UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

OMB Number:  3235-0578

 

Expires:    April 30, 2013

 

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FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number  811- 06565

 

H&Q Life Sciences Investors

(Exact name of registrant as specified in charter)

 

2 Liberty Square, 9th Floor, Boston, MA

 

02109

(Address of principal executive offices)

 

(Zip code)

 

Laura Woodward

H&Q Life Sciences Investors

2 Liberty Square, 9th Floor, Boston MA 02109

(Name and address of agent for service)

 

Registrant’s telephone number, including area code:  617-772-8500

 

 

Date of fiscal year end:  September 30

 

 

Date of reporting period:  7/1/10-6/30/11

 

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, no later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4).  The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

 

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public.  A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number.  Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC  20549-0609.  The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.

 

 

 


 

Item 1. Proxy Voting Record.

 


 

HQL N-PX for the period July 1, 2010 to June 30, 2011

 

CUSIP

 

Symbol

Company Name

 

 

00484M106

 

ACOR

Acorda Therapeutics, Inc.

 

 

Meeting Date:

6/16/2011

 

Meeting Type:

Annual

Record Date:

4/19/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Ron Cohen, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Lorin J. Randall

 

For

 

Yes

 

For

 

Management

1

 

Elect director Steven M. Raucher

 

For

 

Yes

 

For

 

Management

2

 

Proposal to ratify the appointment of Ernst & Young LLP as the company’s independent auditors for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Advisory (non-binding) vote on executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

Advisory (non-binding) vote on the frequency of executive compensation advisory votes.

 

1 Year

 

Yes

 

1 Year

 

Management

 

006739106

 

ADUS

Addus Homecare Corporation

 

 

Meeting Date:

7/7/2010

 

Meeting Type:

Annual

Record Date:

5/17/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Mark S. Heany

 

For

 

Yes

 

For

 

Management

1

 

Elect director Simon A. Bachleda

 

For

 

Yes

 

For

 

Management

2

 

Ratification of appointment of BDO Seidman, LLP as independent auditor of the company for its year ending December 31, 2010.

 

For

 

Yes

 

For

 

Management

 

006739106

 

ADUS

Addus Homecare Corporation

 

 

Meeting Date:

6/22/2011

 

Meeting Type:

Annual

Record Date:

4/27/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Steven I. Geringer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Wayne B. Lowell

 

For

 

Yes

 

For

 

Management

1

 

Elect director W. Andrew Wright, III

 

For

 

Yes

 

For

 

Management

2

 

Ratification of appointment of BDO Seidman, LLP as independent auditor of the company for its year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

1


 

00724X102

 

ADLR

Adolor Corporation

 

 

Meeting Date:

5/17/2011

 

Meeting Type:

Annual

Record Date:

3/21/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Armando Anido

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael R. Dougherty

 

For

 

Yes

 

For

 

Management

1

 

Elect director George V. Hager, Jr.

 

For

 

Yes

 

For

 

Management

2

 

Approval of the company’s amended and restated 2011 stock-based incentive compensation plan, which provides for, among other things, an increase in shares under such plan and the extension of the term of such plan.

 

For

 

Yes

 

Against

 

Management

3

 

Ratification of appointment of KPMG LLP as independent registered public accountants for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

00817Y108

 

AET

Aetna Inc.

 

 

Meeting Date:

5/20/2011

 

Meeting Type:

Annual

Record Date:

3/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Mark T. Bertolini

 

For

 

Yes

 

For

 

Management

1

 

Elect director Frank M. Clark

 

For

 

Yes

 

For

 

Management

1

 

Elect director Betsy Z. Cohen

 

For

 

Yes

 

For

 

Management

1

 

Elect director Molly J. Coye, MD

 

For

 

Yes

 

For

 

Management

1

 

Elect director Roger N. Farah

 

For

 

Yes

 

For

 

Management

1

 

Elect director Barbara Hackman Franklin

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jeffrey E. Garten

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gerald Greenwald

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ellen M. Hancock

 

For

 

Yes

 

For

 

Management

1

 

Elect director Richard J. Harrington

 

For

 

Yes

 

For

 

Management

1

 

Elect director Edward J. Ludwig

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph P. Newhouse

 

For

 

Yes

 

For

 

Management

2

 

Approval of independent registered public accounting firm.

 

For

 

Yes

 

For

 

Management

3

 

Approval of amendment to Aetna Inc. 2010 stock incentive Plan.

 

For

 

Yes

 

For

 

Management

4

 

Approval of Aetna Inc. 2011 epmloyee stock purchase plan.

 

For

 

Yes

 

For

 

Management

5

 

Non-binding advisory vote on executive compensation

 

For

 

Yes

 

For

 

Management

6

 

Non-binding advisory vote on the frequency of the vote on executive compensation.

 

N/A

 

Yes

 

1 Year

 

Management

7

 

Shareholder proposal on cumulative voting.

 

Against

 

Yes

 

Against

 

Shareholder

8

 

Shareholder proposal on independent chairman.

 

Against

 

Yes

 

For

 

Shareholder

 

2


 

00826A109

 

AFFY

Affymax, Inc.

 

 

Meeting Date:

5/25/2011

 

Meeting Type:

Annual

Record Date:

3/31/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Hollings C. Renton

 

For

 

Yes

 

For

 

Management

1

 

Elect director John P. Walker

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP as independent registered public accounting firm  for its fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To Approve, on an advisory basis, the compensation of the company’s executive officers, as disclosed in the proxy statement.

 

For

 

Yes

 

For

 

Management

4

 

To approve the frequency of stockholder votes on the compensation of the company’s executive officers.

 

3 years

 

Yes

 

1 Year

 

Management

 

00826T108

 

AFFX

Affymetrix, Inc.

 

 

Meeting Date:

5/5/2011

 

Meeting Type:

Annual

Record Date:

3/15/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Stephen P.A. Fodor

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kevin M. King

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nelson C. Chan

 

For

 

Yes

 

For

 

Management

1

 

Elect director John D. Diekman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gary S. Guthart

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jami Dover Nachtsheim

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert H. Trice

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert P. Wayman

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP as independent registered public accounting firm  for its fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To Approve, on an advisory basis, the compensation of the company’s executive officers, as disclosed in the proxy statement.

 

For

 

Yes

 

For

 

Management

4

 

To approve the frequency of stockholder votes on the compensation of the company’s executive officers.

 

3 Years

 

Yes

 

2 Years

 

Management

 

3


 

009728106

 

AKRX

Akorn, Inc.

 

 

Meeting Date:

4/29/2011

 

Meeting Type:

Annual

Record Date:

3/11/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To elect John N. Kapoor, PH.D

 

For

 

Yes

 

For

 

Management

1

 

To elect Ronald M. Johnson

 

For

 

Yes

 

For

 

Management

1

 

To elect Brian Tambi

 

For

 

Yes

 

For

 

Management

1

 

To elect Steven J. Meyer

 

For

 

Yes

 

For

 

Management

1

 

To elect Alan Weinstein

 

For

 

Yes

 

For

 

Management

1

 

To elect Kenneth S. Abramowitz

 

For

 

Yes

 

For

 

Management

2

 

Proposal to ratify the selection of Ernst & Young LLP to serve as Akorn’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Say on pay- an advisory vote approval of the company’s executive compensation program.

 

For

 

Yes

 

For

 

Management

4

 

Say when to pay- an advisory vote on the frequency of future shareholder votes on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

 

015351109

 

ALXN

Alexion Pharmaceuticals, Inc.

 

 

Meeting Date:

5/11/2011

 

Meeting Type:

Annual

Record Date:

3/17/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Leonard Bell

 

For

 

Yes

 

For

 

Management

1

 

Elect director Max Link

 

For

 

Yes

 

For

 

Management

1

 

Elect director William R. Keller

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph A. Madri

 

For

 

Yes

 

For

 

Management

1

 

Elect director Larry L. Mathis

 

For

 

Yes

 

For

 

Management

1

 

Elect director R. Douglas Norby

 

For

 

Yes

 

For

 

Management

1

 

Elect director Alvin S. Parven

 

For

 

Yes

 

For

 

Management

1

 

Elect director Andreas Rummelt

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ann M. Veneman

 

For

 

Yes

 

For

 

Management

2

 

Approval of the Amendment to Alexion’s amended and restated certificate of incorporation to provide for an increase in the number of shares of common stock authorized for issuance from 145,000,000 to 290,000,000.

 

For

 

Yes

 

For

 

Management

3

 

Ratification of appointment by the board of directors of PricewaterhouseCoopers LLP as Alexion’s independent registered public accounting firm.

 

For

 

Yes

 

For

 

Management

4

 

Approval of a non-binding advisory vote of the compensation paid to Alexion’s named executive officers.

 

For

 

Yes

 

For

 

Management

5

 

Recommend, by non-binding vote, the frequency of future advisory votes on executive compensation.

 

1 Year

 

Yes

 

2 Years

 

Management

 

4


 

016255101

 

ALGN

Align Technology, Inc.

 

 

Meeting Date:

5/19/2011

 

Meeting Type:

Annual

Record Date:

3/23/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director David E. Collins

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph Lacob

 

For

 

Yes

 

For

 

Management

1

 

Elect director C. Raymond Larkin, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director George J. Morrow

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dr. David Nagel

 

For

 

Yes

 

For

 

Management

1

 

Elect director Thomas M. Prescott

 

For

 

Yes

 

For

 

Management

1

 

Elect director Greg J. Santora

 

For

 

Yes

 

For

 

Management

1

 

Elect director Warren S. Thaler

 

For

 

Yes

 

For

 

Management

2

 

Proposal to ratify the appointment of PricewaterhouseCoopers LLP as Align Technology, Inc.’s independent registered public accountants for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Approve amendment to 2005 equity incentive plan.

 

For

 

Yes

 

Against

 

Management

4

 

Advisory vote on executive compensation.

 

For

 

Yes

 

For

 

Management

5

 

Advisory vote on the frequency of holding an advisory vote on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

 

031162100

 

AMGN

Amgen Inc.

 

 

Meeting Date:

5/20/2011

 

Meeting Type:

Annual

Record Date:

3/19/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Dr. David Baltimore

 

For

 

Yes

 

For

 

Management

1

 

Elect director Frank J. Biondi, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Francois de Carbonnel

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dr. Vance D. Coffman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dr. Rebecca M. Henderson

 

For

 

Yes

 

For

 

Management

1

 

Elect director Frank C. Herringer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dr. Gilbert S. Omenn

 

For

 

Yes

 

For

 

Management

1

 

Elect director Judith C. Pelham

 

For

 

Yes

 

For

 

Management

1

 

Elect director Adm. J. paul Reason, UsN

 

For

 

Yes

 

For

 

Management

1

 

Elect director Leonard D. Schaeffer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kevin W. Sharer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dr. Ronald D. Sugar

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve the advisory vote on compensation.

 

For

 

Yes

 

For

 

Management

4

 

To set the frequency of future advisory votes on compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

Stockholder proposal #1 (Action by Written Consent)

 

Against

 

Yes

 

Against

 

Shareholder

 

5


 

032346108

 

AMLN

Amylin Pharmaceuticals, Inc.

 

 

Meeting Date:

5/24/2011

 

Meeting Type:

Annual

Record Date:

4/1/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Adrian Adams

 

For

 

Yes

 

For

 

Management

1

 

Elect director Teresa Beck

 

For

 

Yes

 

For

 

Management

1

 

Elect director M. Kathleen Behrens

 

For

 

Yes

 

For

 

Management

1

 

Elect director Daniel M. Bradbury

 

For

 

Yes

 

Withheld

 

Management

1

 

Elect director Paul N. Clark

 

For

 

Yes

 

For

 

Management

1

 

Elect director Paulo F. Costa

 

For

 

Yes

 

For

 

Management

1

 

Elect director Alexander Denner

 

For

 

Yes

 

For

 

Management

1

 

Elect director Karin Eastham

 

For

 

Yes

 

For

 

Management

1

 

Elect director James R. Gavin III

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jay S. Skyler

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph P. Sullivan

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of the company for its fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the frequency of future advisory votes on compensation of the company’s named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

 

032346108

 

AMS.L

Antisoma PLC

 

 

Meeting Date:

11/16/2010

 

Meeting Type:

Annual

Record Date:

10/12/10

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To receive financial statements with the Director’s report and independent auditors report.

 

For

 

Yes

 

For

 

Management

2

 

To receive the report on the Board on Directors’ renumeration for the year ended June 30, 2010.

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Barry Price

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Michael Pappas

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Grahame Cook

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Glyn Edwards

 

For

 

Yes

 

For

 

Management

3

 

To re-appoint Director Birgit Stattin-Norinder

 

For

 

Yes

 

For

 

Management

4

 

To re-appoint PricewaterhouseCoopers LLP as the Company’s auditors.

 

For

 

Yes

 

For

 

Management

5

 

To give directors the authority to determine their renumeration.

 

For

 

Yes

 

For

 

Management

6

 

To authorise the directors to allot shares.

 

For

 

Yes

 

For

 

Management

 

04033A100

 

ARIA

Ariad Pharmaceuticals, Inc.

 

 

Meeting Date:

6/23/2011

 

Meeting Type:

Annual

Record Date:

4/28/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Jay R. Lamarche

 

For

 

Yes

 

For

 

Management

1

 

Elect director Norbert G. Riedel, Ph. D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert M. Whelan, Jr.

 

For

 

Yes

 

For

 

Management

2

 

To re-approve the performance objectives and other applicable provisions set forth in our 2006 long-term incentive plan, as amended, for purposes of complying with Section 162(M) of the Internal Revenue Code of 1986, as amended.

 

For

 

Yes

 

For

 

Management

3

 

To ratify the selection of Deloitte & Touche LLP to be our independent registered public accounting firm for the year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

4

 

To consider an advisory vote on compensation of our named executive officers as disclosed in the proxy statement.

 

For

 

Yes

 

For

 

Management

5

 

To consider an advisory vote on the frequency of holding an advisory vote on compensation of our named executive officers.

 

3 Years

 

Yes

 

1 Year

 

Management

 

6


 

05334D107

 

AUXL

Auxilium Pharmaceuticals, Inc.

 

 

Meeting Date:

6/16/2011

 

Meeting Type:

Annual

Record Date:

4/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Rolf A. Classon

 

For

 

Yes

 

For

 

Management

1

 

Elect director Al Altomari

 

For

 

Yes

 

For

 

Management

1

 

Elect director Armando Anido

 

For

 

Yes

 

For

 

Management

1

 

Elect director Peter C. Brandt

 

For

 

Yes

 

For

 

Management

1

 

Elect director Oliver S. Fetzer, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Paul A. Friedman, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Renato Fuchs, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nancy S. Lurker

 

For

 

Yes

 

For

 

Management

1

 

Elect director William T. McKee

 

For

 

Yes

 

For

 

Management

2

 

Approve amendment and restatement of the 2004 equity compensation plan to increase the number of shares of common stock authorized for issuance by 3,750,000 shares from 10,650,000 to 14,400,000 shares, subject to the limitation that of those 3,750,000 shares only 3,000,000 shares may be issued pursuant to stock awards, stock units and other equity-based awards.

 

For

 

Yes

 

Against

 

Management

3

 

Ratification of PricewaterhouseCoopers LLP as the company’s independent registered public accounting firm for the fiscal year ending Decemeber 31, 2011.

 

For

 

Yes

 

For

 

Management

4

 

To approve, on an advisory basis, the compensation paid to named executive officers, as disclosed pursuant to the compensation disclosure rules of the Securities and Exchange Commission, including the compensation discussion and analysis, the compensation tables and any related materials disclosed in this proxy statement.

 

For

 

Yes

 

For

 

Management

5

 

To approve, on an advisory basis, an annual advisory vote on the compensation of our named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

 

09061G101

 

BMRN

Biomarin Pharmaceutical Inc.

 

 

Meeting Date:

5/12/2011

 

Meeting Type:

Annual

Record Date:

3/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Jean-Jacques Bienaime

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael Grey

 

For

 

Yes

 

For

 

Management

1

 

Elect director Elaine J. Herom

 

For

 

Yes

 

For

 

Management

1

 

Elect director Pierre Lapalme

 

For

 

Yes

 

For

 

Management

1

 

Elect director V. Bryan Lawlis

 

For

 

Yes

 

For

 

Management

1

 

Elect director Alan Lewis

 

For

 

Yes

 

For

 

Management

1

 

Elect director Richard A. Meier

 

For

 

Yes

 

For

 

Management

1

 

Elect director William D. Young

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kenneth M. Bate

 

For

 

Yes

 

For

 

Management

2

 

Vote on an advisory basis to approve the compensation of executive officers, as disclosed in its proxy statement.

 

For

 

Yes

 

For

 

Management

3

 

Vote on an advisory basis the frequency at which executive compensation will be subject to future advisory stockholder votes.

 

1 Year

 

Yes

 

1 Year

 

Management

4

 

Ratification KPMG LLP as the independent registered public accounting firm for the year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

7


 

116794108

 

BRKR

Bruker Corporation

 

 

Meeting Date:

5/12/2011

 

Meeting Type:

Annual

Record Date:

3/31/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director Stephen W. Fesik

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Dirk D. Laukien

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Richard M. Stein

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Charles F. Wagner, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Bernard Wangler

 

For

 

Yes

 

For

 

Management

2

 

To ratify Ernst & Young LLP as our independent auditors for the fiscal year 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve by non-binding advisory vote, compensation of the named executive officers.

 

For

 

Yes

 

For

 

Management

4

 

To recommend, by non-binding advisory vote, the frequency of executive compensation votes.

 

3 Years

 

Yes

 

2 Years

 

Management

 

12738T100

 

CADX

Cadence Pharmaceuticals, Inc.

 

 

Meeting Date:

6/15/2011

 

Meeting Type:

Annual

Record Date:

4/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect Director James C. Blair

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Alan D. Frazier

 

For

 

Yes

 

For

 

Management

1

 

Elect Director Christopher J. Twomey

 

For

 

Yes

 

For

 

Management

2

 

To approve, a non-binding advisory resolution regarding the compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

3

 

To recommend, by non-binding advisory vote, the frequency of stockholder non-binding advisory votes regarding the compensation of the company’s named executive officers.

 

3 years

 

Yes

 

1 year

 

Management

4

 

To ratify the appointment of Ernst & Young LLP as our independent auditors for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

CardioKintetix, Inc.

 

 

Action by Written Consent:

12/11/2010

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve the Amended and Restated Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

2

 

Approve the Sale and Issuance of Series D Preferred Stock

 

For

 

Yes

 

For

 

Management

3

 

Approve the Amendment to the Bylaws of the Company.

 

For

 

Yes

 

For

 

Management

4

 

Approve Wavier of Right of First Offer.

 

For

 

Yes

 

For

 

Management

5

 

Approve the Amendment to the 2002 Stock Plan.

 

For

 

Yes

 

For

 

Management

6

 

Approve that all actions by an officer of the Company are authorized if deemed necessary to carry out the foregoing resolutions.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

CardioKintetix, Inc.

 

 

Action by Written Consent:

4/19/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve the Amendment and Restated Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

2

 

Approve that all actions by an officer of the Company are authorized if deemed necessary to carry out the foregoing resolutions.

 

For

 

Yes

 

For

 

Management

 

8


 

151020104

 

CELG

Celgene Corporation

 

 

Meeting Date:

6/15/2011

 

Meeting Type:

Annual

Record Date:

4/19/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Robert J. Hugin

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael D. Casey

 

For

 

Yes

 

For

 

Management

1

 

Elect director Carrie S. Cox

 

For

 

Yes

 

For

 

Management

1

 

Elect director Rodman L. Drake

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael A. Friedman, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gilla Kaplan, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director James J. Loughlin

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ernest Mario, Ph.D.

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the appointment of KPMG LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Approval of an amendment to the company’s 2008 stock incentive plan.

 

For

 

Yes

 

For

 

Management

4

 

Approval, by non-binding vote, of executive compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

5

 

To recommend, by non-binding vote, the frequency of executive compensation votes.

 

3 Years

 

Yes

 

1 year

 

Management

 

156708109

 

CEPH

Cephalon, Inc.

 

 

Meeting Date:

5/10/2011

 

Meeting Type:

Annual

Record Date:

3/14/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director J. Kevin Buchi

 

For

 

Yes

 

For

 

Management

1

 

Elect director William P. Egan

 

For

 

Yes

 

For

 

Management

1

 

Elect director Charles J. Homcy, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Martyn D. Greenacre

 

For

 

Yes

 

For

 

Management

1

 

Elect director Vaughn M. Kailian

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kevin E. Moley

 

For

 

Yes

 

For

 

Management

1

 

Elect director C.A. Sanders, MD

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gail R. Wilensky, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dennis L. Winger

 

For

 

Yes

 

For

 

Management

2

 

Approval of amendment and restatement of the 2011 Equity Compensation Plan.

 

For

 

Yes

 

For

 

Management

3

 

Ratification of the appointment of PricewaterhouseCoopers LLP as independent registered public accountants for the year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

4

 

To approve an advisory resolution regarding executive compensation.

 

For

 

Yes

 

For

 

Management

5

 

To vote on an advisory basis regarding the frequency of advisory stockholder votes regarding executive compensation.

 

2 Years

 

Yes

 

2 years

 

Management

 

9


 

159864107

 

CRL

Charles River Laboratories Intl., Inc.

 

Meeting Date:

5/10/2011

 

Meeting Type:

Annual

Record Date:

3/14/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director James C. Foster

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert J. Bertolini

 

For

 

Yes

 

For

 

Management

1

 

Elect director Stephen D. Chubb

 

For

 

Yes

 

For

 

Management

1

 

Elect director Deborah T. Kochevar

 

For

 

Yes

 

For

 

Management

1

 

Elect director George E. Massaro

 

For

 

Yes

 

For

 

Management

1

 

Elect director George M. Milne, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director C. Richard Reese

 

For

 

Yes

 

For

 

Management

1

 

Elect director Samuel O. Their

 

For

 

Yes

 

For

 

Management

1

 

Elect director Richard F. Wallman

 

For

 

Yes

 

For

 

Management

1

 

Elect director William H. Waltrip

 

For

 

Yes

 

For

 

Management

2

 

Proposal to approve an amendment to the company’s 2007 Incentive Plan to increase the number of shares of common stock for issuance thereunder from 8,800,000 to 12,164,000.

 

For

 

Yes

 

For

 

Management

3

 

Say on Pay- an advisory vote on the approval of executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

Say on Pay- an advisory vote on the approval of the frequency of shareholder votes on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

To ratify the appointment of PricewaterhouseCoopers LLP as the company’s independent registered public accountants for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

21924P103

 

CRTX

Cornerstone Therapeutics Inc.

 

 

Meeting Date:

5/18/2011

 

Meeting Type:

Annual

Record Date:

3/28/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Craig A. Collard

 

For

 

Yes

 

For

 

Management

1

 

Elect director Christophe Codeanne

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael Enright

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael Heffernan

 

For

 

Yes

 

For

 

Management

1

 

Elect director Allessandro Chiesi

 

For

 

Yes

 

For

 

Management

1

 

Elect director Anton Giorgio Failla

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert M. Stephan

 

For

 

Yes

 

For

 

Management

1

 

Elect director Marco Vecchia

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection by the audit committee of Grant Thornton LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the frequency of future advisory votes on executive compensation.

 

3 Years

 

Yes

 

1 Year

 

Management

 

10


 

218352102

 

CORT

Corcept Therapeutics Inc.

 

 

Meeting Date:

5/19/2011

 

Meeting Type:

Annual

Record Date:

4/11/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director G. Leonard Baker, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph K. Belanoff, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph C. Cook, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Patrick G. Enright

 

For

 

Yes

 

For

 

Management

1

 

Elect director David L. Mahoney

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph L. Turner

 

For

 

Yes

 

For

 

Management

1

 

Elect director James N. Wilson

 

For

 

Yes

 

For

 

Management

2

 

To approve by non-biding vote, the compensation of our named executive officers.

 

For

 

Yes

 

For

 

Management

3

 

To recommend, by non-binding vote, the frequency of the advisory vote on the compensation of our named executive officers.

 

3 Years

 

Yes

 

1 Year

 

Management

4

 

To ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

229678107

 

CBST

Cubist Pharmaceuticals, Inc.

 

 

Meeting Date:

6/2/2011

 

Meeting Type:

Annual

Record Date:

4/7/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Martin Rosenberg

 

For

 

Yes

 

For

 

Management

1

 

Elect director Matthew Singleton

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael Wood

 

For

 

Yes

 

For

 

Management

2

 

To consider and vote whether to approve, on an advisory basis, the compensation paid to our named executive officers.

 

For

 

Yes

 

For

 

Management

3

 

To consider and vote, on an advisory basis, on how frequently we should seek approval from our stockholders, on an adivisory basis, of the compensation paid to our named executive officers.

 

3 Years

 

Yes

 

1 Year

 

Management

4

 

A proposal to ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

11


 

24823Q107

 

DNDN

Dendreon Corporation

 

 

Meeting Date:

6/21/2011

 

Meeting Type:

Annual

Record Date:

4/21/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Richard B. Brewer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Mitchell H. Gold, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Pedro Grandillo

 

For

 

Yes

 

For

 

Management

1

 

Elect director David C. Stump, M.D.

 

For

 

Yes

 

For

 

Management

2

 

Approval of the ratification of the selection of Ernst & Young LLP as the company’s independent registered public accounting firm for the current year.

 

For

 

Yes

 

For

 

Management

3

 

To recommend, on an advisory basis, the approval of the company’s overall executive compensation program.

 

For

 

Yes

 

For

 

Management

4

 

To recommend, on an advisory basis, the frequency of an advisory vote on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

 

284131208

 

ELN

Elan Corporation, PLC

 

 

Meeting Date:

5/26/2011

 

Meeting Type:

Annual

Record Date:

4/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To receive and consider the financial statements for the year ended December 31, 2011 together with the reports of the directors and auditors thereon.

 

For

 

Yes

 

For

 

Management

2

 

To elect Mr. Robert Ingram who retires from the board in accordance with the Article of Association.

 

For

 

Yes

 

For

 

Management

3

 

To re-elect Mr. Giles Kerr who retires from the board by rotation in accordance with the requirements of the Articles of Association

 

For

 

Yes

 

For

 

Management

4

 

To re-elect Mr. Kieran McGowan who retires from the board in accordance with the requirements of the combined code.

 

For

 

Yes

 

For

 

Management

5

 

To re-elect Mr. Kyran McLaughlin who retires from the board in accordance with the requirements of the combined code.

 

For

 

Yes

 

For

 

Management

6

 

To re-elect Dr. Dennis Selkoe who retires from the board in accordance with the requirements of the combined code.

 

For

 

Yes

 

For

 

Management

7

 

To authorise the directors to fix remuneration of the auditors.

 

For

 

Yes

 

For

 

Management

8

 

To authorise the directors to allot and issue relevant securities.

 

For

 

Yes

 

For

 

Management

9

 

To authorise the disapplication of pre-emption rights.

 

For

 

Yes

 

For

 

Management

10

 

To authorise the company to make market purchases of its own shares.

 

For

 

Yes

 

For

 

Management

11

 

To set the re-issue price range for treasury shares.

 

For

 

Yes

 

For

 

Management

12

 

To retain a 14 day notice period for extraodinary general meetings.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Eleme Medical, Inc.

 

 

Action by Written Consent:

1/10/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve Consent of Assignment of Eleme Medical, Inc.

 

For

 

Yes

 

For

 

Management

 

12


 

N31010106

 

EURX

Eurand N V

 

 

Meeting Date:

1/19/2011

 

Meeting Type:

Special

Record Date:

12/22/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To appoint John J. Fraher as executive director ‘A’ and chief executive officer of the company.

 

For

 

Yes

 

For

 

Management

1

 

To appoint Cecilia Gonzalo as non-executive director ‘B’of the company.

 

For

 

Yes

 

For

 

Management

2

 

To review and approve compensation for John J. Fraher, executive director and chief executive officer of the company.

 

For

 

Yes

 

For

 

Management

2

 

To review and approve compensation for Angelo C. Malahias, chairman of the board of the company.

 

For

 

Yes

 

For

 

Management

2

 

To review and approve compensation for Celcilia Gonzalo as a Director of the company.

 

For

 

Yes

 

For

 

Management

3

 

To grant a discharge to the resigning directors (Gearoid Faherty and Jonathan Cosgrave) in respect of their management.

 

For

 

Yes

 

For

 

Management

4

 

To approve the share purchase agreement by and among the company, Axcan Holdings Inc. and Axcan Pharma Holding B.V.

 

For

 

Yes

 

For

 

Management

5

 

To review and approve sale of all assets & liabilites of company to Axcan Pharma Holding B.V. or one or more of its designees.

 

For

 

Yes

 

For

 

Management

6

 

To review and approve the designation of the members of special committee with respect to sale of assets and liabilities of the company.

 

For

 

Yes

 

For

 

Management

7

 

To appoint Richard Tarte, VP, corporate development and counsel of Axcan, as an executive director ‘A’of the company.

 

For

 

Yes

 

For

 

Management

7

 

To appoint Richard Devleeschouwer, Senior Vice President, CFO of Axcan, as an executive director ‘A’of the company.

 

For

 

Yes

 

For

 

Management

7

 

To appoint Steve Gannon, Senior Vice President, CFO of Axcan, as executive director ‘A’ of the company.

 

For

 

Yes

 

For

 

Management

8

 

To approve the dissolution of the company, effective upon the completion of the subsequent offering period.

 

For

 

Yes

 

For

 

Management

9

 

To approve the appointment of books and records of company upon termination of liquidation.

 

For

 

Yes

 

For

 

Management

10

 

To approve any other resolution tabled in connection with the above.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Euthymics Biosciences, Inc.

 

 

Action by Written Consent:

11/30/2010

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve Amendment No. 1 to First Amended and Restated Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

2

 

To increase in Authorized Shares of Series A Preferred Stock.

 

For

 

Yes

 

For

 

Management

3

 

Approve Amendment No. 1 to 2010 Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Euthymics Biosciences, Inc.

 

 

Action by Written Consent:

3/8/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve Amendment No. 2 to Fifth Amended and Restated Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

2

 

Approve Amendment No. 2 to the 2010 Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

3

 

Approve the Waiver of Right of First Refusal under Investor’s Rights Agreement.

 

For

 

Yes

 

For

 

Management

 

13


 

345838106

 

FRX

Forest Laboratories, Inc.

 

 

Meeting Date:

8/9/2010

 

Meeting Type:

Annual

Record Date:

6/18/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Howard Solomon

 

For

 

Yes

 

For

 

Management

1

 

Elect director Lawrence S. Olanoff, MD, Phd

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nesli Basgoz, MD

 

For

 

Yes

 

For

 

Management

1

 

Elect director William J. Candee, III

 

For

 

Yes

 

For

 

Management

1

 

Elect director George S. Cohen

 

For

 

Yes

 

For

 

Management

1

 

Elect director Dan L. Goldwasser

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kenneth E. Goodman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Lester B. Salans, MD

 

For

 

Yes

 

For

 

Management

1

 

Elect director Peter J. Zimetbaum, MD

 

For

 

Yes

 

For

 

Management

2

 

Approval of the amendment to the 2007 Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

3

 

Approval of the company’s executive compensation philosophy, policies and procedures, all as more fully described in the proxy statement.

 

For

 

Yes

 

For

 

Management

4

 

Ratification of the selection of BDO Seidman, LLP as independent registered public accounting firm for the fiscal year.

 

For

 

Yes

 

For

 

Management

5

 

Approval of the stockholder proposal to amend the by-laws of the company to provide for reimbursement of expenses incurred by a stockholder or group of stockholders in connection with nominating one or more director candidates in certain circumstances as described in proposal 5. *Note* such other business as may come before the meeting.

 

Against

 

Yes

 

For

 

Shareholder

 

36866T103

 

GPRO

Gen-Probe Incorporated

 

 

Meeting Date:

5/19/2011

 

Meeting Type:

Annual

Record Date:

3/25/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Phillip M. Schneider

 

For

 

Yes

 

For

 

Management

1

 

Elect director Abraham D. Sofaer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Patrick J. Sullivan

 

For

 

Yes

 

For

 

Management

2

 

To approve the amendment and restatement of the 2003 incentive award plan of Gen-Probe Incorporated.

 

For

 

Yes

 

Against

 

Management

3

 

Advisory vote on the compensation of the named executive officers of Gen-Probe Incorporated.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the frequency of future advisory votes on the compensation of the named executive officers of Gen-Probe Incorporated.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

To ratify the selection of Ernst & Young LLP as independent auditors of Gen-Probe incorporated for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

14


 

374163103

 

GERN

Geron Corporation

 

 

Meeting Date:

5/11/2011

 

Meeting Type:

Annual

Record Date:

3/15/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director A.E. Barkas, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Karin Eastham

 

For

 

Yes

 

For

 

Management

2

 

To approve the 2011 Incentive Award Plan that will replace the 2002 Equity Incentive Plan, which is expiring.

 

For

 

Yes

 

For

 

Management

3

 

An advisory vote to approve on executive compensation.

 

For

 

Yes

 

Against

 

Management

4

 

An advisory vote to approve the frequency of holding future advisory votes on executive compensation every 1, 2 or 3 years.

 

3 Years

 

Yes

 

1 Year

 

Management

5

 

To ratify appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

6

 

As said proxies deem advisable on such other matters as may come before the meeting and any adjournment(s) or postponement(s) thereof.

 

For

 

Yes

 

For

 

Management

 

375558103

 

GILD

Gilead Sciences, Inc.

 

 

Meeting Date:

5/12/2011

 

Meeting Type:

Annual

Record Date:

3/16/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director John F. Cogan

 

For

 

Yes

 

For

 

Management

1

 

Elect director Etienne F. Davignon

 

For

 

Yes

 

For

 

Management

1

 

Elect director James M. Denny

 

For

 

Yes

 

For

 

Management

1

 

Elect director Carla A. Hills

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kevin E. Lofton

 

For

 

Yes

 

For

 

Management

1

 

Elect director John W. Madigan

 

For

 

Yes

 

For

 

Management

1

 

Elect director John C. Martin

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gordon E. Moore

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nicholas G. Moore

 

For

 

Yes

 

For

 

Management

1

 

Elect director Richard J. Whitley

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gayle E. Wilson

 

For

 

Yes

 

For

 

Management

1

 

Elect director Per Wold-Olsen

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP by the audit committee of the board of directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve the amended and restated Gilead Science, Inc. Code Section 162(M) Bonus Plan and certain performance-based provisions thereunder.

 

For

 

Yes

 

For

 

Management

4

 

To approve amendments to Gilead’s restated certificate of incorporation to adopt majority voting standards.

 

For

 

Yes

 

For

 

Management

5

 

To approve amendments to Gilead’s amended and restated bylaws to permit holders of at least 20% of the voting power of the outstanding capital stock to call a special meeting of stockholders.

 

For

 

Yes

 

For

 

Management

6

 

To vote on an advisory resolution to approve the compensation of Gilead’s named executive officers as presented in its proxy statement.

 

For

 

Yes

 

For

 

Management

7

 

To vote on an advisory basis as to the frequency with which executive compensation will be subject to future advisory stockholder votes.

 

1 Year

 

Yes

 

1 Year

 

Management

 

15


 

40637H109

 

HALO

Halozyme Therapeutics, Inc.

 

 

Meeting Date:

5/5/2011

 

Meeting Type:

Annual

Record Date:

3/15/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Kathryn E. Falberg

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kenneth J. Kelley

 

For

 

Yes

 

For

 

Management

2

 

To approve our 2011 Stock Plan.

 

For

 

Yes

 

For

 

Management

3

 

To approve, by advisory vote, the company’s executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

To approve, by advisory vote, the frequency of executive compensation stockholder votes.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

To ratify appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

436440101

 

HOLX

Hologic, Inc.

 

 

Meeting Date:

3/2/2011

 

Meeting Type:

Annual

Record Date:

1/7/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director John W. Cumming

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert A. Cascella

 

For

 

Yes

 

For

 

Management

1

 

Elect director Sally W. Crawford

 

For

 

Yes

 

For

 

Management

1

 

Elect director David R. Lavance, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nancy L. Leaming

 

For

 

Yes

 

For

 

Management

1

 

Elect director Lawrence M. Levy

 

For

 

Yes

 

For

 

Management

1

 

Elect director Glenn P. Muir

 

For

 

Yes

 

For

 

Management

1

 

Elect director Elaine S. Ullian

 

For

 

Yes

 

For

 

Management

1

 

Elect director Wayne Wilson

 

For

 

Yes

 

For

 

Management

2

 

To approve on an advisory basis, the compensation of the named executive officers, including the compensation discussion and analysis, the 2010 summary compensation table and other related tables and disclosure.

 

For

 

Yes

 

For

 

Management

3

 

To elect the option of once every year, two years, or three years to be the preferred frequency with which the company is to hold a stockholder vote to approve compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

4

 

To consider and act upon ratification of the appointment of Ernst & Young LLP as Hologic’s independent registered public accounting firm.

 

For

 

Yes

 

For

 

Management

 

16


 

444903108

 

HGSI

Human Genome Sciences, Inc.

 

 

Meeting Date:

5/11/2011

 

Meeting Type:

Annual

Record Date:

3/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Richard J. Danzig

 

For

 

Yes

 

For

 

Management

1

 

Elect director Colin Goddard, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Maxine Gowen, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Tuan Ha-Ngoc

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jerry Karabelas, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director John L. Lamattina, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Augustine Lawlor

 

For

 

Yes

 

For

 

Management

1

 

Elect director George J. Marrow

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gregory Norden

 

For

 

Yes

 

For

 

Management

1

 

Elect director H. Thomas Watkins

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert C. Young, M.D.

 

For

 

Yes

 

For

 

Management

2

 

To ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending Decemeber 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve the amendment of the company’s Stock Incentive Plan.

 

For

 

Yes

 

For

 

Management

4

 

To approve on an advisory basis, the compensation of the named executive officers.

 

For

 

Yes

 

For

 

Management

5

 

To advise on the frequency of the advisory vote on executive compensation.

 

3 Years

 

Yes

 

1 Year

 

Management

 

45168D104

 

IDXX

IDEXX Laboratories, Inc.

 

 

Meeting Date:

5/4/2011

 

Meeting Type:

Annual

Record Date:

3/7/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Thomas Craig

 

For

 

Yes

 

For

 

Management

1

 

Elect director R.M. Henderson, Ph.D.

 

For

 

Yes

 

For

 

Management

2

 

Advisory vote on executive compensation. To approve a non-binding advisory resolution on the company’s executive compensation programs.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on the frequency of advisory vote on executive compensation. To hold a non-binding advisroy vote on the frequency of future advisory votes on the company’s executive compensation programs.

 

1 Year

 

Yes

 

1 Year

 

Management

4

 

To ratify the selection by the audit committee of the board of directors of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the current fiscal year.

 

For

 

Yes

 

For

 

Management

 

17


 

452327109

 

ILMN

Illumina, Inc.

 

 

Meeting Date:

5/10/2011

 

Meeting Type:

Annual

Record Date:

3/14/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Daniel M. Bradbury

 

For

 

Yes

 

For

 

Management

1

 

Elect director Roy A. Whitfield

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gerald Moller, Ph.D.

 

For

 

Yes

 

For

 

Management

2

 

Ratify the appointment of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending January 1, 2012.

 

For

 

Yes

 

For

 

Management

3

 

Approval, on an advisory basis, of executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

An advisory vote on the frequency of holding an advisory vote on executive compensation.

 

1 Year

 

Yes

 

1 Year

 

Management

 

45256B101

 

IPXL

Impax Laboratories, Inc.

 

 

Meeting Date:

5/10/2011

 

Meeting Type:

Annual

Record Date:

3/25/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Leslie Z. Benet, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert L. Burr

 

For

 

Yes

 

For

 

Management

1

 

Elect director Allen Chao, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Nigel Ten Fleming, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Larry Hsu, Ph.d.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael Markbreiter

 

For

 

Yes

 

For

 

Management

1

 

Elect director Peter R. Terreri

 

For

 

Yes

 

For

 

Management

2

 

To approve, by non-binding vote, executive compensation.

 

For

 

Yes

 

For

 

Management

3

 

To recommend, by non-binding vote, the frequency of executive compensation vote.

 

1 Year

 

For

 

1 Year

 

Management

 

45337C102

 

INCY

Incyte Corporation

 

 

Meeting Date:

5/20/2011

 

Meeting Type:

Annual

Record Date:

3/31/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Richard U. De Schutter

 

For

 

Yes

 

For

 

Management

1

 

Elect director Barry M. Ariko

 

For

 

Yes

 

For

 

Management

1

 

Elect director Julian C. Baker

 

For

 

Yes

 

For

 

Management

1

 

Elect director Paul A. Brooke

 

For

 

Yes

 

For

 

Management

1

 

Elect director Wendy L. Dixon

 

For

 

Yes

 

For

 

Management

1

 

Elect director Paul A. Friedman

 

For

 

Yes

 

For

 

Management

1

 

Elect director John F. Niblack

 

For

 

Yes

 

For

 

Management

1

 

Elect director Roy A. Whitfield

 

For

 

Yes

 

For

 

Management

2

 

To approve the amendment to the company’s 2010 Stock Incentive Plan to increase the number of shares availablue for issuance thereunder to

 

For

 

Yes

 

For

 

Management

 

 

12,553,475 shares.

 

For

 

Yes

 

For

 

Management

3

 

To approve the amendment to the company’s 1997 Employee Stock Purchase Plan to increase the number of shares available for issuance thereunder to 8,350,000 shares.

 

For

 

Yes

 

For

 

Management

4

 

To approve on a non-binding, advisory basis, the compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

5

 

To vote, on a non-binding, advisory basis, on the frequency of future non-binding advisory stockholder votes on the compensation of the company’s named officers.

 

1 Year

 

For

 

1 Year

 

Management

6

 

To ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for 2011.

 

For

 

Yes

 

For

 

Management

 

18


 

45719T103

 

INHX

Inhibitex, Inc.

 

 

Meeting Date:

6/16/2011

 

Meeting Type:

Annual

Record Date:

4/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director M. James Barrett, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Russell M. Medford, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director A. Keith Williard

 

For

 

Yes

 

For

 

Management

2

 

To approve, by non-binding advisory vote, the compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

3

 

To consider, but non-binding advisory vote, the frequency of the advisory vote on the compensation of the company’s named executive officers.

 

3 Years

 

For

 

1 Year

 

Management

4

 

To ratify the selection of Ernst & Young LLP as the independent registerd public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

458175101

 

IPCI

Intellipharmaceuticals International, Inc.

 

Meeting Date:

4/8/2011

 

Meeting Type:

Annual

Record Date:

5/19/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To elect Director Dr. Isla Odidi

 

For

 

Yes

 

For

 

Management

1

 

To elect Director Dr. Amina Odidi

 

For

 

Yes

 

For

 

Management

1

 

To elect Director John Allport

 

For

 

Yes

 

For

 

Management

1

 

To elect Director Bahadur Madhani

 

For

 

Yes

 

For

 

Management

1

 

To elect Director Kenneth Keirstead

 

For

 

Yes

 

For

 

Management

1

 

To elect Director Dr. Eldon R. Smith

 

For

 

Yes

 

For

 

Management

2

 

To approve the appointment of Deloitte & Touche as the auditor of the Company and to authorize the directors to fix the auditors renumeration.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Interlace Medical, Inc.

 

 

Action by Written Consent:

1/15/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approval of Certain Compensatory Payments Pursuant to Section 280G of the Internal Revenue Code of 1986, as Amended.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Interlace Medical, Inc.

 

 

Action by Written Consent:

1/15/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approval of merger.

 

For

 

Yes

 

For

 

Management

2

 

Approve appointment of stockholder’s representative Kevin Connors.

 

For

 

Yes

 

For

 

Management

2

 

Approve appointment of stockholder’s representative William Gruber.

 

For

 

Yes

 

For

 

Management

2

 

Approve appointment of stockholder’s representative Milton McColl

 

For

 

Yes

 

For

 

Management

 

46126P106

 

IMA

Inverness Medical Innovations, Inc.

 

 

Meeting Date:

7/14/2010

 

Meeting Type:

Annual

Record Date:

5/25/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Robert P. Khederian

 

For

 

Yes

 

For

 

Management

1

 

Elect director Davis Scott, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Peter Townsend

 

For

 

Yes

 

For

 

Management

1

 

Elect director Eli Y. Adashi, M.D.

 

For

 

Yes

 

For

 

Management

2

 

Approval of an amendment to Inverness Medical Innovations, Inc.’s Amended and restated certificate of incorporation, as amended, to change the name of the company.

 

For

 

Yes

 

For

 

Management

3

 

Approval of the Inverness Medical Innovations, Inc. 2010 Stock Option and Incentive Plan.

 

For

 

Yes

 

For

 

Management

4

 

Approval of an amendment to Inverness Medical Innovations, Inc.’s amended and restated certificate of incorporation, as amended, to increase the number of authorized shares of common stock by 50,000,000 from 150,000,000 to 200,000,000.

 

For

 

Yes

 

For

 

Management

 

19


 

464330109

 

ISIS

ISIS Pharmaceuticals, Inc.

 

 

Meeting Date:

6/16/2011

 

Meeting Type:

Annual

Record Date:

4/20/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Spencer R. Bethelsen

 

For

 

Yes

 

For

 

Management

1

 

Elect director B. Lynne Parshal

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph H. Wender

 

For

 

Yes

 

For

 

Management

2

 

To approve the ISIS Pharmaceuticals, Inc. 2011 Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

3

 

To approve, by non-binding vote, executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

To recommend, by non-binding vote, the frequency of executive compensation votes.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

To ratify the audit committee’s selection of Ernst & Young LLP as independent auditors for our 2011 fiscal year.

 

For

 

Yes

 

For

 

Management

 

492515101

 

KERX

Keryx Biopharmaceuticals, Inc.

 

 

Meeting Date:

6/21/2011

 

Meeting Type:

Annual

Record Date:

4/26/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Ron Bentsur

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kevin J, Cameron

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph Feczko, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Wyche Fowler, Jr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jack kaye

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael P. Tarnok

 

For

 

Yes

 

For

 

Management

2

 

The ratification of appointment of UHY LLP as independent registered public accounting firm for the year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

The compensation of our executive officers as disclosed in our proxy statement.

 

For

 

Yes

 

For

 

Management

4

 

To recommend, by non-binding vote, the frequency of executive compensation votes.

 

2 Years

 

Yes

 

2 Years

 

Management

 

20


 

N/A

 

N/A

Labcyte Inc.

 

 

Action by Written Consent:

12/2/2010

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve the amendment to Loan Financing.

 

For

 

Yes

 

For

 

Management

2

 

Approve the Waiver of Right of First Offer.

 

For

 

Yes

 

For

 

Management

3

 

Approve that all actions by an officer of the Company are authorized if deemed necessary to carry out the foregoing resolutions.

 

For

 

Yes

 

For

 

Management

 

53217V109

 

LIFE

Life Technologies Corporation

 

 

Meeting Date:

4/28/2011

 

Meeting Type:

Annual

Record Date:

2/28/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Balakrishnan S. Iyer

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gregory T. Lucier

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ronald A. Matricaria

 

For

 

Yes

 

For

 

Management

1

 

Elect director David C. U’Prichard, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director William H. Longfield

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ora H. Pescovitz, M.D.

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the appointment of Ernst & Young LLP as independent auditors of the company for fiscal year 2011.

 

For

 

Yes

 

For

 

Management

3

 

Adoption of an amendment to the company’s Certificate of Incorporation.

 

For

 

Yes

 

For

 

Management

4

 

Approval of a non-binding advisory resolution regarding the compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

5

 

Approval of a non-binding advisory vote regarding the frequency of stockholder voting on the compensation of the company’s named executive officers.

 

2 Years

 

Yes

 

2 Years

 

Management

 

N/A

 

N/A

Magellan Biosciences, Inc.

 

 

Action by Written Consent:

7/14/2010

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Adoption and Approval of the Sale and the Purchase Agreement.

 

For

 

Yes

 

For

 

Management

2

 

Approve the Charter Amendment.

 

For

 

Yes

 

For

 

Management

3

 

Approve that all actions by an officer or director of the Company are ratified and confirmed as acts and deeds of the company on the foregoing resolutions.

 

For

 

Yes

 

For

 

Management

 

58501N101

 

MDVN

Medivation, Inc.

 

 

Meeting Date:

7/1/2011

 

Meeting Type:

Annual

Record Date:

5/13/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Daniel D. Adams

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gregory H. Bailey, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kim D. Blickenstaff

 

For

 

Yes

 

For

 

Management

1

 

Elect director David T. Hung, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director W. Anthony Vernon

 

For

 

Yes

 

For

 

Management

2

 

To ratify the appointment of PricewaterhousCoopers LLP as the company’s registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve, on an advisory basis, the compensation of the company’s named executive officers, as disclosed in the proxy statement.

 

For

 

Yes

 

For

 

Management

4

 

To indicate, on an advisory basis, the preferred frequency of stockholder advisory votes on the compensation of the company’s named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

 

21


 

60877T100

 

MNTA

Momenta Pharmaceuticals, Inc.

 

 

Meeting Date:

6/14/2011

 

Meeting Type:

Annual

Record Date:

4/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Marsha H. Fanucci

 

For

 

Yes

 

For

 

Management

1

 

Elect director Peter Barton Hutt

 

For

 

Yes

 

For

 

Management

1

 

Elect director Bruce Downey

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve a non-binding “say on pay” advisory vote on the compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

4

 

To hold a non-binding “say on frequency” advisory vote on the frequency of future non-binding “say on pay” advisory votes.

 

1 Year

 

Yes

 

1 Year

 

Management

 

628530107

 

MYL

Mylan, Inc.

 

 

Meeting Date:

5/6/2011

 

Meeting Type:

Annual

Record Date:

3/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Mark W. Parrish

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert J. Cindrich

 

For

 

Yes

 

For

 

Management

1

 

Elect director Heather Bresch

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert J. Coury

 

For

 

Yes

 

For

 

Management

1

 

Elect director Wendy Cameron

 

For

 

Yes

 

For

 

Management

1

 

Elect director Neil Dimick, CPA

 

For

 

Yes

 

For

 

Management

1

 

Elect director Douglas Leech, CPA

 

For

 

Yes

 

For

 

Management

1

 

Elect director Joseph C. Maroon, MD

 

For

 

Yes

 

For

 

Management

1

 

Elect director Rodney L. Piatt, CPA

 

For

 

Yes

 

For

 

Management

1

 

Elect director C.B. Todd

 

For

 

Yes

 

For

 

Management

1

 

Elect director R.L. Vanderveen, Ph.D. R.Ph.

 

For

 

Yes

 

For

 

Management

2

 

Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm

 

For

 

Yes

 

For

 

Management

3

 

Approve, by advisory vote, executive compensation.

 

For

 

Yes

 

Against

 

Management

4

 

Recommend, by advisory vote, the frequency of future advisory votes on executive compensation.

 

3 Years

 

Yes

 

1 Year

 

Management

 

62855J104

 

MYGN

Myriad Genetics, Inc.

 

 

Meeting Date:

12/3/2010

 

Meeting Type:

Annual

Record Date:

10/4/2010

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Heiner Dreismann, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Peter D. Meldrum

 

For

 

Yes

 

For

 

Management

2

 

Proposal to approve the 2010 Employee, Director and Consultant Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

3

 

Proposal to ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending June 30, 2011

 

For

 

Yes

 

For

 

Management

 

22


 

64125C109

 

NBIX

Neurocrine Biosciences, Inc.

 

 

Meeting Date:

5/25/2011

 

Meeting Type:

Annual

Record Date:

4/1/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Kevin C. Gorman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Gary A. Lyons

 

For

 

Yes

 

For

 

Management

1

 

Elect director William H. Rastetter

 

For

 

Yes

 

For

 

Management

2

 

Advisory vote to approve the compensation paid to the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on the frequency of future advisory votes to approve the compensation paid to the company’s named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

4

 

To approve the company’s 2011 Equity Incentive Plan.

 

For

 

Yes

 

For

 

Management

5

 

To consider a stockholder proposal to declassify the board of directors.

 

Against

 

Yes

 

Against

 

Shareholder

6

 

To ratify the selection of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

68230A106

 

OGXI

Oncogenex Pharmaceuticals, Inc.

 

 

Meeting Date:

5/26/2011

 

Meeting Type:

Annual

Record Date:

3/31/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Scott Cormack

 

For

 

Yes

 

For

 

Management

1

 

Elect director Neil Clendeninn

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jack Goldstein

 

For

 

Yes

 

For

 

Management

1

 

Elect director Martin Mattingly

 

For

 

Yes

 

For

 

Management

1

 

Elect director Stewart Parker

 

For

 

Yes

 

For

 

Management

1

 

Elect director David Smith

 

For

 

Yes

 

For

 

Management

2

 

To ratify the selection of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

To approve an amendment to our 2010 Performance Incentive Plan that will increase the total shares of common stock available for issuance under the 2010 Performance Incentive Plan from 450,000 to 1,050,000.

 

For

 

Yes

 

For

 

Management

4

 

To approve, by a non-binding vote, the compensation paid by us to our named executive officers.

 

For

 

Yes

 

For

 

Management

5

 

To select, by a non-binding advisory vote, every three years as the frequency at which our stockholders will be asked to approve, by a non-binding advisory vote, the compensation paid by us to our named executive officers.

 

3 Years

 

Yes

 

1 Year

 

Management

 

23


 

683399109

 

ONXX

Onyx Pharmaceuticals, Inc.

 

 

Meeting Date:

5/26/2011

 

Meeting Type:

Annual

Record Date:

3/28/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director N. Anthony Coles, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Magnus Lundberg

 

For

 

Yes

 

For

 

Management

1

 

Elect director William R. Ringo

 

For

 

Yes

 

For

 

Management

2

 

To approve an amendment to the company’s Certificate of Incorporation to increase the number of authorized shares of common stock from 100,000,000 to 200,000,000 shares.

 

For

 

Yes

 

For

 

Management

3

 

To approve, on an advisory basis, the compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

4

 

To indicate, on an advisory basis, the preferred frequency of stockholder advisory votes on the compensation of the company’s named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

5

 

To ratify the selection of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Palyon Medical Corporation

 

 

Action by Written Consent:

8/26/2010

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Authorization of Amended and Restated Certificate of Incorporation. Corporation.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Palyon Medical Corporation

 

 

Action by Written Consent:

4/19/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To Change the name of Palyon Corporation to Palyon Medical Corporation.

 

For

 

Yes

 

For

 

Management

 

717124101

 

PPDI

Pharmaceutical Product Development, Inc.

 

Meeting Date:

5/18/2011

 

Meeting Type:

Annual

Record Date:

3/17/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Stuart Bondurant, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Frederic N. Eshelman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Frederick Frank

 

For

 

Yes

 

For

 

Management

1

 

Elect director Vaughn D. Bryson

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ralph Snyderman, M.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Terry Magnuson, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Ernest Mario, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Robert A. Ingram

 

For

 

Yes

 

For

 

Management

2

 

To provide an advisory vote on the compensation of the company’s named executive officers, commonly referred to as a “say-on-pay” vote.

 

For

 

Yes

 

For

 

Management

3

 

To provide an advisory vote on the frequency of “say-on-pay” votes.

 

1 Year

 

Yes

 

1 Year

 

Management

4

 

Ratification of the appointment of Deloitte & Touche LLP as the company’s independent registered public accounting firm for the year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

24


 

71715N106

 

VRUS

Pharmasset, Inc

 

 

Meeting Date:

3/23/2011

 

Meeting Type:

Annual

Record Date:

1/26/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Willian J. Carney

 

For

 

Yes

 

For

 

Management

1

 

Elect director P. Schaefer Price

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the appointment of Grant Thornton LLP as independent registered public accounting firm for the 2011 fiscal year.

 

For

 

Yes

 

For

 

Management

3

 

Approve of the revised 2007 Equity Incentive Plan

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on compensation of Pharmasset, Inc’s Named Executive Officers

 

For

 

Yes

 

For

 

Management

5

 

Advisory vote on the frequency of advisory vote on compensation of Pharmasset, Inc’s Named Executive Officers

 

3 years

 

Yes

 

3 years

 

Management

 

N/A

 

N/A

PHT Corporation

 

 

Action by Written Consent:

5/16/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve the Amended and Restated Loan and Security Agreement.

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

PHT Corporation

 

 

Action by Written Consent:

6/14/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To approve the amendment to the company’s 2000 Stock Option and Grant Plan and increase the number of shares of Common Stock available for issuance from 13,612,652 to 15,000,000 shares.

 

For

 

Yes

 

For

 

Management

 

795435106

 

SLXP

Salix Pharmaceuticals, Ltd.

 

 

Meeting Date:

6/16/2011

 

Meeting Type:

Annual

Record Date:

4/20/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director John F. Chappell

 

For

 

Yes

 

For

 

Management

1

 

Elect director Thomas W. D’Alonzo

 

For

 

Yes

 

For

 

Management

1

 

Elect director Richard A. Franco, Sr.

 

For

 

Yes

 

For

 

Management

1

 

Elect director William P. Keane

 

For

 

Yes

 

For

 

Management

1

 

Elect director Carolyn J. Logan

 

For

 

Yes

 

For

 

Management

1

 

Elect director Mark A. Sirgo

 

For

 

Yes

 

For

 

Management

2

 

Proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

A vote for the approval of the compensation of the named executive officers.

 

For

 

Yes

 

For

 

Management

4

 

Recommends a vote of 1 year as the frequency with which stockholders are provided an advisory vote on the compensation of the named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

 

802817304

 

SNTS

Santarus, Inc.

 

 

Meeting Date:

6/15/2011

 

Meeting Type:

Annual

Record Date:

4/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Michael E. Herman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Kent Snyder

 

For

 

Yes

 

For

 

Management

2

 

To approve a non-binding advisory resolution on the compensation of the company’s named executive officers in the 2011 proxy statement.

 

For

 

Yes

 

For

 

Management

3

 

To recommend, by non-bnding advisory vote, the frequency of stockholder non-binding advisory votes relating to the compensation of the company’s

 

For

 

Yes

 

For

 

Management

 

 

named executive officers.

 

3 Years

 

Yes

 

1 Year

 

Management

4

 

To ratify the appointment of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

 

25


 

812578102

 

SGEN

Seattle Genentics, Inc.

 

 

Meeting Date:

5/20/2011

 

Meeting Type:

Annual

Record Date:

3/25/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Srinivas Akkaraju

 

For

 

Yes

 

For

 

Management

1

 

Elect director David W. Gryska

 

For

 

Yes

 

For

 

Management

1

 

Elect director John P. McLaughlin

 

For

 

Yes

 

For

 

Management

2

 

To approve the amendment and restatement of the Seattle Genetics, Inc. amended and restated 2000 Emplyoee Stock Purchase Plan to increase the aggregare number of shares of common stock authorized for issuance thereunder by 700,000 shares.

 

For

 

Yes

 

For

 

Management

3

 

To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm of the company for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

4

 

To approve an amendment to the company’s fourth amended and restated Certificate of Incorporating to increase the number of authorized shares of the company’s common stock from 150,000,000 shares to 250,000,000 shares.

 

For

 

Yes

 

For

 

Management

5

 

To approve, on an advisory basis, the compensation of the company’s named executive officers as disclosed in the accopanying proxy statement.

 

For

 

Yes

 

For

 

Management

6

 

To indicate, on an advisory basis, the preffered frequency of stockholder advisory votes on the compensation of the company’s named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

 

834453102

 

SOMX

Somaxon Pharmaceuticals, Inc.

 

 

Meeting Date:

6/1/2011

 

Meeting Type:

Annual

Record Date:

4/4/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director David F. Hale

 

For

 

Yes

 

For

 

Management

1

 

Elect director Michael L. Eagle

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the selection of PriceWaterHouseCoopers LLP as Somaxon’s independent registered public accounting firm for the fiscal year ending December 31, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on the compensation of Samaxon’s named executive officers.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the frequency of advisory vote on the compensation of Somaxon’s named executive officers.

 

1 Year

 

Yes

 

1 Year

 

Management

 

26


 

852312305

 

STAA

Staar Surgical Company

 

 

Meeting Date:

5/27/2011

 

Meeting Type:

Annual

Record Date:

3/29/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Don Bailey

 

For

 

Yes

 

For

 

Management

1

 

Elect director Barry Caldwell

 

For

 

Yes

 

For

 

Management

1

 

Elect director Donald Duffy

 

For

 

Yes

 

For

 

Management

1

 

Elect director Mark B. Logan

 

For

 

Yes

 

For

 

Management

1

 

Elect director Richard A. Meier

 

For

 

Yes

 

For

 

Management

1

 

Elect director John C. Moore

 

For

 

Yes

 

For

 

Management

1

 

Elect director David Morrison

 

For

 

Yes

 

For

 

Management

2

 

Ratification of the appointment of BDO USA, LLP as the company’s independent registered public accounting firm for the year ending December 30, 2011.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the frequency of advisory votes on executive compensation.

 

3 Years

 

Yes

 

1 Year

 

Management

 

87959M109

 

TELK

Telik, Inc.

 

 

Meeting Date:

5/19/2011

 

Meeting Type:

Annual

Record Date:

3/28/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director E. W. Cantrall, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director S. R. Goldring, M.D.

 

For

 

Yes

 

For

 

Management

2

 

To approve the Telik, Inc. 2011 Equity Incentive Plan

 

For

 

Yes

 

For

 

Management

3

 

To ratify the selection of Ernst & Young LLP as independent registered public accounting firm of the company by the audit committee of the board of directors of the company for its fiscal year ending December 31, 2011

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Tibion Corporation

 

 

Action by Written Consent:

4/8/2011

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

To elect Series B Director Conrad Wang

 

For

 

Yes

 

For

 

Management

1

 

To elect Series B Director Daniel Omstead

 

For

 

Yes

 

For

 

Management

1

 

To elect Series A-1 Director John Steuart

 

For

 

Yes

 

For

 

Management

1

 

To re-elect Director Charles Remsberg

 

For

 

Yes

 

For

 

Management

1

 

To re-relect Randy D. Lindholm

 

For

 

Yes

 

For

 

Management

 

91307C102

 

UTHR

United Therapeutics Corporation

 

 

Meeting Date:

6/29/2011

 

Meeting Type:

Annual

Record Date:

4/29/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Raymond Dwek

 

For

 

Yes

 

For

 

Management

1

 

Elect director Roger Jeffs

 

For

 

Yes

 

For

 

Management

1

 

Elect director Christopher Patusky

 

For

 

Yes

 

For

 

Management

1

 

Elect director Tommy Thompson

 

For

 

Yes

 

For

 

Management

2

 

Approval of an advisory resolution on executive compensation.

 

For

 

Yes

 

For

 

Management

3

 

Advisory vote on the frequency of future advisory votes on executive compensation

 

1 Year

 

Yes

 

1 Year

 

Management

4

 

Ratification of the appointment of Ernst & Young LLP as United Therapeutics Corporation’s independent registered public accounting firm for 2011

 

For

 

Yes

 

For

 

Management

 

27


 

G94368100

 

WCRX

Warner Chilcott Public Limited Company

 

Meeting Date:

5/17/2011

 

Meeting Type:

Annual

Record Date:

3/21/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1A

 

Elect Class II Director Todd M. Abbrecht

 

For

 

Yes

 

For

 

Management

1B

 

Elect Class II Director Liam M. Fitzgerald

 

For

 

Yes

 

For

 

Management

2

 

To approve the appointment of PricewaterhouseCoopers LLP as Warner Chilcott’s independent registered public accounting firm for the fiscal year ending December 31, 2011, and to authorized the board of directors to determine the auditors’ remuneration.

 

For

 

Yes

 

For

 

Management

3

 

To approve, on an advisory basis, executive compensation.

 

For

 

Yes

 

For

 

Management

4

 

To vote, on an advisory basis, as to whether the advisory vote on executive compensation should be held every 1 year, 2 years, or 3 years.

 

1 Year

 

Yes

 

1 Year

 

Management

 

942683103

 

WPI

Watson Pharmaceuticals, Inc.

 

 

Meeting Date:

5/13/2011

 

Meeting Type:

Annual

Record Date:

3/18/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1A

 

Elect Director Michael J. Fedida

 

For

 

Yes

 

For

 

Management

1B

 

Elect Director Albert F. Hummel

 

For

 

Yes

 

For

 

Management

1C

 

Elect Director Catherine M. Klema

 

For

 

Yes

 

For

 

Management

1D

 

Elect Director Anthony Selwyn Tabatznik

 

For

 

Yes

 

For

 

Management

2

 

To apprive an amendment and restatement of the company’s Articles of Incorporation to provide for the declassification of the board of directors and to delete certain provisions from the Articles of Incorporation

 

For

 

Yes

 

For

 

Management

3

 

To approve the fourth amendment and restatement of the 2001 Incentive Award Plan of Watson Pharmaceuticals, Inc.

 

For

 

Yes

 

For

 

Management

4

 

To take an advisory vote to approve the named executive officer compensation

 

For

 

Yes

 

For

 

Management

5

 

To take an advisory vote on the frequency of future advisory votes to approve named executive officer compensation

 

1 Year

 

Yes

 

1 Year

 

Management

6

 

To approve the appointment of PricewaterhouseCoopers LLP as Warner Chilcott’s independent registered public accounting firm for the fiscal year ending December 31, 2011

 

For

 

Yes

 

For

 

Management

 

28


 

94973V107

 

WLP

WellPoint, Inc.

 

 

Meeting Date:

5/17/2011

 

Meeting Type:

Annual

Record Date:

3/17/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Angela F. Braly

 

For

 

Yes

 

For

 

Management

1

 

Elect director Warren Y. Jobe

 

For

 

Yes

 

For

 

Management

1

 

Elect director William G. Mays

 

For

 

Yes

 

For

 

Management

1

 

Elect director William J. Ryan

 

For

 

Yes

 

For

 

Management

2

 

To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2011

 

For

 

Yes

 

For

 

Management

3A

 

Removing supermajority voting requirementsfor restrictions on ownership and transfer of stock, voting rights of shares and number of directors

 

For

 

Yes

 

For

 

Management

3B

 

Removing supermajority voting requirements for removal of directors and for certain business combinations and other supermajority provisions.

 

For

 

Yes

 

For

 

Management

3C

 

Removing certain restrictions on ownership of shares

 

For

 

Yes

 

For

 

Management

3D

 

Deleting certain obsolete provisions

 

For

 

Yes

 

For

 

Management

3E

 

Deleting other obsolete provisions and making conforming changes

 

For

 

Yes

 

For

 

Management

4

 

Advisory vote on the compensation of our named executive officers

 

For

 

Yes

 

For

 

Management

5

 

Advisory vote on the frequency of an advisory vote on compensation of our named executive officers

 

1 Year

 

Yes

 

1 Year

 

Management

6

 

If properly presented at the meeting, to vote on a shareholder proposal concerning a feasibility study for converting to nonprofit status.

 

Against

 

Yes

 

Against

 

Shareholder

7

 

If properly presented at the meeting, to vote on a shareholder proposal to change our jurisdiction of incorporation from Indiana to Delaware

 

Against

 

Yes

 

Against

 

Shareholder

8

 

If properly presented at the meeting, to vote on a shareholder proposal to separate the chair and CEO positions

 

Against

 

Yes

 

Against

 

Shareholder

 

98411C100

 

XNPT

Xenoport, Inc.

 

 

Meeting Date:

5/11/2011

 

Meeting Type:

Annual

Record Date:

3/24/2011

 

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Elect director Ronald W. Barrett, Ph.D.

 

For

 

Yes

 

For

 

Management

1

 

Elect director Jeryl L. Hilleman

 

For

 

Yes

 

For

 

Management

1

 

Elect director Wendell Wierenga, Ph.D.

 

For

 

Yes

 

For

 

Management

2

 

To approve, on an advisory basis, the compensation of the company’s named executive officers.

 

For

 

Yes

 

For

 

Management

3

 

To indicate, on an advisory basis, the preferred frequency of stockholder advisory votes on the compensation of the company’s named executive officers

 

3 Years

 

Yes

 

1 Year

 

Management

4

 

To ratify the selection by the Audit Committee of the board of directors of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2011

 

For

 

Yes

 

For

 

Management

 

N/A

 

N/A

Xoft, Inc.

 

 

Action by Written Consent:

12/22/2010

 

 

 

#

 

Proposal

 

Mgt. Recommends

 

Voted

 

Vote Cast

 

Sponsor

1

 

Approve the adoption of the Merger Documents.

 

For

 

Yes

 

For

 

Management

2

 

To approve the termination of Financing Documents.

 

For

 

Yes

 

For

 

Management

3

 

To approve the termination of the 2000 Stock Plan and approval of the readopted 2000 Stock Plan.

 

For

 

Yes

 

For

 

Management

4

 

To approve the conversion of Preferred Stock.

 

For

 

Yes

 

For

 

Management

5

 

To approve 100-for-1 Reverse Stock Split.

 

For

 

Yes

 

For

 

Management

6

 

Approve the Amended and Restated Cerificate of Incorporation.

 

For

 

Yes

 

For

 

Management

7

 

Approve that all actions by an officer or director of the Company are ratified and confirmed as acts and deeds of the company on the foregoing resolutions.

 

For

 

Yes

 

For

 

Management

 

29


 

SIGNATURES

 

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

(Registrant)

H&Q Life Sciences Investors

 

By (Signature and Title)*

 

 

 

 

(Daniel R. Omstead, President)

 

/s/ Daniel R. Omstead

 

Date

8/31/11

 

*Print the name and title of each signing officer under his or her signature.

 

2