United States
Securities and Exchange Commission
Washington, DC 20549
FORM N-PX
Annual
Report of Proxy Voting Record of Registered Management
Investment Company
Investment Company Act File Number: 811-21650
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ASA Gold and Precious Metals Limited |
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(Exact name of registrant as specified in charter) |
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400 S. El Camino Real #710 |
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San Mateo, California 94402-1708 |
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(Address of principal executive offices) |
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JPMorgan Chase Bank |
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3 Chase MetroTech Center, 6th Floor |
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Brooklyn, New York 11245 |
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(name and address of agent for service) |
Registrant’s telephone number, including area code: (650) 376-3135
Date of fiscal year end: November 30
Date of reporting period: July 1, 2013 - June 30, 2014
PROXY VOTING RECORD
| AGNICO EAGLE MINES LIMITED | |||
| Security | 008474108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | AEM | Meeting Date | 02-May-2014 |
| ISIN | CA0084741085 | Agenda | 933959770 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | LEANNE M. BAKER | For | For | ||||||||||
| 2 | SEAN BOYD | For | For | ||||||||||
| 3 | MARTINE A. CELEJ | For | For | ||||||||||
| 4 | CLIFFORD J. DAVIS | For | For | ||||||||||
| 5 | ROBERT J. GEMMELL | For | For | ||||||||||
| 6 | BERNARD KRAFT | For | For | ||||||||||
| 7 | MEL LEIDERMAN | For | For | ||||||||||
| 8 | DEBORAH A. MCCOMBE | For | For | ||||||||||
| 9 | JAMES D. NASSO | For | For | ||||||||||
| 10 | SEAN RILEY | For | For | ||||||||||
| 11 | J. MERFYN ROBERTS | For | For | ||||||||||
| 12 | HOWARD R. STOCKFORD | For | For | ||||||||||
| 13 | PERTTI VOUTILAINEN | For | For | ||||||||||
| 02 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE COMPANY AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | AN ORDINARY RESOLUTION APPROVING AN AMENDMENT TO THE COMPANY’S INCENTIVE SHARE PURCHASE PLAN. | Management | For | For | |||||||||
| 04 | A NON-BINDING, ADVISORY RESOLUTION ACCEPTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 1 of 38 |
PROXY VOTING RECORD
| ALACER GOLD CORP. | |||
| Security | 010679108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | ALIAF | Meeting Date | 27-Jun-2014 |
| ISIN | CA0106791084 | Agenda | 934026027 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | RODNEY P. ANTAL | For | For | ||||||||||
| 2 | THOMAS R. BATES, JR. | For | For | ||||||||||
| 3 | JAN A. CASTRO | For | For | ||||||||||
| 4 | EDWARD C. DOWLING, JR. | For | For | ||||||||||
| 5 | RICHARD P. GRAFF | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS | Management | For | For | |||||||||
| 03 | ADOPTION OF THE 2014 EQUITY PLAN. | Management | For | For | |||||||||
| Page 2 of 38 |
PROXY VOTING RECORD
| AMARA MINING PLC, LONDON | |||
| Security | G2343S103 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 11-Apr-2014 | |
| ISIN | GB00B04M1L91 | Agenda | 705076532 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 1 | To authorise the directors to allot equity securities in connection with the Capital Raising | Management | For | For | ||||||||
| 2 | To disapply the statutory pre-emption rights over equity securities authorised pursuant to Resolution 1 | Management | For | For | ||||||||
| 3 | To authorise the directors to allot further equity securities | Management | For | For | ||||||||
| 4 | To disapply the statutory pre-emption rights over equity securities authorised pursuant to Resolution 3 | Management | For | For |
| Page 3 of 38 |
PROXY VOTING RECORD
| AMARA MINING PLC, LONDON | |||
| Security | G2343S103 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 04-Jun-2014 | |
| ISIN | GB00B04M1L91 | Agenda | 705284165 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 1 | TO RECEIVE AND ADOPT THE ANNUAL ACCOUNTS AND THE REPORTS OF THE DIRECTORS AND AUDITORS THEREON | Management | For | For | ||||||||
| 2 | TO RE-ELECT MR PETER SPIVEY AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 3 | TO RE-ELECT MR PETER GARDNER AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 4 | TO RE-ELECT MR PETER COWLEY AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 5 | TO RE-ELECT MR ALEXANDER DAVIDSON AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 6 | TO APPOINT BDO LLP AS AUDITORS AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | ||||||||
| 7 | TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES | Management | For | For | ||||||||
| 8 | TO DISAPPLY THE STATUTORY PRE-EMPTION RIGHTS OVER EQUITY SECURITIES | Management | For | For | ||||||||
| CMMT | 13 MAY 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION TO TEXT O-F RESOLUTION 3. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGA-IN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
| Page 4 of 38 |
PROXY VOTING RECORD
| ANGLO AMERICAN PLATINUM LIMITED, JOHANNESBURG | |||
| Security | S9122P108 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 02-Apr-2014 | |
| ISIN | ZAE000013181 | Agenda | 704999640 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| O.1.1 | To re-elect Mr RMW Dunne as a director of the Company | Management | For | For | ||||||||
| O.1.2 | To re-elect Ms KT Kweyama as a director of the Company | Management | For | For | ||||||||
| O.1.3 | To re-elect Mr R Medori as a director of the Company | Management | For | For | ||||||||
| O.1.4 | To re-elect Mr B Nqwababa as a director of the Company | Management | For | For | ||||||||
| O.2.1 | Election of Mr M Cutifani as a director of the Company | Management | For | For | ||||||||
| O.2.2 | Election of Mr NP Mageza as a director of the Company | Management | For | For | ||||||||
| O.2.3 | Election of Ms NT Moholi as a director of the Company | Management | For | For | ||||||||
| O.2.4 | Election of Ms D Naidoo as a director of the Company | Management | For | For | ||||||||
| O.2.5 | Election of Mr AM O’Neill as a director of the Company | Management | For | For | ||||||||
| O.3.1 | Election of Mr RMW Dunne as a member and chairman of the Audit and Risk Committee | Management | For | For | ||||||||
| O.3.2 | Election of Mr NP Mageza as a member of the Audit and Risk Committee | Management | For | For | ||||||||
| O.3.3 | Election of Ms D Naidoo as a member of the Audit and Risk Committee | Management | For | For | ||||||||
| O.3.4 | Election of Mr JM Vice as a member of the Audit and Risk Committee | Management | For | For | ||||||||
| O.4 | Re-appointment of external auditor: Deloitte & Touche. In addition, Mr J Welch is re-appointed as the individual registered auditor for the ensuring year as contemplated in section 90(3) of the Act | Management | For | For | ||||||||
| O.5 | General authority granted to directors to allot and issue authorised but unissued ordinary shares | Management | For | For | ||||||||
| O.6 | Directors’ authority to implement ordinary and special resolutions | Management | For | For | ||||||||
| NB1 | Endorsement of the remuneration policy | Management | For | For | ||||||||
| S.1 | Non-executive directors’ remuneration | Management | For | For | ||||||||
| S.2 | Financial assistance to related or interrelated parties | Management | For | For | ||||||||
| S.3 | Reduction of authorised securities and amendment to the memorandum of incorporation - Clause 7.1.2 | Management | For | For | ||||||||
| S.4 | General authority to repurchase shares | Management | For | For |
| Page 5 of 38 |
PROXY VOTING RECORD
| ANGLO AMERICAN PLC, LONDON | |||
| Security | G03764134 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 24-Apr-2014 | |
| ISIN | GB00B1XZS820 | Agenda | 705056516 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 1 | To receive the report and accounts | Management | For | For | ||||||||
| 2 | To declare a final dividend | Management | For | For | ||||||||
| 3 | To elect Judy Dlamini as a director the Company | Management | For | For | ||||||||
| 4 | To elect Mphu Ramatlapeng as a director of the Company | Management | For | For | ||||||||
| 5 | To elect Jim Rutherford as a director of the Company | Management | For | For | ||||||||
| 6 | To re-elect Mark Cutifani as a director of the Company | Management | For | For | ||||||||
| 7 | To re-elect Byron Grote as a director of the Company | Management | For | For | ||||||||
| 8 | To re-elect Sir Philip Hampton as a director of the Company | Management | For | For | ||||||||
| 9 | To re-elect Rene Medori as a director of the Company | Management | For | For | ||||||||
| 10 | To re-elect Phuthuma Nhleko as a director of the Company | Management | For | For | ||||||||
| 11 | To re-elect Ray ORourke as a director of the Company | Management | For | For | ||||||||
| 12 | To re-elect Sir John Parker as a director of the Company | Management | For | For | ||||||||
| 13 | To re-elect Anne Stevens as a director of the Company | Management | For | For | ||||||||
| 14 | To re-elect Jack Thompson as a director of the Company | Management | For | For | ||||||||
| 15 | To re-appoint Deloitte LLP as auditors of the Company for the year | Management | For | For | ||||||||
| 16 | To authorise the directors to determine the remuneration of the auditors | Management | For | For | ||||||||
| 17 | To approve the remuneration policy | Management | For | For | ||||||||
| 18 | To approve the implementation report contained in the Director’s remuneration report | Management | For | For | ||||||||
| 19 | To approve the rules of the Share Plan 2014 | Management | For | For | ||||||||
| 20 | To authorise the directors to allot shares | Management | For | For | ||||||||
| 21 | To disapply pre-emption rights | Management | For | For | ||||||||
| 22 | To authorise the purchase of own shares | Management | For | For | ||||||||
| 23 | To authorise the directors to call general meetings other than an AGM on not less than 14 clear days notice | Management | For | For |
| Page 6 of 38 |
PROXY VOTING RECORD
| ANGLOGOLD ASHANTI LTD, JOHANNESBURG | |||
| Security | S04255196 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 14-May-2014 | |
| ISIN | ZAE000043485 | Agenda | 705118479 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 1.O.1 | RE-APPOINTMENT OF ERNST & YOUNG INC AS AUDITORS OF THE COMPANY | Management | For | For | ||||||||
| 2.O.2 | ELECTION OF MR RN DUFFY AS A DIRECTOR | Management | For | For | ||||||||
| 3.O.3 | RE-ELECTION OF MR R GASANT AS A DIRECTOR | Management | For | For | ||||||||
| 4.O.4 | RE-ELECTION OF MR SM PITYANA AS A DIRECTOR | Management | For | For | ||||||||
| 5.O.5 | APPOINTMENT OF PROF LW NKUHLU AS A MEMBER OF THE AUDIT AND RISK COMMITTEE OF THE COMPANY | Management | For | For | ||||||||
| 6.O.6 | APPOINTMENT OF MR MJ KIRKWOOD AS A MEMBER OF THE AUDIT AND RISK COMMITTEE OF THE COMPANY | Management | For | For | ||||||||
| 7.O.7 | APPOINTMENT OF MR R GASANT AS A MEMBER OF THE AUDIT AND RISK COMMITTEE OF THE COMPANY | Management | For | For | ||||||||
| 8.O.8 | APPOINTMENT OF MR RJ RUSTON AS A MEMBER OF THE AUDIT AND RISK COMMITTEE OF THE COMPANY | Management | For | For | ||||||||
| 9.O.9 | GENERAL AUTHORITY TO DIRECTORS TO ALLOT AND ISSUE ORDINARY SHARES | Management | For | For | ||||||||
| 10 | ADVISORY ENDORSEMENT OF THE ANGLOGOLD ASHANTI REMUNERATION POLICY | Management | For | For | ||||||||
| 11.S1 | GENERAL AUTHORITY TO DIRECTORS TO ISSUE FOR CASH. THOSE ORDINARY SHARES WHICH THE DIRECTORS ARE AUTHORISED TO ALLOT AND ISSUE IN TERMS OF ORDINARY RESOLUTION NUMBER 9 | Management | For | For | ||||||||
| 12.S2 | APPROVAL OF NON-EXECUTIVE DIRECTORS REMUNERATION FOR THEIR SERVICE AS DIRECTORS | Management | For | For | ||||||||
| 13.S3 | APPROVAL OF NON-EXECUTIVE DIRECTORS REMUNERATION FOR BOARD COMMITTEE MEETINGS | Management | For | For | ||||||||
| 14.S4 | AMENDMENT OF THE COMPANY’S MEMORANDUM OF INCORPORATION | Management | For | For | ||||||||
| 15.S5 | AMENDMENT OF THE RULES OF THE COMPANY’S LONG-TERM INCENTIVE PLAN | Management | For | For | ||||||||
| 16.S6 | AMENDMENT OF THE RULES OF THE COMPANY’S BONUS SHARE PLAN | Management | For | For | ||||||||
| 17.S7 | GENERAL AUTHORITY TO ACQUIRE THE COMPANY’S OWN SHARES | Management | For | For | ||||||||
| 18.S8 | APPROVAL FOR THE COMPANY TO GRANT FINANCIAL ASSISTANCE IN TERMS OF SECTIONS 44AND 45 OF THE COMPANIES ACT | Management | For | For | ||||||||
| 19O10 | ELECTION OF MR DL HODGSON AS A DIRECTOR | Management | For | For | ||||||||
| CMMT | 21 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION TO THE TE-XT OF RESOLUTIONS 4.O.4, 18.S8. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE-DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THAN-K YOU. | Non-Voting |
| Page 7 of 38 |
PROXY VOTING RECORD
| ARGONAUT GOLD INC. | |||
| Security | 04016A101 | Meeting Type | Annual |
| Ticker Symbol | ARNGF | Meeting Date | 06-May-2014 |
| ISIN | CA04016A1012 | Agenda | 933978883 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | PETER C. DOUGHERTY | For | For | ||||||||||
| 2 | BRIAN J. KENNEDY | For | For | ||||||||||
| 3 | JAMES E. KOFMAN | For | For | ||||||||||
| 4 | CHRISTOPHER R. LATTANZI | For | For | ||||||||||
| 5 | PETER MORDAUNT | For | For | ||||||||||
| 6 | DALE C. PENIUK | For | For | ||||||||||
| 7 | DAVID H. WATKINS | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE COMPANY AND THE AUTHORIZATION OF THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| Page 8 of 38 |
PROXY VOTING RECORD
| B2GOLD CORP. | |||
| Security | 11777Q209 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | BTG | Meeting Date | 13-Jun-2014 |
| ISIN | CA11777Q2099 | Agenda | 934027334 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 01 | TO SET THE NUMBER OF DIRECTORS AT 9. | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | CLIVE JOHNSON | For | For | ||||||||||
| 2 | ROBERT CROSS | For | For | ||||||||||
| 3 | ROBERT GAYTON | For | For | ||||||||||
| 4 | BARRY RAYMENT | For | For | ||||||||||
| 5 | JERRY KORPAN | For | For | ||||||||||
| 6 | JOHN IVANY | For | For | ||||||||||
| 7 | BONGANI MTSHISI | For | For | ||||||||||
| 8 | MICHAEL CARRICK | For | For | ||||||||||
| 9 | KEVIN BULLOCK | For | For | ||||||||||
| 03 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, CHARTERED ACCOUNTANTS AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 04 | TO APPROVE THE OPTION PLAN RESOLUTION RELATING TO THE ADOPTION OF THE AMENDED PLAN, AS DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR OF B2GOLD CORP. FOR THE ANNUAL GENERAL AND SPECIAL MEETING OF THE SHAREHOLDERS TO BE HELD ON JUNE 13, 2014. | Management | For | For | |||||||||
| 05 | TO APPROVE THE RSU PLAN RESOLUTION RELATING TO THE AMENDMENT OF THE RSU PLAN, AS DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR OF B2GOLD CORP. FOR THE ANNUAL GENERAL AND SPECIAL MEETING OF THE SHAREHOLDERS TO BE HELD ON JUNE 13, 2014. | Management | For | For | |||||||||
| 06 | TO APPROVE THE ADVANCE NOTICE POLICY RESOLUTION RELATING TO THE RATIFICATION, CONFIRMATION AND APPROVAL OF THE ADVANCE NOTICE POLICY, AS DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR OF B2GOLD CORP. FOR THE ANNUAL GENERAL AND SPECIAL MEETING OF THE SHAREHOLDERS TO BE HELD ON JUNE 13, 2014. | Management | For | For | |||||||||
| Page 9 of 38 |
PROXY VOTING RECORD
| BARRICK GOLD CORPORATION | |||
| Security | 067901108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | ABX | Meeting Date | 30-Apr-2014 |
| ISIN | CA0679011084 | Agenda | 933957459 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | C.W.D. BIRCHALL | For | For | ||||||||||
| 2 | G. CISNEROS | Withheld | Against | ||||||||||
| 3 | N. GOODMAN | Withheld | Against | ||||||||||
| 4 | J.B. HARVEY | Withheld | Against | ||||||||||
| 5 | N.H.O. LOCKHART | Withheld | Against | ||||||||||
| 6 | D. MOYO | Withheld | Against | ||||||||||
| 7 | A. MUNK | Withheld | Against | ||||||||||
| 8 | D. NAYLOR | Withheld | Against | ||||||||||
| 9 | S.J. SHAPIRO | Withheld | Against | ||||||||||
| 10 | J.C. SOKALSKY | For | For | ||||||||||
| 11 | J.L. THORNTON | Withheld | Against | ||||||||||
| 12 | E.L. THRASHER | Withheld | Against | ||||||||||
| 02 | RESOLUTION APPROVING THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE AUDITORS OF BARRICK AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | |||||||||
| 03 | ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION APPROACH | Management | Against | Against | |||||||||
| 04 | RESOLUTION CONFIRMING BY-LAW NO. 2 | Management | Against | Against | |||||||||
| Page 10 of 38 |
PROXY VOTING RECORD
| BELO SUN MINING CORP. | |||
| Security | 080558109 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | VNNHF | Meeting Date | 16-May-2014 |
| ISIN | CA0805581091 | Agenda | 934002205 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 01 | TO SET THE NUMBER OF DIRECTORS AT 8 | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | PETER TAGLIAMONTE | Withheld | Against | ||||||||||
| 2 | STAN BHARTI | Withheld | Against | ||||||||||
| 3 | HELIO DINIZ | Withheld | Against | ||||||||||
| 4 | MARK EATON | For | For | ||||||||||
| 5 | C. JAY HODGSON | For | For | ||||||||||
| 6 | CLAY LIVINGSTON HOES | For | For | ||||||||||
| 7 | RUI BOTICA SANTOS | For | For | ||||||||||
| 8 | CATHERINE STRETCH | For | For | ||||||||||
| 03 | APPOINTMENT OF COLLINS BARROW LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | |||||||||||
| 04 | 1. ALL UNALLOCATED OPTIONS UNDER THE STOCK OPTION PLAN BE AND ARE HEREBY APPROVED; 2. THE COMPANY HAVE THE ABILITY TO CONTINUE GRANTING OPTIONS UNDER THE STOCK OPTION PLAN UNTIL MAY 16, 2017, WHICH IS THE DATE THAT IS THREE (3) YEARS FROM THE DATE OF THE SHAREHOLDER MEETING AT WHICH SHAREHOLDER APPROVAL IS BEING SOUGHT; AND ALL AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING INFORMATION CIRCULAR. | Management | Against | Against | |||||||||
| Page 11 of 38 |
PROXY VOTING RECORD
| CENTERRA GOLD INC. | |||
| Security | 152006102 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | CAGDF | Meeting Date | 08-May-2014 |
| ISIN | CA1520061021 | Agenda | 933980876 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | IAN ATKINSON | For | For | ||||||||||
| 2 | RICHARD W. CONNOR | For | For | ||||||||||
| 3 | RAPHAEL A. GIRARD | Withheld | Against | ||||||||||
| 4 | STEPHEN A. LANG | For | For | ||||||||||
| 5 | EMIL OROZBAEV | For | For | ||||||||||
| 6 | MICHAEL PARRETT | For | For | ||||||||||
| 7 | SHERYL K. PRESSLER | For | For | ||||||||||
| 8 | TERRY V. ROGERS | Withheld | Against | ||||||||||
| 9 | KALINUR SADYROV | For | For | ||||||||||
| 10 | KYLYCHBEK SHAKIROV | For | For | ||||||||||
| 11 | BRUCE V. WALTER | For | For | ||||||||||
| 02 | TO APPROVE THE APPOINTMENT OF KPMG LLP AS THE AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND TO AUTHORIZE THE DIRECTORS OF THE CORPORATION TO FIX THE REMUNERATION TO BE PAID TO THE AUDITORS. | Management | For | For | |||||||||
| 03 | TO APPROVE AMENDMENTS TO BY-LAW NO. 2 OF THE COMPANY, IN THE FORM MADE BY THE BOARD OF DIRECTORS AND TO AUTHORIZE AND DIRECT ANY DIRECTOR OR OFFICER OF THE COMPANY, ACTING FOR, IN THE NAME OF AND ON BEHALF OF THE COMPANY, TO EXECUTE OR CAUSE TO BE EXECUTED, AND TO DELIVER OR CAUSE TO BE DELIVERED, SUCH OTHER DOCUMENTS AND INSTRUMENTS, AND TO DO OR CAUSE TO BE DONE ALL SUCH OTHER ACTS AND THINGS, AS MAY IN THE OPINION OF SUCH DIRECTOR OR OFFICER BE NECESSARY OR DESIRABLE TO CARRY OUT THE FOREGOING RESOLUTION. | Management | For | For | |||||||||
| Page 12 of 38 |
PROXY VOTING RECORD
| COMPANIA DE MINAS BUENAVENTURA S.A. | |||
| Security | 204448104 | Meeting Type | Annual |
| Ticker Symbol | BVN | Meeting Date | 27-Mar-2014 |
| ISIN | US2044481040 | Agenda | 933940377 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 1. | TO APPROVE THE ANNUAL REPORT AS OF DECEMBER, 31, 2013. A PRELIMINARY SPANISH VERSION OF THE ANNUAL REPORT WILL BE AVAILABLE IN THE COMPANY’S WEB SITE HTTP://WWW.BUENAVENTURA.COM/IR/. | Management | Not Voted | |||||||||
| 2. | TO APPROVE THE FINANCIAL STATEMENTS AS OF DECEMBER, 31, 2013, WHICH WERE PUBLICLY REPORTED AND ARE IN OUR WEB SITE HTTP://WWW.BUENAVENTURA.COM/IR/. | Management | Not Voted | |||||||||
| 3. | TO APPOINT ERNST AND YOUNG (MEDINA, ZALDIVAR, PAREDES Y ASOCIADOS) AS EXTERNAL AUDITORS FOR FISCAL YEAR 2014. | Management | Not Voted | |||||||||
| 4. | RATIFICATION OF THE DIVIDEND POLICY AMENDMENT, WHICH HAS BEEN APPROVED BY THE BOARD OF DIRECTORS. | Management | Not Voted | |||||||||
| 5. | TO APPROVE THE PAYMENT OF A CASH DIVIDEND OF 1.1 CENTS (US$) PER SHARE OR ADS ACCORDING TO THE COMPANY’S DIVIDEND POLICY. | Management | Not Voted | |||||||||
| 6. | ELECTION OF THE MEMBERS OF THE BOARD FOR THE PERIOD 2014-2016: MR. ROQUE BENAVIDES, MR CARLOS-DEL- SOLAR, MR. IGOR GONZALES, MR. JOSE MIGUEL MORALES, MR. FELIPE ORTIZ-DE- ZEVALLOS, MR. TIMOTHY SNIDER, MR. GERMAN SUAREZ | Management | Not Voted |
| Page 13 of 38 |
PROXY VOTING RECORD
| DETOUR GOLD CORPORATION | |||
| Security | 250669108 | Meeting Type | Annual |
| Ticker Symbol | DRGDF | Meeting Date | 01-May-2014 |
| ISIN | CA2506691088 | Agenda | 933976310 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | PETER E. CROSSGROVE | For | For | ||||||||||
| 2 | LOUIS DIONNE | For | For | ||||||||||
| 3 | ROBERT E. DOYLE | For | For | ||||||||||
| 4 | ANDRE FALZON | For | For | ||||||||||
| 5 | INGRID J. HIBBARD | For | For | ||||||||||
| 6 | J. MICHAEL KENYON | For | For | ||||||||||
| 7 | PAUL MARTIN | For | For | ||||||||||
| 8 | ALEX G. MORRISON | For | For | ||||||||||
| 9 | JONATHAN RUBENSTEIN | For | For | ||||||||||
| 10 | GRAHAM WOZNIAK | For | For | ||||||||||
| 02 | APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| Page 14 of 38 |
PROXY VOTING RECORD
| ELDORADO GOLD CORPORATION | |||
| Security | 284902103 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | EGO | Meeting Date | 01-May-2014 |
| ISIN | CA2849021035 | Agenda | 933955227 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | K. ROSS CORY | For | For | ||||||||||
| 2 | ROBERT R. GILMORE | For | For | ||||||||||
| 3 | GEOFFREY A. HANDLEY | For | For | ||||||||||
| 4 | MICHAEL A. PRICE | For | For | ||||||||||
| 5 | STEVEN P. REID | For | For | ||||||||||
| 6 | JONATHAN A. RUBENSTEIN | For | For | ||||||||||
| 7 | DONALD M. SHUMKA | For | For | ||||||||||
| 8 | PAUL N. WRIGHT | For | For | ||||||||||
| 02 | APPOINT KPMG LLP AS THE INDEPENDENT AUDITOR (SEE PAGE 22 OF THE MANAGEMENT PROXY CIRCULAR) | Management | For | For | |||||||||
| 03 | AUTHORIZE THE DIRECTORS TO SET THE AUDITOR’S PAY, IF KPMG IS REAPPOINTED AS THE INDEPENDENT AUDITOR (SEE PAGE 22 OF THE MANAGEMENT PROXY CIRCULAR) | Management | For | For | |||||||||
| 04 | APPROVE AN ORDINARY RESOLUTION SET OUT ON PAGE 25 OF THE MANAGEMENT PROXY CIRCULAR CONFIRMING THE REPEAL OF FORMER BY-LAW NO. 1 AND THE ADOPTION OF NEW BY-LAW NO. 1 | Management | For | For | |||||||||
| 05 | APPROVE A SPECIAL RESOLUTION SET OUT ON PAGE 26 OF THE MANAGEMENT PROXY CIRCULAR ADOPTING AMENDMENTS TO THE RESTATED ARTICLES OF INCORPORATION TO ELIMINATE THE CLASS OF CONVERTIBLE NON-VOTING SHARES | Management | For | For | |||||||||
| 06 | APPROVE AN ORDINARY RESOLUTION SET OUT ON PAGE 29 OF THE MANAGEMENT PROXY CIRCULAR APPROVING THE AMENDED AND RESTATED INCENTIVE STOCK OPTION PLAN FOR OFFICERS AND DIRECTORS | Management | For | For | |||||||||
| 07 | APPROVE AN ORDINARY RESOLUTION SET OUT ON PAGE 29 OF THE MANAGEMENT PROXY CIRCULAR APPROVING THE AMENDED AND RESTATED INCENTIVE STOCK OPTION PLAN FOR EMPLOYEES, CONSULTANTS AND ADVISORS | Management | For | For | |||||||||
| 08 | APPROVE AN ORDINARY RESOLUTION SET OUT ON PAGE 32 OF THE MANAGEMENT PROXY CIRCULAR ADOPTING THE NEW PERFORMANCE SHARE UNIT PLAN. | Management | For | For | |||||||||
| Page 15 of 38 |
PROXY VOTING RECORD
| FRANCO-NEVADA CORPORATION | |||
| Security | 351858105 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | FNV | Meeting Date | 07-May-2014 |
| ISIN | CA3518581051 | Agenda | 933974239 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | PIERRE LASSONDE | For | For | ||||||||||
| 2 | DAVID HARQUAIL | For | For | ||||||||||
| 3 | TOM ALBANESE | For | For | ||||||||||
| 4 | DEREK W. EVANS | For | For | ||||||||||
| 5 | GRAHAM FARQUHARSON | For | For | ||||||||||
| 6 | LOUIS GIGNAC | For | For | ||||||||||
| 7 | RANDALL OLIPHANT | For | For | ||||||||||
| 8 | DAVID R. PETERSON | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | ACCEPTANCE OF THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 16 of 38 |
PROXY VOTING RECORD
| FREEPORT-MCMORAN COPPER & GOLD INC. | |||
| Security | 35671D857 | Meeting Type | Annual |
| Ticker Symbol | FCX | Meeting Date | 16-Jul-2013 |
| ISIN | US35671D8570 | Agenda | 933842230 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 1 | DIRECTOR | Management | |||||||||||
| 1 | RICHARD C. ADKERSON | For | For | ||||||||||
| 2 | ROBERT J. ALLISON, JR. | For | For | ||||||||||
| 3 | ALAN R. BUCKWALTER, III | For | For | ||||||||||
| 4 | ROBERT A. DAY | For | For | ||||||||||
| 5 | JAMES C. FLORES | For | For | ||||||||||
| 6 | GERALD J. FORD | For | For | ||||||||||
| 7 | THOMAS A. FRY, III | For | For | ||||||||||
| 8 | H. DEVON GRAHAM, JR. | For | For | ||||||||||
| 9 | CHARLES C. KRULAK | For | For | ||||||||||
| 10 | BOBBY LEE LACKEY | For | For | ||||||||||
| 11 | JON C. MADONNA | For | For | ||||||||||
| 12 | DUSTAN E. MCCOY | For | For | ||||||||||
| 13 | JAMES R. MOFFETT | Withheld | Against | ||||||||||
| 14 | B.M. RANKIN, JR. | For | For | ||||||||||
| 15 | STEPHEN H. SIEGELE | For | For | ||||||||||
| 2 | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | |||||||||
| 3 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | |||||||||
| 4 | STOCKHOLDER PROPOSAL REGARDING THE SELECTION OF A CANDIDATE WITH ENVIRONMENTAL EXPERTISE TO BE RECOMMENDED FOR ELECTION TO THE BOARD OF DIRECTORS. | Shareholder | Against | For | |||||||||
| 5 | STOCKHOLDER PROPOSAL REGARDING THE REQUIREMENT THAT OUR CHAIRMAN OF THE BOARD OF DIRECTORS BE AN INDEPENDENT MEMBER OF THE BOARD OF DIRECTORS. | Shareholder | For | Against | |||||||||
| 6 | STOCKHOLDER PROPOSAL REGARDING THE ADOPTION BY THE BOARD OF DIRECTORS OF A POLICY ON BOARD DIVERSITY. | Shareholder | Against | For | |||||||||
| 7 | STOCKHOLDER PROPOSAL REGARDING THE AMENDMENT OF OUR BYLAWS TO PERMIT STOCKHOLDERS HOLDING 15% OF OUR OUTSTANDING COMMON STOCK TO CALL A SPECIAL MEETING OF STOCKHOLDERS. | Shareholder | Against | For | |||||||||
| Page 17 of 38 |
PROXY VOTING RECORD
| FREEPORT-MCMORAN COPPER & GOLD INC. | |||
| Security | 35671D857 | Meeting Type | Annual |
| Ticker Symbol | FCX | Meeting Date | 17-Jun-2014 |
| ISIN | US35671D8570 | Agenda | 933999180 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 1 | DIRECTOR | Management | |||||||||||
| 1 | RICHARD C. ADKERSON | For | For | ||||||||||
| 2 | ROBERT J. ALLISON, JR. | For | For | ||||||||||
| 3 | ALAN R. BUCKWALTER, III | For | For | ||||||||||
| 4 | ROBERT A. DAY | For | For | ||||||||||
| 5 | JAMES C. FLORES | For | For | ||||||||||
| 6 | GERALD J. FORD | For | For | ||||||||||
| 7 | THOMAS A. FRY, III | For | For | ||||||||||
| 8 | H. DEVON GRAHAM, JR. | For | For | ||||||||||
| 9 | LYDIA H. KENNARD | For | For | ||||||||||
| 10 | CHARLES C. KRULAK | For | For | ||||||||||
| 11 | BOBBY LEE LACKEY | For | For | ||||||||||
| 12 | JON C. MADONNA | For | For | ||||||||||
| 13 | DUSTAN E. MCCOY | For | For | ||||||||||
| 14 | JAMES R. MOFFETT | For | For | ||||||||||
| 15 | STEPHEN H. SIEGELE | For | For | ||||||||||
| 16 | FRANCES FRAGOS TOWNSEND | For | For | ||||||||||
| 2 | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | |||||||||
| 3 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | |||||||||
| 4 | APPROVAL OF THE FREEPORT-MCMORAN COPPER & GOLD INC. ANNUAL INCENTIVE PLAN. | Management | For | For | |||||||||
| 5 | STOCKHOLDER PROPOSAL REGARDING THE SELECTION OF A CANDIDATE WITH ENVIRONMENTAL EXPERTISE TO BE RECOMMENDED FOR ELECTION TO THE BOARD OF DIRECTORS. | Shareholder | Against | For | |||||||||
| Page 18 of 38 |
PROXY VOTING RECORD
| GOLD FIELDS LTD, JOHANNESBURG | |||
| Security | S31755101 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 09-May-2014 | |
| ISIN | ZAE000018123 | Agenda | 705118330 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| O.1 | RE-APPOINT KPMG INC AS AUDITORS OF THE COMPANY | Management | For | For | ||||||||
| O.2 | RE-ELECT KOFI ANSAH AS DIRECTOR | Management | For | For | ||||||||
| O.3 | RE-ELECT NICK HOLLAND AS DIRECTOR | Management | For | For | ||||||||
| O.4 | RE-ELECT PAUL SCHMIDT AS DIRECTOR | Management | For | For | ||||||||
| O.5 | RE-ELECT GAYLE WILSON AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.6 | RE-ELECT RICHARD MENELL AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.7 | RE-ELECT DONALD NCUBE AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.8 | PLACE AUTHORISED BUT UNISSUED SHARES UNDER CONTROL OF DIRECTORS | Management | For | For | ||||||||
| 1 | ADVISORY ENDORSEMENT: APPROVE REMUNERATION POLICY | Management | For | For | ||||||||
| S.1 | AUTHORISE BOARD TO ISSUE SHARES FOR CASH UP TO A MAXIMUM OF FIVE PERCENT OF ISSUED SHARE CAPITAL | Management | For | For | ||||||||
| S.2 | APPROVE REMUNERATION OF NON- EXECUTIVE DIRECTORS | Management | For | For | ||||||||
| S.3 | APPROVE FINANCIAL ASSISTANCE TO RELATED OR INTER-RELATED COMPANY | Management | For | For | ||||||||
| S.4 | AUTHORISE REPURCHASE OF UP TO 20 PERCENT OF ISSUED SHARE CAPITAL | Management | Against | Against | ||||||||
| CMMT | 07 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION TO THE TE-XT OF RESOLUTION 1 AND O.8. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO-NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIO-NS. THANK YOU | Non-Voting |
| Page 19 of 38 |
PROXY VOTING RECORD
| GOLDCORP INC. | |||
| Security | 380956409 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | GG | Meeting Date | 01-May-2014 |
| ISIN | CA3809564097 | Agenda | 933953160 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| A | DIRECTOR | Management | |||||||||||
| 1 | JOHN P. BELL | For | For | ||||||||||
| 2 | BEVERLEY A. BRISCOE | For | For | ||||||||||
| 3 | PETER J. DEY | For | For | ||||||||||
| 4 | DOUGLAS M. HOLTBY | For | For | ||||||||||
| 5 | CHARLES A. JEANNES | For | For | ||||||||||
| 6 | CLEMENT A. PELLETIER | For | For | ||||||||||
| 7 | P. RANDY REIFEL | For | For | ||||||||||
| 8 | IAN W. TELFER | Withheld | Against | ||||||||||
| 9 | BLANCA TREVIÑO | For | For | ||||||||||
| 10 | KENNETH F. WILLIAMSON | For | For | ||||||||||
| B | IN RESPECT OF THE APPOINTMENT OF DELOITTE LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE COMPANY AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION; | Management | For | For | |||||||||
| C | A RESOLUTION APPROVING CERTAIN AMENDMENTS TO THE RESTRICTED SHARE UNIT PLAN OF THE COMPANY; | Management | For | For | |||||||||
| D | A RESOLUTION APPROVING AN AMENDMENT TO THE STOCK OPTION PLAN OF THE COMPANY; | Management | For | For | |||||||||
| E | A NON-BINDING ADVISORY RESOLUTION ACCEPTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 20 of 38 |
PROXY VOTING RECORD
| HARMONY GOLD MINING CO LTD, JOHANNESBURG | |||
| Security | S34320101 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 05-Dec-2013 | |
| ISIN | ZAE000015228 | Agenda | 704824235 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1.O.1 | To re-elect Joaquim Chissano as a director | Management | For | For | ||||||||
| 2.O.2 | To re-elect Cathie Marcus as a director | Management | For | For | ||||||||
| 3.O.3 | To re-elect Andre Wilkens as a director | Management | For | For | ||||||||
| 4.O.4 | To elect Karabo Nondumo as a director | Management | For | For | ||||||||
| 5.O.5 | To elect Vishnu Pillay as a director | Management | For | For | ||||||||
| 6.O.6 | To re-elect John Wetton as a member of the audit committee | Management | For | For | ||||||||
| 7.O.7 | To re-elect Fikile De Buck as a member of the audit and risk committee | Management | For | For | ||||||||
| 8.O.8 | To re-elect Simo Lushaba as a member of the audit and risk committee | Management | For | For | ||||||||
| 9.O.9 | To re-elect Modise Motloba as a member of the audit committee | Management | For | For | ||||||||
| 10O10 | To elect Karabo Nondumo as a member of the audit committee | Management | For | For | ||||||||
| 11O11 | To reappoint PricewaterhouseCoopers Inc as the external auditors | Management | For | For | ||||||||
| 12O12 | To approve the remuneration policy | Management | For | For | ||||||||
| 13.S1 | To approve non-executive directors’ remuneration | Management | For | For | ||||||||
| 14.S2 | Financial assistance to related and inter-related companies | Management | For | For | ||||||||
| 15.S3 | Amendment of the company’s memorandum of incorporation | Management | For | For |
| Page 21 of 38 |
PROXY VOTING RECORD
| IMPALA PLATINUM HOLDINGS LTD, ILLOVO | |||
| Security | S37840113 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 23-Oct-2013 | |
| ISIN | ZAE000083648 | Agenda | 704752852 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| O.1 | Appointment of external auditors : PricewaterhouseCoopers Inc. | Management | For | For | ||||||||
| O.2.1 | Appointment of member of audit committee: HC Cameron - Chairman | Management | For | For | ||||||||
| O.2.2 | Appointment of member of audit committee: AA Maule | Management | For | For | ||||||||
| O.2.3 | Appointment of member of audit committee: TV Mokgatlha | Management | For | For | ||||||||
| O.2.4 | Appointment of member of audit committee: B Ngonyama | Management | For | For | ||||||||
| O.3 | Endorsement of the Company’s remuneration policy | Management | For | For | ||||||||
| O.4.1 | Re-election of director: HC Cameron | Management | For | For | ||||||||
| O.4.2 | Re-election of director: PW Davey | Management | For | For | ||||||||
| O.4.3 | Re-election of director: MSV Gantsho | Management | For | For | ||||||||
| O.4.4 | Re-election of director: A Kekana | Management | For | For | ||||||||
| O.4.5 | Re-election of director: AS Macfarlane | Management | For | For | ||||||||
| O.4.6 | Re-election of director: TV Mokgatlha | Management | For | For | ||||||||
| O.4.7 | Re-election of director: BT Nagle | Management | For | For | ||||||||
| S.1 | Acquisition of Company shares by Company or subsidiary | Management | For | For | ||||||||
| S.2 | Financial assistance | Management | For | For | ||||||||
| CMMT | 3 OCT 13: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF AUDITOR NAME-IN RESOLUTION O.1. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETUR-N THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK-YOU. | Non-Voting |
| Page 22 of 38 |
PROXY VOTING RECORD
| KINROSS GOLD CORPORATION | |||
| Security | 496902404 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | KGC | Meeting Date | 08-May-2014 |
| ISIN | CA4969024047 | Agenda | 933966799 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||||
| 01 | DIRECTOR | Management | ||||||||||||
| 1 | JOHN A. BROUGH | For | For | |||||||||||
| 2 | JOHN K. CARRINGTON | For | For | |||||||||||
| 3 | JOHN M.H. HUXLEY | For | For | |||||||||||
| 4 | KENNETH C. IRVING | For | For | |||||||||||
| 5 | JOHN A. KEYES | For | For | |||||||||||
| 6 | JOHN A. MACKEN | For | For | |||||||||||
| 7 | C. MCLEOD-SELTZER | For | For | |||||||||||
| 8 | JOHN E. OLIVER | For | For | |||||||||||
| 9 | UNA M. POWER | For | For | |||||||||||
| 10 | TERENCE C.W. REID | For | For | |||||||||||
| 11 | J. PAUL ROLLINSON | For | For | |||||||||||
| 12 | RUTH G. WOODS | For | For | |||||||||||
| 02 | TO APPROVE THE APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND TO AUTHORIZE THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | ||||||||||
| 03 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, A RESOLUTION AMENDING THE SHARE OPTION PLAN OF KINROSS TO (A) INCREASE THE NUMBER OF COMMON SHARES RESERVED FOR ISSUANCE THEREUNDER FROM 21,166,667 TO 31,166,667 AND (B) TO ADD A PROVISION WHEREBY OPTIONHOLDERS CAN SURRENDER THEIR OPTIONS TO THE COMPANY IN EXCHANGE FOR THE “IN-THE- MONEY” VALUE IN THE FORM OF EITHER CASH OR SHARES, WITH A COMPANY OPTION TO DELIVER SHARES EVEN IF THE OPTIONHOLDER ELECTS TO RECEIVE CASH. | Management | For | For | ||||||||||
| 04 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, A RESOLUTION AMENDING KINROSS’ RESTRICTED SHARE PLAN TO (A) INCREASE THE NUMBER OF SHARES RESERVED FOR ISSUANCE FROM 20,000,000 TO 35,000,000, (B) PERMIT EMPLOYEES | Management | For | For | ||||||||||
| (EXCLUDING THE SENIOR LEADERSHIP TEAM) TO REQUEST THAT SETTLEMENT OF RSUS VESTING IN 2014 BE IN CASH INSTEAD OF SHARES AND (C) PERMIT EMPLOYEES TO ELECT TO SURRENDER VESTED RSUS IN SATISFACTION OF WITHHOLDING TAXES DUE ON VESTING. | ||||||||||||||
| 05 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, AN ADVISORY RESOLUTION ON KINROSS’ APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||
| Page 23 of 38 |
PROXY VOTING RECORD
| NEW GOLD INC. | |||
| Security | 644535106 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | NGD | Meeting Date | 30-Apr-2014 |
| ISIN | CA6445351068 | Agenda | 933957447 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | DAVID EMERSON | For | For | ||||||||||
| 2 | JAMES ESTEY | For | For | ||||||||||
| 3 | ROBERT GALLAGHER | For | For | ||||||||||
| 4 | VAHAN KOLOLIAN | For | For | ||||||||||
| 5 | MARTYN KONIG | For | For | ||||||||||
| 6 | PIERRE LASSONDE | For | For | ||||||||||
| 7 | RANDALL OLIPHANT | For | For | ||||||||||
| 8 | RAYMOND THRELKELD | For | For | ||||||||||
| 02 | APPOINTMENT OF DELOITTE LLP AS AUDITOR OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | TO CONSIDER AND, IF DEEMED APPROPRIATE, PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO APPROVE ALL UNALLOCATED OPTIONS UNDER THE COMPANY’S STOCK OPTION PLAN. | Management | For | For | |||||||||
| 04 | TO CONSIDER AND, IF DEEMED APPROPRIATE, PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO AUTHORIZE AN AMENDMENT TO THE COMPANY’S LONG TERM INCENTIVE PLAN THAT WILL ENABLE THE COMPANY TO SATISFY PAYMENT OBLIGATIONS UNDER PERFORMANCE SHARE UNITS BY WAY OF ISSUANCE OF COMMON SHARES FROM TREASURY, INCLUDING, WITHOUT LIMITATION, WITH RESPECT TO PREVIOUSLY GRANTED PERFORMANCE SHARE UNITS, AND TO APPROVE ALL UNALLOCATED PERFORMANCE SHARE UNITS ISSUABLE UNDER THE LONG TERM INCENTIVE PLAN. | Management | For | For | |||||||||
| 05 | TO CONSIDER AND, IF DEEMED APPROPRIATE, PASS, WITH OR WITHOUT VARIATION, A NON-BINDING ADVISORY RESOLUTION ACCEPTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 24 of 38 |
PROXY VOTING RECORD
| NEWCREST MINING LIMITED | |||
| Security | 6637101 | Meeting Type | Annual Meeting |
| Ticker Symbol | NCM.AX | Meeting Date | 24-Oct-13 |
| ISIN | AU000000NCM7 | Agenda | Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | TO RECEIVE AND CONSIDER THE FINANCIAL REPORT OF THE COMPANY FOR THE YEAR ENDED 30 JUNE 2013 | Management | Not Voted | |||||||||
| 2A. | TO ELECT AS A DIRECTOR MR. PHILIP AITKEN | Management | Not Voted | |||||||||
| 2B. | TO ELECT AS A DIRECTOR MR. PETER HAY | Management | Not Voted | |||||||||
| 2C. | TO RE-ELECT AS A DIRECTOR MR RICHARD LEE | Management | Not Voted | |||||||||
| 2D. | TO RE-ELECT AS A DIRECTOR MR TIM POOLE | Management | Not Voted | |||||||||
| 2E. | TO RE-ELECT AS A DIRECTOR MR JOHN SPARK | Management | Not Voted | |||||||||
| 3 | ADOPTION OF REMUNERATION REPORT. | Management | Not Voted |
| Page 25 of 38 |
PROXY VOTING RECORD
| NEWMONT MINING CORPORATION | |||
| Security | 651639106 | Meeting Type | Annual |
| Ticker Symbol | NEM | Meeting Date | 23-Apr-2014 |
| ISIN | US6516391066 | Agenda | 933935225 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: B.R. BROOK | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: J.K. BUCKNOR | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: V.A. CALARCO | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: J.A. CARRABBA | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: N. DOYLE | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: G.J. GOLDBERG | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: V.M. HAGEN | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: J. NELSON | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: D.C. ROTH | Management | For | For | ||||||||
| 2. | RATIFY APPOINTMENT OF INDEPENDENT AUDITORS FOR 2014. | Management | For | For | ||||||||
| 3. | APPROVE, ON AN ADVISORY BASIS, NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 4. | STOCKHOLDER PROPOSAL REGARDING POLITICAL SPENDING DISCLOSURE. | Shareholder | Against | For |
| Page 26 of 38 |
PROXY VOTING RECORD
| NOVACOPPER INC. | |||
| Security | 66988K102 | Meeting Type | Annual |
| Ticker Symbol | NCQ | Meeting Date | 21-May-2014 |
| ISIN | CA66988K1021 | Agenda | 933968616 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 01 | TO SET THE NUMBER OF DIRECTORS AT 9. | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | TONY S. GIARDINI | For | For | ||||||||||
| 2 | DR. THOMAS S. KAPLAN | Withheld | Against | ||||||||||
| 3 | GREGORY A. LANG | Withheld | Against | ||||||||||
| 4 | IGOR LEVENTAL | Withheld | Against | ||||||||||
| 5 | KALIDAS V. MADHAVPEDDI | For | For | ||||||||||
| 6 | GERALD J. MCCONNELL | Withheld | Against | ||||||||||
| 7 | CLYNTON R. NAUMAN | For | For | ||||||||||
| 8 | JANICE STAIRS | Withheld | Against | ||||||||||
| 9 | RICK VAN NIEUWENHUYSE | For | For | ||||||||||
| 03 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS THROUGH THE AUDIT COMMITTEE TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 04 | TO APPROVE AN ORDINARY RESOLUTION RATIFYING THE ADVANCE NOTICE POLICY ADOPTED BY THE DIRECTORS ON JANUARY 29, 2014. | Management | Against | Against | |||||||||
| Page 27 of 38 |
PROXY VOTING RECORD
| OSISKO MINING CORPORATION | |||
| Security | 688278100 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | OSKFF | Meeting Date | 30-May-2014 |
| ISIN | CA6882781009 | Agenda | 934018878 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 01 | SPECIAL RESOLUTION TO APPROVE THE ARRANGEMENT UNDER SECTION 192 OF THE CANADA BUSINESS CORPORATIONS ACT INVOLVING THE COMPANY, AGNICO EAGLE MINES LIMITED AND YAMANA GOLD INC. THE FULL TEXT OF THE SPECIAL RESOLUTION IS SET OUT IN SCHEDULE “A” TO THE CIRCULAR | Management | For | For | |||||||||
| 02 | RESOLUTION APPROVING THE PAYMENT OF THE OUT-OF-THE-MONEY OPTION CONSIDERATION AMOUNT, AS MORE FULLY DESCRIBED IN THE CIRCULAR | Management | For | For | |||||||||
| 03 | RESOLUTION APPROVING THE NEW OSISKO STOCK OPTION PLAN, AS MORE FULLY DESCRIBED IN THE CIRCULAR | Management | For | For | |||||||||
| 04 | RESOLUTION APPROVING THE NEW OSISKO SHAREHOLDER RIGHTS PLAN, AS MORE FULLY DESCRIBED IN THE CIRCULAR | Management | For | For | |||||||||
| 05 | SPECIAL RESOLUTION APPROVING THE NEW OSISKO SHARE CONSOLIDATION, ON THE BASIS OF ONE POST-CONSOLIDATED NEW OSISKO SHARE FOR EACH 10 PRE-CONSOLIDATION NEW OSISKO SHARES, AS MORE FULLY DESCRIBED IN THE CIRCULAR | Management | For | For | |||||||||
| 06 | DIRECTOR | Management | |||||||||||
| 1 | VICTOR H. BRADLEY | For | For | ||||||||||
| 2 | JOHN F. BURZYNSKI | For | For | ||||||||||
| 3 | MARCEL CÔTÉ | For | For | ||||||||||
| 4 | MICHÈLE DARLING | For | For | ||||||||||
| 5 | JOANNE FERSTMAN | For | For | ||||||||||
| 6 | S. LEAVENWORTH BAKALI | For | For | ||||||||||
| 7 | WILLIAM A. MACKINNON | For | For | ||||||||||
| 8 | CHARLES E. PAGE | For | For | ||||||||||
| 9 | SEAN ROOSEN | For | For | ||||||||||
| 10 | GARY A. SUGAR | For | For | ||||||||||
| 11 | SERGE VÉZINA | For | For | ||||||||||
| 07 | RESOLUTION APPOINTING PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY AND AUTHORIZING THE DIRECTORS OF THE COMPANY TO FIX THEIR REMUNERATION | Management | For | For | |||||||||
| 08 | RESOLUTION APPROVING UNALLOCATED RIGHTS AND ENTITLEMENTS UNDER THE OSISKO EMPLOYEE SHARE PURCHASE PLAN, AS MORE FULLY DESCRIBED IN THE CIRCULAR | Management | For | For | |||||||||
| 09 | RESOLUTION APPROVING UNALLOCATED OPTIONS UNDER THE OSISKO STOCK OPTION PLAN, AS MORE FULLY DESCRIBED IN THE CIRCULAR | Management | For | For | |||||||||
| 10 | RESOLUTION - ADVISORY VOTE ON EXECUTIVE COMPENSATION APPROACH, AS MORE FULLY DESCRIBED IN THE CIRCULAR. | Management | For | For | |||||||||
| Page 28 of 38 |
PROXY VOTING RECORD
| RANDGOLD RESOURCES LIMITED | |||
| Security | 752344309 | Meeting Type | Annual |
| Ticker Symbol | GOLD | Meeting Date | 06-May-2014 |
| ISIN | US7523443098 | Agenda | 933966698 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| O1 | TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2013 TOGETHER WITH THE DIRECTORS’ REPORTS AND THE AUDITORS’ REPORT ON THE FINANCIAL STATEMENTS. | Management | For | For | ||||||||
| O2 | TO DECLARE A FINAL DIVIDEND OF US$0.50 PER ORDINARY SHARE RECOMMENDED BY THE DIRECTORS IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2013. | Management | For | For | ||||||||
| O3 | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2013 (OTHER THAN THE DIRECTORS’ REMUNERATION POLICY REPORT). | Management | For | For | ||||||||
| O4 | TO APPROVE THE DIRECTORS’ REMUNERATION POLICY REPORT. | Management | For | For | ||||||||
| O5 | TO RE-ELECT MARK BRISTOW AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O6 | TO RE-ELECT NORBORNE COLE JR AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O7 | TO RE-ELECT CHRISTOPHER COLEMAN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O8 | TO RE-ELECT KADRI DAGDELEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O9 | TO RE-ELECT JAMIL KASSUM AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O10 | TO RE-ELECT JEANINE MABUNDA LIOKO AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O11 | TO RE-ELECT ANDREW QUINN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O12 | TO RE-ELECT GRAHAM SHUTTLEWORTH AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O13 | TO RE-ELECT KARL VOLTAIRE AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O14 | TO RE-APPOINT BDO LLP AS THE AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY. | Management | For | For | ||||||||
| O15 | TO AUTHORISE THE DIRECTORS TO DETERMINE THE REMUNERATION OF THE AUDITORS. | Management | For | For | ||||||||
| S16 | TO INCREASE THE AUTHORISED SHARE CAPITAL OF THE COMPANY. | Management | For | For | ||||||||
| O17 | AUTHORITY TO ALLOT SHARES AND GRANT RIGHTS TO SUBSCRIBE FOR, OR CONVERT ANY SECURITY INTO SHARES. | Management | For | For | ||||||||
| O18 | AWARDS OF ORDINARY SHARES TO NON- EXECUTIVE DIRECTORS. | Management | For | For | ||||||||
| O19 | VARIATION OF DIRECTORS POWERS UNDER THE ARTICLES OF ASSOCIATION. | Management | For | For | ||||||||
| S20 | AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS. | Management | For | For | ||||||||
| S21 | AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES. | Management | For | For | ||||||||
| S22 | ARTICLES OF ASSOCIATION. | Management | For | For | ||||||||
| O23 | SCRIP DIVIDEND. | Management | For | For | ||||||||
| O24 | ELECTRONIC COMMUNICATIONS. | Management | For | For |
| Page 29 of 38 |
PROXY VOTING RECORD
| ROYAL GOLD, INC. | |||
| Security | 780287108 | Meeting Type | Annual |
| Ticker Symbol | RGLD | Meeting Date | 20-Nov-2013 |
| ISIN | US7802871084 | Agenda | 933884531 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: WILLIAM M. HAYES | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: RONALD J. VANCE | Management | For | For | ||||||||
| 2. | PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS OF THE COMPANY FOR THE FISCAL YEAR ENDING JUNE 30, 2014. | Management | For | For | ||||||||
| 3. | PROPOSAL TO APPROVE THE ADVISORY RESOLUTION RELATING TO EXECUTIVE COMPENSATION. | Management | For | For |
| Page 30 of 38 |
PROXY VOTING RECORD
| SIBANYE GOLD LIMITED | |||
| Security | S7627H100 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 05-Nov-2013 | |
| ISIN | ZAE000173951 | Agenda | 704764299 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 1 | Approval for the allotment and issue of the Consideration Shares | Management | For | For | ||||||||
| 2 | Election of a Director - Mr R T L Chan | Management | For | For | ||||||||
| 3 | Election of a Director - Mr C D Chadwick | Management | For | For |
| Page 31 of 38 |
PROXY VOTING RECORD
| SIBANYE GOLD LIMITED | |||
| Security | S7627H100 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 17-Jun-2014 | |
| ISIN | ZAE000173951 | Agenda | 705238207 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| O.1 | REAPPOINT KPMG INC AS AUDITORS OF THE COMPANY | Management | For | For | ||||||||
| O.2 | ELECT ZOLA SKWEYIYA AS DIRECTOR | Management | For | For | ||||||||
| O.3 | RE-ELECT SELLO MOLOKO AS DIRECTOR | Management | For | For | ||||||||
| O.4 | RE-ELECT NEAL FRONEMAN AS DIRECTOR | Management | For | For | ||||||||
| O.5 | RE-ELECT CHARL KEYTER AS DIRECTOR | Management | For | For | ||||||||
| O.6 | RE-ELECT KEITH RAYNER AS DIRECTOR | Management | For | For | ||||||||
| O.7 | RE-ELECT KEITH RAYNER AS CHAIRMAN OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.8 | RE-ELECT RICK MENELL AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.9 | RE-ELECT NKOSEMNTU NIKA AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.10 | RE-ELECT SUSAN VAN DER MERWE AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.11 | PLACE AUTHORISED BUT UNISSUED SHARES UNDER CONTROL OF DIRECTORS | Management | For | For | ||||||||
| 1 | APPROVE REMUNERATION POLICY | Management | For | For | ||||||||
| S.1 | APPROVE REMUNERATION OF NON- EXECUTIVE DIRECTORS | Management | For | For | ||||||||
| S.2 | APPROVE FINANCIAL ASSISTANCE TO RELATED OR INTER-RELATED COMPANY OR CORPORATION | Management | For | For | ||||||||
| S.3 | AUTHORISE REPURCHASE OF UP TO 20 PERCENT OF ISSUED SHARE CAPITAL | Management | For | For | ||||||||
| CMMT | 01 MAY 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION TO TEXT O-F RESOLUTION O.11. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE-AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
| Page 32 of 38 |
PROXY VOTING RECORD
| SILVER LAKE RESOURCES LTD, PERTH | |||
| Security | Q85014100 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 04-Oct-2013 | |
| ISIN | AU000000SLR6 | Agenda | 704726895 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 1 TO 9 AND VOTES CAST-BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE-PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT YOU SHOULD NOT VOTE (OR VOTE-“ABSTAIN”) ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU ACKNOWLEDGE THAT-YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE- RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON PROPOSAL (1 TO 9), YOU- ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT NEITHER EXPECT TO OBTAIN-BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S AND YOU COMPLY WITH THE-VOTING EXCLUSION. | Non-Voting | ||||||||||
| 1 | Ratification of issue of Shares - Underwritten Placement | Management | For | For | ||||||||
| 2 | Participation of a Director in Additional Placement - Paul Chapman | Management | For | For | ||||||||
| 3 | Participation of a Director in Additional Placement - Leslie Davis | Management | For | For | ||||||||
| 4 | Participation of a Director in Additional Placement - Brian Kennedy | Management | For | For | ||||||||
| 5 | Participation of a Director in Additional Placement - David Griffiths | Management | For | For | ||||||||
| 6 | Participation of a Director in Additional Placement - Christopher Banasik | Management | For | For | ||||||||
| 7 | Participation of a Director in Additional Placement - Peter Johnston | Management | For | For | ||||||||
| 8 | Proposed Issue of Shares - Placement of Share Purchase Plan shortfall | Management | For | For | ||||||||
| 9 | Ratification of issue of Shares | Management | For | For |
| Page 33 of 38 |
PROXY VOTING RECORD
| SILVER LAKE RESOURCES LTD, PERTH | |||
| Security | Q85014100 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 15-Nov-2013 | |
| ISIN | AU000000SLR6 | Agenda | 704781207 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 1, 5 AND VOTES CAST BY-ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE-PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT YOU SHOULD NOT VOTE (OR VOTE-“ABSTAIN”) ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU ACKNOWLEDGE THAT-YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE- RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON PROPOSALS (1 AND 5), YOU-ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT NEITHER EXPECT TO OBTAIN-BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S AND YOU COMPLY WITH THE-VOTING EXCLUSION. | Non-Voting | ||||||||||
| 1 | Non Binding Resolution to adopt Remuneration Report | Management | For | For | ||||||||
| 2 | Re-election of Mr Peter Johnston as a Director | Management | For | For | ||||||||
| 3 | Re-election of Mr Christoper Banasik as a Director | Management | For | For | ||||||||
| 4 | Election of Mr Luke Tonkin as a Director | Management | For | For | ||||||||
| 5 | Grant of Incentive Options to Mr Luke Tonkin | Management | For | For |
| Page 34 of 38 |
PROXY VOTING RECORD
| STORNOWAY DIAMOND CORPORATION | |||
| Security | 86222Q806 | Meeting Type | Annual |
| Ticker Symbol | SWYDF | Meeting Date | 23-Oct-2013 |
| ISIN | CA86222Q8065 | Agenda | 933881218 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | BLOUIN, MICHEL | For | For | ||||||||||
| 2 | GODIN, PATRICK | For | For | ||||||||||
| 3 | HARVEY, YVES | For | For | ||||||||||
| 4 | KYLE, HUME | For | For | ||||||||||
| 5 | LEBOUTILLIER, JOHN | For | For | ||||||||||
| 6 | MANSON, MATTHEW | For | For | ||||||||||
| 7 | MERCIER, MONIQUE | For | For | ||||||||||
| 8 | NIXON, PETER | For | For | ||||||||||
| 9 | SCHERKUS, EBE | For | For | ||||||||||
| 10 | VÉZINA, SERGE | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS, LLP, CHARTERED ACCOUNTANTS AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| Page 35 of 38 |
PROXY VOTING RECORD
| STORNOWAY DIAMOND CORPORATION | |||
| Security | 86222Q806 | Meeting Type | Special |
| Ticker Symbol | SWYDF | Meeting Date | 26-Jun-2014 |
| ISIN | CA86222Q8065 | Agenda | 934042449 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
||||||||
| 01 | TO APPROVE AN ORDINARY RESOLUTION, WITH OR WITHOUT AMENDMENT, THE FULL TEXT OF WHICH IS SET FORTH IN SCHEDULE A TO THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR, AUTHORIZING A SERIES OF TRANSACTIONS, INCLUDING A SENIOR SECURED LOAN AND VARIOUS PRIVATE PLACEMENTS OF SECURITIES OF THE CORPORATION, WITH WHOLLY-OWNED SUBSIDIARIES OF INVESTISSEMENT QUÉBEC, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | ||||||||
| 02 | TO APPROVE AN ORDINARY RESOLUTION, WITH OR WITHOUT AMENDMENT, THE FULL TEXT OF WHICH IS SET FORTH IN SCHEDULE A TO THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR, AUTHORIZING THE ISSUANCE BY PRIVATE PLACEMENT TO VARIOUS PARTIES TO THE FINANCING TRANSACTIONS DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR, OF COMMON SHARES OF THE CORPORATION AND SECURITIES CONVERTIBLE INTO, OR EXERCISABLE FOR, COMMON SHARES OF THE CORPORATION, THE WHOLE AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | ||||||||
| 03 | TO APPROVE A SPECIAL RESOLUTION, WITH OR WITHOUT AMENDMENT, THE FULL TEXT OF WHICH IS SET FORTH IN SCHEDULE A TO THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR, AUTHORIZING AN AMENDMENT TO THE ARTICLES OF CONTINUANCE OF THE CORPORATION IN ACCORDANCE WITH SUBSECTION 173(G) OF THE CANADA BUSINESS CORPORATIONS ACT IN ORDER TO CANCEL AND REPEAL THE CORPORATION’S NON-VOTING CONVERTIBLE SHARES, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For |
| Page 36 of 38 |
PROXY VOTING RECORD
| TAHOE RESOURCES INC. | |||
| Security | 873868103 | Meeting Type | Annual |
| Ticker Symbol | TAHO | Meeting Date | 08-May-2014 |
| ISIN | CA8738681037 | Agenda | 933970659 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | LORNE B. ANDERSON | For | For | ||||||||||
| 2 | JOHN P. BELL | For | For | ||||||||||
| 3 | TANYA M. JAKUSCONEK | Withheld | Against | ||||||||||
| 4 | C. KEVIN MCARTHUR | For | For | ||||||||||
| 5 | A. DAN ROVIG | For | For | ||||||||||
| 6 | PAUL B. SWEENEY | For | For | ||||||||||
| 7 | JAMES S. VOORHEES | For | For | ||||||||||
| 8 | KENNETH F. WILLIAMSON | For | For | ||||||||||
| 02 | APPOINTMENT OF DELOITTE LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR. | Management | For | For | |||||||||
| 03 | TO APPROVE AN ORDINARY RESOLUTION APPROVING THE CONTINUATION AND AMENDMENT AND RESTATEMENT OF THE COMPANY’S SHAREHOLDER RIGHTS PLAN, AS MORE PARTICULARLY DESCRIBED IN THE INFORMATION CIRCULAR FOR THE MEETING. | Management | For | For | |||||||||
| Page 37 of 38 |
PROXY VOTING RECORD
| TOREX GOLD RESOURCES INC. | |||
| Security | 891054108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | TORXF | Meeting Date | 26-Jun-2014 |
| ISIN | CA8910541082 | Agenda | 934035824 - Management |
| Item | Proposal | Type | Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | FRED STANFORD | For | For | ||||||||||
| 2 | MICHAEL MURPHY | For | For | ||||||||||
| 3 | A. TERRANCE MACGIBBON | For | For | ||||||||||
| 4 | DAVID FENNELL | Withheld | Against | ||||||||||
| 5 | ANDREW ADAMS | For | For | ||||||||||
| 6 | FRANK DAVIS | For | For | ||||||||||
| 7 | JAMES CROMBIE | Withheld | Against | ||||||||||
| 02 | APPOINTMENT OF KPMG LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | TO CONSIDER, AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO RATIFY AND CONFIRM THE ADOPTION OF THE COMPANY’S SHAREHOLDER RIGHTS PLAN, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | |||||||||
| Page 38 of 38 |
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.
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ASA Gold and Precious Metals Limited |
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/s/ David J. Christensen |
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by |
David J. Christensen |
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President and Chief Executive Officer |
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(Principal Executive Officer) |
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Date: July 25, 2014 |
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