UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number: 811-21989
Nicholas-Applegate Equity & Convertible Income Fund
(Exact name of registrant as specified in charter)
1345 Avenue of the Americas, New York, NY 10105
(Address of Principal Executive Office)
Allianz Global Investors Fund Management LLC
1345 Avenue of the Americas
New York, NY 10105
(Name and Address of Agent for Service)
Registrant's telephone number, including area code: 212-739-3000
Date of fiscal year end: January 31
Date of reporting period: July 1, 2009 through June 30, 2010
ITEM 1. PROXY VOTING RECORD
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-21989
Reporting Period: 07/01/2009 - 06/30/2010
Nicholas-Applegate Equity & Convertible Income Fund
============= NICHOLAS-APPLEGATE EQUITY & CONVERTIBLE INCOME FUND ==============
ABBOTT LABORATORIES
Ticker: ABT Security ID: 002824100
Meeting Date: APR 23, 2010 Meeting Type: Annual
Record Date: FEB 24, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Robert Alpern For For Management
1.2 Elect Roxanne Austin For For Management
1.3 Elect William Daley For For Management
1.4 Elect W. James Farrell For For Management
1.5 Elect H. Laurance Fuller For For Management
1.6 Elect William Osborn For For Management
1.7 Elect David Owen For For Management
1.8 Elect Roy Roberts For For Management
1.9 Elect Samuel Scott III For For Management
1.10 Elect William Smithburg For For Management
1.11 Elect Glenn Tilton For For Management
1.12 Elect Miles White For For Management
2 Ratification of Auditor For For Management
3 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
4 Shareholder Proposal Regarding Right to Against Against Shareholder
Call a Special Meeting
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AGCO CORPORATION
Ticker: AGCO Security ID: 001084102
Meeting Date: APR 22, 2010 Meeting Type: Annual
Record Date: MAR 12, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Francsico Roberto Andre Gros For Withhold Management
1.2 Elect Gerald Johanneson For For Management
1.3 Elect George Minnich For For Management
1.4 Elect Curtis Moll For For Management
2 Ratification of Auditor For For Management
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AMPHENOL CORPORATION
Ticker: APH Security ID: 032095101
Meeting Date: MAY 26, 2010 Meeting Type: Annual
Record Date: MAR 29, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Stanley Clark For For Management
1.2 Elect Andrew Lietz For For Management
1.3 Elect Martin Loeffler For For Management
2 Ratification of Auditor For For Management
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APPLE INC.
Ticker: AAPL Security ID: 037833100
Meeting Date: FEB 25, 2010 Meeting Type: Annual
Record Date: DEC 28, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect William Campbell For For Management
1.2 Elect Millard Drexler For For Management
1.3 Elect Albert Gore, Jr. For For Management
1.4 Elect Steven Jobs For For Management
1.5 Elect Andrea Jung For For Management
1.6 Elect Arthur Levinson For For Management
1.7 Elect Jerome York For For Management
2 Amendment to the 2003 Employee Stock For For Management
Plan
3 Amendment to the 1997 Director Stock For For Management
Option Plan
4 Advisory Vote on Executive Compensation For For Management
5 Ratification of Auditor For For Management
6 Shareholder Proposal Regarding Against Against Shareholder
Sustainability Report
7 Shareholder Proposal Regarding Against Against Shareholder
Formation of Sustainability Committee
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BAXTER INTERNATIONAL INC.
Ticker: BAX Security ID: 071813109
Meeting Date: MAY 4, 2010 Meeting Type: Annual
Record Date: MAR 8, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Blake Devitt For For Management
2 Elect John Forsyth For For Management
3 Elect Gail Fosler For For Management
4 Elect Carole Shapazian For For Management
5 Ratification of Auditor For For Management
6 Shareholder Proposal Regarding Simple Against For Shareholder
Majority Vote
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CELANESE CORPORATION
Ticker: CE Security ID: 150870103
Meeting Date: APR 22, 2010 Meeting Type: Annual
Record Date: FEB 24, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect David Weidman For For Management
2 Elect Mark Rohr For For Management
3 Elect Farah Walters For For Management
4 Ratification of Auditor For For Management
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CISCO SYSTEMS, INC.
Ticker: CSCO Security ID: 17275R102
Meeting Date: NOV 12, 2009 Meeting Type: Annual
Record Date: SEP 14, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Carol Bartz For For Management
2 Elect M. Michele Burns For For Management
3 Elect Michael Capellas For For Management
4 Elect Larry Carter For For Management
5 Elect John Chambers For For Management
6 Elect Brian Halla For For Management
7 Elect John Hennessy For Against Management
8 Elect Richard Kovacevich For For Management
9 Elect Roderick McGeary For For Management
10 Elect Michael Powell For For Management
11 Elect Arun Sarin For For Management
12 Elect Steven West For For Management
13 Elect Jerry Yang For For Management
14 Amendment to the 2005 Stock Incentive For For Management
Plan
15 Amendment to the Employee Stock For For Management
Purchase Plan
16 Ratification of Auditor For For Management
17 Shareholder Proposal Regarding Against Against Shareholder
Formation of a Board Committee on Human
Rights
18 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
19 Shareholder Proposal Regarding Report Against Against Shareholder
on Internet Fragmentation
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CONSTELLATION ENERGY GROUP, INC.
Ticker: CEG Security ID: 210371100
Meeting Date: MAY 28, 2010 Meeting Type: Annual
Record Date: MAR 19, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Yves de Balmann For For Management
2 Elect Ann Berzin For For Management
3 Elect James Brady For For Management
4 Elect Daniel Camus For For Management
5 Elect James Curtiss For For Management
6 Elect Freeman Hrabowski III For For Management
7 Elect Nancy Lampton For For Management
8 Elect Robert Lawless For For Management
9 Elect Mayo Shattuck III For For Management
10 Elect John Skolds For For Management
11 Elect Michael Sullivan For For Management
12 Ratification of Auditor For For Management
13 Amendment to the 2007 Long-Term For Against Management
Incentive Plan
14 Shareholder Proposal Regarding Against For Shareholder
Independent Board Chairman
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DEERE & COMPANY
Ticker: DE Security ID: 244199105
Meeting Date: FEB 24, 2010 Meeting Type: Annual
Record Date: DEC 31, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Samuel Allen For For Management
2 Elect Aulana Peters For For Management
3 Elect David Speer For For Management
4 Repeal of Classified Board For For Management
5 Amendment to the Omnibus Equity and For For Management
Incentive Plan
6 Short-Term Incentive Bonus Plan For For Management
7 Ratification of Auditor For For Management
8 Shareholder Proposal Regarding Internal Against Against Shareholder
Executive Compensation Equity
9 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
10 Shareholder Proposal Regarding an Against For Shareholder
Independent Chairman
--------------------------------------------------------------------------------
DIAMOND OFFSHORE DRILLING, INC.
Ticker: DO Security ID: 25271C102
Meeting Date: MAY 24, 2010 Meeting Type: Annual
Record Date: MAR 29, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect James Tisch For For Management
1.2 Elect Lawrence Dickerson For For Management
1.3 Elect John Bolton For For Management
1.4 Elect Charles Fabrikant For For Management
1.5 Elect Paul Gaffney II For For Management
1.6 Elect Edward Grebow For For Management
1.7 Elect Herbert Hofmann For For Management
1.8 Elect Arthur Rebell For For Management
1.9 Elect Raymond Troubh For For Management
2 Ratification of Auditor For For Management
3 Transaction of Other Business For Against Management
--------------------------------------------------------------------------------
EMC CORPORATION
Ticker: EMC Security ID: 268648102
Meeting Date: APR 29, 2010 Meeting Type: Annual
Record Date: FEB 23, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Michael Brown For For Management
2 Elect Randolph Cowen For For Management
3 Elect Michael Cronin For For Management
4 Elect Gail Deegan For For Management
5 Elect James DiStasio For For Management
6 Elect John Egan For For Management
7 Elect Edmund Kelly For For Management
8 Elect Windle Priem For For Management
9 Elect Paul Sagan For For Management
10 Elect David Strohm For For Management
11 Elect Joseph Tucci For For Management
12 Ratification of Auditor For For Management
13 Shareholder Proposal Regarding Right to Against For Shareholder
Call a Special Meeting
14 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
--------------------------------------------------------------------------------
ENTERGY CORPORATION
Ticker: ETR Security ID: 29364G103
Meeting Date: MAY 7, 2010 Meeting Type: Annual
Record Date: MAR 9, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Maureen Bateman For For Management
2 Elect W. Frank Blount For For Management
3 Elect Gary Edwards For For Management
4 Elect Alexis Herman For For Management
5 Elect Donald Hintz For For Management
6 Elect J. Wayne Leonard For For Management
7 Elect Stuart Levenick For For Management
8 Elect Stewart Myers For For Management
9 Elect James Nichols For For Management
10 Elect William Percy, II For For Management
11 Elect W.J. Tauzin For For Management
12 Elect Steven Wilkinson For For Management
13 Ratification of Auditor For For Management
14 Approval of the Executive Annual For For Management
Incentive Plan
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FIFTH THIRD BANCORP
Ticker: FITB Security ID: 316773100
Meeting Date: APR 20, 2010 Meeting Type: Annual
Record Date: MAR 1, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Adoption of Majority Vote for Election For For Management
of Directors
2 Elimination of Cumulative Voting For For Management
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FORD MOTOR COMPANY
Ticker: F Security ID: 345370860
Meeting Date: MAY 13, 2010 Meeting Type: Annual
Record Date: MAR 17, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Stephen Butler For For Management
1.2 Elect Kimberly Casiano For For Management
1.3 Elect Anthony Earley, Jr. For Withhold Management
1.4 Elect Edsel Ford II For Withhold Management
1.5 Elect William Ford, Jr. For For Management
1.6 Elect Richard Gephardt For For Management
1.7 Elect Irvine Hockaday, Jr. For For Management
1.8 Elect Richard Manoogian For Withhold Management
1.9 Elect Ellen Marram For For Management
1.10 Elect Alan Mulally For For Management
1.11 Elect Homer Neal For For Management
1.12 Elect Gerald Shaheen For For Management
1.13 Elect John Thornton For For Management
2 Ratification of Auditor For For Management
3 Tax Benefit Preservation Plan For For Management
4 Shareholder Proposal Regarding Against Against Shareholder
Disclosure of Prior Government Service
5 Shareholder Proposal Regarding Against For Shareholder
Recapitalization Plan
6 Shareholder Proposal Regarding Against For Shareholder
Political Contributions and Expenditure
Report
7 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
8 Shareholder Proposal Regarding Carbon Against Against Shareholder
Dioxide Reduction
--------------------------------------------------------------------------------
FREEPORT-MCMORAN COPPER & GOLD INC.
Ticker: FCX Security ID: 35671D857
Meeting Date: JUN 9, 2010 Meeting Type: Annual
Record Date: APR 13, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Richard Adkerson For For Management
1.2 Elect Robert Allison, Jr. For Withhold Management
1.3 Elect Robert Day For For Management
1.4 Elect Gerald Ford For For Management
1.5 Elect H. Devon Graham, Jr. For For Management
1.6 Elect Charles Krulak For For Management
1.7 Elect Bobby Lackey For For Management
1.8 Elect Jon Madonna For For Management
1.9 Elect Dustan McCoy For For Management
1.10 Elect James Moffett For For Management
1.11 Elect B. M. Rankin, Jr. For Withhold Management
1.12 Elect Stephen Siegele For For Management
2 Ratification of Auditor For For Management
3 Amendment to the 2006 Stock Incentive For Against Management
Plan
4 Shareholder Proposal Regarding Against Against Shareholder
Environmental Expertise on Board
5 Shareholder Proposal Regarding Against Against Shareholder
Retention of Shares After Retirement
--------------------------------------------------------------------------------
GENERAL ELECTRIC COMPANY
Ticker: GE Security ID: 369604103
Meeting Date: APR 28, 2010 Meeting Type: Annual
Record Date: MAR 1, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect W. Geoffrey Beattie For For Management
2 Elect James Cash, Jr. For For Management
3 Elect Sir William Castell For For Management
4 Elect Ann Fudge For For Management
5 Elect Susan Hockfield For For Management
6 Elect Jeffrey Immelt For For Management
7 Elect Andrea Jung For For Management
8 Elect Alan Lafley For For Management
9 Elect Robert Lane For For Management
10 Elect Ralph Larsen For For Management
11 Elect Rochelle Lazarus For For Management
12 Elect James Mulva For For Management
13 Elect Sam Nunn For For Management
14 Elect Roger Penske For Against Management
15 Elect Robert Swieringa For For Management
16 Elect Douglas Warner III For For Management
17 Ratification of Auditor For For Management
18 Shareholder Proposal Regarding Against Against Shareholder
Cumulative Voting
19 Shareholder Proposal Regarding Right to Against For Shareholder
Call a Special Meeting
20 Shareholder Proposal Regarding Against For Shareholder
Independent Board Chairman
21 Shareholder Proposal Regarding Against Against Shareholder
Regarding Report on Ratio Between
Executive and Employee Pay
22 Shareholder Proposal Regarding Against Against Shareholder
Requiring Key Committee Directors To
Receive Less Than 20% Against Votes
23 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
--------------------------------------------------------------------------------
GILEAD SCIENCES, INC.
Ticker: GILD Security ID: 375558103
Meeting Date: MAY 11, 2010 Meeting Type: Annual
Record Date: MAR 15, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Paul Berg For For Management
1.2 Elect John Cogan For For Management
1.3 Elect Etienne Davignon For For Management
1.4 Elect James Denny For For Management
1.5 Elect Carla Hills For For Management
1.6 Elect Kevin Lofton For For Management
1.7 Elect John Madigan For For Management
1.8 Elect John Martin For For Management
1.9 Elect Gordon Moore For For Management
1.10 Elect Nicholas Moore For For Management
1.11 Elect Richard Whitley For For Management
1.12 Elect Gayle Wilson For For Management
1.13 Elect Per Wold-Olsen For For Management
2 Ratification of Auditor For For Management
3 Shareholder Proposal Regarding Simple Against For Shareholder
Majority Vote
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GOOGLE INC.
Ticker: GOOG Security ID: 38259P508
Meeting Date: MAY 13, 2010 Meeting Type: Annual
Record Date: MAR 15, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Eric Schmidt For For Management
1.2 Elect Sergey Brin For For Management
1.3 Elect Larry Page For For Management
1.4 Elect L. John Doerr For For Management
1.5 Elect John Hennessy For Withhold Management
1.6 Elect Ann Mather For For Management
1.7 Elect Paul Otellini For For Management
1.8 Elect K. Shriram For For Management
1.9 Elect Shirley Tilghman For For Management
2 Ratification of Auditor For For Management
3 Amendment to the 2004 Stock Plan For Against Management
4 Shareholder Proposal Regarding Against Against Shareholder
Sustainability Report
5 Shareholder Proposal Regarding Against Against Shareholder
Behavorial Advertising
6 Shareholder Proposal Regarding Human Against Against Shareholder
Rights in China
--------------------------------------------------------------------------------
HARRIS CORPORATION
Ticker: HRS Security ID: 413875105
Meeting Date: OCT 23, 2009 Meeting Type: Annual
Record Date: AUG 28, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Terry Growcock For For Management
2 Elect Leslie Kenne For For Management
3 Elect David Rickard For For Management
4 Elect Gregory Swienton For For Management
5 Ratification of Auditor For For Management
6 Shareholder Proposal Regarding Against For Shareholder
Independent Board Chairman
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HARRIS STRATEX NETWORKS, INC.
Ticker: HSTX Security ID: 41457P106
Meeting Date: NOV 19, 2009 Meeting Type: Annual
Record Date: SEP 22, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Charles Kissner For Withhold Management
1.2 Elect Harald Braun For Withhold Management
1.3 Elect Eric Evans For Withhold Management
1.4 Elect William Hasler For Withhold Management
1.5 Elect Clifford Higgerson For Withhold Management
1.6 Elect Mohsen Sohi For Withhold Management
1.7 Elect James Stoffel For Withhold Management
1.8 Elect Edward Thompson For Withhold Management
2 Ratification of Auditor For For Management
3 2010 Employee Stock Purchase Plan For For Management
4 Amendment to the 2007 Stock Equity Plan For For Management
5 Amendment to the Certificate of For For Management
Incorporation
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INTEL CORPORATION
Ticker: INTC Security ID: 458140100
Meeting Date: MAY 19, 2010 Meeting Type: Annual
Record Date: MAR 22, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Charlene Barshefsky For Against Management
2 Elect Susan Decker For For Management
3 Elect John Donahoe For For Management
4 Elect Reed Hundt For For Management
5 Elect Paul Otellini For For Management
6 Elect James Plummer For For Management
7 Elect David Pottruck For For Management
8 Elect Jane Shaw For For Management
9 Elect Frank Yeary For For Management
10 Elect David Yoffie For Against Management
11 Ratification of Auditor For For Management
12 ADVISORY VOTE ON EXECUTIVE COMPENSATION For For Management
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INTERNATIONAL BUSINESS MACHINES CORPORATION
Ticker: IBM Security ID: 459200101
Meeting Date: APR 27, 2010 Meeting Type: Annual
Record Date: FEB 26, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Alain Belda For Against Management
2 Elect Cathleen Black For Against Management
3 Elect William Brody For For Management
4 Elect Kenneth Chenault For For Management
5 Elect Michael Eskew For Against Management
6 Elect Shirley Jackson For For Management
7 Elect Andrew Liveris For Against Management
8 Elect W. James McNerney, Jr. For For Management
9 Elect Taizo Nishimuro For For Management
10 Elect James Owens For For Management
11 Elect Samuel Palmisano For For Management
12 Elect Joan Spero For For Management
13 Elect Sidney Taurel For For Management
14 Elect Lorenzo Zambrano For Against Management
15 Ratification of Auditor For For Management
16 Shareholder Proposal Regarding Against Against Shareholder
Restricting Executive Compensation
17 Shareholder Proposal Regarding Against Against Shareholder
Cumulative Voting
18 Shareholder Proposal Regarding Right to Against For Shareholder
Call a Special Meeting
19 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
--------------------------------------------------------------------------------
INTUITIVE SURGICAL, INC.
Ticker: ISRG Security ID: 46120E602
Meeting Date: APR 21, 2010 Meeting Type: Annual
Record Date: FEB 22, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Alan Levy For Withhold Management
1.2 Elect Eric Halvorson For For Management
1.3 Elect Amal Johnson For For Management
2 2010 Incentive Award Plan For Against Management
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JOHNSON & JOHNSON
Ticker: JNJ Security ID: 478160104
Meeting Date: APR 22, 2010 Meeting Type: Annual
Record Date: FEB 23, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Mary Coleman For Against Management
2 Elect James Cullen For For Management
3 Elect Michael Johns For Against Management
4 Elect Susan Lindquist For For Management
5 Elect Anne Mulcahy For Against Management
6 Elect Leo Mullin For For Management
7 Elect William Perez For Against Management
8 Elect Charles Prince For Against Management
9 Elect David Satcher For For Management
10 Elect William Weldon For For Management
11 Ratification of Auditor For For Management
12 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Executive Compensation (Say on
Pay)
13 Shareholder Proposal Regarding Right to Against Against Shareholder
Call a Special Meeting
--------------------------------------------------------------------------------
JOHNSON CONTROLS, INC.
Ticker: JCI Security ID: 478366107
Meeting Date: JAN 27, 2010 Meeting Type: Annual
Record Date: NOV 19, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect David Abney For For Management
1.2 Elect Robert Barnett For Withhold Management
1.3 Elect Eugenio Clariond Reyes-Retana For For Management
1.4 Elect Jeffrey Joerres For For Management
2 Ratification of Auditor For For Management
3 Shareholder Proposal Regarding Majority Against For Shareholder
Vote for Election of Directors
--------------------------------------------------------------------------------
JOY GLOBAL INC.
Ticker: JOYG Security ID: 481165108
Meeting Date: MAR 9, 2010 Meeting Type: Annual
Record Date: JAN 8, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Steven Gerard For For Management
1.2 Elect John Hanson For For Management
1.3 Elect Kenneth Johnsen For For Management
1.4 Elect Gale Klappa For For Management
1.5 Elect Richard Loynd For For Management
1.6 Elect P. Eric Siegert For For Management
1.7 Elect Michael Sutherlin For For Management
1.8 Elect James Tate For For Management
2 Ratification of Auditor For For Management
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JPMORGAN CHASE & CO.
Ticker: JPM Security ID: 46625H100
Meeting Date: MAY 18, 2010 Meeting Type: Annual
Record Date: MAR 19, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Crandall Bowles For For Management
2 Elect Stephen Burke For For Management
3 Elect David Cote For For Management
4 Elect James Crown For For Management
5 Elect James Dimon For For Management
6 Elect Ellen Futter For Against Management
7 Elect William Gray, III For For Management
8 Elect Laban Jackson, Jr. For For Management
9 Elect David Novak For Against Management
10 Elect Lee Raymond For For Management
11 Elect William Weldon For For Management
12 Ratification of Auditor For For Management
13 ADVISORY VOTE ON EXECUTIVE COMPENSATION For For Management
14 Shareholder Proposal Regarding Against Against Shareholder
Affirmation of Political
Nonpartisanship
15 Shareholder Proposal Regarding Right to Against For Shareholder
Call a Special Meeting
16 Shareholder Proposal Regarding Report Against Against Shareholder
OTC Derivative Trading
17 Shareholder Proposal Regarding Right to Against For Shareholder
Act by Written Consent
18 Shareholder Proposal Regarding Against For Shareholder
Independent Board Chairman
19 Shareholder Proposal Regarding Report Against Against Shareholder
of Ratio Between CEO and Employee Pay
20 Shareholder Proposal Regarding Against Against Shareholder
Retention of Shares After Retirement
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L-3 COMMUNICATIONS HOLDINGS, INC.
Ticker: LLL Security ID: 502424104
Meeting Date: APR 27, 2010 Meeting Type: Annual
Record Date: MAR 1, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Claude Canizares For For Management
1.2 Elect Thomas Corcoran For For Management
1.3 Elect Lewis Kramer For For Management
1.4 Elect Alan Washkowitz For For Management
2 Amendment to the 2008 Long Term For For Management
Performance Plan
3 Ratification of Auditor For For Management
--------------------------------------------------------------------------------
MCDONALD'S CORPORATION
Ticker: MCD Security ID: 580135101
Meeting Date: MAY 20, 2010 Meeting Type: Annual
Record Date: MAR 23, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Walter Massey For For Management
2 Elect John Rogers, Jr. For For Management
3 Elect Roger Stone For For Management
4 Elect Miles White For For Management
5 Ratification of Auditor For For Management
6 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
7 Shareholder Proposal Regarding Simple Against For Shareholder
Majority Vote
8 Shareholder Proposal Regarding Against Against Shareholder
Controlled Atmosphere Killing
9 Shareholder Proposal Regarding Against Against Shareholder
Cage-Free Eggs
--------------------------------------------------------------------------------
MCKESSON CORPORATION
Ticker: MCK Security ID: 58155Q103
Meeting Date: JUL 22, 2009 Meeting Type: Annual
Record Date: MAY 29, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Andy Bryant For For Management
2 Elect Wayne Budd For For Management
3 Elect John Hammergren For For Management
4 Elect Alton Irby, III For Against Management
5 Elect M. Christine Jacobs For Against Management
6 Elect Marie Knowles For For Management
7 Elect David Lawrence For Against Management
8 Elect Edward Mueller For For Management
9 Elect Jane Shaw For For Management
10 Amendment to the 2005 Stock Plan For Against Management
11 Ratification of Auditor For For Management
12 Shareholder Proposal Regarding Against Against Shareholder
Retention of Shares After Retirement
13 Shareholder Proposal Regarding Survivor Against For Shareholder
Benefits (Golden Coffins)
--------------------------------------------------------------------------------
MEDCO HEALTH SOLUTIONS, INC.
Ticker: MHS Security ID: 58405U102
Meeting Date: MAY 12, 2010 Meeting Type: Annual
Record Date: MAR 15, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Howard Barker, Jr. For For Management
2 Elect John Cassis For For Management
3 Elect Michael Goldstein For Against Management
4 Elect Charles Lillis For Against Management
5 Elect Myrtle Potter For For Management
6 Elect William Roper For For Management
7 Elect David Snow, Jr. For For Management
8 Elect David Stevens For Against Management
9 Elect Blenda Wilson For For Management
10 Ratification of Auditor For For Management
11 Amendment to Certificate of For For Management
Incorporation Regarding the Right to
Call Special Meetings
--------------------------------------------------------------------------------
METLIFE, INC.
Ticker: MET Security ID: 59156R108
Meeting Date: APR 27, 2010 Meeting Type: Annual
Record Date: MAR 1, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect R. Glenn Hubbard For For Management
1.2 Elect Alfred Kelly, Jr. For For Management
1.3 Elect James Kilts For For Management
1.4 Elect David Satcher For For Management
2 Ratification of Auditor For For Management
3 Shareholder Proposal Regarding Against Against Shareholder
Cumulative Voting
--------------------------------------------------------------------------------
MICROSOFT CORPORATION
Ticker: MSFT Security ID: 594918104
Meeting Date: NOV 19, 2009 Meeting Type: Annual
Record Date: SEP 4, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect William Gates, III For For Management
2 Elect Steven Ballmer For For Management
3 Elect Dina Dublon For For Management
4 Elect Raymond Gilmartin For For Management
5 Elect Reed Hastings For For Management
6 Elect Maria Klawe For For Management
7 Elect David Marquardt For For Management
8 Elect Charles Noski For For Management
9 Elect Helmut Panke For For Management
10 Ratification of Auditor For For Management
11 Restoration of Right to Call a Special For For Management
Meeting
12 ADVISORY VOTE ON EXECUTIVE COMPENSATION For For Management
13 Shareholder Proposal Regarding Adoption Against Against Shareholder
of Principles for Health Care Reform
14 Shareholder Proposal Regarding Against Against Shareholder
Charitable Contributions
--------------------------------------------------------------------------------
MOLSON COORS BREWING COMPANY
Ticker: TAP Security ID: 60871R209
Meeting Date: JUN 2, 2010 Meeting Type: Annual
Record Date: APR 5, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect John Cleghorn For For Management
1.2 Elect Charles Herington For For Management
1.3 Elect David O'Brien For Withhold Management
--------------------------------------------------------------------------------
NATIONAL OILWELL VARCO, INC.
Ticker: NOV Security ID: 637071101
Meeting Date: MAY 12, 2010 Meeting Type: Annual
Record Date: MAR 23, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Ben Guill For For Management
2 Elect Roger Jarvis For For Management
3 Elect Eric Mattson For For Management
4 Ratification of Auditor For For Management
--------------------------------------------------------------------------------
NRG ENERGY, INC.
Ticker: NRG Security ID: 629377508
Meeting Date: JUL 21, 2009 Meeting Type: Proxy Contest
Record Date: JUN 15, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Betsy Atkins N/A TNA Management
1.2 Elect Ralph Faison N/A TNA Management
1.3 Elect Coleman Peterson N/A TNA Management
1.4 Elect Thomas Wajnert N/A TNA Management
2 Change in Board Size N/A TNA Management
3 Elect Donald DeFosset, Jr. N/A TNA Management
4 Elect Richard Koppes N/A TNA Management
5 Elect John Albertine N/A TNA Management
6 Elect Majorie Bowen N/A TNA Management
7 Elect Ralph Wellington N/A TNA Management
8 Amendment to Restore the Bylaws N/A TNA Management
9 Amendment to the Long-Term Incentive N/A TNA Management
Plan
10 Amendment to the Annual Incentive Plan N/A TNA Management
for Designated Corporate Officers
11 Adoption of Majority Vote for Election N/A TNA Management
of Directors
12 Ratification of Auditor N/A TNA Management
13 Shareholder Proposal Regarding Carbon N/A TNA Management
Principles Report
1.1 Elect John Chlebowski For For Management
1.2 Elect Howard Cosgrove For For Management
1.3 Elect William Hantke For For Management
1.4 Elect Anne Schaumburg For For Management
2 Amendment to the Long-Term Incentive For For Management
Plan
3 Amendment to the Annual Incentive Plan For For Management
for Designated Corporate Officers
4 Adoption of Majority Vote for Election For For Management
of Directors
5 Ratification of Auditor For For Management
6 Shareholder Proposal Regarding Carbon Against Against Shareholder
Principles Report
7 Shareholder Proposal Regarding Board Against Against Shareholder
Size
8 Shareholder Proposal Regarding Repeal Against Against Shareholder
of Bylaw Amendments
--------------------------------------------------------------------------------
OCCIDENTAL PETROLEUM CORPORATION
Ticker: OXY Security ID: 674599105
Meeting Date: MAY 7, 2010 Meeting Type: Annual
Record Date: MAR 15, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Spencer Abraham For For Management
2 Elect John Chalsty For For Management
3 Elect Stephen Chazen For Against Management
4 Elect Edward Djerejian For For Management
5 Elect John Feick For For Management
6 Elect Carlos Gutierrez For For Management
7 Elect Ray Irani For For Management
8 Elect Irvin Maloney For For Management
9 Elect Avedick Poladian For For Management
10 Elect Rodolfo Segovia For For Management
11 Elect Aziz Syriani For For Management
12 Elect Rosemary Tomich For For Management
13 Elect Walter Weisman For For Management
14 Ratification of Auditor For For Management
15 Re-approval of Performance Goals under For For Management
the 2005 Long-Term Incentive Plan
16 Advisory Vote on Executive Compensation For Against Management
17 Shareholder Proposal Regarding Against Against Shareholder
Restricting Executive Compensation
18 Shareholder Proposal Regarding Against For Shareholder
Independent Board Chairman
19 Shareholder Proposal Regarding Right to Against For Shareholder
Call a Special Meeting
20 Shareholder Proposal Regarding Report Against Against Shareholder
on Host Country Regulations
21 Shareholder Proposal Regarding Majority Against For Shareholder
Vote for Election of Directors
22 Shareholder Proposal Regarding Security Against Against Shareholder
of Chemical Facilities
23 Shareholder Proposal Regarding Against For Shareholder
Compensation in the Event of a Change
of Control
--------------------------------------------------------------------------------
ORACLE CORPORATION
Ticker: ORCL Security ID: 68389X105
Meeting Date: OCT 7, 2009 Meeting Type: Annual
Record Date: AUG 10, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Jeffrey Berg For Withhold Management
1.2 Elect H. Raymond Bingham For Withhold Management
1.3 Elect Michael Boskin For For Management
1.4 Elect Safra Catz For For Management
1.5 Elect Bruce Chizen For For Management
1.6 Elect George Conrades For For Management
1.7 Elect Lawrence Ellison For For Management
1.8 Elect Hector Garcia-Molina For For Management
1.9 Elect Jeffrey Henley For For Management
1.10 Elect Donald Lucas For Withhold Management
1.11 Elect Charles Phillips, Jr. For For Management
1.12 Elect Naomi Seligman For For Management
2 2010 Executive Bonus Plan For For Management
3 Ratification of Auditor For For Management
4 Shareholder Proposal Regarding Right to Against Against Shareholder
Call a Special Meeting
5 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
6 Shareholder Proposal Regarding Against Against Shareholder
Retention of Shares After Retirement
--------------------------------------------------------------------------------
PEABODY ENERGY CORPORATION
Ticker: BTU Security ID: 704549104
Meeting Date: MAY 4, 2010 Meeting Type: Annual
Record Date: MAR 12, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Gregory Boyce For For Management
1.2 Elect William Coley For For Management
1.3 Elect William James For For Management
1.4 Elect Robert Karn III For For Management
1.5 Elect M. Frances Keeth For For Management
1.6 Elect Henry Lentz For For Management
1.7 Elect Robert Malone For For Management
1.8 Elect William Rusnack For For Management
1.9 Elect John Turner For For Management
1.10 Elect Alan Washkowitz For Withhold Management
2 Ratification of Auditor For For Management
--------------------------------------------------------------------------------
PEPSICO, INC.
Ticker: PEP Security ID: 713448108
Meeting Date: MAY 5, 2010 Meeting Type: Annual
Record Date: MAR 5, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Shona Brown For For Management
2 Elect Ian Cook For For Management
3 Elect Dina Dublon For For Management
4 Elect Victor Dzau For For Management
5 Elect Ray Hunt For For Management
6 Elect Alberto Ibarguen For For Management
7 Elect Arthur Martinez For For Management
8 Elect Indra Nooyi For For Management
9 Elect Sharon Rockefeller For For Management
10 Elect James Schiro For For Management
11 Elect Lloyd Trotter For For Management
12 Elect Daniel Vasella For Against Management
13 Ratification of Auditor For For Management
14 Amendment to the 2007 Long-Term For For Management
Incentive Plan
15 Shareholder Proposal Regarding Against Against Shareholder
Reviewing Charitable Spending
16 Shareholder Proposal Regarding Right to Against For Shareholder
Call a Special Meeting
17 Shareholder Proposal Regarding Report Against Against Shareholder
on Public Policy Issues
--------------------------------------------------------------------------------
PRUDENTIAL FINANCIAL, INC.
Ticker: PRU Security ID: 744320102
Meeting Date: MAY 11, 2010 Meeting Type: Annual
Record Date: MAR 12, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Directors For For Management
2 Elect Gordon Bethune For For Management
3 Elect Gaston Caperton For For Management
4 Elect Gilbert Casellas For For Management
5 Elect James Cullen For For Management
6 Elect William Gray III For For Management
7 Elect Mark Grier For For Management
8 Elect Jon Hanson For For Management
9 Elect Constance Horner For For Management
10 Elect Karl Krapek For For Management
11 Elect Christine Poon For For Management
12 Elect John Strangfeld For For Management
13 Elect James Unruh For For Management
14 Ratification of Auditor For For Management
15 Advisory Vote on Executive Compensation For Against Management
--------------------------------------------------------------------------------
QUALCOMM INCORPORATED
Ticker: QCOM Security ID: 747525103
Meeting Date: MAR 2, 2010 Meeting Type: Annual
Record Date: JAN 4, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Barbara Alexander For For Management
1.2 Elect Stephen Bennett For For Management
1.3 Elect Donald Cruickshank For For Management
1.4 Elect Raymond Dittamore For For Management
1.5 Elect Thomas Horton For For Management
1.6 Elect Irwin Jacobs For For Management
1.7 Elect Paul Jacobs For For Management
1.8 Elect Robert Kahn For For Management
1.9 Elect Sherry Lansing For For Management
1.10 Elect Duane Nelles For For Management
1.11 Elect Brent Scowcroft For For Management
1.12 Elect Marc Stern For For Management
2 Amendment to the 2006 Long-Term For For Management
Incentive Plan
3 Ratification of Auditor For For Management
--------------------------------------------------------------------------------
RESEARCH IN MOTION LTD.
Ticker: RIM Security ID: 760975102
Meeting Date: JUL 14, 2009 Meeting Type: Annual
Record Date: MAY 26, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Mike Lazaridis For Withhold Management
1.2 Elect James Estill For Withhold Management
1.3 Elect David Kerr For For Management
1.4 Elect Roger Martin For For Management
1.5 Elect John Richardson For Withhold Management
1.6 Elect Barbara Stymiest For For Management
1.7 Elect John Wetmore For For Management
2 Appointment of Auditor and Authority to For For Management
Set Fees
--------------------------------------------------------------------------------
SCHLUMBERGER N.V. (SCHLUMBERGER LIMITED)
Ticker: SLB Security ID: 806857108
Meeting Date: APR 7, 2010 Meeting Type: Annual
Record Date: FEB 17, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Philippe Camus For For Management
1.2 Elect Jamie Gorelick For For Management
1.3 Elect Andrew Gould For For Management
1.4 Elect Tony Isaac For For Management
1.5 Elect Nikolay Kudryavtsev For For Management
1.6 Elect Adrian Lajous For For Management
1.7 Elect Michael Marks For For Management
1.8 Elect Leo Reif For For Management
1.9 Elect Tore Sandvold For For Management
1.10 Elect Henri Seydoux For For Management
1.11 Elect Peter Currie For For Management
1.12 Elect K.V. Kamath For For Management
2 Approval of Financial Statements and For For Management
Dividends
3 2010 Stock Incentive Plan For For Management
4 Amendment to the Discounted Stock For For Management
Purchase Plan
5 Appointment of Auditor For For Management
--------------------------------------------------------------------------------
TARGET CORPORATION
Ticker: TGT Security ID: 87612E106
Meeting Date: JUN 9, 2010 Meeting Type: Annual
Record Date: APR 12, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Calvin Darden For For Management
2 Elect Anne Mulcahy For Against Management
3 Elect Stephen Sanger For For Management
4 Elect Gregg Steinhafel For For Management
5 Ratification of Auditor For Against Management
6 Repeal of Classified Board For For Management
7 Elimination of Supermajority For For Management
Requirement
8 Amendment and Restatement of the For For Management
Articles of Incorporation
9 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
--------------------------------------------------------------------------------
TEXAS INSTRUMENTS INCORPORATED
Ticker: TXN Security ID: 882508104
Meeting Date: APR 15, 2010 Meeting Type: Annual
Record Date: FEB 16, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Ralph Babb, Jr. For For Management
2 Elect David Boren For For Management
3 Elect Daniel Carp For For Management
4 Elect Carrie Cox For For Management
5 Elect David Goode For For Management
6 Elect Stephen MacMillan For For Management
7 Elect Pamela Patsley For For Management
8 Elect Wayne Sanders For For Management
9 Elect Ruth Simmons For Against Management
10 Elect Richard Templeton For For Management
11 Elect Christine Whitman For For Management
12 Ratification of Auditor For For Management
--------------------------------------------------------------------------------
TEXTRON INC.
Ticker: TXT Security ID: 883203101
Meeting Date: APR 28, 2010 Meeting Type: Annual
Record Date: MAR 5, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Kathleen Bader For For Management
2 Elect R. Kerry Clark For For Management
3 Elect Ivor Evans For For Management
4 Elect Charles Powell For Against Management
5 Elect James Ziemer For For Management
6 One-time Stock Option Exchange Program For For Management
7 Repeal of Classified Board For For Management
8 Ratification of Auditor For For Management
--------------------------------------------------------------------------------
THE COCA-COLA COMPANY
Ticker: KO Security ID: 191216100
Meeting Date: APR 21, 2010 Meeting Type: Annual
Record Date: FEB 22, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Herbert Allen For Against Management
2 Elect Ronald Allen For For Management
3 Elect Cathleen Black For For Management
4 Elect Barry Diller For Against Management
5 Elect Alexis Herman For For Management
6 Elect Muhtar Kent For For Management
7 Elect Donald Keough For For Management
8 Elect Maria Lagomasino For For Management
9 Elect Donald McHenry For For Management
10 Elect Sam Nunn For For Management
11 Elect James Robinson III For For Management
12 Elect Peter Ueberroth For For Management
13 Elect Jacob Wallenberg For For Management
14 Elect James Williams For Against Management
15 Ratification of Auditor For For Management
16 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
17 Shareholder Proposal Regarding Against For Shareholder
Independent Board Chairman
18 Shareholder Proposal Regarding Against For Shareholder
Performance Based Restricted Equity
Compensation
19 Shareholder Proposal Regarding Report Against Against Shareholder
on Bisphenol-A
--------------------------------------------------------------------------------
THE PROCTER & GAMBLE COMPANY
Ticker: PG Security ID: 742718109
Meeting Date: OCT 13, 2009 Meeting Type: Annual
Record Date: AUG 14, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Kenneth Chenault For For Management
2 Elect Scott Cook For Against Management
3 Elect Rajat Gupta For For Management
4 Elect Alan Lafley For For Management
5 Elect Charles Lee For For Management
6 Elect Lynn Martin For For Management
7 Elect Robert McDonald For For Management
8 Elect W. James McNerney, Jr. For For Management
9 Elect Johnathan Rodgers For For Management
10 Elect Ralph Snyderman For For Management
11 Elect Mary Agnes Wilderotter For For Management
12 Elect Patricia Woertz For For Management
13 Elect Ernesto Zedillo For For Management
14 Ratification of Auditor For For Management
15 Amendments to Code of Regulations For For Management
16 2009 Stock and Incentive Compensation For For Management
Plan
17 Shareholder Proposal Regarding Against For Shareholder
Cumulative Voting
18 Shareholder Proposal Regarding Advisory Against For Shareholder
Vote on Compensation (Say on Pay)
--------------------------------------------------------------------------------
VERIZON COMMUNICATIONS INC.
Ticker: VZ Security ID: 92343V104
Meeting Date: MAY 6, 2010 Meeting Type: Annual
Record Date: MAR 8, 2010
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Richard Carrion For For Management
2 Elect M. Frances Keeth For For Management
3 Elect Robert Lane For For Management
4 Elect Sandra Moose For For Management
5 Elect Joseph Neubauer For Against Management
6 Elect Donald Nicolaisen For For Management
7 Elect Thomas O'Brien For For Management
8 Elect Clarence Otis, Jr. For For Management
9 Elect Hugh Price For For Management
10 Elect Ivan Seidenberg For For Management
11 Elect Rodney Slater For For Management
12 Elect John Snow For For Management
13 Elect John Stafford For For Management
14 Ratification of Auditor For For Management
15 Advisory Vote on Executive Compensation For Against Management
16 Shareholder Proposal Regarding Stock Against Against Shareholder
Option Policy
17 Shareholder Proposal Regarding Adopting Against Against Shareholder
Sexual Orientation and Gender Identity
Anti-Bias Policy
18 Shareholder Proposal Regarding Against Against Shareholder
Performance-Based Equity Compensation
19 Shareholder Proposal Regarding Right to Against For Shareholder
Call a Special Meeting
20 Shareholder Proposal Regarding CEO Against Against Shareholder
Succession Planning
21 Shareholder Proposal Regarding the Against For Shareholder
Approval of Survivor Benefits (Golden
Coffins)
22 Shareholder Proposal Regarding Against Against Shareholder
Retention of Shares after Retirement
========== END NPX REPORT
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): Nicholas-Applegate Equity & Convertible Income Fund
By (Signature and Title)*: /s/ Brian Shlissel
--------------------------------------------
Name: Brian Shlissel
Title: President and Chief Executive Officer
Date: August 31, 2010
* Print the name and title of each signing officer under his or her
signature.