSITION CHANGE VIA THE ACCOUNT
POSITION COLLECTION PROCESS, ADP HAS A PROCESS IN
EFFECT WHICH WILL ADVISE THE GLOBAL CUSTODIAN OF
THE NEW ACCOUNT POSITION AVAILABLE FOR VOTING.
THIS WILL ENSURE THAT THE LOCAL CUSTODIAN IS
INSTRUCTED TO AMEND THE VOTE INSTRUCTION AND
RELEASE THE SHARES FOR SETTLEMENT OF THE SALE
TRANSACTION. THIS PROCEDURE PERTAINS TO SALE
TRANSACTIONS WITH A SETTLEMENT DATE PRIOR TO
MEETING DATE + 1
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 20,000 20,000 06/12/2004
------------------------------------------------------------------------------------------------------------------------------------
SANOFI-SYNTHELABO SNY Consent Meeting Date: 06/23/2004
Issuer: 80105N ISIN:
SEDOL:
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
O18 REAPPOINTMENT OF JEAN-FRANCOIS DEHECQ AS A MEMBER Management For No No
OF THE BOARD OF DIRECTORS
O19 REAPPOINTMENT OF RENE BARBIER DE LA SERRE AS Management For No No
A MEMBER OF THE BOARD OF DIRECTORS
O20 REAPPOINTMENT OF ROBERT CASTAIGNE AS A MEMBER Management For No No
OF THE BOARD OF DIRECTORS
O21 REAPPOINTMENT OF THIERRY DESMAREST AS A MEMBER Management For No No
OF THE BOARD OF DIRECTORS
O22 REAPPOINTMENT OF LINDSEY OWEN-JONES AS A MEMBER Management For No No
OF THE BOARD OF DIRECTORS
O23 REAPPOINTMENT OF BRUNO WEYMULLER AS A MEMBER Management For No No
OF THE BOARD OF DIRECTORS
O24 CONFIRMATION OF APPOINTMENT OF LORD DOURO AS Management For No No
A MEMBER OF THE BOARD OF DIRECTORS
O25 CONFIRMATION OF APPOINTMENT OF GERARD VAN KEMMEL Management For No No
AS A MEMBER OF THE BOARD OF DIRECTORS
O26 APPOINTMENT OF CHRISTIAN MULLIEZ AS A MEMBER Management For No No
OF THE BOARD OF DIRECTORS
O27 APPOINTMENT OF JEAN-MARC BRUEL AS A MEMBER OF Management For No No
THE BOARD OF DIRECTORS SUBJECT TO CONDITION PRECEDENT
O28 APPOINTMENT OF JURGEN DORMANN AS A MEMBER OF Management For No No
THE BOARD OF DIRECTORS SUBJECT TO CONDITION PRECEDENT
O29 APPOINTMENT OF JEAN-RENE FOURTOU AS A MEMBER Management For No No
OF THE BOARD OF DIRECTORS SUBJECT TO CONDITION
PRECEDENT
O30 APPOINTMENT OF SERGE KAMPF AS A MEMBER OF THE Management For No No
BOARD OF DIRECTORS SUBJECT TO CONDITION PRECEDENT
O31 APPOINTMENT OF IGOR LANDAU AS A MEMBER OF THE Management For No No
BOARD OF DIRECTORS SUBJECT TO CONDITION PRECEDENT
O32 APPOINTMENT OF HUBERT MARKL AS A MEMBER OF THE Management For No No
BOARD OF DIRECTORS SUBJECT TO CONDITION PRECEDENT
O33 APPOINTMENT OF KLAUS POHLE AS A MEMBER OF THE Management For No No
BOARD OF DIRECTORS SUBJECT TO CONDITION PRECEDENT
O34 APPOINTMENT OF HERMANN SCHOLL AS A MEMBER OF Management For No No
THE BOARD OF DIRECTORS SUBJECT TO CONDITION PRECEDENT
O35 FORMAL NOTE OF THE EXPIRY OF THE TERMS OF OFFICE Management For No No
OF FIVE MEMBERS OF THE BOARD OF DIRECTORS
O36 AMOUNT OF DIRECTORS ATTENDANCE FEES Management For No No
O37 POWERS FOR THE ACCOMPLISHMENT OF FORMALITIES Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 105 20,000 20,000 06/15/2004
------------------------------------------------------------------------------------------------------------------------------------
KDDI CORP, TOKYO AGM Meeting Date: 06/24/2004
Issuer: J31843105 ISIN: JP3496400007
SEDOL: 6248990, 5674444
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE THE PROFIT APPROPRIATION FOR 20 TERM: Management For No
DIVIDENDS FOR THE CURRENT TERM AS JPY 2,400 PER
SHARE JPY 3600 ON A YEARLY BASIS
2. APPROVE THE COMPANY TO PURCHASE ITS OWN SHARES Management For No
UPON A RESOLUTION OF THE BOARDOF DIRECTORS IN
ACCORDANCE WITH THE COMMERCIAL CODE 211-3 AND
PARTIALLY AMEND THE COMPANY S ARTICLES OF
INCORPORATION
3. APPROVE TO GIVE FREE SHARE SUBSCRIPTION RIGHTS Management For No
TO THE DIRECTORS, SENIOR EXECUTIVE DIRECTORS,
EXECUTIVE DIRECTORS, ADVISORS, STATUTORY AUDITORS
AND THE EMPLOYEES OF THE COMPANY AND ITS
SUBSIDIARIES AS STOCK OPTION IN ACCORDANCE WITH
COMMERCIAL CODE 280-20 AND 280-21
4. AMEND THE PARTS OF THE RESOLUTIONS ON CONDITIONS Management For No
FOR EXERCISING AND EXTINCTING FREE SUBSCRIPTION
RIGHTS APPROVED AT THE AGM OF SHAREHOLDERS HELD IN
JUNE 2002 AND 2003 AND THE CONDITIONS WILL BE FOR
THE DIRECTORS, SENIOR EXECUTIVES DIRECTORS THE
EXECUTIVE DIRECTORS, ADVISORS, STATUTORY AUDITORS
AND THE EMPLOYEES OF THE COMPANY AND ITS
SUBSIDIARIES AND PARTIALLY AMEND THE FREE
SUBSCRIPTION RIGHTS
5.1 ELECT MR. AKIRA HIOKI AS A STATUTORY AUDITOR Management For No
5.2 ELECT MR. YOSHIAKI TSUJI AS A STATUTORY AUDITOR Management For No
5.3 ELECT MR. HIDEKI ISHIDA AS A STATUTORY AUDITOR Management For No
5.4 ELECT MR. KATSUAKI WATANABE AS A STATUTORY AUDITOR Management For No
6. GRANT RETIREMENT ALLOWANCES TO THE RETIRED STATUTORY Management For No
AUDITORS: GRANT RETIREMENT ALLOWANCES JPY16,500,000
IN TOTAL TO 2 RETIRED STATUTORY AUDITORS, MR.
TOSHIAKI TERUI AND OSAMU ANDOU
7. GRANT RETIREMENT ALLOWANCES TO THE DIRECTORS Management For No
AND THE STATUTORY AUDITOR IN CONNECTION WITH
ABOLISHMENT OF RETIREMENT ALLOWANCES SYSTEM; GRANT
RETIREMENT ALLOWANCES JPY125,287,000 IN TOTAL TO 8
DIRECTORS, MR. MITSUO IGARASHI, MR. TADASHI
ONODERA, MR. MASAHIRO YAMAMOTO, MR. NOBUHIKO
NAKANO, MR. YASUHIKO ITOU, MR. SATOSHI NAGAO, MR.
NOBUO NEZU AND MR. HIROFUMI MOROZUMI AND
JPY2,200,000 TO 1 STATUTORY AUDITOR MR. AKIRA
HIOKI
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 208 208 06/15/2004
------------------------------------------------------------------------------------------------------------------------------------
NIKKO CORDIAL CORP AGM Meeting Date: 06/24/2004
Issuer: J51656122 ISIN: JP3670000003
SEDOL: 5485345, 4576875, 6646464, 6640284
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JY3, FINAL JY 5, SPECIAL JY 0
2 AMEND ARTICLES TO: ADOPT U.S.-STYLE BOARD STRUCTURE Management For No
- AUTHORIZE SHAREREPURCHASES AT BOARD S DISCRETION
3.1 ELECT DIRECTOR Management For No
3.2 ELECT DIRECTOR Management For No
3.3 ELECT DIRECTOR Management For No
3.4 ELECT DIRECTOR Management For No
3.5 ELECT DIRECTOR Management For No
3.6 ELECT DIRECTOR Management For No
3.7 ELECT DIRECTOR Management For No
3.8 ELECT DIRECTOR Management For No
3.9 ELECT DIRECTOR Management For No
3.10 ELECT DIRECTOR Management For No
4 APPROVE DEEP DISCOUNT STOCK OPTION PLAN Management For No
5 APPROVE SPECIAL PAYMENTS TO STATUTORY AUDITORS Management For No
IN CONNECTION WITH THEABOLITION OF THE STATUTORY
AUDITOR BOARD
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 257,500 257,500 06/15/2004
------------------------------------------------------------------------------------------------------------------------------------
MATSUMOTOKIYOSHI CO LTD AGM Meeting Date: 06/29/2004
Issuer: J40885105 ISIN: JP3869000004
SEDOL: 81
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JY 10, FINAL JY 15, SPECIAL JY 0
2 AMEND ARTICLES TO: EXPAND BUSINESS LINES - AUTHORIZE Management For No
SHARE REPURCHASES AT BOARD S DISCRETION
3.1 ELECT DIRECTOR Management For No
3.2 ELECT DIRECTOR Management For No
3.3 ELECT DIRECTOR Management For No
3.4 ELECT DIRECTOR Management For No
3.5 ELECT DIRECTOR Management For No
3.6 ELECT DIRECTOR Management For No
3.7 ELECT DIRECTOR Management For No
3.8 ELECT DIRECTOR Management For No
3.9 ELECT DIRECTOR Management For No
4.1 APPOINT INTERNAL STATUTORY AUDITOR Management For No
4.2 APPOINT INTERNAL STATUTORY AUDITOR Management For No
5 APPROVE SPECIAL BONUS FOR FAMILY OF DECEASED Management For No
STATUTORY AUDITOR AND APPROVE RETIREMENT BONUSES
FOR DIRECTOR AND STATUTORY AUDITOR
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 30,000 30,000 06/20/2004
------------------------------------------------------------------------------------------------------------------------------------
MITSUBISHI SECURITIES CO LTD AGM Meeting Date: 06/29/2004
Issuer: J4441V100 ISIN: JP3294400001
SEDOL: 6496186, 5726215
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JY 0, FINAL JY 9, SPECIAL JY 0
2.1 ELECT DIRECTOR Management For No
2.2 ELECT DIRECTOR Management For No
2.3 ELECT DIRECTOR Management For No
2.4 ELECT DIRECTOR Management For No
2.5 ELECT DIRECTOR Management For No
2.6 ELECT DIRECTOR Management For No
2.7 ELECT DIRECTOR Management For No
2.8 ELECT DIRECTOR Management For No
2.9 ELECT DIRECTOR Management For No
3 APPROVE RETIREMENT BONUSES FOR DIRECTORS Management For No
4 AUTHORIZE SHARE REPURCHASE PROGRAM Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 165,000 165,000 06/20/2004
------------------------------------------------------------------------------------------------------------------------------------
NINTENDO CO LTD, KYOTO AGM Meeting Date: 06/29/2004
Issuer: J51699106 ISIN: JP3756600007
SEDOL: 50
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JPY70, FINAL JPY 70, SPECIAL
JPY 0
2 AMEND ARTICLES TO: AUTHORIZE SHARE REPURCHASES Management For No
AT BOARD S DISCRETION
3.1 ELECT MR. ATSUSHI ASADA AS A DIRECTOR Management For No
3.2 ELECT MR. SATORU IWATA AS A DIRECTOR Management For No
3.3 ELECT MR. YOSHIHIRO MORI AS A DIRECTOR Management For No
3.4 ELECT MR. SHINJI HATANO AS A DIRECTOR Management For No
3.5 ELECT MR. GENYOU TAKEDA AS A DIRECTOR Management For No
3.6 ELECT MR. SHIGERU MIYAMOTO AS A DIRECTOR Management For No
3.7 ELECT MR. MASAHARU MATSUMOTO AS A DIRECTOR Management For No
3.8 ELECT MR. NOBUO NAGAI AS A DIRECTOR Management For No
3.9 ELECT MR. EIICHI SUZUKI AS A DIRECTOR Management For No
3.10 ELECT MR. KAZUO KAWAHARA AS A DIRECTOR Management For No
3.11 ELECT MR. TATSUMI KIMISHIMA AS A DIRECTOR Management For No
3.12 ELECT MR. HIROSHI YAMAUCHI AS A DIRECTOR Management For No
4.1 APPOINT MR. YOSHIROU KITANO AS AN INTERNAL STATUTORY Management For No
AUDITOR
4.2 APPOINT MR. MINORU UEDA AS AN INTERNAL STATUTORY Management For No
AUDITOR
5 APPROVE RETIREMENT BONUSES FOR DIRECTOR, MR. Management For No
AKIRA IIJIMA, AND STATUTORY AUDITOR, MR. TAKAYASU
KOJIMA
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 107,000 107,000 06/22/2004
------------------------------------------------------------------------------------------------------------------------------------
NIPPON TELEVISION NETWORK CORP AGM Meeting Date: 06/29/2004
Issuer: J56171101 ISIN: JP3732200005
SEDOL: 6644060, 5899805
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JY 25, FINAL JY 25, SPECIAL JY 70
2 AMEND ARTICLES TO: EXPAND BUSINESS LINES - AUTHORIZE Management For No
APPOINTMENT OF ALTERNATE STATUTORY AUDITORS -
CANCEL YEAR-END CLOSURE OF SHAREHOLDER REGISTER -
AUTHORIZE SHARE REPURCHASES AT BOARD S DISCRETION
3.1 ELECT DIRECTOR Management For No
3.2 ELECT DIRECTOR Management For No
3.3 ELECT DIRECTOR Management For No
4.1 APPOINT INTERNAL STATUTORY AUDITOR Management For No
4.2 APPOINT INTERNAL STATUTORY AUDITOR Management For No
4.3 APPOINT INTERNAL STATUTORY AUDITOR Management For No
5 APPROVE RETIREMENT BONUS FOR STATUTORY AUDITOR Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 5,200 5,200 06/22/2004
------------------------------------------------------------------------------------------------------------------------------------
ROHM CO LTD AGM Meeting Date: 06/29/2004
Issuer: J65328122 ISIN: JP3982800009
SEDOL: 6747204, 5451625
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
* PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING Non-Voting Non-Vote Proposal No
# 146694. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AND YOU WILL NEED
TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
1. APPROVE THE APPROPRIATION OF RETAINED EARNINGS Management For No
OF THE 46TH FY: DIVIDENDS FOR THE CURRENT TERM HAS
BEEN PROPOSED AS JPY 42.50 PER SHARE (JPY 55 ON A
YEARLY BASIS)
2. APPROVE THE PARTIAL AMENDMENT TO THE ARTICLES Management For No
OF INCORPORATION: THE COMPANY WILL BE ALLOWED TO
PURCHASE ITS OWN SHARES UPON A RESOLUTION OF THE
BOARD OF DIRECTORS IN ACCORDANCE WITH THE
COMMERCIAL CODE 211-3
3.1 ELECT MR. YOSHIAKI SHIBATA AS A CORPORATE AUDITOR Management For No
3.2 ELECT MR. YASUHITO TAMAKI AS A CORPORATE AUDITOR Management For No
3.3 ELECT MR. SHINYA MURAO AS A CORPORATE AUDITOR Management For No
3.4 ELECT MR. TOSHIKI SHIMOZONO AS A CORPORATE AUDITOR Management For No
3.5 ELECT MR. HARUO KITAMURA AS A CORPORATE AUDITOR Management For No
4. GRANT RETIREMENT ALLOWANCES TO THE RETIRING Management For No
CORPORATE AUDITOR, MR TOSHIO MINOURA, IN
ACCORDANCE WITH THE COMPANY S RULE
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 18,100 18,100 06/22/2004
------------------------------------------------------------------------------------------------------------------------------------
SECOM CO LTD AGM Meeting Date: 06/29/2004
Issuer: J69972107 ISIN: JP3421800008
SEDOL: 5798504, 6791591
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1. APPROVE THE PROFIT APPROPRIATION FOR NO.43 TERM: Management For No
DIVIDENDS FOR THE CURRENT TERM HAS BEEN PROPOSED
AS JPY 45 PER SHARE
2. AMEND THE COMPANY S ARTICLES OF INCORPORATION: Management For No
THE TERM OF OFFICE FOR DIRECTOR HAS BEEN PROPOSED
TO CHANGE TO 1 YEAR FROM THE PRESENT 2 YEARS; THE
COMPANY HAS PROPOSED TO ADD TO THE LIST OF ITS
OBJECTIVES IN AN ATTEMPT TO DIVERSIFY ITS OVERALL
BUSINESS OPERATIONS; THE COMPANY WILL BE ALLOWED
TO PURCHASE ITS OWN SHARES UPON A RESOLUTION OF
THE BOARD OF DIRECTORS IN ACCORDANCE WITH
COMMERCIAL CODE 211- 3
3.1 ELECT MR. MAKOTO IIDA AS A DIRECTOR Management For No
3.2 ELECT MR. JUICHI TODA AS A DIRECTOR Management For No
3.3 ELECT MR. TOSHITAKA SUGIMACHI AS A DIRECTOR Management For No
3.4 ELECT MR. SHOUHEI KIMURA AS A DIRECTOR Management For No
3.5 ELECT MR. KANEMASA HARAGUCHI AS A DIRECTOR Management For No
3.6 ELECT MR. NOBUYUKI SASAKI AS A DIRECTOR Management For No
3.7 ELECT MR. KATSUHISA KUWAHARA AS A DIRECTOR Management For No
3.8 ELECT MR. SHUUJI MAEDA AS A DIRECTOR Management For No
3.9 ELECT MR. KATSUO AKIYAMA AS A DIRECTOR Management For No
3.10 ELECT MR. YOUICHI TAO AS A DIRECTOR Management For No
3.11 ELECT MR. FUMIO OBATA AS A DIRECTOR Management For No
4. GRANT RETIREMENT ALLOWANCES TO RETIRED DIRECTORS
MR. SEIICHIROU KOBAYASHI, MR. SHIGEMI TANAKA, MR.
SHOUICHI KAKE, MR. SEIICHI MORI, MR. SEIJI
YAMANAKA, MR. SHINOBU IIDA, MR. YUUSHIROU ITOU,
MR. HIROSHI ITOU, MR. SHUNJI OGAHARA , MR. MASAAKI
SAIDA, AND MR. KIYOMASA SUGII ACCORDING TO THE
COMPANY RULE
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 22,000 22,000 06/22/2004
------------------------------------------------------------------------------------------------------------------------------------
TAKEDA CHEMICAL INDUSTRIES LTD AGM Meeting Date: 06/29/2004
Issuer: J81281115 ISIN: JP3463000004
SEDOL: 6870445, 5296752
------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
------------------------------------------------------------------------------------------------------------------------------------
1 APPROVE ALLOCATION OF INCOME, INCLUDING THE FOLLOWING Management For No
DIVIDENDS: INTERIM JY 36, FINAL JY 41, SPECIAL JY 0
2 AMEND ARTICLES TO: CHANGE COMPANY NAME IN ENGLISH Management For No
TO TAKEDA PHARMACEUTICAL CO. LTD. - AUTHORIZE
SHARE REPURCHASES AT BOARD S DISCRETION
3.1 ELECT DIRECTOR Management For No
3.2 ELECT DIRECTOR Management For No
3.3 ELECT DIRECTOR Management For No
4.1 APPOINT INTERNAL STATUTORY AUDITOR Management For No
4.2 APPOINT INTERNAL STATUTORY AUDITOR Management For No
5 APPROVE RETIREMENT BONUS FOR STATUTORY AUDITOR Management For No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI EQUITY TRUST-INTERNATIONAL B01GETF0036102B 21,000 21,000 06/22/2004
SIGNATURES
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.
Registrant The Gabelli Equity Trust Inc.
---------------------------------------------------------------------
By (Signature and Title)* /s/ Bruce N. Alpert
-------------------------------------------------------
Bruce N. Alpert, Principal Executive Officer
(Principal Executive Officer)
Date August 18, 2004
---------------------------------------------------------------------------
*Print the name and title of each signing officer under his or her signature.