United States
Securities and Exchange Commission
Washington, DC 20549
FORM N-PX
Annual
Report of Proxy Voting Record of Registered Management
Investment Company
Investment Company Act File Number: 811-21650
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ASA Gold and Precious Metals Limited |
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(Exact name of registrant as specified in charter) |
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400 S. El Camino Real #710 |
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San Mateo, California 94402-1708 |
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(Address of principal executive offices) |
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JPMorgan Chase Bank |
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3 Chase MetroTech Center, 6th Floor |
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Brooklyn, New York 11245 |
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(name and address of agent for service) |
Registrant’s telephone number, including area code: (650) 376-3135
Date of fiscal year end: November 30
Date of reporting period: July 1, 2015 - June 30, 2016
PROXY VOTING RECORD
| AGNICO EAGLE MINES LIMITED | |||
| Security | 008474108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | AEM | Meeting Date | 29-Apr-2016 |
| ISIN | CA0084741085 | Agenda | 934365645 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | LEANNE M. BAKER | For | For | ||||||||||
| 2 | SEAN BOYD | For | For | ||||||||||
| 3 | MARTINE A. CELEJ | For | For | ||||||||||
| 4 | ROBERT J. GEMMELL | For | For | ||||||||||
| 5 | MEL LEIDERMAN | For | For | ||||||||||
| 6 | DEBORAH A. MCCOMBE | For | For | ||||||||||
| 7 | JAMES D. NASSO | For | For | ||||||||||
| 8 | SEAN RILEY | For | For | ||||||||||
| 9 | J. MERFYN ROBERTS | For | For | ||||||||||
| 10 | JAMIE C. SOKALSKY | For | For | ||||||||||
| 11 | HOWARD R. STOCKFORD | For | For | ||||||||||
| 12 | PERTTI VOUTILAINEN | For | For | ||||||||||
| 02 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE COMPANY AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | AN ORDINARY RESOLUTION APPROVING AN AMENDMENT TO THE COMPANY’S STOCK OPTION PLAN. | Management | For | For | |||||||||
| 04 | A NON-BINDING, ADVISORY RESOLUTION ACCEPTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 1 of 41 |
PROXY VOTING RECORD
| ALACER GOLD CORP. | |||
| Security | 010679108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | ALIAF | Meeting Date | 25-May-2016 |
| ISIN | CA0106791084 | Agenda | 934399773 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | RODNEY P. ANTAL | For | For | ||||||||||
| 2 | THOMAS R. BATES, JR. | For | For | ||||||||||
| 3 | EDWARD C. DOWLING, JR. | For | For | ||||||||||
| 4 | RICHARD P. GRAFF | For | For | ||||||||||
| 5 | ANNA KOLONCHINA | For | For | ||||||||||
| 6 | ALAN P. KRUSI | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS | Management | For | For | |||||||||
| 03 | ADVISORY RESOLUTION ON THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 2 of 41 |
PROXY VOTING RECORD
| ALAMOS GOLD INC. | |||
| Security | 011532108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | AGI | Meeting Date | 13-May-2016 |
| ISIN | CA0115321089 | Agenda | 934385344 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | MARK DANIEL | For | For | ||||||||||
| 2 | PATRICK DOWNEY | For | For | ||||||||||
| 3 | DAVID FLECK | For | For | ||||||||||
| 4 | DAVID GOWER | For | For | ||||||||||
| 5 | CLAIRE KENNEDY | For | For | ||||||||||
| 6 | JOHN A. MCCLUSKEY | For | For | ||||||||||
| 7 | PAUL J. MURPHY | For | For | ||||||||||
| 8 | RONALD SMITH | For | For | ||||||||||
| 9 | KENNETH STOWE | For | For | ||||||||||
| 02 | APPOINTMENT OF AUDITORS: APPOINTMENT OF KPMG LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | LONG TERM INCENTIVE PLAN: TO CONSIDER, AND IF DEEMED ADVISABLE, PASS A RESOLUTION TO APPROVE THE CORPORATION’S PROPOSED LONG TERM INCENTIVE PLAN. | Management | For | For | |||||||||
| 04 | SHAREHOLDERS RIGHTS PLANS: (A) TO CONSIDER, AND IF DEEMED ADVISABLE, PASS A RESOLUTION TO APPROVE THE CORPORATION’S PROPOSED SECOND AMENDED AND RESTATED SHAREHOLDERS RIGHTS PLAN; AND (B) TO CONSIDER, AND IF DEEMED ADVISABLE, PASS A RESOLUTION TO APPROVE THE CORPORATION’S PROPOSED THIRD AMENDED AND RESTATED SHAREHOLDERS RIGHTS PLAN. | Management | For | For | |||||||||
| 05 | BY-LAWS: TO CONSIDER, AND IF DEEMED ADVISABLE, PASS A RESOLUTION TO APPROVE THE CORPORATION’S PROPOSED AMENDED BY-LAW NO. 1. | Management | For | For | |||||||||
| 06 | EXECUTIVE COMPENSATION: TO CONSIDER, AND IF DEEMED ADVISABLE, PASS A RESOLUTION TO APPROVE AN ADVISORY RESOLUTION ON THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 3 of 41 |
PROXY VOTING RECORD
| AMARA MINING PLC, LONDON | |||
| Security | G2343S103 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 08-Apr-2016 | |
| ISIN | GB00B04M1L91 | Agenda | 706804867 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1 | TO APPROVE THE IMPLEMENTATION OF THE SCHEME OF ARRANGEMENT, THE RE-REGISTRATION OF THE COMPANY AS A PRIVATE COMPANY AND THE AMENDMENT OF THE COMPANY’S ARTICLES OF ASSOCIATION AS SET OUT IN THE NOTICE OF GENERAL MEETING CONTAINED IN APPENDIX XI OF THE CIRCULAR TO SHAREHOLDERS OF THE COMPANY WHICH ACCOMPANIES THIS FORM OF PROXY | Management | For | For |
| Page 4 of 41 |
PROXY VOTING RECORD
| AMARA MINING PLC, LONDON | |||
| Security | G2343S103 | Meeting Type | Court Meeting |
| Ticker Symbol | Meeting Date | 08-Apr-2016 | |
| ISIN | GB00B04M1L91 | Agenda | 706805376 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| CMMT | PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE.-PLEASE CHOOSE BETWEEN “FOR” AND “AGAINST” ONLY. SHOULD YOU CHOOSE TO VOTE-ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR-ISSUERS AGENT. | Non-Voting | ||||||||||
| 1 | APPROVAL OF THE SCHEME OF ARRANGEMENT | Management | For | For |
| Page 5 of 41 |
PROXY VOTING RECORD
| ANGLOGOLD ASHANTI LTD, JOHANNESBURG | |||
| Security | S04255196 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 04-May-2016 | |
| ISIN | ZAE000043485 | Agenda | 706874509 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1O1.1 | RE-ELECTION OF DIRECTOR: MR R GASANT | Management | For | For | ||||||||
| 1O1.2 | RE-ELECTION OF DIRECTOR: MR MJ KIRKWOOD | Management | For | For | ||||||||
| 1O1.3 | RE-ELECTION OF DIRECTOR: MR S VENKATAKRISHNAN | Management | For | For | ||||||||
| 1O1.4 | RE-ELECTION OF DIRECTOR: MR D HODGSON | Management | For | For | ||||||||
| 2.O.2 | REAPPOINTMENT OF ERNST & YOUNG INC. AS AUDITORS OF THE COMPANY | Management | For | For | ||||||||
| 3O3.1 | RE-ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MR R GASANT | Management | For | For | ||||||||
| 3O3.2 | RE-ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: PROF LW NKUHLU | Management | For | For | ||||||||
| 3O3.3 | RE-ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MR MJ KIRKWOOD | Management | For | For | ||||||||
| 3O3.4 | RE-ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MR RJ RUSTON | Management | For | For | ||||||||
| 3O3.5 | RE-ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MR A GARNER | Management | For | For | ||||||||
| 3O3.6 | RE-ELECTION OF AUDIT AND RISK COMMITTEE MEMBER: MS M RICHTER | Management | For | For | ||||||||
| 4.O.4 | GENERAL AUTHORITY TO DIRECTORS TO ALLOT AND ISSUE ORDINARY SHARES | Management | For | For | ||||||||
| 5.O.5 | AMENDMENTS TO INCREASE THE AGGREGATE LIMIT OF ORDINARY SHARES OF ANGLOGOLD ASHANTI TO BE UTILISED FOR THE PURPOSE OF THE SHARE INCENTIVE SCHEMES | Management | For | For | ||||||||
| 6.O.6 | AMENDMENTS TO THE SHARE INCENTIVE SCHEMES | Management | For | For | ||||||||
| 7.O.7 | NON-BINDING ADVISORY ENDORSEMENT OF THE ANGLOGOLD ASHANTI REMUNERATION POLICY | Management | For | For | ||||||||
| 8.S.1 | APPROVAL OF NON-EXECUTIVE DIRECTORS’ REMUNERATION | Management | For | For | ||||||||
| 9.S.2 | GENERAL AUTHORITY TO DIRECTORS TO ISSUE FOR CASH, THOSE ORDINARY SHARES WHICH THE DIRECTORS ARE AUTHORISED TO ALLOT AND ISSUE IN TERMS OF ORDINARY RESOLUTION 4 | Management | For | For | ||||||||
| 10S.3 | GENERAL AUTHORITY TO ACQUIRE THE COMPANY’S OWN SHARES |
Management | For | For | ||||||||
| 11S.4 | GENERAL AUTHORITY TO PROVIDE FINANCIAL ASSISTANCE IN TERMS OF SECTIONS 44 AND 45 OF THE COMPANIES ACT | Management | For | For | ||||||||
| 12S.5 | THE CREATION OF C REDEEMABLE PREFERENCE SHARES OF NO PAR VALUE | Management | For | For | ||||||||
| 13S.6 | AMENDMENT OF COMPANY’S MEMORANDUM OF INCORPORATION | Management | For | For | ||||||||
| 14O.8 | DIRECTORS’ AUTHORITY TO IMPLEMENT SPECIAL AND ORDINARY RESOLUTIONS | Management | For | For |
| Page 6 of 41 |
PROXY VOTING RECORD
| ASANKO GOLD INC. | |||
| Security | 04341Y105 | Meeting Type | Annual |
| Ticker Symbol | AKG | Meeting Date | 16-Jun-2016 |
| ISIN | CA04341Y1051 | Agenda | 934434894 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | TO SET THE NUMBER OF DIRECTORS AT SEVEN (7). | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | COLIN STEYN | For | For | ||||||||||
| 2 | PETER BREESE | For | For | ||||||||||
| 3 | SHAWN WALLACE | For | For | ||||||||||
| 4 | GORDON J. FRETWELL | For | For | ||||||||||
| 5 | MARCEL DE GROOT | For | For | ||||||||||
| 6 | MICHAEL PRICE | For | For | ||||||||||
| 7 | WILLIAM SMART | For | For | ||||||||||
| 03 | APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND TO AUTHORIZE THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 04 | TO CONSIDER, AND IF THOUGHT FIT, TO RATIFY, CONFIRM AND APPROVE ADOPTION OF THE SHAREHOLDER RIGHTS PLAN, AS MORE PARTICULARLY DESCRIBED IN THE INFORMATION CIRCULAR PREPARED FOR THE MEETING. | Management | For | For | |||||||||
| Page 7 of 41 |
PROXY VOTING RECORD
| B2GOLD CORP. | |||
| Security | 11777Q209 | Meeting Type | Annual |
| Ticker Symbol | BTG | Meeting Date | 10-Jun-2016 |
| ISIN | CA11777Q2099 | Agenda | 934424728 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | TO SET THE NUMBER OF DIRECTORS AT EIGHT. | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | CLIVE JOHNSON | Withheld | Against | ||||||||||
| 2 | ROBERT CROSS | Withheld | Against | ||||||||||
| 3 | ROBERT GAYTON | Withheld | Against | ||||||||||
| 4 | BARRY RAYMENT | Withheld | Against | ||||||||||
| 5 | JERRY KORPAN | For | For | ||||||||||
| 6 | BONGANI MTSHISI | For | For | ||||||||||
| 7 | KEVIN BULLOCK | For | For | ||||||||||
| 8 | GEORGE JOHNSON | Withheld | Against | ||||||||||
| 03 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 04 | TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING, OR ANY ADJOURNMENT OR ADJOURNMENTS THEREOF. | Management | Against | Against | |||||||||
| Page 8 of 41 |
PROXY VOTING RECORD
| BARRICK GOLD CORPORATION | |||
| Security | 067901108 | Meeting Type | Annual |
| Ticker Symbol | ABX | Meeting Date | 26-Apr-2016 |
| ISIN | CA0679011084 | Agenda | 934354325 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | G.A. CISNEROS | For | For | ||||||||||
| 2 | G.G. CLOW | For | For | ||||||||||
| 3 | G.A. DOER | For | For | ||||||||||
| 4 | J.M. EVANS | For | For | ||||||||||
| 5 | K.P.M. DUSHNISKY | For | For | ||||||||||
| 6 | B.L. GREENSPUN | For | For | ||||||||||
| 7 | J.B. HARVEY | For | For | ||||||||||
| 8 | N.H.O. LOCKHART | For | For | ||||||||||
| 9 | D.F. MOYO | Withheld | Against | ||||||||||
| 10 | A. MUNK | Withheld | Against | ||||||||||
| 11 | J.R.S. PRICHARD | For | For | ||||||||||
| 12 | S.J. SHAPIRO | For | For | ||||||||||
| 13 | J.L. THORNTON | For | For | ||||||||||
| 14 | E.L. THRASHER | For | For | ||||||||||
| 02 | RESOLUTION APPROVING THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE AUDITOR OF BARRICK AND AUTHORIZING THE DIRECTORS TO FIX ITS REMUNERATION | Management | For | For | |||||||||
| 03 | ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION APPROACH. | Management | For | For | |||||||||
| Page 9 of 41 |
PROXY VOTING RECORD
| BELO SUN MINING CORP. | |||
| Security | 080558109 | Meeting Type | Annual |
| Ticker Symbol | VNNHF | Meeting Date | 27-May-2016 |
| ISIN | CA0805581091 | Agenda | 934412800 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | PETER TAGLIAMONTE | Withheld | Against | ||||||||||
| 2 | STAN BHARTI | Withheld | Against | ||||||||||
| 3 | MARK EATON | Withheld | Against | ||||||||||
| 4 | WILLIAM CLARKE | Withheld | Against | ||||||||||
| 5 | DENIS ARSENAULT | Withheld | Against | ||||||||||
| 6 | CAROL FRIES | Withheld | Against | ||||||||||
| 02 | APPOINTMENT OF COLLINS BARROW LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| Page 10 of 41 |
PROXY VOTING RECORD
| COMPANIA DE MINAS BUENAVENTURA S.A.A | |||
| Security | 204448104 | Meeting Type | Annual |
| Ticker Symbol | BVN | Meeting Date | 29-Mar-2016 |
| ISIN | US2044481040 | Agenda | 934336074 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | TO APPROVE THE ANNUAL REPORT AS OF DECEMBER 31, 2015. A PRELIMINARY SPANISH VERSION OF THE ANNUAL REPORT WILL BE AVAILABLE IN THE COMPANY’S WEBSITE HTTP://WWW.BUENAVENTURA.COM/IR/ | Management | For | |||||||||
| 2. | TO APPROVE THE FINANCIAL STATEMENTS AS OF DECEMBER 31, 2015, WHICH WERE PUBLICLY REPORTED AND ARE IN OUR WEBSITE HTTP://WWW.BUENAVENTURA.COM/IR/ | Management | For | |||||||||
| 3. | TO APPOINT ERNST AND YOUNG (PAREDES, ZALDIVAR, BURGA Y ASOCIADOS) AS EXTERNAL AUDITORS FOR FISCAL YEAR 2016. | Management | For | |||||||||
| 4. | TO APPROVE THE COMPANY’S SHAREHOLDERS’ MEETING RULES AND PROCEDURES DOCUMENT. A SPANISH VERSION OF THE DOCUMENT WILL BE AVAILABLE IN THE COMPANY’S WEBSITE HTTP://WWW.BUENAVENTURA.COM/IR/ | Management | For |
| Page 11 of 41 |
PROXY VOTING RECORD
| COMPANIA DE MINAS BUENAVENTURA S.A.A | |||
| Security | 204448104 | Meeting Type | Annual |
| Ticker Symbol | BVN | Meeting Date | 29-Mar-2016 |
| ISIN | US2044481040 | Agenda | 934344918 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 1. | TO APPROVE THE ANNUAL REPORT AS OF DECEMBER 31, 2015. A PRELIMINARY SPANISH VERSION OF THE ANNUAL REPORT WILL BE AVAILABLE IN THE COMPANY’S WEBSITE HTTP://WWW.BUENAVENTURA.COM/IR/ | Management | For | |||||||||
| 2. | TO APPROVE THE FINANCIAL STATEMENTS AS OF DECEMBER 31, 2015, WHICH WERE PUBLICLY REPORTED AND ARE IN OUR WEBSITE HTTP://WWW.BUENAVENTURA.COM/IR/ | Management | For | |||||||||
| 3. | TO APPOINT ERNST AND YOUNG (PAREDES, ZALDIVAR, BURGA Y ASOCIADOS) AS EXTERNAL AUDITORS FOR FISCAL YEAR 2016. | Management | For | |||||||||
| 4. | TO APPROVE THE COMPANY’S SHAREHOLDERS’ MEETING RULES AND PROCEDURES DOCUMENT. A SPANISH VERSION OF THE DOCUMENT WILL BE AVAILABLE IN THE COMPANY’S WEBSITE HTTP://WWW.BUENAVENTURA.COM/IR/ | Management | For |
| Page 12 of 41 |
PROXY VOTING RECORD
| DETOUR GOLD CORPORATION | |||
| Security | 250669108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | DRGDF | Meeting Date | 05-May-2016 |
| ISIN | CA2506691088 | Agenda | 934380279 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | LISA COLNETT | For | For | ||||||||||
| 2 | EDWARD C. DOWLING JR. | For | For | ||||||||||
| 3 | ROBERT E. DOYLE | For | For | ||||||||||
| 4 | ANDRE FALZON | For | For | ||||||||||
| 5 | INGRID J. HIBBARD | For | For | ||||||||||
| 6 | J. MICHAEL KENYON | For | For | ||||||||||
| 7 | PAUL MARTIN | For | For | ||||||||||
| 8 | ALEX G. MORRISON | For | For | ||||||||||
| 9 | JONATHAN RUBENSTEIN | For | For | ||||||||||
| 10 | GRAHAM WOZNIAK | For | For | ||||||||||
| 02 | APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | TO APPROVE THE COMPANY’S AMENDED AND RESTATED RESTRICTED SHARE UNIT PLAN. | Management | For | For | |||||||||
| 04 | TO APPROVE THE COMPANY’S AMENDED AND RESTATED SHARE OPTION PLAN. | Management | For | For | |||||||||
| 05 | TO APPROVE THE NON-BINDING ADVISORY RESOLUTION ON THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 13 of 41 |
PROXY VOTING RECORD
| ELDORADO GOLD CORPORATION | |||
| Security | 284902103 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | EGO | Meeting Date | 25-May-2016 |
| ISIN | CA2849021035 | Agenda | 934393771 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | ROSS CORY | For | For | ||||||||||
| 2 | PAMELA GIBSON | For | For | ||||||||||
| 3 | ROBERT GILMORE | For | For | ||||||||||
| 4 | GEOFFREY HANDLEY | Withheld | Against | ||||||||||
| 5 | MICHAEL PRICE | For | For | ||||||||||
| 6 | STEVEN REID | Withheld | Against | ||||||||||
| 7 | JONATHAN RUBENSTEIN | Withheld | Against | ||||||||||
| 8 | JOHN WEBSTER | For | For | ||||||||||
| 9 | PAUL WRIGHT | Withheld | Against | ||||||||||
| 02 | APPOINTMENT OF KPMG LLP AS THE AUDITOR OF THE COMPANY FOR THE ENSUING YEAR. | Management | For | For | |||||||||
| 03 | AUTHORIZE THE DIRECTORS TO FIX THE AUDITOR’S PAY. | Management | For | For | |||||||||
| 04 | APPROVE AN ORDINARY RESOLUTION AS SET OUT ON PAGE 14 OF THE MANAGEMENT PROXY CIRCULAR SUPPORTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION ON AN ADVISORY BASIS. | Management | Against | Against | |||||||||
| 05 | APPROVE A SPECIAL RESOLUTION AS SET OUT ON PAGE 16 OF THE MANAGEMENT PROXY CIRCULAR APPROVING THE REDUCTION OF THE STATED CAPITAL ACCOUNT OF THE COMMON SHARES BY US$2,500,000,000 AS MORE PARTICULARLY DESCRIBED IN THE MANAGEMENT PROXY CIRCULAR. | Management | For | For | |||||||||
| Page 14 of 41 |
PROXY VOTING RECORD
| FRANCO-NEVADA CORPORATION | |||
| Security | 351858105 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | FNV | Meeting Date | 04-May-2016 |
| ISIN | CA3518581051 | Agenda | 934374959 - Management |
| Item | Proposal | Proposed by | Vote | For/Against Management |
||||||||||
| 01 | DIRECTOR | Management | ||||||||||||
| 1 | PIERRE LASSONDE | For | For | |||||||||||
| 2 | DAVID HARQUAIL | For | For | |||||||||||
| 3 | TOM ALBANESE | For | For | |||||||||||
| 4 | DEREK W. EVANS | For | For | |||||||||||
| 5 | GRAHAM FARQUHARSON | For | For | |||||||||||
| 6 | CATHARINE FARROW | For | For | |||||||||||
| 7 | LOUIS GIGNAC | For | For | |||||||||||
| 8 | RANDALL OLIPHANT | For | For | |||||||||||
| 9 | DAVID R. PETERSON | For | For | |||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | ||||||||||
| 03 | ACCEPTANCE OF THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||
| Page 15 of 41 |
PROXY VOTING RECORD
| GOLD FIELDS LTD, JOHANNESBURG | |||
| Security | S31755101 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 18-May-2016 | |
| ISIN | ZAE000018123 | Agenda | 706971531 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| O.1 | RE-APPOINTMENT OF AUDITORS: KPMG INC | Management | For | For | ||||||||
| O.2.1 | RE-ELECTION OF A DIRECTOR: MR SP REID | Management | For | For | ||||||||
| O.2.2 | RE-ELECTION OF A DIRECTOR: MS GM WILSON | Management | For | For | ||||||||
| O.2.3 | RE-ELECTION OF A DIRECTOR: MR DN MURRAY | Management | For | For | ||||||||
| O.2.4 | RE-ELECTION OF A DIRECTOR: MR DMJ NCUBE | Management | For | For | ||||||||
| O.2.5 | RE-ELECTION OF A DIRECTOR: MR AR HILL | Management | Against | Against | ||||||||
| O.3.1 | RE-ELECTION OF AUDIT COMMITTEE MEMBER: MS GM WILSON | Management | For | For | ||||||||
| O.3.2 | RE-ELECTION OF AUDIT COMMITTEE MEMBER: MR RP MENELL | Management | For | For | ||||||||
| O.3.3 | RE-ELECTION OF AUDIT COMMITTEE MEMBER: MR DMJ NCUBE | Management | For | For | ||||||||
| O.4 | APPROVAL FOR THE ISSUE OF AUTHORISED BUT UNISSUED ORDINARY SHARES | Management | For | For | ||||||||
| S.1 | APPROVAL FOR THE ISSUING OF EQUITY SECURITIES FOR CASH | Management | For | For | ||||||||
| A.1 | ADVISORY ENDORSEMENT OF THE REMUNERATION POLICY | Management | For | For | ||||||||
| S.2 | APPROVAL FOR THE REMUNERATION OF NON-EXECUTIVE DIRECTORS | Management | For | For | ||||||||
| S.3 | APPROVAL FOR THE COMPANY TO GRANT INTER-GROUP FINANCIAL ASSISTANCE IN TERMS OF SECTION 44 AND 45 OF THE ACT | Management | For | For | ||||||||
| S.4 | ACQUISITION OF THE COMPANY’S OWN SHARES | Management | For | For | ||||||||
| S.5 | APPROVAL OF THE AMENDMENT OF THE GOLD FIELDS LIMITED 2012 SHARE PLAN | Management | For | For | ||||||||
| S.6 | FINANCIAL ASSISTANCE TO DIRECTORS AND PRESCRIBED OFFICERS AND OTHER PERSONS WHO MAY PARTICIPATE IN THE SHARE PLAN | Management | For | For | ||||||||
| CMMT | 05 MAY 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD DATE-FROM 13TH MAY TO 06TH MAY 2016. IF YOU HAVE ALREADY SENT IN YOUR VOTES,-PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL-INSTRUCTIONS. THANK YOU. | Non-Voting |
| Page 16 of 41 |
PROXY VOTING RECORD
| GOLDCORP INC. | |||
| Security | 380956409 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | GG | Meeting Date | 28-Apr-2016 |
| ISIN | CA3809564097 | Agenda | 934355163 - Management |
| Item | Proposal | Proposed by | Vote | For/Against Management |
||||||||||
| 01 | DIRECTOR | Management | ||||||||||||
| 1 | BEVERLEY A. BRISCOE | For | For | |||||||||||
| 2 | PETER J. DEY | For | For | |||||||||||
| 3 | MARGOT A. FRANSSEN,O.C. | For | For | |||||||||||
| 4 | DAVID A. GAROFALO | For | For | |||||||||||
| 5 | CLEMENT A. PELLETIER | For | For | |||||||||||
| 6 | P. RANDY REIFEL | For | For | |||||||||||
| 7 | IAN W. TELFER | Withheld | Against | |||||||||||
| 8 | BLANCA TREVIÑO | For | For | |||||||||||
| 9 | KENNETH F. WILLIAMSON | For | For | |||||||||||
| 02 | IN RESPECT OF THE APPOINTMENT OF DELOITTE LLP, INDEPENDENT REGISTERED CHARTERED ACCOUNTANTS, AS AUDITORS OF THE COMPANY AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION; | Management | For | For | ||||||||||
| 03 | A RESOLUTION APPROVING AN AMENDMENT TO THE RESTRICTED SHARE UNIT PLAN OF THE COMPANY IN ORDER TO INCREASE THE NUMBER OF COMMON SHARES ISSUABLE UNDER THE RESTRICTED SHARE UNIT PLAN TO 21,690,276 COMMON SHARES; | Management | For | For | ||||||||||
| 04 | A NON-BINDING ADVISORY RESOLUTION ACCEPTING THE COMPANY’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||
| Page 17 of 41 |
PROXY VOTING RECORD
| GUYANA GOLDFIELDS INC. | |||
| Security | 403530108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | GUYFF | Meeting Date | 09-May-2016 |
| ISIN | CA4035301080 | Agenda | 934394355 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||||
| 01 | DIRECTOR | Management | ||||||||||||
| 1 | ALAN FERRY | For | For | |||||||||||
| 2 | J. PATRICK SHERIDAN | For | For | |||||||||||
| 3 | SCOTT CALDWELL | For | For | |||||||||||
| 4 | DANIEL NOONE | For | For | |||||||||||
| 5 | JEAN-PIERRE CHAUVIN | For | For | |||||||||||
| 6 | MICHAEL RICHINGS | For | For | |||||||||||
| 7 | RENE MARION | For | For | |||||||||||
| 8 | WENDY KEI | For | For | |||||||||||
| 9 | DAVID BEATTY | For | For | |||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | ||||||||||
| Page 18 of 41 |
PROXY VOTING RECORD
| IMPALA PLATINUM HOLDINGS LTD, ILLOVO | |||
| Security | S37840113 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 06-Oct-2015 | |
| ISIN | ZAE000083648 | Agenda | 706442213 - Management |
| Item | Proposal | Proposed by | Vote | For/Against Management |
||||||||
| 1.S.1 | AMENDMENT OF MOI | Management | For | For | ||||||||
| 2.O.1 | APPROVAL OF BOOKBUILD PLACEMENT | Management | For | For | ||||||||
| 3.O.2 | ISSUE OF SUBSCRIPTION SHARES TO PIC PURSUANT TO BOOKBUILD PLACEMENT | Management | For | For | ||||||||
| 4.O.3 | ISSUE OF SUBSCRIPTION SHARES TO CORONATION PURSUANT TO BOOKBUILD PLACEMENT | Management | For | For | ||||||||
| 5.O.4 | ISSUE OF SUBSCRIPTION SHARES TO RBH PURSUANT TO BOOKBUILD PLACEMENT | Management | For | For | ||||||||
| 6.O.5 | AUTHORISING RESOLUTION | Management | For | For |
| Page 19 of 41 |
PROXY VOTING RECORD
| IMPALA PLATINUM HOLDINGS LTD, ILLOVO | |||
| Security | S37840113 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 21-Oct-2015 | |
| ISIN | ZAE000083648 | Agenda | 706445409 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| O.1 | APPOINTMENT OF EXTERNAL AUDITORS: PRICEWATERHOUSECOOPERS INC | Management | For | For | ||||||||
| O.2.1 | APPOINTMENT OF MEMBER OF AUDIT COMMITTEE: HC CAMERON - CHAIRMAN | Management | For | For | ||||||||
| O.2.2 | APPOINTMENT OF MEMBER OF AUDIT COMMITTEE: AA MAULE | Management | For | For | ||||||||
| O.2.3 | APPOINTMENT OF MEMBER OF AUDIT COMMITTEE: B NGONYAMA | Management | For | For | ||||||||
| O.3 | ENDORSEMENT OF THE COMPANY’S REMUNERATION POLICY | Management | For | For | ||||||||
| O.4.1 | RE-ELECTION OF DIRECTOR: PW DAVEY | Management | For | For | ||||||||
| O.4.2 | RE-ELECTION OF DIRECTOR: MSV GANTSHO | Management | For | For | ||||||||
| O.4.3 | RE-ELECTION OF DIRECTOR: ND MOYO | Management | For | For | ||||||||
| O.4.4 | RE-ELECTION OF DIRECTOR: FS MUFAMADI | Management | For | For | ||||||||
| O.4.5 | RE-ELECTION OF DIRECTOR: BT NAGLE | Management | For | For | ||||||||
| O.4.6 | RE-ELECTION OF DIRECTOR: MEK NKELI | Management | For | For | ||||||||
| O.4.7 | RE-ELECTION OF DIRECTOR: ZB SWANEPOEL | Management | For | For | ||||||||
| S.1 | FINANCIAL ASSISTANCE | Management | For | For | ||||||||
| S.2 | ACQUISITION OF COMPANY SHARES | Management | For | For |
| Page 20 of 41 |
PROXY VOTING RECORD
| KINROSS GOLD CORPORATION | |||
| Security | 496902404 | Meeting Type | Annual |
| Ticker Symbol | KGC | Meeting Date | 11-May-2016 |
| ISIN | CA4969024047 | Agenda | 934371244 - Management |
| Item | Proposal | Proposed by | Vote | For/Against Management |
||||||||||
| 01 | DIRECTOR | Management | ||||||||||||
| 1 | IAN ATKINSON | For | For | |||||||||||
| 2 | JOHN A. BROUGH | For | For | |||||||||||
| 3 | JOHN M. H. HUXLEY | For | For | |||||||||||
| 4 | AVE G. LETHBRIDGE | For | For | |||||||||||
| 5 | C. MCLEOD-SELTZER | For | For | |||||||||||
| 6 | JOHN E. OLIVER | For | For | |||||||||||
| 7 | KELLY J. OSBORNE | For | For | |||||||||||
| 8 | UNA M. POWER | For | For | |||||||||||
| 9 | J. PAUL ROLLINSON | For | For | |||||||||||
| 02 | TO APPROVE THE APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND TO AUTHORIZE THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | ||||||||||
| 03 | TO CONSIDER, AND, IF DEEMED APPROPRIATE, TO PASS, AN ADVISORY RESOLUTION ON KINROSS’ APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||
| Page 21 of 41 |
PROXY VOTING RECORD
| MAG SILVER CORP. |
| Security | 55903Q104 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | MVG | Meeting Date | 15-Jun-2016 |
| ISIN | CA55903Q1046 | Agenda | 934434349 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | PETER D. BARNES | For | For | ||||||||||
| 2 | RICHARD P. CLARK | For | For | ||||||||||
| 3 | RICHARD M. COLTERJOHN | For | For | ||||||||||
| 4 | DANIEL T. MACINNIS | For | For | ||||||||||
| 5 | GEORGE N. PASPALAS | For | For | ||||||||||
| 6 | JONATHAN A. RUBENSTEIN | For | For | ||||||||||
| 7 | DEREK C. WHITE | For | For | ||||||||||
| 8 | JILL D. LEVERSAGE | For | For | ||||||||||
| 02 | APPOINTMENT OF DELOITTE LLP, AN INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | TO APPROVE THE NEW SHAREHOLDER RIGHTS PLAN OF THE COMPANY. | Management | For | For | |||||||||
| Page 22 of 41 |
PROXY VOTING RECORD
| NEW GOLD INC. | |||
| Security | 644535106 | Meeting Type | Annual |
| Ticker Symbol | NGD | Meeting Date | 27-Apr-2016 |
| ISIN | CA6445351068 | Agenda | 934343029 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | TO SET THE NUMBER OF DIRECTORS AT NINE. | Management | For | For | |||||||||
| 02 | DIRECTOR | Management | |||||||||||
| 1 | DAVID EMERSON | For | For | ||||||||||
| 2 | JAMES ESTEY | For | For | ||||||||||
| 3 | ROBERT GALLAGHER | For | For | ||||||||||
| 4 | VAHAN KOLOLIAN | For | For | ||||||||||
| 5 | MARTYN KONIG | For | For | ||||||||||
| 6 | RANDALL OLIPHANT | For | For | ||||||||||
| 7 | IAN PEARCE | For | For | ||||||||||
| 8 | KAY PRIESTLY | For | For | ||||||||||
| 9 | RAYMOND THRELKELD | For | For | ||||||||||
| 03 | APPOINTMENT OF DELOITTE LLP AS AUDITOR OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 04 | ADVISORY RESOLUTION TO ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 23 of 41 |
PROXY VOTING RECORD
| NEWCREST MINING LTD, MELBOURNE VIC | |||
| Security | Q6651B114 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 29-Oct-2015 | |
| ISIN | AU000000NCM7 | Agenda | 706449142 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 3A, 3B, 4, AND 5 VOTES-CAST BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE-PROPOSAL/S WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT (AS REFERRED IN THE COMPANY-ANNOUNCEMENT) VOTE ABSTAIN ON THE RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU-ACKNOWLEDGE THAT YOU HAVE OBTAINED BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE-PASSING OF THE RELEVANT PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON THE ABOVE-MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT-NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT PROPOSAL/S-AND YOU COMPLY WITH THE VOTING EXCLUSION | Non-Voting | |||||||||||
| 2.A | ELECTION OF XIAOLING LIU AS A DIRECTOR | Management | For | For | |||||||||
| 2.B | ELECTION OF ROGER HIGGINS AS A DIRECTOR | Management | For | For | |||||||||
| 2.C | RE-ELECTION OF GERARD BOND AS A DIRECTOR | Management | For | For | |||||||||
| 3.A | GRANT OF PERFORMANCE RIGHTS TO SANDEEP BISWAS | Management | For | For | |||||||||
| 3.B | GRANT OF PERFORMANCE RIGHTS TO GERARD BOND | Management | For | For | |||||||||
| 4 | ADOPTION OF THE REMUNERATION REPORT (ADVISORY ONLY) | Management | For | For | |||||||||
| CMMT | IF YOU INTEND TO VOTE FOR THE REMUNERATION REPORT, THEN YOU SHOULD VOTE-AGAINST THE SPILL RESOLUTION. | Non-Voting | |||||||||||
| 5 | THAT, SUBJECT TO AND CONDITIONAL ON AT LEAST 25% OF THE VOTES CAST ON THE RESOLUTION PROPOSED IN ITEM 4 (REMUNERATION REPORT) BEING CAST AGAINST THE ADOPTION OF THE REMUNERATION REPORT: A) AN EXTRAORDINARY GENERAL MEETING OF THE COMPANY (SPILL MEETING) BE HELD WITHIN 90 DAYS AFTER THE PASSING OF THIS RESOLUTION; B) ALL OF THE DIRECTORS OF THE COMPANY IN OFFICE AT THE TIME WHEN THE BOARD RESOLUTION TO MAKE THE DIRECTORS’ REPORT FOR THE FINANCIAL YEAR ENDED 30 JUNE 2015 WAS PASSED (OTHER THAN THE MANAGING DIRECTOR), AND WHO REMAIN DIRECTORS AT THE TIME OF THE SPILL MEETING, CEASE TO HOLD OFFICE IMMEDIATELY BEFORE THE END OF THE SPILL MEETING; AND C) RESOLUTIONS TO APPOINT PERSONS TO OFFICES THAT WILL BE VACATED IMMEDIATELY BEFORE THE END OF THE SPILL MEETING BE PUT TO THE VOTE OF SHAREHOLDERS AT THE SPILL MEETING | Shareholder | For | Against | |||||||||
| Page 24 of 41 |
PROXY VOTING RECORD
| NEWMONT MINING CORPORATION | |||
| Security | 651639106 | Meeting Type | Annual |
| Ticker Symbol | NEM | Meeting Date | 20-Apr-2016 |
| ISIN | US6516391066 | Agenda | 934335008 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: G.H. BOYCE | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: B.R. BROOK | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: J.K. BUCKNOR | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: V.A. CALARCO | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: J.A. CARRABBA | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: N. DOYLE | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: G.J. GOLDBERG | Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: V.M. HAGEN | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: J. NELSON | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: J.M. QUINTANA | Management | For | For | |||||||||
| 2. | RATIFY APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For | |||||||||
| 3. | APPROVE, ON AN ADVISORY BASIS, NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | |||||||||
| Page 25 of 41 |
PROXY VOTING RECORD
| OCEANAGOLD CORPORATION | |||
| Security | 675222103 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | OCANF | Meeting Date | 09-Jun-2016 |
| ISIN | CA6752221037 | Agenda | 934428269 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | JAMES E. ASKEW | For | For | ||||||||||
| 2 | JOSE P. LEVISTE, JR. | For | For | ||||||||||
| 3 | GEOFF W. RABY | Withheld | Against | ||||||||||
| 4 | J. DENHAM SHALE | For | For | ||||||||||
| 5 | MICHAEL F. WILKES | For | For | ||||||||||
| 6 | WILLIAM H. MYCKATYN | For | For | ||||||||||
| 7 | PAUL B. SWEENEY | Withheld | Against | ||||||||||
| 8 | DIANE R. GARRETT | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | APPROVAL OF A RESOLUTION TO INCREASE THE AGGREGATE NON-EXECUTIVE DIRECTORS’ FEES, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | Against | Against | |||||||||
| 04 | APPROVAL OF A NON-BINDING ADVISORY RESOLUTION ACCEPTING THE APPROACH TO EXECUTIVE COMPENSATION DISLCOSED IN THE COMPANY’S ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | |||||||||
| Page 26 of 41 |
PROXY VOTING RECORD
| PETRA DIAMONDS LTD, HAMILTON | |||
| Security | G70278109 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 30-Nov-2015 | |
| ISIN | BMG702781094 | Agenda | 706537175 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1 | TO RECEIVE THE FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 30 JUNE 2015, TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITORS THEREON | Management | For | For | ||||||||
| 2 | TO APPROVE THE DIRECTORS’ ANNUAL REMUNERATION REPORT FOR THE YEAR ENDED 30 JUNE 2015 | Management | For | For | ||||||||
| 3 | TO APPROVE THE FINAL DIVIDEND DECLARED ON THE ORDINARY SHARES OF THE COMPANY FOR THE YEAR ENDED 30 JUNE 2015 OF USD 3.0 CENTS PER ORDINARY SHARE | Management | For | For | ||||||||
| 4 | TO RE-APPOINT BDO LLP AS AUDITORS TO ACT AS SUCH UNTIL THE CONCLUSION OF THE NEXT AGM OF THE COMPANY | Management | For | For | ||||||||
| 5 | TO AUTHORISE THE DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE AUDITORS | Management | For | For | ||||||||
| 6 | TO RE-APPOINT MR ADONIS POUROULIS, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 7 | TO RE-APPOINT MR CHRISTOFFEL JOHANNES DIPPENAAR, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 8 | TO RE-APPOINT MR DAVID GARY ABERY, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 9 | TO RE-APPOINT MR JAMES MURRY DAVIDSON, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 10 | TO RE-APPOINT MR ANTHONY CARMEL LOWRIE, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 11 | TO RE-APPOINT DR PATRICK JOHN BARTLETT, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 12 | TO RE-APPOINT MR ALEXANDER GORDON KELSO HAMILTON, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 13 | TO RE-APPOINT MS OCTAVIA MATSHIDISO MATLOA, WHO RETIRES IN ACCORDANCE WITH THE COMPANY’S BYE-LAWS, AS A DIRECTOR OF THE COMPANY | Management | For | For | ||||||||
| 14 | TO AUTHORISE THE DIRECTORS OF THE COMPANY TO ALLOT RELEVANT SECURITIES WITHIN THE MEANING OF BYE-LAW 2.4 OF THE COMPANY’S BYE-LAWS | Management | For | For | ||||||||
| 15 | TO DISAPPLY THE PRE-EMPTION PROVISIONS OF BYE-LAW-2.5(A) PURSUANT TO BYE-LAW 2.6(A)(I) OF THE COMPANY’S BYE-LAWS | Management | For | For |
| Page 27 of 41 |
PROXY VOTING RECORD
| PRIMERO MINING CORP. | |||
| Security | 74164W106 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | PPP | Meeting Date | 04-May-2016 |
| ISIN | CA74164W1068 | Agenda | 934365746 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | WADE NESMITH | For | For | ||||||||||
| 2 | JOSEPH CONWAY | Withheld | Against | ||||||||||
| 3 | DAVID DEMERS | For | For | ||||||||||
| 4 | GRANT EDEY | For | For | ||||||||||
| 5 | ERNEST MAST | For | For | ||||||||||
| 6 | EDUARDO LUNA | For | For | ||||||||||
| 7 | ROBERT A. QUARTERMAIN | Withheld | Against | ||||||||||
| 8 | MICHAEL RILEY | For | For | ||||||||||
| 9 | BRAD MARCHANT | For | For | ||||||||||
| 02 | TO APPOINT KPMG LLP AS AUDITOR OF THE COMPANY FOR THE ENSUING YEAR AND TO AUTHORIZE THE DIRECTORS TO FIX THE AUDITOR’S REMUNERATION. | Management | For | For | |||||||||
| 03 | TO AUTHORIZE, AMEND AND RE-APPROVE THE STOCK OPTION PLAN OF THE COMPANY, AS MORE PARTICULARLY DESCRIBED IN THE COMPANY’S INFORMATION CIRCULAR. | Management | Against | Against | |||||||||
| 04 | TO AUTHORIZE, AMEND AND RE-APPROVE THE 2013 PHANTOM SHARE UNIT PLAN OF THE COMPANY, AS MORE PARTICULARLY DESCRIBED IN THE COMPANY’S INFORMATION CIRCULAR. | Management | Against | Against | |||||||||
| 05 | AN ADVISORY RESOLUTION ACCEPTING THE APPROACH TO EXECUTIVE COMPENSATION DISCLOSED IN THE COMPANY’S INFORMATION CIRCULAR. | Management | Against | Against | |||||||||
| Page 28 of 41 |
PROXY VOTING RECORD
| RANDGOLD RESOURCES LIMITED | |||
| Security | 752344309 | Meeting Type | Annual |
| Ticker Symbol | GOLD | Meeting Date | 03-May-2016 |
| ISIN | US7523443098 | Agenda | 934394482 - Management |
| Item | Proposal | Proposed by | Vote | For/Against Management |
||||||||
| 1. | TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2015 TOGETHER WITH THE DIRECTORS’ REPORTS AND THE AUDITORS’ REPORT ON THE FINANCIAL STATEMENTS. | Management | For | For | ||||||||
| 2. | TO DECLARE A FINAL DIVIDEND OF US$0.66 PER ORDINARY SHARE RECOMMENDED BY THE DIRECTORS IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2015. | Management | For | For | ||||||||
| 3. | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2015 (OTHER THAN THE DIRECTORS’ REMUNERATION POLICY). | Management | For | For | ||||||||
| 4. | TO APPROVE THE DIRECTORS’ REMUNERATION POLICY. | Management | For | For | ||||||||
| 5. | TO RE-ELECT SAFIATOU BA-N’DAW AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 6. | TO RE-ELECT MARK BRISTOW AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 7. | TO RE-ELECT NORBORNE COLE JR AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 8. | TO RE-ELECT CHRISTOPHER COLEMAN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 9. | TO RE-ELECT KADRI DAGDELEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 10. | TO RE-ELECT JEMAL-UD-DIN KASSUM (JAMIL KASSUM) AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 11. | TO RE-ELECT JEANINE MABUNDA LIOKO AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 12. | TO RE-ELECT ANDREW QUINN AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 13. | TO RE-ELECT GRAHAM SHUTTLEWORTH AS A DIRECTOR OF THE COMPANY. | Management | For | For | ||||||||
| 14. | TO RE-APPOINT BDO LLP AS THE AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY. | Management | For | For | ||||||||
| 15. | TO AUTHORISE THE DIRECTORS TO DETERMINE THE REMUNERATION OF THE AUDITORS. | Management | For | For | ||||||||
| 16. | AUTHORITY TO ALLOT SHARES. | Management | For | For | ||||||||
| 17. | AWARD OF ORDINARY SHARES TO NON-EXECUTIVE DIRECTORS OTHER THAN THE SENIOR INDEPENDENT DIRECTOR AND THE CHAIRMAN. | Management | For | For | ||||||||
| 18. | AWARD OF ORDINARY SHARES TO THE SENIOR INDEPENDENT DIRECTOR. | Management | For | For | ||||||||
| 19. | AWARD OF ORDINARY SHARES TO THE CHAIRMAN. | Management | For | For | ||||||||
| 20. | AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS. | Management | For | For | ||||||||
| 21. | AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES AND AMERICAN DEPOSITARY SHARES. | Management | For | For |
| Page 29 of 41 |
PROXY VOTING RECORD
| ROMARCO MINERALS INC. | |||
| Security | 775903206 | Meeting Type | Special |
| Ticker Symbol | RTRAF | Meeting Date | 28-Sep-2015 |
| ISIN | CA7759032062 | Agenda | 934275276 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 01 | TO CONSIDER, AND IF THOUGHT FIT, PASS A SPECIAL RESOLUTION, THE FULL TEXT OF WHICH IS SET FORTH IN APPENDIX “D” TO ROMARCO MINERALS INC.’S INFORMATION CIRCULAR MAILED TO ROMARCO MINERALS INC.’S SHAREHOLDERS IN CONNECTION WITH THE SPECIAL MEETING OF SHAREHOLDERS TO BE HELD ON SEPTEMBER 28, 2015 (THE “CIRCULAR”), TO APPROVE AN ARRANGEMENT (THE “ARRANGEMENT”) UNDER SECTION 288 OF THE BUSINESS CORPORATIONS ACT (BRITISH COLUMBIA), THE ARRANGEMENT BEING SET FORTH IN THE PLAN OF ARRANGEMENT ATTACHED AS APPENDIX “F” TO THE CIRCULAR. | Management | For | For |
| Page 30 of 41 |
PROXY VOTING RECORD
| ROYAL GOLD, INC. | |||
| Security | 780287108 | Meeting Type | Annual |
| Ticker Symbol | RGLD | Meeting Date | 11-Nov-2015 |
| ISIN | US7802871084 | Agenda | 934283538 - Management |
| Item | Proposal | Proposed by | Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: GORDON J. BOGDEN | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: TONY A. JENSEN | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: JAMIE C. SOKALSKY | Management | For | For | ||||||||
| 2. | PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS OF THE COMPANY FOR THE FISCAL YEAR ENDING JUNE 30, 2016. | Management | For | For | ||||||||
| 3. | PROPOSAL TO APPROVE THE ADVISORY RESOLUTION RELATING TO EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
| 4. | PROPOSAL TO APPROVE THE ROYAL GOLD, INC. 2015 OMNIBUS LONG-TERM INCENTIVE PLAN. | Management | For | For |
| Page 31 of 41 |
PROXY VOTING RECORD
| SEMAFO INC. | |||
| Security | 816922108 | Meeting Type | Annual |
| Ticker Symbol | SEMFF | Meeting Date | 12-May-2016 |
| ISIN | CA8169221089 | Agenda | 934384900 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | TERENCE F. BOWLES | For | For | ||||||||||
| 2 | BENOIT DESORMEAUX | For | For | ||||||||||
| 3 | FLORE KONAN | For | For | ||||||||||
| 4 | JEAN LAMARRE | For | For | ||||||||||
| 5 | JOHN LEBOUTILLIER | For | For | ||||||||||
| 6 | GILLES MASSON | For | For | ||||||||||
| 7 | LAWRENCE MCBREARTY | For | For | ||||||||||
| 8 | TERTIUS ZONGO | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO DETERMINE THEIR COMPENSATION. | Management | For | For | |||||||||
| 03 | ADVISORY RESOLUTION ON THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION. | Management | For | For | |||||||||
| Page 32 of 41 |
PROXY VOTING RECORD
| SIBANYE GOLD LIMITED | |||
| Security | S7627H100 | Meeting Type | Ordinary General Meeting |
| Ticker Symbol | Meeting Date | 18-Jan-2016 | |
| ISIN | ZAE000173951 | Agenda | 706606273 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| S.1 | APPROVAL FOR THE ALLOTMENT AND ISSUE OF SIBANYE SHARES, INCLUDING IN PARTICULAR BUT NOT LIMITED TO THE CONSIDERATION SHARES, AS REQUIRED BY AND IN TERMS OF SECTION 41(3) OF THE COMPANIES ACT | Management | For | For | ||||||||
| O.1 | APPROVAL OF THE TRANSACTION AS A CATEGORY 1 TRANSACTION AS REQUIRED BY AND IN TERMS OF THE JSE LISTINGS REQUIREMENTS | Management | For | For | ||||||||
| O.2 | SPECIFIC APPROVAL AND AUTHORITY GRANTED TO THE BOARD TO ALLOT AND ISSUE FROM THE CURRENT AND/OR ANY FUTURE AUTHORISED BUT UNISSUED SIBANYE SHARES (I) THE CONSIDERATION SHARES TO RPM; AND/OR (II) SIBANYE SHARES TO VARIOUS INVESTORS FOR THE PURPOSE OF GENERATING CASH FOR THE PAYMENT OF THE PURCHASE PRICE OR ANY PORTION THEREOF | Management | For | For | ||||||||
| CMMT | 22 DEC 2015: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING-OF RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE-AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
| Page 33 of 41 |
PROXY VOTING RECORD
| SIBANYE GOLD LIMITED | |||
| Security | S7627H100 | Meeting Type | Annual General Meeting |
| Ticker Symbol | Meeting Date | 24-May-2016 | |
| ISIN | ZAE000173951 | Agenda | 706823499 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 611514 DUE TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | ||||||||||
| O.1 | RE-APPOINTMENT OF AUDITORS: KPMG INC., | Management | For | For | ||||||||
| O.2 | RE-ELECTION OF A DIRECTOR: BE DAVISON | Management | For | For | ||||||||
| O.3 | RE-ELECTION OF A DIRECTOR: NJ FRONEMAN | Management | For | For | ||||||||
| O.4 | RE-ELECTION OF A DIRECTOR: NG NIKA | Management | For | For | ||||||||
| O.5 | RE-ELECTION OF A DIRECTOR: SC VAN DER MERWE | Management | For | For | ||||||||
| O.6 | ELECTION OF A DIRECTOR: J YUAN | Management | For | For | ||||||||
| O.7 | RE-ELECTION OF A MEMBER AND CHAIR OF THE AUDIT COMMITTEE: KA RAYNER | Management | For | For | ||||||||
| O.8 | RE-ELECTION OF A MEMBER OF THE AUDIT COMMITTEE: RP MENELL | Management | For | For | ||||||||
| O.9 | RE-ELECTION OF A MEMBER OF THE AUDIT COMMITTEE: NG NIKA | Management | For | For | ||||||||
| O.10 | RE-ELECTION OF A MEMBER OF THE AUDIT COMMITTEE: SC VAN DER MERWE | Management | For | For | ||||||||
| O.11 | APPROVAL FOR THE ISSUE OF AUTHORISED BUT UNISSUED ORDINARY SHARES | Management | For | For | ||||||||
| O.12 | ISSUING EQUITY SECURITIES FOR CASH | Management | For | For | ||||||||
| NB.1 | ADVISORY ENDORSEMENT OF THE REMUNERATION POLICY | Management | For | For | ||||||||
| S.1 | APPROVAL FOR THE REMUNERATION OF NON-EXECUTIVE DIRECTORS | Management | For | For | ||||||||
| S.2 | APPROVAL FOR THE COMPANY TO GRANT FINANCIAL ASSISTANCE IN TERMS OF SECTION 44 AND 45 OF THE ACT | Management | For | For | ||||||||
| S.3 | APPROVAL OF AMENDMENT TO THE COMPANY’S MEMORANDUM OF INCORPORATION: CLAUSE 32.5 | Management | For | For | ||||||||
| S.4 | APPROVAL FOR THE ACQUISITION OF THE COMPANY’S OWN SHARES | Management | For | For | ||||||||
| CMMT | 28 MAR 2016: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OF RESOLUTION S.4. IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID:-613150, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL-INSTRUCTIONS. THANK YOU. | Non-Voting |
| Page 34 of 41 |
PROXY VOTING RECORD
| STILLWATER MINING COMPANY |
| Security | 86074Q102 | Meeting Type | Annual |
| Ticker Symbol | SWC | Meeting Date | 05-May-2016 |
| ISIN | US86074Q1022 | Agenda | 934345403 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 1A. | ELECTION OF DIRECTOR: GEORGE M. BEE | Management | For | For | ||||||||
| 1B. | ELECTION OF DIRECTOR: MICHAEL J. MCMULLEN | Management | For | For | ||||||||
| 1C. | ELECTION OF DIRECTOR: PATRICE E. MERRIN | Management | For | For | ||||||||
| 1D. | ELECTION OF DIRECTOR: LAWRENCE PETER OHAGAN | Management | For | For | ||||||||
| 1E. | ELECTION OF DIRECTOR: MICHAEL S. PARRETT | Management | For | For | ||||||||
| 1F. | ELECTION OF DIRECTOR: BRIAN D. SCHWEITZER | Management | For | For | ||||||||
| 1G. | ELECTION OF DIRECTOR: GARY A. SUGAR | Management | For | For | ||||||||
| 2. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANYS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016. | Management | For | For | ||||||||
| 3. | TO CONDUCT AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For |
| Page 35 of 41 |
PROXY VOTING RECORD
| STORNOWAY DIAMOND CORPORATION |
| Security | 86222Q806 | Meeting Type | Annual |
| Ticker Symbol | SWYDF | Meeting Date | 19-Oct-2015 |
| ISIN | CA86222Q8065 | Agenda | 934280974 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | GODIN, PATRICK | For | For | ||||||||||
| 2 | KYLE, HUME | For | For | ||||||||||
| 3 | LEBOUTILLIER, JOHN | For | For | ||||||||||
| 4 | MANSON, MATTHEW | For | For | ||||||||||
| 5 | MORIN, GASTON | For | For | ||||||||||
| 6 | NIXON, PETER B. | For | For | ||||||||||
| 7 | SCHERKUS, EBE | For | For | ||||||||||
| 8 | SILVER, DOUGLAS B. | For | For | ||||||||||
| 9 | TAWIL, MARIE-ANNE | For | For | ||||||||||
| 10 | VÉZINA, SERGE | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| Page 36 of 41 |
PROXY VOTING RECORD
| STORNOWAY DIAMOND CORPORATION |
| Security | 86222Q806 | Meeting Type | Annual |
| Ticker Symbol | SWYDF | Meeting Date | 16-May-2016 |
| ISIN | CA86222Q8065 | Agenda | 934391830 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | GODIN, PATRICK | For | For | ||||||||||
| 2 | KYLE, HUME | For | For | ||||||||||
| 3 | LEBOUTILLIER, JOHN | For | For | ||||||||||
| 4 | MANSON, MATTHEW | For | For | ||||||||||
| 5 | MORIN, GASTON | For | For | ||||||||||
| 6 | NIXON, PETER B. | For | For | ||||||||||
| 7 | SCHERKUS, EBE | For | For | ||||||||||
| 8 | SILVER, DOUGLAS B. | For | For | ||||||||||
| 9 | TAWIL, MARIE-ANNE | For | For | ||||||||||
| 10 | VÉZINA, SERGE | For | For | ||||||||||
| 02 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO ADOPT AN ORDINARY RESOLUTION APPROVING, RATIFYING AND CONFIRMING BY-LAW TWO OF THE CORPORATION, PROVIDING FOR AN ADVANCE NOTICE REQUIREMENT FOR NOMINATIONS OF DIRECTORS BY SHAREHOLDERS IN CERTAIN CIRCUMSTANCES. | Management | For | For | |||||||||
| 04 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO ADOPT, ON AN ADVISORY BASIS, A NON-BINDING RESOLUTION ON THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION DISCLOSED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | |||||||||
| Page 37 of 41 |
PROXY VOTING RECORD
| TAHOE RESOURCES INC. |
| Security | 873868103 | Meeting Type | Special |
| Ticker Symbol | TAHO | Meeting Date | 31-Mar-2016 |
| ISIN | CA8738681037 | Agenda | 934339501 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
||||||||
| 01 | TO CONSIDER, AS SAME MAY BE AMENDED AND, IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION THE FULL TEXT OF WHICH IS SET FORTH IN APPENDIX “A” ATTACHED TO THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR OF TAHOE DATED MARCH 1, 2016 (THE “CIRCULAR”), TO APPROVE THE ISSUANCE OF SUCH NUMBER OF COMMON SHARES OF TAHOE AS MAY BE REQUIRED TO BE ISSUED PURSUANT TO THE TERMS OF THE ARRANGEMENT UNDER SECTION 192 OF THE CANADA BUSINESS CORPORATIONS ACT INVOLVING TAHOE AND LAKE SHORE GOLD CORP. | Management | For | For |
| Page 38 of 41 |
PROXY VOTING RECORD
| TAHOE RESOURCES INC. |
| Security | 873868103 | Meeting Type | Annual |
| Ticker Symbol | TAHO | Meeting Date | 04-May-2016 |
| ISIN | CA8738681037 | Agenda | 934386916 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | TANYA M. JAKUSCONEK | Withheld | Against | ||||||||||
| 2 | DRAGO G. KISIC | For | For | ||||||||||
| 3 | C. KEVIN MCARTHUR | Withheld | Against | ||||||||||
| 4 | ALAN C. MOON | For | For | ||||||||||
| 5 | A. DAN ROVIG | For | For | ||||||||||
| 6 | PAUL B. SWEENEY | For | For | ||||||||||
| 7 | JAMES S. VOORHEES | For | For | ||||||||||
| 8 | KENNETH F. WILLIAMSON | For | For | ||||||||||
| 9 | KLAUS M. ZEITLER | For | For | ||||||||||
| 02 | APPOINTMENT OF DELOITTE LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR. | Management | For | For | |||||||||
| 03 | TO ACCEPT THE CORPORATION’S APPROACH TO EXECUTIVE COMPENSATION, AS MORE PARTICULARLY DESCRIBED IN THE INFORMATION CIRCULAR FOR THE MEETING. | Management | For | For | |||||||||
| Page 39 of 41 |
PROXY VOTING RECORD
| TMAC RESOURCES INC. |
| Security | 872577101 | Meeting Type | Annual |
| Ticker Symbol | TMMFF | Meeting Date | 21-Jun-2016 |
| ISIN | CA8725771015 | Agenda | 934429285 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
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| 01 | DIRECTOR | Management | |||||||||||
| 1 | ANDREW B. ADAMS | Withheld | Against | ||||||||||
| 2 | LEONA AGLUKKAQ | Withheld | Against | ||||||||||
| 3 | JOÃO P.S. CARRÊLO | For | For | ||||||||||
| 4 | RUSSELL L. CRANSWICK | Withheld | Against | ||||||||||
| 5 | FRANKLIN L. DAVIS | Withheld | Against | ||||||||||
| 6 | E. RANDALL ENGEL | For | For | ||||||||||
| 7 | DAVID R. FALEY | For | For | ||||||||||
| 8 | CATHARINE E.G. FARROW | For | For | ||||||||||
| 9 | JOHN W. LYDALL | Withheld | Against | ||||||||||
| 10 | A. TERRANCE MACGIBBON | For | For | ||||||||||
| 02 | APPOINTMENT OF KPMG LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| Page 40 of 41 |
PROXY VOTING RECORD
| TOREX GOLD RESOURCES INC. |
| Security | 891054108 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | TORXF | Meeting Date | 09-Jun-2016 |
| ISIN | CA8910541082 | Agenda | 934421176 - Management |
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 01 | DIRECTOR | Management | |||||||||||
| 1 | FRED STANFORD | For | For | ||||||||||
| 2 | MICHAEL MURPHY | For | For | ||||||||||
| 3 | A. TERRANCE MACGIBBON | For | For | ||||||||||
| 4 | DAVID FENNELL | Withheld | Against | ||||||||||
| 5 | JAMES CROMBIE | Withheld | Against | ||||||||||
| 6 | FRANK DAVIS | For | For | ||||||||||
| 7 | ANDREW ADAMS | For | For | ||||||||||
| 02 | APPOINTMENT OF KPMG LLP, CHARTERED PROFESSIONAL ACCOUNTANTS, AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | Management | For | For | |||||||||
| 03 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO APPROVE AN EMPLOYEE SHARE UNIT PLAN. | Management | For | For | |||||||||
| 04 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO APPROVE CERTAIN AMENDMENTS TO THE COMPANY’S STOCK OPTION PLAN, INCLUDING TO REFLECT AN AGGREGATE MAXIMUM NUMBER OF COMMON SHARES RESERVED FOR ISSUANCE PURSUANT TO ALL OF THE COMPANY’S SECURITY BASED COMPENSATION ARRANGEMENTS. | Management | For | For | |||||||||
| 05 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO APPROVE CERTAIN AMENDMENTS TO THE COMPANY’S RESTRICTED SHARE UNIT PLAN, INCLUDING TO REFLECT AN AGGREGATE MAXIMUM NUMBER OF COMMON SHARES RESERVED FOR ISSUANCE PURSUANT TO ALL OF THE COMPANY’S SECURITY BASED COMPENSATION ARRANGEMENTS. | Management | For | For | |||||||||
| 06 | TO CONSIDER AND, IF DEEMED APPROPRIATE, TO PASS, WITH OR WITHOUT VARIATION, A SPECIAL RESOLUTION APPROVING THE AMENDMENT TO THE COMPANY’S ARTICLES TO CONSOLIDATE ITS OUTSTANDING COMMON SHARES ON THE BASIS OF ONE POST-CONSOLIDATION COMMON SHARE FOR EVERY TEN PRE-CONSOLIDATION COMMON SHARES. | Management | For | For | |||||||||
Signatures
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
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ASA Gold and Precious Metals Limited |
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/s/ David J. Christensen |
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by |
David J. Christensen |
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President and Chief Executive Officer |
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(Principal Executive Officer) |
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Date: August 31, 2016 |
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