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, 2014 - June 30, 2015
PROXY VOTING RECORD
| AGNICO EAGLE MINES LIMITED | |||
| Security | 008474108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | AEM | Meeting Date | 01-May-2015 |
| ISIN | CA0084741085 | Agenda | 934166299 - Management |
| Item | Proposal | Proposed by |
Vote
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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 | ROBERT J. GEMMELL | For | For | |||||||||||
| 5 | BERNARD KRAFT | For | For | |||||||||||
| 6 | MEL LEIDERMAN | For | For | |||||||||||
| 7 | DEBORAH MCCOMBE | For | For | |||||||||||
| 8 | JAMES D. NASSO | For | For | |||||||||||
| 9 | SEAN RILEY | For | For | |||||||||||
| 10 | J. MERFYN ROBERTS | For | For | |||||||||||
| 11 | HOWARD R. STOCKFORD | For | For | |||||||||||
| 12 | 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 | AN ORDINARY RESOLUTION APPROVING AN AMENDMENT TO THE COMPANY’S STOCK OPTION PLAN. |
Management | For | For | ||||||||||
| 05 | A NON-BINDING, ADVISORY RESOLUTION ACCEPTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. |
Management | For | For | ||||||||||
Page 1 of 40 |
PROXY VOTING RECORD
| ALACER GOLD CORP. | |||
| Security | 010679108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | ALIAF | Meeting Date | 10-Jun-2015 |
| ISIN | CA0106791084 | Agenda | 934220649 - Management |
| Item | Proposal | Proposed by |
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 | EDWARD C. DOWLING, JR. | For | For | ||||||||||
| 4 | RICHARD P. GRAFF | For | For | ||||||||||
| 5 | ANNA KOLONCHINA | For | For | ||||||||||
| 6 | ALAN P. KRUSI | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS | Management | For | For | |||||||||
| 03 | ADVISORY RESOLUTION ON THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
Page 2 of 40 |
PROXY VOTING RECORD
| ALAMOS GOLD INC. | |||
| Security | 011527108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | AGI | Meeting Date | 03-Jun-2015 |
| ISIN | CA0115271086 | Agenda | 934224166 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | TO SET THE NUMBER OF DIRECTORS AT SIX. | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | ANTHONY GARSON | For | For | ||||||||||
| 2 | DAVID GOWER | Withheld | Against | ||||||||||
| 3 | JOHN A. MCCLUSKEY | For | For | ||||||||||
| 4 | PAUL J. MURPHY | For | For | ||||||||||
| 5 | KENNETH G. STOWE | For | For | ||||||||||
| 6 | DAVID FLECK | Withheld | Against | ||||||||||
| 03 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 04 | 1. THE STOCK OPTION PLAN (THE “PLAN”) OF ALAMOS GOLD INC. (THE “COMPANY”) WHICH WAS APPROVED BY THE BOARD OF DIRECTORS OF THE COMPANY ON APRIL 24, 2012 AND THE SHAREHOLDERS OF THE COMPANY ON MAY 31, 2012, BE HEREBY APPROVED, WITH NO ADDITIONAL AMENDMENTS; 2. ALL UNALLOCATED OPTIONS UNDER THE PLAN ARE HEREBY APPROVED AND THE COMPANY HAS THE ABILITY TO GRANT OPTIONS UNDER THE PLAN UNTIL JUNE 3, 2018, THAT IS UNTIL THE DATE THAT IS THREE YEARS FROM THE DATE OF THE MEETING AT WHICH THIS RESOLUTION IS PASSED BY SHAREHOLDERS OF THE COMPANY. | Management | For | For | |||||||||
Page 3 of 40 |
PROXY VOTING RECORD
| ALAMOS GOLD INC. | |||
| Security | 011527108 | Meeting Type | Special |
| Ticker Symbol | AGI | Meeting Date | 24-Jun-2015 |
| ISIN | CA0115271086 | Agenda | 934239802 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | TO APPROVE A SPECIAL RESOLUTION OF SHAREHOLDERS, THE FULL TEXT OF WHICH IS ATTACHED AS APPENDIX B TO THE JOINT MANAGEMENT INFORMATION CIRCULAR (“CIRCULAR”) OF ALAMOS AND AURICO GOLD INC. (“AURICO”) DATED MAY 22, 2015, APPROVING THE APPLICATION FOR CONTINUANCE OF ALAMOS UNDER THE BUSINESS CORPORATIONS ACT (ONTARIO) (THE “OBCA”), IN ACCORDANCE WITH SECTION 308 OF THE BUSINESS CORPORATIONS ACT (BRITISH COLUMBIA) AND SECTION 180 OF THE OBCA, ALL AS MORE PARTICULARLY SET FORTH IN THE CIRCULAR. | Management | For | For | ||||||||
| 02 | TO APPROVE A SPECIAL RESOLUTION, THE FULL TEXT OF WHICH IS ATTACHED AS APPENDIX C TO THE CIRCULAR, APPROVING THE ARRANGEMENT AGREEMENT DATED AS OF APRIL 12, 2015, BETWEEN AURICO AND ALAMOS AND THE ARRANGEMENT INVOLVING AURICO AND ALAMOS UNDER SECTION 182 OF THE OBCA, ALL AS MORE PARTICULARLY SET FORTH IN THE CIRCULAR. | Management | For | For | ||||||||
| 03 | TO APPROVE AN ORDINARY RESOLUTION, THE FULL TEXT OF WHICH IS ATTACHED AS APPENDIX R TO THE CIRCULAR, APPROVING THE LONG TERM INCENTIVE PLAN AND EMPLOYEE SHARE PURCHASE PLAN OF AURICO METALS INC., IN EACH CASE AS MORE PARTICULARLY SET FORTH IN THE CIRCULAR. | Management | For | For |
Page 4 of 40 |
PROXY VOTING RECORD
| AMARA MINING PLC, LONDON | |||
| Security | G2343S103 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 06-Feb-2015 | |
| ISIN | GB00B04M1L91 | Agenda | 705798847 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1 | TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES IN CONNECTION WITH THE PLACING | 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 5 of 40 |
PROXY VOTING RECORD
| AMARA MINING PLC, LONDON | |||
| Security | G2343S103 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 03-Jun-2015 | |
| ISIN | GB00B04M1L91 | Agenda | 706100031 - Management |
| Item | Proposal | Proposed by |
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 JOHN MCGLOIN AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 3 | TO RE-ELECT MR HENDRIK FAUL AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 4 | TO RE-ELECT MR GEOFF STANLEY AS A DIRECTOR OF THE COMPANY | Management | Against | Against | ||||||||
| 5 | TO APPOINT BDO LLP AS AUDITORS AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | ||||||||
| 6 | TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES | Management | For | For | ||||||||
| 7 | TO DISAPPLY THE STATUTORY PRE-EMPTION RIGHTS OVER EQUITY SECURITIES | Management | For | For |
Page 6 of 40 |
PROXY VOTING RECORD
| ANGLO AMERICAN PLATINUM LIMITED, JOHANNESBURG | |||
| Security | S9122P108 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 08-Apr-2015 | |
| ISIN | ZAE000013181 | Agenda | 705863187 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| O.1.1 | RE-ELECT VALLI MOOSA AS DIRECTOR | Management | For | For | ||||||||
| O.1.2 | RE-ELECT CHRIS GRIFFITH AS DIRECTOR | Management | For | For | ||||||||
| O.1.3 | RE-ELECT PETER MAGEZA AS DIRECTOR | Management | For | For | ||||||||
| O.1.4 | RE-ELECT JOHN VICE AS DIRECTOR | Management | For | For | ||||||||
| O.2.1 | RE-ELECT RICHARD DUNNE AS MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| O.2.2 | RE-ELECT PETER MAGEZA AS MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| O.2.3 | RE-ELECT DHANASAGREE NAIDOO AS MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| O.2.4 | RE-ELECT JOHN VICE AS MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| O.3 | RE-APPOINT DELOITTE AND TOUCHE AS AUDITORS OF THE COMPANY WITH J WELCH AS THE DESIGNATED AUDIT PARTNER | Management | For | For | ||||||||
| O.4 | PLACE AUTHORISED BUT UNISSUED SHARES UNDER CONTROL OF DIRECTORS | Management | For | For | ||||||||
| O.5 | AUTHORISE BOARD TO RATIFY AND EXECUTE APPROVED RESOLUTIONS | Management | For | For | ||||||||
| NB1 | 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 PARTIES | Management | For | For | ||||||||
| S.3 | APPROVE REDUCTION OF AUTHORISED SECURITIES AND AMEND THE MEMORANDUM OF INCORPORATION | Management | For | For | ||||||||
| S.4 | AUTHORISE REPURCHASE OF UPTO FIVE PERCENT OF ISSUED SHARE CAPITAL | Management | For | For |
Page 7 of 40 |
PROXY VOTING RECORD
| ANGLO AMERICAN PLC, LONDON | |||
| Security | G03764134 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 23-Apr-2015 | |
| ISIN | GB00B1XZS820 | Agenda | 705894257 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 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 2014 | Management | For | For | ||||||||
| 2 | TO DECLARE A FINAL DIVIDEND OF 53 US CENTS PER ORDINARY SHARE, PAYABLE ON 28 APRIL 2015 TO THOSE SHAREHOLDERS REGISTERED AT THE CLOSE OF BUSINESS ON 20 MARCH 2015 | Management | For | For | ||||||||
| 3 | TO RE-ELECT MARK CUTIFANI AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 4 | TO RE-ELECT JUDY DLAMINI AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 5 | TO RE-ELECT BYRON GROTE AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 6 | TO RE-ELECT SIR PHILIP HAMPTON AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 7 | TO RE-ELECT RENE MEDORI AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 8 | TO RE-ELECT PHUTHUMA NHLEKO AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 9 | TO RE-ELECT RAY O’ROURKE AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 10 | TO RE-ELECT SIR JOHN PARKER AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 11 | TO RE-ELECT MPHU RAMATLAPENG AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 12 | TO RE-ELECT JIM RUTHERFORD 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 ENSUING YEAR | Management | For | For | ||||||||
| 16 | TO AUTHORISE THE DIRECTORS TO DETERMINE THE REMUNERATION OF THE AUDITORS | Management | For | For | ||||||||
| 17 | TO APPROVE THE IMPLEMENTATION REPORT SECTION OF THE DIRECTORS’ REMUNERATION REPORT SET OUT IN THE ANNUAL REPORT AND ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2014 | Management | For | For | ||||||||
| 18 | TO RESOLVE THAT THE AUTHORITY CONFERRED ON THE DIRECTORS BY ARTICLE 9.2 OF THE COMPANY’S ARTICLES OF ASSOCIATION BE RENEWED, SUCH THAT THE DIRECTORS BE GENERALLY AND UNCONDITIONALLY AUTHORISED PURSUANT TO AND IN ACCORDANCE WITH SECTION 551 OF THE COMPANIES ACT 2006 TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES IN THE COMPANY OR GRANT RIGHTS TO SUBSCRIBE FOR, OR TO CONVERT ANY SECURITY INTO, SHARES OF THE COMPANY UP TO A NOMINAL VALUE OF USD 76.7 MILLION, WHICH REPRESENTS NOT MORE THAN 10% OF THE TOTAL ISSUED SHARE CAPITAL OF THE COMPANY, EXCLUSIVE OF TREASURY SHARES, AS AT 27 FEBRUARY 2015. THIS AUTHORITY SHALL EXPIRE AT THE EARLIER OF THE CONCLUSION OF THE ANNUAL GENERAL MEETING IN 2016 OR ON 30 JUNE 2016. SUCH AUTHORITY SHALL BE IN SUBSTITUTION FOR ALL PREVIOUS AUTHORITIES PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006 | Management | For | For | ||||||||
| 19 | TO RESOLVE THAT SUBJECT TO THE PASSING OF RESOLUTION 18 ABOVE, THE POWER CONFERRED ON THE DIRECTORS BY ARTICLE 9.3 OF THE COMPANY’S ARTICLES OF ASSOCIATION BE RENEWED, SUCH THAT THE DIRECTORS BE EMPOWERED TO ALLOT SHARES WHOLLY FOR CASH PURSUANT TO THE AUTHORITY GRANTED BY RESOLUTION 18 ABOVE AND TO SELL TREASURY SHARES WHOLLY FOR CASH IN CONNECTION WITH A PRE-EMPTIVE OFFER AND, OTHERWISE THAN IN CONNECTION WITH A PRE-EMPTIVE OFFER, UP TO A NOMINAL VALUE OF USD 38.3 MILLION, WHICH REPRESENTS NO MORE THAN 5% OF THE TOTAL ISSUED ORDINARY SHARE CAPITAL OF THE COMPANY, EXCLUDING TREASURY SHARES, IN ISSUE AT 27 FEBRUARY 2015. THIS AUTHORITY SHALL EXPIRE AT THE EARLIER OF THE CONCLUSION OF THE ANNUAL GENERAL MEETING IN 2016 OR ON 30 JUNE 2016. SUCH AUTHORITY SHALL BE IN SUBSTITUTION FOR ALL PREVIOUS AUTHORITIES PURSUANT TO SECTION 561 OF THE COMPANIES ACT 2006 | Management | For | For | ||||||||
| 20 | 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 SECTION 693 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 209.3 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 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 D) THE AUTHORITY HEREBY CONFERRED SHALL EXPIRE AT THE CONCLUSION OF THE- ANNUAL GENERAL MEETING OF THE COMPANY TO BE HELD IN 2016 (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 | Management | For | For | ||||||||
| 21 | THAT A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS’ NOTICE | Management | For | For | ||||||||
Page 8 of 40 |
PROXY VOTING RECORD
| ANGLOGOLD ASHANTI LTD, JOHANNESBURG | |||
| Security | S04255196 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 06-May-2015 | |
| ISIN | ZAE000043485 | Agenda | 706005914 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1.O.1 | RE-APPOINTMENT OF ERNST & YOUNG INC. AS EXTERNAL AUDITORS OF THE COMPANY | Management | For | For | ||||||||
| 2O2.1 | ELECTION OF DIRECTOR: MS KC RAMON | Management | For | For | ||||||||
| 2O2.2 | ELECTION OF DIRECTOR: MS M RICHTER | Management | For | For | ||||||||
| 2O2.3 | ELECTION OF DIRECTOR: MR A GARNER | Management | For | For | ||||||||
| 3O3.1 | RE-ELECTION OF DIRECTOR: PROF LW NKUHLU | Management | For | For | ||||||||
| 3O3.2 | RE-ELECTION OF DIRECTOR: MS NP JANUARY-BARDILL | Management | For | For | ||||||||
| 3O3.3 | RE-ELECTION OF DIRECTOR: MR RJ RUSTON | Management | For | For | ||||||||
| 4O4.1 | ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MR R GASANT | Management | For | For | ||||||||
| 4O4.2 | ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: PROF LW NKUHLU | Management | For | For | ||||||||
| 4O4.3 | ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MR MJ KIRKWOOD | Management | For | For | ||||||||
| 4O4.4 | ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MR RJ RUSTON | Management | For | For | ||||||||
| 4O4.5 | ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MR A GARNER | Management | For | For | ||||||||
| 4O4.6 | ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MS M RICHTER | Management | For | For | ||||||||
| 5.O.5 | GENERAL AUTHORITY TO DIRECTORS TO ALLOT AND ISSUE ORDINARY SHARES | Management | For | For | ||||||||
| 6O6.1 | TO AMEND ANGLOGOLD ASHANTI’S SHARE INCENTIVE SCHEMES: TO INCREASE THE AGGREGATE LIMIT OF THE NUMBER OF ORDINARY SHARES ALLOCATED TO THE SHARE INCENTIVE SCHEMES FROM 17,000,000 TO 20,000,000 ORDINARY SHARES | Management | For | For | ||||||||
| 6O6.2 | TO AMEND ANGLOGOLD ASHANTI’S SHARE INCENTIVE SCHEMES: TO INCREASE THE AGGREGATE LIMIT OF THE NUMBER OF ORDINARY SHARES ALLOCATED TO INDIVIDUAL ELIGIBLE EMPLOYEES RELATING TO THE SHARE INCENTIVE SCHEMES FROM 850,000 TO 1,000,000 ORDINARY SHARES | Management | For | For | ||||||||
| NB.7 | NON-BINDING ADVISORY ENDORSEMENT: ENDORSEMENT OF THE ANGLOGOLD ASHANTI REMUNERATION POLICY | Management | For | For | ||||||||
| 8.S.1 | APPROVAL OF THE NON-EXECUTIVE DIRECTORS’ REMUNERATION FOR THEIR SERVICES AS DIRECTORS, WHICH REMAINS UNCHANGED FROM THE PREVIOUS YEAR | Management | For | For | ||||||||
| 9.S.2 | GENERAL AUTHORITY TO DIRECTORS TO ISSUE SHARES FOR CASH | Management | For | For | ||||||||
| 10S.3 | GENERAL AUTHORITY TO ACQUIRE THE COMPANY’S OWN SHARES | Management | For | For | ||||||||
| 11S.4 | APPROVAL FOR THE COMPANY TO GRANT FINANCIAL ASSISTANCE IN TERMS OF SECTIONS 44 AND 45 OF THE COMPANIES ACT | Management | For | For | ||||||||
| 12S.5 | AMENDMENT OF THE COMPANY’S MEMORANDUM OF INCORPORATION (MOI) RE THE CANCELLATION OF THE 4,280,000 E ORDINARY SHARES, DELETING CLAUSE 10 OF THE MOI ATTACHING THE RIGHTS TO THE E ORDINARY SHARES AND DELETING THE REFERENCE TO E ORDINARY SHARES IN CLAUSE 4.12 OF THE COMPANY’S MOI | Management | For | For |
Page 9 of 40 |
PROXY VOTING RECORD
| ARGONAUT GOLD INC. | |||
| Security | 04016A101 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | ARNGF | Meeting Date | 05-May-2015 |
| ISIN | CA04016A1012 | Agenda | 934186241 - Management |
| Item | Proposal | Proposed by |
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 CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | THE ADOPTION AND RATIFICATION OF THE SHAREHOLDER RIGHTS PLAN FOR THE CORPORATION TO BE EFFECTIVE UNTIL THE 2018 ANNUAL MEETING OF THE CORPORATION’S SHAREHOLDERS, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | |||||||||
| 04 | SHAREHOLDER PROPOSAL NO. 1 – ANNUAL ADVISORY SHAREHOLDER VOTE ON EXECUTIVE COMPENSATION (“SAY ON PAY”) | Shareholder | Against | For | |||||||||
| 05 | SHAREHOLDER PROPOSAL NO. 2 – MINIMUM SHARE OWNERSHIP FOR CEO | Shareholder | Against | For | |||||||||
| 06 | SHAREHOLDER PROPOSAL NO. 3 – DISCLOSURE OF KPIS USED TO ASSESS PERFORMACE-BASED PORTION OF CEO COMPENSATION | Shareholder | Against | For | |||||||||
| 07 | SHAREHOLDER PROPOSAL NO. 4 – THE DILUTION SAFEGUARD PROPOSAL | Shareholder | Against | For | |||||||||
| 08 | SHAREHOLDER PROPOSAL NO. 5 - RECHTSSTAAT STANDARDS FOR INTERNATIONAL INVESTMENTS | Shareholder | Against | For | |||||||||
Page 10 of 40 |
PROXY VOTING RECORD
| B2GOLD CORP. | |||
| Security | 11777Q209 | Meeting Type | Special |
| Ticker Symbol | BTG | Meeting Date | 12-Sep-2014 |
| ISIN | CA11777Q2099 | Agenda | 934067465 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, THE RESOLUTIONS SET FORTH IN SCHEDULE A TO THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR APPROVING THE ISSUANCE OF SHARES OF B2GOLD CORP. IN CONNECTION WITH THE ACQUISITION OF ALL OF THE ISSUED AND OUTSTANDING SHARES OF PAPILLON RESOURCES LIMITED UNDER AN AUSTRALIAN SCHEME OF ARRANGEMENT, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For |
Page 11 of 40 |
PROXY VOTING RECORD
| B2GOLD CORP. | |||
| Security | 11777Q209 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | BTG | Meeting Date | 12-Jun-2015 |
| ISIN | CA11777Q2099 | Agenda | 934229130 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | TO SET THE NUMBER OF DIRECTORS AT 8. | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | CLIVE JOHNSON | For | For | ||||||||||
| 2 | ROBERT CROSS | Withheld | Against | ||||||||||
| 3 | ROBERT GAYTON | Withheld | Against | ||||||||||
| 4 | BARRY RAYMENT | Withheld | Against | ||||||||||
| 5 | JERRY KORPAN | For | For | ||||||||||
| 6 | BONGANI MTSHISI | For | For | ||||||||||
| 7 | KEVIN BULLOCK | For | For | ||||||||||
| 8 | MARK CONNELLY | 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 12, 2015. | 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 12, 2015. | Management | For | For | |||||||||
Page 12 of 40 |
PROXY VOTING RECORD
| BARRICK GOLD CORPORATION | |||
| Security | 067901108 | Meeting Type | Annual |
| Ticker Symbol | ABX | Meeting Date | 28-Apr-2015 |
| ISIN | CA0679011084 | Agenda | 934151856 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | C.W.D. BIRCHALL | Withheld | Against | ||||||||||
| 2 | G. CISNEROS | Withheld | Against | ||||||||||
| 3 | J.M. EVANS | Withheld | Against | ||||||||||
| 4 | N. GOODMAN | Withheld | Against | ||||||||||
| 5 | B.L. GREENSPUN | Withheld | Against | ||||||||||
| 6 | J.B. HARVEY | Withheld | Against | ||||||||||
| 7 | N.H.O. LOCKHART | Withheld | Against | ||||||||||
| 8 | D. MOYO | Withheld | Against | ||||||||||
| 9 | A. MUNK | Withheld | Against | ||||||||||
| 10 | C.D. NAYLOR | Withheld | Against | ||||||||||
| 11 | S.J. SHAPIRO | Withheld | Against | ||||||||||
| 12 | J.L. THORNTON | Withheld | Against | ||||||||||
| 13 | 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 | |||||||||
Page 13 of 40 |
PROXY VOTING RECORD
| BELO SUN MINING CORP. | |||
| Security | 080558109 | Meeting Type | Annual |
| Ticker Symbol | VNNHF | Meeting Date | 28-May-2015 |
| ISIN | CA0805581091 | Agenda | 934219850 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | PETER TAGLIAMONTE | Withheld | Against | ||||||||||
| 2 | STAN BHARTI | Withheld | Against | ||||||||||
| 3 | MARK EATON | Withheld | Against | ||||||||||
| 4 | WILLIAM CLARKE | For | For | ||||||||||
| 5 | DENIS ARSENAULT | For | For | ||||||||||
| 6 | CAROL FRIES | For | For | ||||||||||
| 02 | APPOINTMENT OF COLLINS BARROW LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
Page 14 of 40 |
PROXY VOTING RECORD
| CENTERRA GOLD INC. | |||
| Security | 152006102 | Meeting Type | Annual |
| Ticker Symbol | CAGDF | Meeting Date | 08-May-2015 |
| ISIN | CA1520061021 | Agenda | 934180768 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 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 | Withheld | Against | ||||||||||
| 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 | |||||||||
Page 15 of 40 |
PROXY VOTING RECORD
| COMPANIA DE MINAS BUENAVENTURA S.A.A | |||
| Security | 204448104 | Meeting Type | Special |
| Ticker Symbol | BVN | Meeting Date | 22-Sep-2014 |
| ISIN | US2044481040 | Agenda | 934074484 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1. | TO APPROVE THE MERGER OF CANTERAS DEL HALLAZGO S.A.C (A WHOLLY OWNED SUBSIDIARY AND OWNER OF THE CHUCAPACA PROJECT) WITH AND INTO COMPANIA DE MINAS BUENAVENTURA S.A.A., WITH COMPANIA DE MINAS BUENAVENTURA S.A.A. AS THE SURVIVING ENTITY OF THE MERGER. | Management | For |
Page 16 of 40 |
PROXY VOTING RECORD
| COMPANIA DE MINAS BUENAVENTURA S.A.A | |||
| Security | 204448104 | Meeting Type | Annual |
| Ticker Symbol | BVN | Meeting Date | 27-Mar-2015 |
| ISIN | US2044481040 | Agenda | 934144635 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1. | TO APPROVE THE ANNUAL REPORT AS OF DECEMBER, 31, 2014. A PRELIMINARY SPANISH VERSION OF THE ANNUAL REPORT WILL BE AVAILABLE IN THE COMPANY’S WEBSITE HTTP://WWW.BUENAVENTURA.COM/IR/ |
Management | For | |||||||||
| 2. | TO APPROVE THE FINANCIAL STATEMENTS AS OF DECEMBER, 31, 2014, WHICH WERE PUBLICLY REPORTED AND ARE IN OUR WEB SITE HTTP://WWW.BUENAVENTURA.COM/IR/ | Management | For | |||||||||
| 3. | TO APPOINT ERNST AND YOUNG (PAREDES, ZALDIVAR, BURGA Y ASOCIADOS) AS EXTERNAL AUDITORS FOR FISCAL YEAR 2015. | Management | For | |||||||||
| 4. | TO APPROVE THE COMPANY’S FINANCING OPERATIONS, INCLUDING BUT NOT LIMITED TO THE PLACEMENT AND ISSUANCE OF OBLIGATIONS AND/OR OBTAINMENT OF LOANS, AS WELL AS THE DELEGATION OF POWER TO THE BOARD FOR THE APPROVAL OF ALL OF THE AGREEMENTS DEEMED NECESSARY OR CONVENIENT TO DETERMINE OR APPROVE EACH AND EVERY ONE OF THE ... (DUE TO SPACE LIMITS, SEE PROXY MATERIAL FOR FULL PROPOSAL) | Management | For |
Page 17 of 40 |
PROXY VOTING RECORD
| DETOUR GOLD CORPORATION | |||
| Security | 250669108 | Meeting Type | Annual |
| Ticker Symbol | DRGDF | Meeting Date | 05-May-2015 |
| ISIN | CA2506691088 | Agenda | 934181758 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | LISA COLNETT | For | For | ||||||||||
| 2 | ROBERT E. DOYLE | For | For | ||||||||||
| 3 | ANDRE FALZON | For | For | ||||||||||
| 4 | INGRID J. HIBBARD | For | For | ||||||||||
| 5 | J. MICHAEL KENYON | For | For | ||||||||||
| 6 | PAUL MARTIN | For | For | ||||||||||
| 7 | ALEX G. MORRISON | For | For | ||||||||||
| 8 | JONATHAN RUBENSTEIN | For | For | ||||||||||
| 9 | 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 18 of 40 |
PROXY VOTING RECORD
| ELDORADO GOLD CORPORATION | |||
| Security | 284902103 | Meeting Type | Annual |
| Ticker Symbol | EGO | Meeting Date | 30-Apr-2015 |
| ISIN | CA2849021035 | Agenda | 934149914 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | K. ROSS CORY | For | For | ||||||||||
| 2 | PAMELA M. GIBSON | For | For | ||||||||||
| 3 | ROBERT R. GILMORE | For | For | ||||||||||
| 4 | GEOFFREY A. HANDLEY | For | For | ||||||||||
| 5 | MICHAEL A. PRICE | For | For | ||||||||||
| 6 | STEVEN P. REID | For | For | ||||||||||
| 7 | JONATHAN A. RUBENSTEIN | Withheld | Against | ||||||||||
| 8 | DONALD M. SHUMKA | For | For | ||||||||||
| 9 | JOHN WEBSTER | For | For | ||||||||||
| 10 | 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 | |||||||||
Page 19 of 40 |
PROXY VOTING RECORD
| FRANCO-NEVADA CORPORATION | |||
| Security | 351858105 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | FNV | Meeting Date | 06-May-2015 |
| ISIN | CA3518581051 | Agenda | 934186164 - Management |
| Item | Proposal | Proposed by |
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 | CATHARINE FARROW | For | For | ||||||||||
| 7 | LOUIS GIGNAC | For | For | ||||||||||
| 8 | RANDALL OLIPHANT | For | For | ||||||||||
| 9 | 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 | APPROVAL OF AN AMENDMENT TO THE CORPORATION’S BY-LAWS TO REQUIRE ADVANCE NOTICE OF DIRECTOR NOMINEES FROM SHAREHOLDERS AS MORE PARTICULARLY DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR OF THE CORPORATION DATED MARCH 25, 2015. | Management | For | For | |||||||||
| 04 | APPROVAL OF AN AMENDMENT TO THE CORPORATION’S BY-LAWS TO INCREASE THE QUORUM REQUIRED FOR A MEETING OF SHAREHOLDERS AS MORE PARTICULARLY DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR OF THE CORPORATION DATED MARCH 25, 2015. | Management | For | For | |||||||||
| 05 | ACCEPTANCE OF THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
Page 20 of 40 |
PROXY VOTING RECORD
| FREEPORT-MCMORAN INC. | |||
| Security | 35671D857 | Meeting Type | Annual |
| Ticker Symbol | FCX | Meeting Date | 10-Jun-2015 |
| ISIN | US35671D8570 | Agenda | 934198498 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1 | DIRECTOR | Management | |||||||||||
| 1 | RICHARD C. ADKERSON | For | For | ||||||||||
| 2 | ROBERT J. ALLISON, JR. | Withheld | Against | ||||||||||
| 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. | Withheld | Against | ||||||||||
| 9 | LYDIA H. KENNARD | For | For | ||||||||||
| 10 | CHARLES C. KRULAK | For | For | ||||||||||
| 11 | BOBBY LEE LACKEY | Withheld | Against | ||||||||||
| 12 | JON C. MADONNA | For | For | ||||||||||
| 13 | DUSTAN E. MCCOY | For | For | ||||||||||
| 14 | JAMES R. MOFFETT | Withheld | Against | ||||||||||
| 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 FOR 2015. | Management | For | For | |||||||||
| 4 | REAPPROVAL OF THE MATERIAL TERMS OF THE SECTION 162(M) PERFORMANCE GOALS UNDER OUR AMENDED AND RESTATED 2006 STOCK INCENTIVE PLAN. |
Management | For | For | |||||||||
| 5 | STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS. |
Shareholder | Against | For | |||||||||
Page 21 of 40 |
PROXY VOTING RECORD
| GOLD FIELDS LTD, JOHANNESBURG | |||
| Security | S31755101 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 06-May-2015 | |
| ISIN | ZAE000018123 | Agenda | 705966363 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| O.1 | RE-APPOINTMENT OF AUDITORS: KPMG INC | Management | For | For | ||||||||
| O.2 | RE-ELECTION OF A DIRECTOR: AR HILL | Management | For | For | ||||||||
| O.3 | RE-ELECTION OF A DIRECTOR: RP MENELL | Management | For | For | ||||||||
| O.4 | RE-ELECTION OF A DIRECTOR: CA CAROLUS | Management | For | For | ||||||||
| O.5 | RE-ELECTION OF A MEMBER AND CHAIR OF THE AUDIT COMMITTEE: GM WILSON | Management | For | For | ||||||||
| O.6 | RE-ELECTION OF A MEMBER OF THE AUDIT COMMITTEE: RP MENELL | Management | For | For | ||||||||
| O.7 | RE-ELECTION OF A MEMBER OF THE AUDIT COMMITTEE: DMJ NCUBE | Management | For | For | ||||||||
| O.8 | APPROVAL FOR THE ISSUE OF AUTHORISED BUT UNISSUED ORDINARY SHARES | Management | For | For | ||||||||
| O.9 | APPROVAL FOR THE ISSUING OF EQUITY SECURITIES FOR CASH | Management | For | For | ||||||||
| A.1 | ADVISORY ENDORSEMENT OF THE 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 | ACQUISITION OF THE COMPANY’S OWN SHARES | Management | For | For |
Page 22 of 40 |
PROXY VOTING RECORD
| GOLDCORP INC. | |||
| Security | 380956409 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | GG | Meeting Date | 30-Apr-2015 |
| ISIN | CA3809564097 | Agenda | 934154915 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | 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 | ||||||||||
| 02 | 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 | |||||||||
| 03 | A RESOLUTION APPROVING THE REPEAL OF BY-LAW NO.3 AND BY-LAW NO.4 OF THE COMPANY, TO BE REPLACED IN THEIR ENTIRETY BY AMENDED BY-LAW NO.4, THE FULL TEXT OF WHICH IS PROVIDED IN SCHEDULE “A” OF THE MANAGEMENT INFORMATION CIRCULAR IN RESPECT OF THE MEETING (THE “CIRCULAR”); | Management | For | For | |||||||||
| 04 | A RESOLUTION APPROVING CERTAIN AMENDMENTS TO THE RESTRICTED SHARE UNIT PLAN OF THE COMPANY; | Management | For | For | |||||||||
| 05 | A NON-BINDING ADVISORY RESOLUTION ACCEPTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
Page 23 of 40 |
PROXY VOTING RECORD
| HARMONY GOLD MINING CO LTD, JOHANNESBURG | |||
| Security | S34320101 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 21-Nov-2014 | |
| ISIN | ZAE000015228 | Agenda | 705651556 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1.O.1 | TO RE-ELECT KEN DICKS AS A DIRECTOR | Management | For | For | ||||||||
| 2.O.2 | TO RE-ELECT SIMO LUSHABA AS A DIRECTOR | Management | For | For | ||||||||
| 3.O.3 | TO RE-ELECT MAVUSO MSIMANG AS A DIRECTOR | Management | For | For | ||||||||
| 4.O.4 | TO RE-ELECT JOHN WETTON AS A DIRECTOR | Management | For | For | ||||||||
| 5.O.5 | TO RE-ELECT JOHN WETTON AS A MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| 6.O.6 | TO RE-ELECT FIKILE DE BUCK AS A MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| 7.O.7 | TO RE-ELECT SIMO LUSHABA AS A MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| 8.O.8 | TO RE-ELECT MODISE MOTLOBA AS A MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| 9.O.9 | TO RE-ELECT KARABO NONDUMO AS A MEMBER OF THE AUDIT AND RISK COMMITTEE | Management | For | For | ||||||||
| 10O10 | RESOLVED THAT PRICEWATERHOUSECOOPERS INCORPORATED BE AND IS HEREBY REAPPOINTED AS THE EXTERNAL AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||
| 11O11 | TO APPROVE THE REMUNERATION POLICY | Management | For | For | ||||||||
| 12S.1 | TO APPROVE NON-EXECUTIVE DIRECTORS’ REMUNERATION | Management | For | For |
Page 24 of 40 |
PROXY VOTING RECORD
| IMPALA PLATINUM HOLDINGS LTD, ILLOVO | |||
| Security | S37840113 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 22-Oct-2014 | |
| ISIN | ZAE000083648 | Agenda | 705584135 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| O.1 | REAPPOINT PRICEWATERHOUSECOOPERS INC AS AUDITORS OF THE COMPANY | Management | For | For | ||||||||
| O.2.1 | RE-ELECT HUGH CAMERON AS CHAIRMAN OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.2.2 | RE-ELECT ALMORIE MAULE AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.2.3 | RE-ELECT THABO MOKGATLHA AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.2.4 | RE-ELECT BABALWA NGONYAMA AS MEMBER OF THE AUDIT COMMITTEE | Management | For | For | ||||||||
| O.3 | APPROVE REMUNERATION POLICY | Management | For | For | ||||||||
| O.4.1 | RE-ELECT ALMORIE MAULE AS DIRECTOR | Management | For | For | ||||||||
| O.4.2 | RE-ELECT THABO MOKGATLHA AS DIRECTOR | Management | For | For | ||||||||
| O.4.3 | RE-ELECT KHOTSO MOKHELE AS DIRECTOR | Management | For | For | ||||||||
| O.4.4 | RE-ELECT BABALWA NGONYAMA AS DIRECTOR | Management | For | For | ||||||||
| O.4.5 | RE-ELECT THANDI ORLEYN AS DIRECTOR | Management | For | For | ||||||||
| S.1 | APPROVE REMUNERATION OF NON- EXECUTIVE DIRECTORS | Management | For | For | ||||||||
| S.2 | AUTHORISE REPURCHASE OF UP TO FIVE PERCENT OF ISSUED SHARE CAPITAL | Management | For | For |
Page 25 of 40 |
PROXY VOTING RECORD
| KINROSS GOLD CORPORATION | |||
| Security | 496902404 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | KGC | Meeting Date | 06-May-2015 |
| ISIN | CA4969024047 | Agenda | 934168647 - Management |
| Item | Proposal | Proposed by |
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 | AVE G. LETHBRIDGE | For | For | ||||||||||
| 5 | C. MCLEOD- SELTZER | For | For | ||||||||||
| 6 | JOHN E. OLIVER | For | For | ||||||||||
| 7 | KELLY J. OSBORNE | For | For | ||||||||||
| 8 | UNA M. POWER | For | For | ||||||||||
| 9 | J. PAUL ROLLINSON | 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 | Against | Against | |||||||||
| 04 | TO CONSIDER, AND, IF DEEMED APPROPRIATE, RECONFIRM THE SHAREHOLDER RIGHTS PLAN AGREEMENT DATED AS OF FEBRUARY 26, 2009, AS AMENDED AND RESTATED AS OF FEBRUARY 15, 2012, AS MORE FULLY DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | |||||||||
| 05 | TO CONSIDER, AND, IF DEEMED APPROPRIATE, APPROVE THE AMENDMENTS TO THE ARTICLES OF THE COMPANY, AS MORE FULLY DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | |||||||||
| 06 | TO CONSIDER, AND, IF DEEMED APPROPRIATE, APPROVE AMENDMENTS TO THE BY- LAWS OF THE COMPANY, AS MORE FULLY DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | |||||||||
Page 26 of 40 |
PROXY VOTING RECORD
| NEW GOLD INC. | |||
| Security | 644535106 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | NGD | Meeting Date | 29-Apr-2015 |
| ISIN | CA6445351068 | Agenda | 934161655 - Management |
| Item | Proposal | Proposed by |
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 | CONSIDERING AND, IF DEEMED APPROPRIATE, PASSING, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO RATIFY, CONFIRM AND APPROVE THE COMPANY’S ADVANCE NOTICE POLICY, AS MORE PARTICULARLY DESCRIBED IN THE COMPANY’S INFORMATION CIRCULAR. | Management | For | For | |||||||||
| 04 | CONSIDERING AND, IF DEEMED APPROPRIATE, PASSING, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO RATIFY, CONFIRM AND APPROVE THE AMENDED AND RESTATED SHAREHOLDER RIGHTS PLAN OF THE COMPANY, AS MORE PARTICULARLY DESCRIBED IN THE COMPANY’S INFORMATION CIRCULAR. | Management | For | For | |||||||||
| 05 | CONSIDERING AND, IF DEEMED APPROPRIATE, PASSING, WITH OR WITHOUT VARIATION, A NON-BINDING ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
Page 27 of 40 |
PROXY VOTING RECORD
| NEWCREST MINING LTD, MELBOURNE VIC | |||
| Security | Q6651B114 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 31-Oct-2014 | |
| ISIN | AU000000NCM7 | Agenda | 705585872 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 3, 4.A AND 4.B VOTES-CAST BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE-PROPOSALS WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANY- ANNOUNCEMENT) 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 PROPOSALS. BY VOTING (FOR OR-AGAINST) ON THE ABOVE MENTIONED PROPOSALS, YOU ACKNOWLEDGE THAT YOU HAVE NOT- OBTAINED BENEFIT NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE- RELEVANT PROPOSALS AND YOU COMPLY WITH THE VOTING EXCLUSION | Non-Voting | ||||||||||
| 2.A | RE-ELECTION OF LADY WINIFRED KAMIT AS A DIRECTOR | Management | For | For | ||||||||
| 2.B | RE-ELECTION OF RICHARD KNIGHT AS A DIRECTOR | Management | For | For | ||||||||
| 3 | ADOPTION OF REMUNERATION REPORT (ADVISORY ONLY) | Management | For | For | ||||||||
| 4.A | GRANT OF PERFORMANCE RIGHTS TO SANDEEP BISWAS | Management | For | For | ||||||||
| 4.B | GRANT OF PERFORMANCE RIGHTS TO GERARD BOND | Management | For | For | ||||||||
| 5 | RENEWAL OF PROPORTIONAL TAKEOVER BID APPROVAL RULE | Management | For | For |
Page 28 of 40 |
PROXY VOTING RECORD
| NEWMONT MINING CORPORATION | |||
| Security | 651639106 | Meeting Type | Annual |
| Ticker Symbol | NEM | Meeting Date | 22-Apr-2015 |
| ISIN | US6516391066 | Agenda | 934135838 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1.1 | ELECTION OF DIRECTOR: B.R. BROOK | Management | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: J.K. BUCKNOR | Management | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: V.A. CALARCO | Management | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: A. CALDERON | Management | For | For | ||||||||
| 1.5 | ELECTION OF DIRECTOR: J.A. CARRABBA | Management | For | For | ||||||||
| 1.6 | ELECTION OF DIRECTOR: N. DOYLE | Management | For | For | ||||||||
| 1.7 | ELECTION OF DIRECTOR: G.J. GOLDBERG | Management | For | For | ||||||||
| 1.8 | ELECTION OF DIRECTOR: V.M. HAGEN | Management | For | For | ||||||||
| 1.9 | ELECTION OF DIRECTOR: J. NELSON | Management | For | For | ||||||||
| 2. | RATIFY APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2015. | Management | For | For | ||||||||
| 3. | APPROVE, ON AN ADVISORY BASIS, NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For |
Page 29 of 40 |
PROXY VOTING RECORD
| PETRA DIAMONDS LTD, HAMILTON | |||
| Security | G70278109 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 27-Nov-2014 | |
| ISIN | BMG702781094 | Agenda | 705661331 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1 | TO RECEIVE THE FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 30 JUNE 2014, TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITORS THEREON | Management | For | For | ||||||||
| 2 | TO APPROVE THE DIRECTORS’ ANNUAL REMUNERATION REPORT FOR THE YEAR ENDED 30 JUNE 2014 | Management | For | For | ||||||||
| 3 | TO APPROVE THE DIRECTORS’ REMUNERATION POLICY AS CONTAINED IN THE 2014 ANNUAL REPORT | Management | For | For | ||||||||
| 4 | TO RE-APPOINT BDO LLP AS AUDITORS TO ACT AS SUCH UNTIL THE CONCLUSION OF THE NEXT AGM OF THE COMPANY | Management | For | For | ||||||||
| 5 | TO AUTHORISE THE DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE AUDITORS | Management | For | For | ||||||||
| 6 | TO RE-APPOINT MR ADONIS POUROULIS, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 7 | TO RE-APPOINT MR CHRISTOFFEL JOHANNES DIPPENAAR, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE- LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 8 | TO RE-APPOINT MR DAVID GARY ABERY, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 9 | TO RE-APPOINT MR JAMES MURRY DAVIDSON, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 10 | TO RE-APPOINT MR ANTHONY CARMEL LOWRIE, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 11 | TO RE-APPOINT DR PATRICK JOHN BARTLETT, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 12 | TO RE-APPOINT MR ALEXANDER GORDON KELSO HAMILTON, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE- LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 13 | TO AUTHORISE THE DIRECTORS OF THE COMPANY TO ALLOT RELEVANT SECURITIES WITHIN THE MEANING OF BYE- LAW 2.4 OF THE COMPANY’S BYE-LAWS | Management | For | For | ||||||||
| 14 | TO DISAPPLY THE PRE-EMPTION PROVISIONS OF BYE-LAW 2.5(A) PURSUANT TO BYE-LAW 2.6(A)(I) OF THE COMPANY’S BYE-LAWS | Management | For | For |
Page 30 of 40 |
PROXY VOTING RECORD
| PRIMERO MINING CORP. | |||
| Security | 74164W106 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | PPP | Meeting Date | 06-May-2015 |
| ISIN | CA74164W1068 | Agenda | 934166287 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | WADE NESMITH | For | For | ||||||||||
| 2 | JOSEPH CONWAY | For | For | ||||||||||
| 3 | DAVID DEMERS | For | For | ||||||||||
| 4 | GRANT EDEY | For | For | ||||||||||
| 5 | ROHAN HAZELTON | For | For | ||||||||||
| 6 | EDUARDO LUNA | For | For | ||||||||||
| 7 | ROBERT QUARTERMAIN | For | For | ||||||||||
| 8 | MICHAEL RILEY | For | For | ||||||||||
| 9 | BRAD MARCHANT | For | For | ||||||||||
| 02 | TO APPOINT KPMG LLP AS AUDITOR OF THE COMPANY TO SERVE UNTIL THE CLOSE OF THE NEXT ANNUAL GENERAL MEETING AND TO AUTHORIZE THE DIRECTORS TO FIX THE AUDITOR’S REMUNERATION. | Management | For | For | |||||||||
| 03 | TO APPROVE THE CONTINUATION OF THE COMPANY’S DIRECTORS’ PHANTOM SHARE UNIT PLAN, DATED FOR REFERENCE MARCH 27, 2012. | Management | For | For | |||||||||
| 04 | TO APPROVE A DEFERRED SHARE UNIT PLAN FOR THE COMPANY. | Management | For | For | |||||||||
| 05 | RESOLVED, ON AN ADVISORY BASIS, AND NOT TO DIMINISH THE ROLE AND RESPONSIBILITIES OF THE BOARD OF DIRECTORS; THAT THE SHAREHOLDERS ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| 06 | TO APPROVE AN ORDINARY RESOLUTION RATIFYING, CONFIRMING AND APPROVING THE COMPANY’S ADVANCE NOTICE POLICY AND AUTHORIZING AN AMENDMENT TO THE COMPANY’S ARTICLES RELATED THERETO. | Management | For | For | |||||||||
| 07 | SHAREHOLDER PROPOSAL NO. 1 | Shareholder | For | For | |||||||||
| 08 | SHAREHOLDER PROPOSAL NO. 2 | Shareholder | For | For | |||||||||
| 09 | SHAREHOLDER PROPOSAL NO. 3 | Shareholder | For | For | |||||||||
| 10 | SHAREHOLDER PROPOSAL NO. 4 | Shareholder | Against | For | |||||||||
Page 31 of 40 |
PROXY VOTING RECORD
| RANDGOLD RESOURCES LIMITED | |||
| Security | 752344309 | Meeting Type | Annual |
| Ticker Symbol | GOLD | Meeting Date | 05-May-2015 |
| ISIN | US7523443098 | Agenda | 934183788 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1. | TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2014 TOGETHER WITH THE DIRECTORS’ REPORTS AND THE AUDITORS REPORT ON THE FINANCIAL STATEMENTS. | Management | For | For | ||||||||
| 2. | TO DECLARE A FINAL DIVIDEND OF US$0.60 PER ORDINARY SHARE RECOMMENDED BY THE DIRECTORS IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2014. | Management | For | For | ||||||||
| 3. | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2014 (OTHER THAN THE DIRECTORS’ REMUNERATION POLICY). | Management | For | For | ||||||||
| 4. | TO APPROVE THE DIRECTORS’ REMUNERATION POLICY. | Management | For | For | ||||||||
| 5. | TO RE-ELECT MARK BRISTOW AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 6. | TO RE-ELECT NORBORNE COLE JR AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 7. | TO RE-ELECT CHRISTOPHER COLEMAN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 8. | TO RE-ELECT KADRI DAGDELEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 9. | TO RE-ELECT JAMIL KASSUM AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 10. | TO RE-ELECT JEANINE MABUNDA LIOKO AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 11. | TO RE-ELECT ANDREW QUINN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 12. | TO RE-ELECT GRAHAM SHUTTLEWORTH AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 13. | TO RE-ELECT KARL VOLTAIRE AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 14. | TO ELECT SAFIATOU BA-N’DAW AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 15. | 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 | ||||||||
| 16. | TO AUTHORISE THE DIRECTORS TO DETERMINE THE REMUNERATION OF THE AUDITORS. | Management | For | For | ||||||||
| 17. | AUTHORITY TO ALLOT SHARES AND GRANT RIGHTS TO SUBSCRIBE FOR, OR CONVERT ANY SECURITY INTO SHARES. | Management | For | For | ||||||||
| 18. | AWARDS OF ORDINARY SHARES TO NON- EXECUTIVE DIRECTORS (OTHER THAN THE SENIOR INDEPENDENT DIRECTOR AND THE CHAIRMAN). | Management | For | For | ||||||||
| 19. | AWARD OF ORDINARY SHARES TO THE SENIOR INDEPENDENT DIRECTOR. | Management | For | For | ||||||||
| 20. | AWARD OF ORDINARY SHARES TO THE CHAIRMAN. | Management | For | For | ||||||||
| 21. | AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS. | Management | For | For | ||||||||
| 22. | AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES. | Management | For | For |
Page 32 of 40 |
PROXY VOTING RECORD
| ROMARCO MINERALS INC. | |||
| Security | 775903206 | Meeting Type | Annual |
| Ticker Symbol | RTRAF | Meeting Date | 12-May-2015 |
| ISIN | CA7759032062 | Agenda | 934193462 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | DIANE R. GARRETT | For | For | ||||||||||
| 2 | JAMES R. ARNOLD | For | For | ||||||||||
| 3 | LEENDERT G. KROL | For | For | ||||||||||
| 4 | ROBERT (DON) MACDONALD | For | For | ||||||||||
| 5 | JOHN O. MARSDEN | For | For | ||||||||||
| 6 | PATRICK MICHAELS | For | For | ||||||||||
| 7 | ROBERT VAN DOORN | For | For | ||||||||||
| 8 | GARY A. SUGAR | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
Page 33 of 40 |
PROXY VOTING RECORD
| ROYAL GOLD, INC. | |||
| Security | 780287108 | Meeting Type | Annual |
| Ticker Symbol | RGLD | Meeting Date | 14-Nov-2014 |
| ISIN | US7802871084 | Agenda | 934082188 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: M. CRAIG HAASE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: KEVIN MCARTHUR | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: CHRISTOPHER M.T. THOMPSON | 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, 2015. | Management | For | For | ||||||||
| 3. | PROPOSAL TO APPROVE THE ADVISORY RESOLUTION RELATING TO EXECUTIVE COMPENSATION. | Management | For | For |
Page 34 of 40 |
PROXY VOTING RECORD
| SEMAFO INC. | |||
| Security | 816922108 | Meeting Type | Annual |
| Ticker Symbol | SEMFF | Meeting Date | 14-May-2015 |
| ISIN | CA8169221089 | Agenda | 934185655 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | TERENCE F. BOWLES | For | For | ||||||||||
| 2 | BENOIT DESORMEAUX | For | For | ||||||||||
| 3 | FLORE KONAN | For | For | ||||||||||
| 4 | JEAN LAMARRE | For | For | ||||||||||
| 5 | JOHN LEBOUTILLIER | For | For | ||||||||||
| 6 | GILLES MASSON | For | For | ||||||||||
| 7 | LAWRENCE MCBREARTY | For | For | ||||||||||
| 8 | TERTIUS ZONGO | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO DETERMINE THEIR COMPENSATION. | Management | For | For | |||||||||
| 03 | ADVISORY RESOLUTION ON THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
Page 35 of 40 |
PROXY VOTING RECORD
| SIBANYE GOLD LIMITED | |||
| Security | S7627H100 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 12-May-2015 | |
| ISIN | ZAE000173951 | Agenda | 705932691 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1.O.1 | RE-APPOINTMENT OF AUDITORS: KPMG INC | Management | For | For | ||||||||
| 2.O.2 | ELECTION OF A DIRECTOR: CD CHADWICK | Management | For | For | ||||||||
| 3.O.3 | ELECTION OF A DIRECTOR: RTL CHAN | Management | For | For | ||||||||
| 4.O.4 | RE-ELECTION OF A DIRECTOR: TJ CUMMING | Management | For | For | ||||||||
| 5.O.5 | RE-ELECTION OF A DIRECTOR: RP MENELL | Management | For | For | ||||||||
| 6.O.6 | RE-ELECTION OF A DIRECTOR: JS VILAKAZI | Management | For | For | ||||||||
| 7.O.7 | RE-ELECTION OF A MEMBER AND CHAIR OF THE AUDIT COMMITTEE: KA RAYNER | Management | For | For | ||||||||
| 8.O.8 | RE-ELECTION OF A MEMBER OF THE AUDIT COMMITTEE: RP MENELL | Management | For | For | ||||||||
| 9.O.9 | RE-ELECTION OF A MEMBER OF THE AUDIT COMMITTEE: NG NIKA | Management | For | For | ||||||||
| 10O10 | RE-ELECTION OF A MEMBER OF THE AUDIT COMMITTEE: SC VAN DER MERWE | Management | For | For | ||||||||
| 11O11 | APPROVAL FOR THE ISSUE OF AUTHORISED BUT UNISSUED ORDINARY SHARES | Management | For | For | ||||||||
| 12O12 | ISSUING EQUITY SECURITIES FOR CASH | Management | For | For | ||||||||
| 13.S1 | APPROVAL FOR THE REMUNERATION OF NON-EXECUTIVE DIRECTORS | Management | For | For | ||||||||
| 14.S2 | APPROVAL FOR THE COMPANY TO GRANT FINANCIAL ASSISTANCE IN TERMS OF SECTION 44 AND 45 OF THE ACT | Management | For | For | ||||||||
| 15.S3 | INCREASE IN AUTHORISED SHARE CAPITAL | Management | For | For | ||||||||
| 16.S4 | APPROVAL OF AMENDED TO THE EXISTING MEMORANDUM OF INCORPORATION | Management | For | For | ||||||||
| 17.S5 | ACQUISITION OF THE COMPANYS OWN SHARES | Management | For | For | ||||||||
| CMMT | 13APR2015: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF AUDITOR NAME.-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 36 of 40 |
PROXY VOTING RECORD
| SILVER LAKE RESOURCES LTD, PERTH | |||
| Security | Q85014100 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 20-Nov-2014 | |
| ISIN | AU000000SLR6 | Agenda | 705617629 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 1, 4, 5, 6 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 (AS REFERRED IN THE COMPANY- ANNOUNCEMENT) 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 THE ABOVE MENTIONED PROPOSAL/S, 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 | ||||||||||
| 2 | RE-ELECTION OF MR PAUL CHAPMAN AS A DIRECTOR | Management | ||||||||||
| 3 | RE-ELECTION OF MR DAVID GRIFFITHS AS A DIRECTOR | Management | ||||||||||
| 4 | ISSUE OF PERFORMANCE RIGHTS TO MR LUKE TONKIN | Management | ||||||||||
| 5 | THAT FOR THE PURPOSES OF SECTIONS 200B AND 200E OF THE CORPORATIONS ACT, AND FOR ALL OTHER PURPOSES, THE TERMINATION PAYMENT DESCRIBED IN THE EXPLANATORY MEMORANDUM WHICH MAY BECOME PAYABLE TO MR LUKE TONKIN, UNDER THE TERMS OF HIS SERVICE AGREEMENT, BE APPROVED | Management | ||||||||||
| 6 | TO RATIFY THE ALLOTMENT OF 65,639,213 ORDINARY SHARES | Management | ||||||||||
| CMMT | 12 NOV 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TE-XT OF RESOLUTION 5. 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 37 of 40 |
PROXY VOTING RECORD
| STORNOWAY DIAMOND CORPORATION | |||
| Security | 86222Q806 | Meeting Type | Annual |
| Ticker Symbol | SWYDF | Meeting Date | 21-Oct-2014 |
| ISIN | CA86222Q8065 | Agenda | 934078975 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | GODIN, PATRICK | For | For | ||||||||||
| 2 | KYLE, HUME | For | For | ||||||||||
| 3 | LEBOUTILLIER, JOHN | For | For | ||||||||||
| 4 | MANSON, MATTHEW | For | For | ||||||||||
| 5 | MERCIER, MONIQUE | For | For | ||||||||||
| 6 | MORIN, GASTON | For | For | ||||||||||
| 7 | NIXON, PETER B. | For | For | ||||||||||
| 8 | SCHERKUS, EBE | For | For | ||||||||||
| 9 | SILVER, DOUGLAS B. | For | For | ||||||||||
| 10 | VEZINA, SERGE | For | For | ||||||||||
| 02 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO ADOPT AN ORDINARY RESOLUTION (THE FULL TEXT OF WHICH IS SET OUT IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR) APPROVING, RATIFYING AND CONFIRMING THE RENEWAL OF THE CORPORATION’S STOCK OPTION PLAN, AS AMENDED (THE “STOCK OPTION PLAN”), AND APPROVING AND AUTHORIZING, FOR A PERIOD OF THREE YEARS AFTER THE DATE OF THE MEETING, ALL UNALLOCATED OPTIONS ISSUABLE PURSUANT TO THE STOCK OPTION PLAN. | Management | For | For | |||||||||
| 03 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO ADOPT AN ORDINARY RESOLUTION (THE FULL TEXT OF WHICH IS SET OUT IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR) APPROVING, RATIFYING AND CONFIRMING THE EXTENSION OF THE EXPIRY DATE OF CERTAIN STOCK OPTIONS GRANTED TO INSIDERS OF THE CORPORATION UNDER THE CORPORATION’S STOCK OPTION PLAN, AS AMENDED. | Management | Against | Against | |||||||||
| 04 | 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 38 of 40 |
PROXY VOTING RECORD
| TAHOE RESOURCES INC. | |||
| Security | 873868103 | Meeting Type | Annual |
| Ticker Symbol | TAHO | Meeting Date | 08-May-2015 |
| ISIN | CA8738681037 | Agenda | 934197294 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | C. KEVIN MCARTHUR | For | For | ||||||||||
| 2 | ALEX BLACK | For | For | ||||||||||
| 3 | TANYA M. JAKUSCONEK | Withheld | Against | ||||||||||
| 4 | A. DAN ROVIG | For | For | ||||||||||
| 5 | PAUL B. SWEENEY | For | For | ||||||||||
| 6 | JAMES S. VOORHEES | For | For | ||||||||||
| 7 | DRAGO KISIC WAGNER | For | For | ||||||||||
| 8 | KENNETH F. WILLIAMSON | For | For | ||||||||||
| 9 | DR. KLAUS ZEITLER | For | For | ||||||||||
| 02 | APPOINTMENT OF DELOITTE
LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR. |
Management | For | For | |||||||||
Page 39 of 40 |
PROXY VOTING RECORD
| TOREX GOLD RESOURCES INC. | |||
| Security | 891054108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | TORXF | Meeting Date | 23-Jun-2015 |
| ISIN | CA8910541082 | Agenda | 934231894 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | FRED STANFORD | For | For | ||||||||||
| 2 | MICHAEL MURPHY | For | For | ||||||||||
| 3 | A. TERRANCE MACGIBBON | Withheld | Against | ||||||||||
| 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 APPROVE ALL UNALLOCATED STOCK OPTIONS UNDER THE COMPANY’S STOCK OPTION PLAN. | Management | For | For | |||||||||
| 04 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO APPROVE ALL UNALLOCATED RESTRICTED SHARE UNITS UNDER THE COMPANY’S RESTRICTED SHARE UNIT PLAN. | Management | For | For | |||||||||
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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 21, 2015 |
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