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, 2012 - June 30, 2013
PROXY VOTING RECORD
| Meeting Date Range: 01-Jul-2012 to 30-June-2013 | |||
| All accounts | |||
| AGNICO-EAGLE MINES LIMITED | |||
| Security | 008474108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | AEM | Meeting Date | 26-Apr-2013 |
| ISIN | CA0084741085 | Agenda | 933770035 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | LEANNE M. BAKER | For | For | ||||||||||
| 2 | DOUGLAS R. BEAUMONT | For | For | ||||||||||
| 3 | SEAN BOYD | For | For | ||||||||||
| 4 | MARTINE A. CELEJ | For | For | ||||||||||
| 5 | CLIFFORD J. DAVIS | For | For | ||||||||||
| 6 | ROBERT J. GEMMELL | For | For | ||||||||||
| 7 | BERNARD KRAFT | For | For | ||||||||||
| 8 | MEL LEIDERMAN | 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 STOCK OPTION PLAN. | Management | For | For | |||||||||
| 04 | A SPECIAL RESOLUTION APPROVING AN AMENDMENT TO THE COMPANY’S ARTICLES TO CHANGE THE COMPANY’S NAME. | Management | For | For | |||||||||
| 05 | AN ORDINARY RESOLUTION CONFIRMING AN AMENDMENT TO THE COMPANY’S BY-LAWS. | Management | For | For | |||||||||
| 06 | 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 | Special |
| Ticker Symbol | ALIAF | Meeting Date | 11-Jun-2013 |
| ISIN | CA0106791084 | Agenda | 933817718 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | TIMOTHY J. HADDON | For | For | ||||||||||
| 2 | DAVID F. QUINLIVAN | For | For | ||||||||||
| 3 | JAN A. CASTRO | For | For | ||||||||||
| 4 | STEPHANIE J. UNWIN | For | For | ||||||||||
| 5 | EDWARD C. DOWLING, JR. | For | For | ||||||||||
| 6 | ROHAN I. WILLIAMS | For | For | ||||||||||
| 7 | RICHARD P. GRAFF | For | For | ||||||||||
| 02 | TO APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITORS AND TO AUTHORIZE THE DIRECTORS TO FIX THE REMUNERATION TO BE PAID TO THEM: | Management | For | For | |||||||||
| 03 | THE RESOLUTION RATIFYING, CONFIRMING AND APPROVING THE ADOPTION OF THE AMENDED AND RESTATED SHAREHOLDER RIGHTS PLAN AGREEMENT, A COPY OF WHICH IS SET FORTH IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR OF THE CORPORATION. | Management | For | For | |||||||||
Page 2 of 38 |
PROXY VOTING RECORD
| ANGLO AMERICAN PLATINUM LIMITED, JOHANNESBURG |
| Security | S9122P108 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 26-Apr-2013 | |
| ISIN | ZAE000013181 | Agenda | 704315034 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1.O.1 | Accept financial statements and statutory reports for the year ended 31 December 2012 | Management | For | For | ||||||||
| 2O2.1 | Re-elect Brian Beamish as director | Management | Against | Against | ||||||||
| 2O2.2 | Re-elect Valli Moosa as director | Management | Against | Against | ||||||||
| 2O2.3 | Re-elect Wendy Lucas-Bull as director | Management | Against | Against | ||||||||
| 2O2.4 | Elect Chris Griffith as director | Management | Against | Against | ||||||||
| 2O2.5 | Elect Khanyisile Kweyama as director | Management | Against | Against | ||||||||
| 2O2.6 | Elect John Vice as director | Management | Against | Against | ||||||||
| 3O3.1 | Re-elect Richard Dunne as chairman of the audit committee | Management | Against | Against | ||||||||
| 3O3.2 | Elect Valli Moosa as member of the audit committee | Management | Against | Against | ||||||||
| 3O3.3 | Elect John Vice as Member of the Audit Committee | Management | Against | Against | ||||||||
| 4.O.4 | Reappoint Deloitte & Touche as auditors of the company and James Welch as the designated audit partner | Management | For | For | ||||||||
| 5.O.5 | Approve remuneration policy | Management | Against | Against | ||||||||
| 6.O.6 | Place authorised but unissued shares under control of directors | Management | Against | Against | ||||||||
| 1.S.1 | Adopt new memorandum of incorporation | Management | For | For | ||||||||
| 2S2.a | Approve non-executive directors’ fees | Management | Against | Against | ||||||||
| 2S2.b | Approve additional special board fee | Management | Against | Against | ||||||||
| 3.S.3 | Authorise repurchase of up to 10 percent of issued share capital | Management | For | For | ||||||||
| 4.S.4 | Approve financial assistance to related or inter-related parties | Management | Against | Against | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING OF RESOLUTIONS.-IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM-UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Page 3 of 38 |
PROXY VOTING RECORD
| ANGLO AMERICAN PLC, LONDON | |||
| Security | G03764134 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 19-Apr-2013 | |
| ISIN | GB00B1XZS820 | Agenda | 704325958 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1 | To receive the financial statements of the Company and the Group and the reports of the directors and auditors for the year ended 31 December 2012 | Management | For | For | ||||||||
| 2 | To declare a final dividend of 53 US cents per ordinary share, payable on 25 April 2013 to those shareholders registered at the close of business on 22 March 2013 | Management | For | For | ||||||||
| 3 | To elect Mark Cutifani as a director of the Company | Management | For | For | ||||||||
| 4 | To elect Byron Grote as a director of the Company | Management | For | For | ||||||||
| 5 | To elect Anne Stevens as a director of the Company | Management | For | For | ||||||||
| 6 | To re-elect David Challen as a director of the Company | Management | For | For | ||||||||
| 7 | To re-elect Sir CK Chow 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 O’Rourke 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 Jack Thompson as a director of the Company | Management | For | For | ||||||||
| 14 | To re-appoint Deloitte LLP as auditors of the Company for the ensuing year | Management | For | For | ||||||||
| 15 | To authorise the directors to determine the remuneration of the auditors | Management | For | For | ||||||||
| 16 | To approve the directors’ remuneration report for the year ended 31 December 2012 set out in the Annual Report | Management | For | For | ||||||||
| 17 | To resolve that the authority conferred on the directors by Article 9.2 of the Company’s Articles of Association be renewed for the period ending at the conclusion of the Annual General Meeting in 2014 or on 30 June 2014, whichever is the earlier, and for such period the Section 551 Amount shall be USD 76.4 million. Such authority shall be in substitution for all previous authorities pursuant to Section 551 of the Companies Act 2006 | Management | For | For | ||||||||
| 18 | To resolve that subject to the passing of Resolution 17 above, the power conferred on the directors by Article 9.3 of the Company’s Articles of Association be renewed for the period referred to in Resolution 17 and for such period the Section 561 Amount shall be USD 38.2 million. Such authority shall be in substitution for all previous powers pursuant to Section 561 of the Companies Act 2006 | Management | For | For | ||||||||
| 19 | To resolve that the Company be and is generally and unconditionally authorised for the purpose of Section 701 of the Companies Act 2006 to make market purchases (within the meaning of Section693 of the Companies Act 2006) of ordinary shares of 54 86/91 US cents each in the capital of the Company provided that: a) the maximum number of ordinary shares of 54 86/91 US cents each in the capital of the Company authorised to be acquired is 208.5 million) b) the minimum price which may be paid for an ordinary share is 54 86/91 US cents, which amount shall be exclusive of expenses; c) the maximum price which may be paid for an ordinary share is an amount (exclusive of expenses) equal to the higher of 105% of the average of the middle market quotation for an ordinary share, as derived from the London Stock Exchange Daily Official CONTD | Management | For | For | ||||||||
| CONT | CONTD List, for the five business days immediately preceding the day on which-such ordinary share is contracted to be purchased and the highest current bid-as stipulated by Article 5(1) of the Buy-back and Stabilisation Regulations-2003; and d) the authority hereby conferred shall expire at the conclusion of-the Annual General Meeting of the Company to be held in 2014 (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) unless such authority is renewed prior to-such time | Non-Voting | ||||||||||
| 20 | That a general meeting other than an annual general meeting may be called on not less than 14 clear days’ notice | Management | For | For | ||||||||
| PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN RESOLUTION 19. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Page 4 of 38 |
PROXY VOTING RECORD
| ANGLOGOLD ASHANTI LTD, JOHANNESBURG |
| Security | S04255196 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 11-Mar-2013 | |
| ISIN | ZAE000043485 | Agenda | 704277513 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1 | Resolved as an ordinary resolution that the amendments to the Rules of the AngloGold Ashanti Limited Long Term Incentive Plan 2005, as reflected in the conformed copy thereof tabled at the general meeting and initialled by the Chairman of such meeting for the purposes of identification, be and they are hereby approved | Management | For | For | ||||||||
| 2 | Resolved as an ordinary resolution that the amendments to the Rules of the AngloGold Ashanti Limited Bonus Share Plan 2005, as reflected in the conformed copy thereof tabled at the general meeting and initialled by the Chairman of such meeting for the purposes of identification, be and they are hereby approved | Management | For | For | ||||||||
| 3 | Resolved as an ordinary resolution, that any director or the Group General Counsel and Company Secretary of the Company be and is hereby authorised to execute all documentation to do all such further acts and things as may be necessary to give effect to ordinary resolutions 1 and 2 | Management | For | For |
Page 5 of 38 |
PROXY VOTING RECORD
| ANGLOGOLD ASHANTI LTD, JOHANNESBURG | |||
| Security | S04255196 | Meeting Type | ExtraOrdinary General Meeting |
| Ticker Symbol | Meeting Date | 27-Mar-2013 | |
| ISIN | ZAE000043485 | Agenda | 704293973 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| S.1 | Approval of a new Memorandum of Incorporation for AngloGold Ashanti Limited | Management | For | For | ||||||||
| O.1 | Authority to directors and Company Secretary to implement Special Resolution Number 1 | 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 | 13-May-2013 | |
| ISIN | ZAE000043485 | Agenda | 704410315 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1.O.1 | Re-appointment of Ernst & Young Inc. as auditors of the company | Management | For | For | ||||||||
| 2.O.2 | Election of Mr MJ Kirkwood as a director | Management | For | For | ||||||||
| 3.O.3 | Election of Mr AM O’Neill as a director | Management | For | For | ||||||||
| 4.O.4 | Re-election of Mr S Venkatakrishnan as a director | Management | For | For | ||||||||
| 5.O.5 | Appointment of Prof LW Nkuhlu as a member of the audit and corporate governance committee of the company | Management | For | For | ||||||||
| 6.O.6 | Appointment of Mr MJ Kirkwood as a member of the audit and corporate governance committee of the company | Management | For | For | ||||||||
| 7.O.7 | Appointment of Mr R Gasant as a member of the audit and corporate governance committee of the company | Management | For | For | ||||||||
| 8.O.8 | Appointment of Ms NP January-Bardill as a member of the audit and corporate governance committee of the company | Management | For | For | ||||||||
| 9.O.9 | General Authority to directors to allot and issue ordinary shares | Management | For | For | ||||||||
| 10O10 | General Authority to directors to issue for cash, those ordinary shares placed under the control of the directors in terms of ordinary resolution number 9 | Management | For | For | ||||||||
| 11O11 | Non-Binding Advisory Endorsement: Endorsement of the AngloGold Ashanti remuneration policy | Management | For | For | ||||||||
| 12.S1 | Increase in non-executive directors’ fees | Management | Against | Against | ||||||||
| 13.S2 | Increase in non-executive directors’ committee fees | Management | Against | Against | ||||||||
| 14.S3 | Acquisition of company’s shares | Management | For | For | ||||||||
| 15.S4 | Approval to grant financial assistance in terms of sections 44 and 45 of the Companies Act | Management | For | For |
Page 7 of 38 |
PROXY VOTING RECORD
| B2GOLD CORP. | |||
| Security | 11777Q209 | Meeting Type | Annual |
| Ticker Symbol | BGLPF | Meeting Date | 14-Jun-2013 |
| ISIN | CA11777Q2099 | Agenda | 933831237 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | TO SET THE NUMBER OF DIRECTORS AT 8. | 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 | ||||||||||
| 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 | |||||||||
Page 8 of 38 |
PROXY VOTING RECORD
| BARRICK GOLD CORPORATION | |||
| Security | 067901108 | Meeting Type | Annual |
| Ticker Symbol | ABX | Meeting Date | 24-Apr-2013 |
| ISIN | CA0679011084 | Agenda | 933755451 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | H.L. BECK | Withheld | Against | ||||||||||
| 2 | C.W.D. BIRCHALL | Withheld | Against | ||||||||||
| 3 | D.J. CARTY | For | For | ||||||||||
| 4 | G. CISNEROS | For | For | ||||||||||
| 5 | R.M. FRANKLIN | For | For | ||||||||||
| 6 | J.B. HARVEY | For | For | ||||||||||
| 7 | D. MOYO | Withheld | Against | ||||||||||
| 8 | B. MULRONEY | Withheld | Against | ||||||||||
| 9 | A. MUNK | Withheld | Against | ||||||||||
| 10 | P. MUNK | Withheld | Against | ||||||||||
| 11 | S.J. SHAPIRO | For | For | ||||||||||
| 12 | J.C. SOKALSKY | For | For | ||||||||||
| 13 | J.L. THORNTON | Withheld | Against | ||||||||||
| 02 | RESOLUTION APPROVING THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE AUDITORS OF BARRICK AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | Withheld | Against | |||||||||
| 03 | ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION APPROACH. | Management | Against | Against | |||||||||
Page 9 of 38 |
PROXY VOTING RECORD
| BELO SUN MINING CORP. | |||
| Security | 080558109 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | VNNHF | Meeting Date | 22-May-2013 |
| ISIN | CA0805581091 | Agenda | 933816259 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | STAN BHARTI | Withheld | Against | ||||||||||
| 2 | HELIO DINIZ | Withheld | Against | ||||||||||
| 3 | MARK EATON | For | For | ||||||||||
| 4 | CLAY HOES | Withheld | Against | ||||||||||
| 5 | C. JAY HODGSON | Withheld | Against | ||||||||||
| 6 | RUI SANTOS | Withheld | Against | ||||||||||
| 7 | CATHERINE STRETCH | Withheld | Against | ||||||||||
| 8 | PETER TAGLIAMONTE | Withheld | Against | ||||||||||
| 02 | THE APPOINTMENT OF COLLINS BARROW LLP AS AUDITORS OF THE CORPORATION AND TO AUTHORIZE THE BOARD OF DIRECTORS TO FIX THEIR REMUNERATION; | Management | Withheld | Against | |||||||||
| 03 | THE RESOLUTION RATIFYING, CONFIRMING AND APPROVING THE COPORATION’S BY-LAW AMENDMENT PROVIDING FOR AN ADVANCED NOTICE POLICY. | Management | Against | Against | |||||||||
Page 10 of 38 |
PROXY VOTING RECORD
| CENTERRA GOLD INC. | |||
| Security | 152006102 | Meeting Type | Annual |
| Ticker Symbol | CAGDF | Meeting Date | 10-May-2013 |
| ISIN | CA1520061021 | Agenda | 933793730 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | IAN ATKINSON | For | For | ||||||||||
| 2 | RICHARD W. CONNOR | For | For | ||||||||||
| 3 | RAPHAEL A. GIRARD | For | For | ||||||||||
| 4 | KARYBEK U. IBRAEV | For | For | ||||||||||
| 5 | STEPHEN A. LANG | For | For | ||||||||||
| 6 | JOHN W. LILL | For | For | ||||||||||
| 7 | AMANGELDY M. MURALIEV | For | For | ||||||||||
| 8 | SHERYL K. PRESSLER | For | For | ||||||||||
| 9 | TERRY V. ROGERS | For | For | ||||||||||
| 10 | 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 | |||||||||
Page 11 of 38 |
PROXY VOTING RECORD
| CGA MINING LIMITED | |||
| Security | Q22628103 | Meeting Type | Annual |
| Ticker Symbol | CGAFF | Meeting Date | 28-Nov-2012 |
| ISIN | AU000000CGX8 | Agenda | 933703058 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 01 | RE-ELECTION OF JUSTINE MAGEE AS A DIRECTOR | Management | For | For | ||||||||
| 02 | RE-ELECTION OF ROBERT SCOTT AS A DIRECTOR | Management | For | For | ||||||||
| 03 | RE-ELECTION OF PHIL LOCKYER AS A DIRECTOR | Management | For | For | ||||||||
| 04 | TO CONSIDER, AND IF THOUGHT FIT, APPROVE THE PLAN BY ORDINARY RESOLUTION | Management | Against | Against | ||||||||
| 05 | TO CONSIDER, AND IF THOUGHT FIT, ADOPT THE REMUNERATION REPORT FOR THE YEAR ENDED JUNE 30, 2012. | Management | For | For |
Page 12 of 38 |
PROXY VOTING RECORD
| CGA MINING LIMITED | |||
| Security | Q22628103 | Meeting Type | Special |
| Ticker Symbol | CGAFF | Meeting Date | 24-Dec-2012 |
| ISIN | AU000000CGX8 | Agenda | 933714847 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 01 | APPROVAL OF SCHEME RESOLUTION. | Management | For | For |
Page 13 of 38 |
PROXY VOTING RECORD
| COMPANIA DE MINAS BUENAVENTURA S.A. | |||
| Security | 204448104 | Meeting Type | Annual |
| Ticker Symbol | BVN | Meeting Date | 26-Mar-2013 |
| ISIN | US2044481040 | Agenda | 933742505 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1. | TO APPROVE THE COMPANY’S ANNUAL REPORT AS OF DECEMBER, 31, 2012. A PRELIMINARY SPANISH VERSION OF THE ANNUAL REPORT WILL BE AVAILABLE ON THE COMPANY’S WEB SITE AT HTTP://WWW.BUENAVENTURA.COM/IR/. | Management | For | |||||||||
| 2. | TO APPROVE THE COMPANY’S FINANCIAL STATEMENTS AS OF DECEMBER, 31, 2012, WHICH WERE PUBLICLY REPORTED IN THE COMPANY’S EARNINGS RELEASE FOR THE FOURTH QUARTER OF 2012 AND ARE AVAILABLE ON THE COMPANY’S WEB SITE AT HTTP://WWW.BUENAVENTURA.COM/IR/. | Management | For | |||||||||
| 3. | TO APPROVE THE PAYMENT OF A CASH DIVIDEND ACCORDING TO THE COMPANY’S DIVIDEND POLICY. | Management | For | |||||||||
| 4. | TO APPOINT ERNST AND YOUNG (MEDINA, ZALDIVAR, PAREDES Y ASOCIADOS) AS INDEPENDENT AUDITORS FOR FISCAL YEAR 2013. | Management | For | |||||||||
| 5. | TO APPROVE THE MERGER OF COMPANIA DE EXPLORACIONES, DESARROLLO E INVERSIONES MINERAS S.A.C. (A WHOLLY-OWNED SUBSIDIARY OF THE COMPANY) WITH AND INTO THE COMPANY, WITH THE COMPANY AS THE SURVIVING ENTITY OF THE MERGER. | Management | For | |||||||||
| 6. | TO APPROVE THE MERGER OF INVERSIONES COLQUIJIRCA S.A. (A WHOLLY-OWNED SUBSIDIARY OF THE COMPANY) WITH AND INTO THE COMPANY, WITH THE COMPANY AS THE SURVIVING ENTITY OF THE MERGER. | Management | For |
Page 14 of 38 |
PROXY VOTING RECORD
| COMPANIA DE MINAS BUENAVENTURA S.A. | |||
| Security | 204448104 | Meeting Type | Annual |
| Ticker Symbol | BVN | Meeting Date | 26-Mar-2013 |
| ISIN | US2044481040 | Agenda | 933749371 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1. | TO APPROVE THE COMPANY’S ANNUAL REPORT AS OF DECEMBER, 31, 2012. A PRELIMINARY SPANISH VERSION OF THE ANNUAL REPORT WILL BE AVAILABLE ON THE COMPANY’S WEB SITE AT HTTP://WWW.BUENAVENTURA.COM/IR/. | Management | For | |||||||||
| 2. | TO APPROVE THE COMPANY’S FINANCIAL STATEMENTS AS OF DECEMBER, 31, 2012, WHICH WERE PUBLICLY REPORTED IN THE COMPANY’S EARNINGS RELEASE FOR THE FOURTH QUARTER OF 2012 AND ARE AVAILABLE ON THE COMPANY’S WEB SITE AT HTTP://WWW.BUENAVENTURA.COM/IR/. | Management | For | |||||||||
| 3. | TO APPROVE THE PAYMENT OF A CASH DIVIDEND ACCORDING TO THE COMPANY’S DIVIDEND POLICY. | Management | For | |||||||||
| 4. | TO APPOINT ERNST AND YOUNG (MEDINA, ZALDIVAR, PAREDES Y ASOCIADOS) AS INDEPENDENT AUDITORS FOR FISCAL YEAR 2013. | Management | For | |||||||||
| 5. | TO APPROVE THE MERGER OF COMPANIA DE EXPLORACIONES, DESARROLLO E INVERSIONES MINERAS S.A.C. (A WHOLLY-OWNED SUBSIDIARY OF THE COMPANY) WITH AND INTO THE COMPANY, WITH THE COMPANY AS THE SURVIVING ENTITY OF THE MERGER. | Management | For | |||||||||
| 6. | TO APPROVE THE MERGER OF INVERSIONES COLQUIJIRCA S.A. (A WHOLLY-OWNED SUBSIDIARY OF THE COMPANY) WITH AND INTO THE COMPANY, WITH THE COMPANY AS THE SURVIVING ENTITY OF THE MERGER. | Management | For |
Page 15 of 38 |
PROXY VOTING RECORD
| COMPANIA DE MINAS BUENAVENTURA S.A. |
| Security | 204448104 | Meeting Type | Special |
| Ticker Symbol | BVN | Meeting Date | 07-Jun-2013 |
| ISIN | US2044481040 | Agenda | 933840565 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1. | APPROVE THE COMPANY’S FINANCING OPERATIONS, INCLUDING BUT NOT LIMITED TO THE PLACEMENT AND ISSUANCE OF OBLIGATIONS, THE OBTAINMENT OF LOANS AND CREDIT FACILITIES AND/OR THE INCURRENCE OF INDEBTEDNESS, AS WELL AS THE DELEGATION OF POWER TO THE BOARD TO APPROVE ALL AGREEMENTS, INDENTURES, AMENDMENTS, SUPPLEMENTS, NOTES, INSTRUMENTS AND OTHER DOCUMENTS DEEMED NECESSARY. | Management | For |
Page 16 of 38 |
PROXY VOTING RECORD
| DETOUR GOLD CORPORATION | |||
| Security | 250669108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | DRGDF | Meeting Date | 09-May-2013 |
| ISIN | CA2506691088 | Agenda | 933790544 - 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 | ALEX G. MORRISON | For | For | ||||||||||
| 8 | GERALD S. PANNETON | For | For | ||||||||||
| 9 | JONATHAN RUBENSTEIN | For | For | ||||||||||
| 10 | GRAHAM WOZNIAK | For | For | ||||||||||
| 02 | APPOINT KPMG LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZE THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | |||||||||
| 03 | RATIFY THE CORPORATION’S AMENDED AND RESTATED BY-LAWS | Management | For | For | |||||||||
| 04 | APPROVE AN AMENDMENT TO THE CORPORATION’S ARTICLES TO INCREASE THE MAXIMUM NUMBER OF DIRECTORS OF THE CORPORATION FROM 10 TO 16 | Management | Against | Against | |||||||||
| 05 | APPROVE THE CORPORATION’S AMENDED AND RESTATED SHARE OPTION PLAN. | Management | For | For | |||||||||
Page 17 of 38 |
PROXY VOTING RECORD
| ELDORADO GOLD CORPORATION | |||
| Security | 284902103 | Meeting Type | Annual |
| Ticker Symbol | EGO | Meeting Date | 02-May-2013 |
| ISIN | CA2849021035 | Agenda | 933773497 - 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 | WAYNE D. LENTON | For | For | ||||||||||
| 5 | MICHAEL A. PRICE | For | For | ||||||||||
| 6 | STEVEN P. REID | For | For | ||||||||||
| 7 | JONATHAN A. RUBENSTEIN | For | For | ||||||||||
| 8 | DONALD M. SHUMKA | For | For | ||||||||||
| 9 | PAUL N. WRIGHT | For | For | ||||||||||
| 02 | APPOINT KPMG LLP AS THE INDEPENDENT AUDITOR (SEE PAGE 18 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 18 OF THE MANAGEMENT PROXY CIRCULAR). | Management | For | For | |||||||||
Page 18 of 38 |
PROXY VOTING RECORD
| FRANCO-NEVADA CORPORATION | |||
| Security | 351858105 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | FNV | Meeting Date | 08-May-2013 |
| ISIN | CA3518581051 | Agenda | 933781064 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | PIERRE LASSONDE | For | For | ||||||||||
| 2 | DAVID HARQUAIL | For | For | ||||||||||
| 3 | DEREK W. EVANS | For | For | ||||||||||
| 4 | GRAHAM FARQUHARSON | For | For | ||||||||||
| 5 | LOUIS GIGNAC | For | For | ||||||||||
| 6 | RANDALL OLIPHANT | For | For | ||||||||||
| 7 | 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 19 of 38 |
PROXY VOTING RECORD
| GOLD FIELDS LTD, JOHANNESBURG | |||
| Security | S31755101 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 09-May-2013 | |
| ISIN | ZAE000018123 | Agenda | 704436523 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 180746 DUE TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. | Non-Voting | ||||||||||
| O.1 | Re-appointment of auditors: KPMG Inc. | Management | For | For | ||||||||
| O.2 | Re-election of a director: DN Murray | Management | For | For | ||||||||
| O.3 | Re-election of a director: DMJ Ncube | Management | For | For | ||||||||
| O.4 | Re-election of a director: RL Pennant-Rea | Management | For | For | ||||||||
| O.5 | Re-election of a director: GM Wilson | Management | For | For | ||||||||
| O.6 | Re-election of a member and Chair of the Audit Committee: GM Wilson | Management | For | For | ||||||||
| O.7 | Re-election of a member of the Audit Committee: RP Menell | Management | For | For | ||||||||
| O.8 | Re-election of a member of the Audit Committee: DMJ Ncube | Management | For | For | ||||||||
| O.9 | Re-election of a member of the Audit Committee: RL Pennant-Rea | Management | For | For | ||||||||
| O.10 | Approval for the issue of authorised but unissued ordinary shares | Management | For | For | ||||||||
| O.11 | Approval for the issuing of equity securities for cash | Management | For | For | ||||||||
| 1 | Advisory endorsement of remuneration policy | Management | For | For | ||||||||
| S.1 | Approval of the remuneration of non-executive directors | Management | For | For | ||||||||
| S.2 | Approval for the Company to grant financial assistance in terms of section 44 and 45 of the Act | Management | For | For | ||||||||
| S.3 | Approval of amendment to the existing MOI: deletion of existing clause 1.2.14 and insertion of new clause 1.2.14 | Management | For | For | ||||||||
| S.4 | Approval of amendment to the existing MOI: deletion of existing clause 1.2.16 and insertion of new clause 1.2.16 | Management | For | For | ||||||||
| S.5 | Approval of amendments to the existing MOI: amendment of clauses 5.6, 5.7 and 5.8 | Management | For | For | ||||||||
| S.6 | Approval of amendment to the existing MOI: deletion of existing clause 7.5 and insertion of new clause 7.5 | Management | For | For | ||||||||
| S.7 | Approval of amendment to the existing MOI: deletion of existing clause 8 and insertion of new clause 8 | Management | For | For | ||||||||
| S.8 | Approval of amendment to the existing MOI: insertion of further wording at the end of clause 11.1 | Management | For | For | ||||||||
| S.9 | Approval of amendment to the existing MOI: deletion of existing clause 14.5 and insertion of new clause 14.5 | Management | For | For | ||||||||
| S.10 | Approval of amendment to the existing MOI: amendment of existing clause 18.28 | Management | For | For | ||||||||
| S.11 | Approval of amendment to the existing MOI: insertion of new clause 18.35 | Management | For | For | ||||||||
| S.12 | Approval of amendment to the existing MOI: deletion of existing clause 20.9 and replacement with a new clause 20.9 | Management | For | For | ||||||||
| S.13 | Approval of amendment to the existing MOI: deletion of existing clause 24 and replacement with a new clause 24 | Management | For | For | ||||||||
| S.14 | Approval of amendment to the existing MOI: deletion of existing clause 32 and replacement with a new clause 32 | Management | For | For | ||||||||
| S.15 | Approval of amendment to the existing MOI: amendment of Schedule 1 | Management | For | For | ||||||||
| S.16 | Acquisition of the Company’s own shares | Management | For | For |
Page 20 of 38 |
PROXY VOTING RECORD
| GOLDCORP INC. | |||
| Security | 380956409 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | GG | Meeting Date | 02-May-2013 |
| ISIN | CA3809564097 | Agenda | 933770061 - 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 | P. RANDY REIFEL | For | For | ||||||||||
| 7 | A. DAN ROVIG | 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, INDEPENDENT REGISTERED 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 NON-BINDING ADVISORY RESOLUTION ACCEPTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
Page 21 of 38 |
PROXY VOTING RECORD
| HARMONY GOLD MINING CO LTD, JOHANNESBURG | |||
| Security | S34320101 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 28-Nov-2012 | |
| ISIN | ZAE000015228 | Agenda | 704144891 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1.O.1 | Re-elect Fikile De Buck as Director | Management | For | For | ||||||||
| 2.O.2 | Re-elect Simo Lushaba as Director | Management | For | For | ||||||||
| 3.O.3 | Re-elect Modise Motloba as Director | Management | For | For | ||||||||
| 4.O.4 | Re-elect Patrice Motsepe as Director | Management | For | For | ||||||||
| 5.O.5 | Re-elect Fikile De Buck as Member of the Audit Committee | Management | For | For | ||||||||
| 6.O.6 | Re-elect Simo Lushaba as Member of the Audit Committee | Management | For | For | ||||||||
| 7.O.7 | Re-elect Modise Motloba as Member of the Audit Committee | Management | For | For | ||||||||
| 8.O.8 | Re-elect John Wetton as Member of the Audit Committee | Management | For | For | ||||||||
| 9.O.9 | Reappoint PricewaterhouseCoopers Incorporated as Auditors of the Company | Management | For | For | ||||||||
| 10O10 | Approve Remuneration Policy | Management | For | For | ||||||||
| 11O11 | Authorise Directors to Allot and Issue up to 21,578,212 Authorised but Unissued Ordinary Shares | Management | For | For | ||||||||
| 12O12 | Amend the Broad-Based Employee Share Ownership Plan (ESOP) | Management | For | For | ||||||||
| 13.S1 | Approve Remuneration of Non Executive Directors | Management | For | For | ||||||||
| 14.S2 | Adopt New Memorandum of Incorporation | Management | For | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN THE NUMBERING OF THE RESO-LUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PRO-XY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Page 22 of 38 |
PROXY VOTING RECORD
| IAMGOLD CORPORATION | |||
| Security | 450913108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | IAG | Meeting Date | 21-May-2013 |
| ISIN | CA4509131088 | Agenda | 933807767 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | JOHN E. CALDWELL | For | For | ||||||||||
| 2 | DONALD K. CHARTER | For | For | ||||||||||
| 3 | W. ROBERT DENGLER | For | For | ||||||||||
| 4 | GUY G. DUFRESNE | For | For | ||||||||||
| 5 | RICHARD J. HALL | For | For | ||||||||||
| 6 | STEPHEN J.J. LETWIN | For | For | ||||||||||
| 7 | MAHENDRA NAIK | For | For | ||||||||||
| 8 | WILLIAM D. PUGLIESE | For | For | ||||||||||
| 9 | JOHN T. SHAW | For | For | ||||||||||
| 10 | TIMOTHY R. SNIDER | For | For | ||||||||||
| 02 | APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS, AS AUDITOR OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | RESOLVED, ON AN ADVISORY BASIS, AND NOT TO DIMINISH THE ROLE AND RESPONSIBILITIES OF THE BOARD OF DIRECTORS OF THE CORPORATION, THAT THE SHAREHOLDERS ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION DISCLOSED IN THE CORPORATION’S INFORMATION CIRCULAR DELIVERED IN ADVANCE OF THE 2013 ANNUAL AND SPECIAL MEETING OF SHAREHOLDERS. | Management | For | For | |||||||||
| 04 | RESOLVED THAT BY-LAW NUMBER TWO OF THE CORPORATION, IN THE FORM MADE BY THE BOARD OF DIRECTORS, BEING A BY-LAW TO AMEND BY-LAW NUMBER ONE OF THE CORPORATION, AND INCLUDED AS APPENDIX “C” TO THE CORPORATION’S INFORMATION CIRCULAR DELIVERED IN ADVANCE OF THE 2013 ANNUAL AND SPECIAL MEETING OF SHAREHOLDERS, IS HEREBY CONFIRMED. | Management | For | For | |||||||||
Page 23 of 38 |
PROXY VOTING RECORD
| IMPALA PLATINUM HOLDINGS LTD, ILLOVO | |||
| Security | S37840113 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 24-Oct-2012 | |
| ISIN | ZAE000083648 | Agenda | 704075844 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| O.1 | Adoption of annual financial statements | Management | For | For | ||||||||
| O.2 | Appointment of external auditors: PricewaterhouseCoopers Inc. | Management | For | For | ||||||||
| O.3.1 | Appointment of member of Audit Committee: HC Cameron - Chairman | Management | For | For | ||||||||
| O.3.2 | Appointment of member of Audit Committee: AA Maule | Management | For | For | ||||||||
| O.3.3 | Appointment of member of Audit Committee: B Ngonyama | Management | For | For | ||||||||
| O.4 | Endorsement of the Company’s Remuneration Policy | Management | For | For | ||||||||
| O.5.1 | Re-election of Director: AA Maule | Management | For | For | ||||||||
| O.5.2 | Re-election of Director: KDK Mokhele | Management | For | For | ||||||||
| O.5.3 | Re-election of Director: NDB Orleyn | Management | For | For | ||||||||
| O.6 | Control of unissued share capital | Management | For | For | ||||||||
| O.7 | Implats Long-term Incentive Plan 2012 | Management | For | For | ||||||||
| S.1 | Acquisition of Company’s shares by the Company or a subsidiary | Management | For | For | ||||||||
| S.2 | Directors’ remuneration | Management | For | For | ||||||||
| S.3 | Approval of a new Memorandum of Incorporation | Management | For | For |
Page 24 of 38 |
PROXY VOTING RECORD
| IMPALA PLATINUM HOLDINGS LTD, ILLOVO | |||
| Security | S37840113 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 07-May-2013 | |
| ISIN | ZAE000083648 | Agenda | 704397327 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1 | Authorise specific issue of ordinary shares to the holders of convertible bonds that have exercised their rights to convert their convertible bonds into ordinary shares | Management | For | For | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN MEETING TYPE. IF YOU HAVE-ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU D-ECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Page 25 of 38 |
PROXY VOTING RECORD
| KINROSS GOLD CORPORATION | |||
| Security | 496902404 | Meeting Type | Annual |
| Ticker Symbol | KGC | Meeting Date | 08-May-2013 |
| ISIN | CA4969024047 | Agenda | 933787030 - 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 | Withheld | Against | ||||||||||
| 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, AN ADVISORY RESOLUTION ON KINROSS’ APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
Page 26 of 38 |
PROXY VOTING RECORD
| NEWCREST MINING LIMITED - ADR | |||
| Security | 651191108 | Meeting Type | Annual |
| Ticker Symbol | NCMGY.PK | Meeting Date | 25-Oct-12 |
| ISIN | US6511911082 | 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 2012 | Management | Not Voted | For | ||||||||
| 2A. | TO ELECT AS A DIRECTOR MR. GERARD MICHAEL BOND | Management | Not Voted | For | ||||||||
| 2B. | TO RE-ELECT AS A DIRECTOR MR VINCE GAUCI | Management | Not Voted | For | ||||||||
| 3 | ADOPTION OF REMUNERATION REPORT (ADVISORY ONLY). | Management | Not Voted | For |
Page 27 of 38 |
PROXY VOTING RECORD
| NEWMONT MINING CORPORATION | |||
| Security | 651639106 | Meeting Type | Annual |
| Ticker Symbol | NEM | Meeting Date | 24-Apr-2013 |
| ISIN | US6516391066 | Agenda | 933744559 - 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 | ||||||||
| 1J. | ELECTION OF DIRECTOR: S.R. THOMPSON | Management | For | For | ||||||||
| 2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT AUDITORS FOR 2013. | Management | For | For | ||||||||
| 3. | ADVISORY RESOLUTION TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
| 4. | APPROVE THE 2013 STOCK INCENTIVE PLAN. | Management | For | For | ||||||||
| 5. | APPROVE THE PERFORMANCE PAY PLAN. | Management | For | For |
Page 28 of 38 |
PROXY VOTING RECORD
| NOVACOPPER INC. | |||
| Security | 66988K102 | Meeting Type | Annual |
| Ticker Symbol | NCQ | Meeting Date | 21-May-2013 |
| ISIN | CA66988K1021 | Agenda | 933786420 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1A. | ELECTION OF DIRECTOR: TONY S. GIARDINI | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: DR. THOMAS S. KAPLAN | Management | Abstain | Against | ||||||||
| 1C. | ELECTION OF DIRECTOR: TERRY KREPIAKEVICH | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: GREGORY A. LANG | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: IGOR LEVENTAL | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: KALIDAS V. MADHAVPEDDI | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: GERALD J. MCCONNELL | Management | For | For | ||||||||
| 1H. | ELECTION OF DIRECTOR: CLYNTON R. NAUMAN | Management | For | For | ||||||||
| 1I. | ELECTION OF DIRECTOR: JANICE STAIRS | Management | For | For | ||||||||
| 1J. | ELECTION OF DIRECTOR: WALTER SEGSWORTH | Management | For | For | ||||||||
| 1K. | ELECTION OF DIRECTOR: RICK VAN NIEUWENHUYSE | Management | For | For | ||||||||
| 2. | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. SEE “APPOINTMENT OF AUDITORS” AS SET OUT IN THE MANAGEMENT INFORMATION CIRCULAR DATED APRIL 8, 2013. | Management | For | For | ||||||||
| 3. | TO APPROVE THE RESTRICTED SHARE UNIT PLAN (“RSU PLAN”) AS A TREASURY-BASED PLAN, TO RESERVE COMMON SHARES FROM TREASURY FOR ISSUANCE UNDER THE RSU PLAN AND TO RATIFY ALL PRIOR ISSUANCES OF RSU’S UNDER THE RSU PLAN AS SET OUT IN APPENDIX “B” OF THE MANAGEMENT INFORMATION CIRCULAR DATED APRIL 8, 2013. | Management | For | For | ||||||||
| 4. | TO APPROVE THE DEFERRED SHARE UNIT PLAN (“DSU PLAN”) AS A TREASURY-BASED PLAN, TO RESERVE COMMON SHARES FROM TREASURY TO ISSUE THE DSU PLAN AND TO RATIFY ALL PRIOR ISSUANCES OF DSU’S UNDER THE DSU PLAN AS SET OUT IN APPENDIX “D” OF THE MANAGEMENT INFORMATION CIRCULAR DATED APRIL 8, 2013. | Management | For | For | ||||||||
| 5. | TO APPROVE, BY NON-BINDING VOTE, THE EXECUTIVE COMPENSATION, AS DISCLOSED UNDER THE HEADING “NON-BINDING ADVISORY VOTE ON EXECUTIVE COMPENSATION” IN THE COMPANY’S MANAGEMENT INFORMATION CIRCULAR DATED APRIL 8, 2013. | Management | For | For | ||||||||
| 6. | TO APPROVE, BY NON-BINDING VOTE, THE FREQUENCY OF NON-BINDING ADVISORY VOTE ON EXECUTIVE COMPENSATION VOTES. SEE “FREQUENCY OF NON-BINDING ADVISORY VOTE ON EXECUTIVE COMPENSATION” AS SET OUT IN THE MANAGEMENT INFORMATION CIRCULAR DATED APRIL 8, 2013. | Management | Abstain | Against |
Page 29 of 38 |
PROXY VOTING RECORD
| OSISKO MINING CORPORATION | |||
| Security | 688278100 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | OSKFF | Meeting Date | 09-May-2013 |
| ISIN | CA6882781009 | Agenda | 933788474 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | VICTOR H. BRADLEY | For | For | ||||||||||
| 2 | JOHN F. BURZYNSKI | For | For | ||||||||||
| 3 | MARCEL CÔTÉ | For | For | ||||||||||
| 4 | MICHELE 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 | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS AND AUTHORIZING DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | SPECIAL RESOLUTION TO APPLY FOR A CERTIFICATE OF AMENDMENT OF THE ARTICLES OF THE CORPORATION. | Management | For | For | |||||||||
| 04 | RESOLUTION - RATIFYING THE CONTINUED EXISTENCE OF THE SHAREHOLDER RIGHTS PLAN. | Management | For | For | |||||||||
| 05 | RESOLUTION - RATIFYING BY-LAW 2012-1 REGARDING AN ADVANCE NOTICE PROVISION. | Management | For | For | |||||||||
| 06 | RESOLUTION - ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
Page 30 of 38 |
PROXY VOTING RECORD
| RANDGOLD RESOURCES LIMITED | |||
| Security | 752344309 | Meeting Type | Annual |
| Ticker Symbol | GOLD | Meeting Date | 29-Apr-2013 |
| ISIN | US7523443098 | Agenda | 933762951 - 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 2012 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 2012. | Management | For | For | ||||||||
| O3 | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2012. | Management | For | For | ||||||||
| O4 | TO RE-ELECT PHILIPPE LIETARD AS A DIRECTOR OF THE COMPANY. | 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 JEANINE MABUNDA LIOKO AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O10 | TO RE-ELECT GRAHAM SHUTTLEWORTH 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 KARL VOLTAIRE AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| O13 | 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 | ||||||||
| O14 | TO AUTHORISE THE DIRECTORS TO DETERMINE THE REMUNERATION OF THE AUDITORS. | Management | For | For | ||||||||
| O15 | AUTHORITY TO ALLOT SHARES AND GRANT RIGHTS TO SUBSCRIBE FOR, OR CONVERT ANY SECURITY INTO SHARES. | Management | For | For | ||||||||
| O16 | AWARDS OF ORDINARY SHARES TO NON-EXECUTIVE DIRECTORS. | Management | For | For | ||||||||
| O17 | TO AUTHORISE THE BOARD TO GRANT TO THE CEO A ONE-OFF ‘CAREER SHARES’ AWARD OF ORDINARY SHARES IN THE COMPANY. | Management | For | For | ||||||||
| O18 | TO INCREASE THE AGGREGATE AMOUNTS OF FEES THAT MAY BE PAID TO THE DIRECTORS PURSUANT TO ARTICLE 40 OF THE ARTICLES OF ASSOCIATION OF THE COMPANY FROM US$750,000 TO US$1,000,000. | Management | For | For | ||||||||
| S19 | AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS. | Management | For | For | ||||||||
| S20 | AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES. | Management | For | For |
Page 31 of 38 |
PROXY VOTING RECORD
| ROYAL GOLD, INC. | |||
| Security | 780287108 | Meeting Type | Annual |
| Ticker Symbol | RGLD | Meeting Date | 14-Nov-2012 |
| ISIN | US7802871084 | Agenda | 933692394 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| 1A. | ELECTION OF DIRECTOR: STANLEY DEMPSEY | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: TONY JENSEN | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: GORDON J. BOGDEN | 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, 2013. | Management | For | For | ||||||||
| 3. | PROPOSAL TO APPROVE THE ADVISORY RESOLUTION RELATING TO EXECUTIVE COMPENSATION. | Management | For | For |
Page 32 of 38 |
PROXY VOTING RECORD
| SIBANYE GOLD LIMITED | |||
| Security | S7627H100 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 13-May-2013 | |
| ISIN | ZAE000173951 | Agenda | 704444417 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 186002 DUE TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. | Non-Voting | ||||||||||
| O.1 | Resolved that KPMG Inc, upon the recommendation of the current Audit Committee of the Company, be re-appointed as the auditors of the Company until the conclusion of the next AGM | Management | For | For | ||||||||
| O.2 | Re-election of a director: TJ Cumming | Management | For | For | ||||||||
| O.3 | Re-election of a director: BE Davison | Management | For | For | ||||||||
| O.4 | Re-election of a director: NG Nika | Management | For | For | ||||||||
| O.5 | Re-election of a director SC van der Merwe | Management | For | For | ||||||||
| O.6 | Re-election of a member and Chair of the Audit Committee: KA Rayner | Management | For | For | ||||||||
| O.7 | Re-election of a member of the Audit Committee: RP Menell | Management | For | For | ||||||||
| O.8 | Election of a member of the Audit Committee: NG Nika | Management | For | For | ||||||||
| O.9 | Election of a member of the Audit Committee: SC van der Merwe | Management | For | For | ||||||||
| O.10 | Approval for the issue of authorised but unissued ordinary shares | Management | For | For | ||||||||
| 1 | Advisory endorsement of remuneration policy | Management | For | For | ||||||||
| O.11 | Approval for the amendment of Rule 5.1.1 of the Sibanye Gold Limited 2013 Share Plan | Management | For | For | ||||||||
| O.12 | Approval for the amendment of Rule 5.2.1 of the Sibanye Gold Limited 2013 Share Plan | Management | For | For | ||||||||
| S.1 | Approval of the remuneration of non-executive directors | Management | For | For | ||||||||
| S.2 | Approval for the Company to grant financial assistance in terms of section 44 and 45 of the Act | Management | For | For | ||||||||
| S.3 | Approval of amendments to the existing Memorandum of Incorporation: new clause 24 | Management | For | For | ||||||||
| S.4 | Acquisition of the Company’s own 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 | 23-Nov-2012 | |
| ISIN | AU000000SLR6 | Agenda | 704119088 - Management |
| Item | Proposal | Type | Vote | For/Against Management | ||||||||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 1 AND 4 TO 7 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 AND 4 TO 7),- 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 Brian Kennedy as a Director | Management | For | For | ||||||||
| 3 | Re-election of Mr David Griffiths as a Director | Management | For | For | ||||||||
| 4 | Long Term Incentive Plan | Management | For | For | ||||||||
| 5 | Approval of Termination Benefit under Mr Leslie Davis’ Service Agreement | Management | For | For | ||||||||
| 6 | Approval of Termination Benefit under Mr Christopher Banasik’s Service Agreement | Management | For | For | ||||||||
| 7 | Increase in Directors’ Fees | Management | Against | Against | ||||||||
| 8 | To renew the Company’s proportional takeover provisions | Management | For | For |
Page 34 of 38 |
PROXY VOTING RECORD
| STORNOWAY DIAMOND CORPORATION | |||
| Security | 86222Q806 | Meeting Type | Annual |
| Ticker Symbol | SWYDF | Meeting Date | 11-Sep-2012 |
| ISIN | CA86222Q8065 | Agenda | 933678750 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | BLOUIN, MICHEL | For | For | ||||||||||
| 2 | GODIN, PATRICK | For | For | ||||||||||
| 3 | HARVEY, YVES | For | For | ||||||||||
| 4 | LEBOUTILLIER, JOHN | For | For | ||||||||||
| 5 | MANSON, MATTHEW | For | For | ||||||||||
| 6 | MERCIER, MONIQUE | For | For | ||||||||||
| 7 | NIXON, PETER | For | For | ||||||||||
| 8 | SCHERKUS, EBE | For | For | ||||||||||
| 9 | VEZINA, SERGE | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS, LLP, CHARTERED ACCOUNTANTS AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR | Management | For | For | |||||||||
| 03 | TO TRANSACT SUCH FURTHER OR OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING AND ANY ADJOURNMENTS THEREOF. | Management | For | For | |||||||||
Page 35 of 38 |
PROXY VOTING RECORD
| TAHOE RESOURCES INC. | |||
| Security | 873868103 | Meeting Type | Annual |
| Ticker Symbol | TAHO | Meeting Date | 09-May-2013 |
| ISIN | CA8738681037 | Agenda | 933788296 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | A. DAN ROVIG | For | For | ||||||||||
| 2 | C. KEVIN MCARTHUR | For | For | ||||||||||
| 3 | LORNE B. ANDERSON | For | For | ||||||||||
| 4 | PAUL B. SWEENEY | For | For | ||||||||||
| 5 | JAMES S. VOORHEES | For | For | ||||||||||
| 6 | JOHN P. BELL | For | For | ||||||||||
| 7 | KENNETH F. WILLIAMSON | For | For | ||||||||||
| 8 | TANYA M. JAKUSCONEK | For | For | ||||||||||
| 02 | APPOINTMENT OF DELOITTE LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR. | Management | For | For | |||||||||
| 03 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, A RESOLUTION APPROVING AN AMENDED AND RESTATED SHARE OPTION AND INCENTIVE SHARE PLAN FOR THE COMPANY, AS MORE PARTICULARLY DESCRIBED IN THE INFORMATION CIRCULAR FOR THE MEETING. | Management | For | For | |||||||||
Page 36 of 38 |
PROXY VOTING RECORD
| TOREX GOLD RESOURCES INC. | |||
| Security | 891054108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | TORXF | Meeting Date | 19-Jun-2013 |
| ISIN | CA8910541082 | Agenda | 933836833 - 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 | RATIFICATION AND CONFIRMATION OF AN AMENDMENT TO THE COMPANY’S BY-LAWS TO ADD AN ADVANCE NOTICE REQUIREMENT FOR NOMINATIONS OF DIRECTORS BY SHAREHOLDERS IN CERTAIN CIRCUMSTANCES, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | |||||||||
Page 37 of 38 |
PROXY VOTING RECORD
| WEST KIRKLAND MINING INC. | |||
| Security | 953555109 | Meeting Type | Annual |
| Ticker Symbol | WKLDF | Meeting Date | 13-Jun-2013 |
| ISIN | CA9535551092 | Agenda | 933834106 - Management |
| Item | Proposal | Type | Vote | For/Against Management | |||||||||
| 01 | TO SET THE NUMBER OF DIRECTORS AT FIVE (5). | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | R. MICHAEL JONES | For | For | ||||||||||
| 2 | FRANK R. HALLAM | For | For | ||||||||||
| 3 | PIERRE LEBEL | For | For | ||||||||||
| 4 | JOHN BROCK | For | For | ||||||||||
| 5 | KEVIN FALCON | For | For | ||||||||||
| 03 | APPOINTMENT OF DELOITTE LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 04 | TO PASS AN ORDINARY RESOLUTION, RE-APPROVING THE CURRENT STOCK OPTION PLAN AND RESERVING FOR THE GRANT OF OPTIONS UP TO 10% OF THE ISSUED AND OUTSTANDING SHARES OF THE COMPANY AT THE TIME OF ANY STOCK OPTION GRANT, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING INFORMATION CIRCULAR. | Management | Against | Against | |||||||||
| 05 | TO PASS AN ORDINARY RESOLUTION APPROVING: (I) THE EXERCISE OF UP TO AN AGGREGATE OF 11,325,000 COMMON SHARE PURCHASE WARRANTS (THE “WARRANTS”) HELD BY WEXFORD SPECTRUM TRADING LIMITED AND WEXFORD CATALYST TRADING LIMITED (COLLECTIVELY, THE “WEXFORD FUNDS”) WHERE, FOLLOWING SUCH EXERCISE, THE WEXFORD FUNDS AND THEIR ASSOCIATES AND AFFILIATES (“WEXFORD”) WOULD HOLD MORE THAN 19.9% OF THE THEN ISSUED AND OUTSTANDING COMMON SHARES OF THE COMPANY (“COMMON SHARES”). | 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: August 22, 2013 |
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