dninpx2011.htm
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:
811-08747
   
Dividend and Income Fund, Inc.
(Exact name of registrant as specified in charter)
   
11 Hanover Square, 12th Floor, New York, NY
10005
(Address of principal executive offices)
(Zip code)

John F. Ramirez, Esq.
Dividend and Income Fund, Inc.
11 Hanover Square, 12th Floor
New York, NY 10005

Registrant's telephone number, including area code:
1-212-785-0400
 
Date of fiscal year end:
11/30

Date of reporting period:
07/01/2010 - 06/30/2011


Item 1. Proxy Voting Record

     The information contained herein discloses the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:

(a)  The name of the issuer of the portfolio security;

(b)  The exchange ticker symbol of the portfolio security;

(c)  The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;

(d)  The shareholder meeting date;

(e)  A brief identification of the matter voted on;

(f)  Whether the matter was proposed by the issuer or by a security holder;

(g)  Whether the registrant cast its vote on the matter;

(h)  How the registrant cast its vote; and

(i)  Whether the registrant cast its vote for or against management.

DIVIDEND AND INCOME FUND, INC.
 
3M COMPANY

Ticker:       MMM            Security ID:  88579Y101
Meeting Date: MAY 10, 2011   Meeting Type: Annual
Record Date:  MAR 11, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Linda G. Alvarado
For
For
Management
2
Elect Director George W. Buckley
For
For
Management
3
Elect Director Vance D. Coffman
For
For
Management
4
Elect Director Michael L. Eskew
For
For
Management
5
Elect Director W. James Farrell
For
For
Management
6
Elect Director Herbert L. Henkel
For
For
Management
7
Elect Director Edward M. Liddy
For
For
Management
8
Elect Director Robert S. Morrison
For
For
Management
9
Elect Director Aulana L. Peters
For
For
Management
10
Elect Director Robert J. Ulrich
For
For
Management
11
Ratify Auditors
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
14
Report on Political Contributions
Against
For
Shareholder
 
 
ABBOTT LABORATORIES

Ticker:       ABT            Security ID:  002824100
Meeting Date: APR 29, 2011   Meeting Type: Annual
Record Date:  MAR 02, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Robert J. Alpern
For
For
Management
1.2
Elect Director Roxanne S. Austin
For
For
Management
1.3
Elect Director W. James Farrell
For
For
Management
1.4
Elect Director H. Laurance Fuller
For
For
Management
1.5
Elect Director Edward M. Liddy
For
For
Management
1.6
Elect Director Phebe N. Novakovic
For
For
Management
1.7
Elect Director William A. Osborn
For
For
Management
1.8
Elect Director Samuel C. Scott III
For
For
Management
1.9
Elect Director Glenn F. Tilton
For
For
Management
1.1
Elect Director Miles D. White
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
4
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
5
Adopt Policy on Pharmaceutical Price Restraint
Against
Against
Shareholder
 
 
ACE LIMITED

Ticker:       ACE            Security ID:  H0023R105
Meeting Date: MAY 18, 2011   Meeting Type: Annual
Record Date:  MAR 30, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Evan G. Greenberg as Director
For
For
Management
1.2
Elect Leo F. Mullin as Director
For
For
Management
1.3
Elect Olivier Steimer as Director
For
For
Management
1.4
Elect Michael P. Connors as Director
For
For
Management
1.5
Elect Eugene B. Shanks, Jr as Director
For
For
Management
1.6
Elect John A. Krol as Director
For
For
Management
2.1
Approve Annual Report
For
For
Management
2.2
Accept Statutory Financial Statements
For
For
Management
2.3
Accept Consolidated Financial Statements
For
For
Management
3
Approve Allocation of Income and Dividends
For
For
Management
4
Approve Discharge of Board and Senior Management
For
For
Management
5.1
Ratify PricewaterhouseCoopers AG as Auditors
For
For
Management
5.2
Ratify Ratify PricewaterhouseCoopers LLC as Independent Registered Public Accounting Firm as Auditors
For
For
Management
5.3
Ratify BDO AG as Special Auditors
For
For
Management
6
 Approve Dividend Distribution from Legal Reserves
For
For
Management
7
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
8
Advisory Vote on Say on Pay Frequency
None
One Year
Management
 
 
ALTRIA GROUP, INC.

Ticker:       MO             Security ID:  02209S103
Meeting Date: MAY 19, 2011   Meeting Type: Annual
Record Date:  MAR 28, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Elizabeth E. Bailey
For
For
Management
2
Elect Director Gerald L. Baliles
For
For
Management
3
Elect Director John T. Casteen III
For
For
Management
4
Elect Director Dinyar S. Devitre
For
For
Management
5
Elect Director Thomas F. Farrell II
For
For
Management
6
Elect Director Thomas W. Jones
For
For
Management
7
Elect Director George Munoz
For
For
Management
8
Elect Director Nabil Y. Sakkab
For
For
Management
9
Elect Director Michael E. Szymanczyk
For
For
Management
10
Ratify Auditors
For
For
Management
11
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
12
Advisory Vote on Say on Pay Frequency
None
One Year
Management
13
Cease Production of Flavored Tobacco Products
Against
Against
Shareholder
 
 
ANNALY CAPITAL MANAGEMENT INC.

Ticker:       NLY            Security ID:  035710409
Meeting Date: JUN 23, 2011   Meeting Type: Annual
Record Date:  MAR 30, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Michael A. J. Farrell
For
For
Management
2
Elect Director Jonathan D. Green
For
Against
Management
3
Elect Director John A. Lambiase
For
For
Management
4
Increase Authorized Capital Stock
For
For
Management
5
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
6
Advisory Vote on Say on Pay Frequency
Three
One Year
Management
7
Ratify Auditors
For
For
Management
 
 
AT&T INC.

Ticker:       T              Security ID:  00206R102
Meeting Date: APR 29, 2011   Meeting Type: Annual
Record Date:  MAR 01, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Randall L. Stephenson
For
For
Management
2
Elect Director Gilbert F. Amelio
For
For
Management
3
Elect Director Reuben V. Anderson
For
For
Management
4
Elect Director James H. Blanchard
For
For
Management
5
Elect Director Jaime Chico Pardo
For
For
Management
6
Elect Director James P. Kelly
For
For
Management
7
Elect Director Jon C. Madonna
For
For
Management
8
Elect Director Lynn M. Martin
For
For
Management
9
Elect Director John B. McCoy
For
For
Management
10
Elect Director Joyce M. Roche
For
For
Management
11
Elect Director Matthew K. Rose
For
For
Management
12
Elect Director Laura D Andrea Tyson
For
For
Management
13
Ratify Auditors
For
For
Management
14
Approve Omnibus Stock Plan
For
For
Management
15
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
16
Advisory Vote on Say on Pay Frequency
Three
One Year
Management
17
Report on Political Contributions
Against
For
Shareholder
18
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
19
Provide Right to Act by Written Consent
Against
For
Shareholder
 
 
AVON PRODUCTS, INC.

Ticker:       AVP            Security ID:  054303102
Meeting Date: MAY 05, 2011   Meeting Type: Annual
Record Date:  MAR 17, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director W. Don Cornwell
For
For
Management
1.2
Elect Director V. Ann Hailey
For
For
Management
1.3
Elect Director Fred Hassan
For
For
Management
1.4
Elect Director Andrea Jung
For
For
Management
1.5
Elect Director Maria Elena Lagomasino
For
For
Management
1.6
Elect Director Ann S. Moore
For
For
Management
1.7
Elect Director Paul S. Pressler
For
For
Management
1.8
Elect Director Gary M. Rodkin
For
For
Management
1.9
Elect Director Paula Stern
For
For
Management
1.1
Elect Director Lawrence A. Weinbach
For
For
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
3
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
4
Ratify Auditors
For
For
Management
5
Reduce Supermajority Vote Requirement
For
For
Management
 
 
BRISTOL-MYERS SQUIBB COMPANY

Ticker:       BMY            Security ID:  110122108
Meeting Date: MAY 03, 2011   Meeting Type: Annual
Record Date:  MAR 10, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director L. Andreotti
For
For
Management
2
Elect Director L.B. Campbell
For
For
Management
3
Elect Director J.M. Cornelius
For
For
Management
4
Elect Director L.J. Freeh
For
For
Management
5
Elect Director L.H. Glimcher
For
For
Management
6
Elect Director M. Grobstein
For
For
Management
7
Elect Director L. Johansson
For
For
Management
8
Elect Director A.J. Lacy
For
For
Management
9
Elect Director V.L. Sato
For
For
Management
10
Elect Director E. Sigal
For
For
Management
11
Elect Director T.D. West, Jr.
For
For
Management
12
Elect Director R.S. Williams
For
For
Management
13
Ratify Auditors
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
15
Advisory Vote on Say on Pay Frequency
Three
One Year
Management
16
Increase Disclosure of Executive Compensation
Against
Against
Shareholder
17
Provide Right to Act by Written Consent
Against
For
Shareholder
18
Adopt Policy to Restrain Pharmaceutical Price Increases
Against
Against
Shareholder
 
 
E. I. DU PONT DE NEMOURS AND COMPANY

Ticker:       DD             Security ID:  263534109
Meeting Date: APR 27, 2011   Meeting Type: Annual
Record Date:  MAR 02, 2011
 
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Richard H. Brown
For
For
Management
2
Elect Director Robert A. Brown
For
For
Management
3
Elect Director Bertrand P. Collomb
For
For
Management
4
Elect Director Curtis J. Crawford
For
For
Management
5
Elect Director Alexander M. Cutler
For
For
Management
6
Elect Director Eleuthere I. du Pont
For
For
Management
7
Elect Director Marillyn A. Hewson
For
For
Management
8
Elect Director Lois D. Juliber
For
For
Management
9
Elect Director Ellen J. Kullman
For
For
Management
10
Elect Director William K. Reilly
For
For
Management
11
Ratify Auditors
For
For
Management
12
Amend Omnibus Stock Plan
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
15
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
16
Report on Genetically Engineered Seed
Against
Against
Shareholder
17
Report on Pay Disparity
Against
Against
Shareholder
 
 
FRONTIER COMMUNICATIONS CORPORATION

Ticker:       FTR            Security ID:  35906A108
Meeting Date: MAY 12, 2011   Meeting Type: Annual
Record Date:  MAR 16, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Leroy T. Barnes, Jr.
For
For
Management
1.2
Elect Director Peter C.B. Bynoe
For
For
Management
1.3
Elect Director Jeri B. Finard
For
For
Management
1.4
Elect Director Edward Fraioli
For
For
Management
1.5
Elect Director James S. Kahan
For
For
Management
1.6
Elect Director Pamela D.A. Reeve
For
For
Management
1.7
Elect Director Howard L. Schrott
For
For
Management
1.8
Elect Director Larraine D. Segil
For
For
Management
1.9
Elect Director Mark Shapiro
For
For
Management
1.1
Elect Director Myron A. Wick, III
For
For
Management
1.11
Elect Director Mary Agnes Wilderotter
For
For
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
3
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
4
Require Independent Board Chairman
Against
Against
Shareholder
5
Ratify Auditors
For
For
Management
 
 
GENERAL ELECTRIC COMPANY

Ticker:       GE             Security ID:  369604103
Meeting Date: APR 27, 2011   Meeting Type: Annual
Record Date:  FEB 28, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director W. Geoffrey Beattie
For
For
Management
2
Elect Director James I. Cash, Jr.
For
For
Management
3
Elect Director Ann M. Fudge
For
For
Management
4
Elect Director Susan Hockfield
For
For
Management
5
Elect Director Jeffrey R. Immelt
For
For
Management
6
Elect Director Andrea Jung
For
For
Management
7
Elect Director Alan G. Lafley
For
For
Management
8
Elect Director Robert W. Lane
For
For
Management
9
Elect Director Ralph S. Larsen
For
For
Management
10
Elect Director Rochelle B. Lazarus
For
For
Management
11
Elect Director James J. Mulva
For
For
Management
12
Elect Director Sam Nunn
For
For
Management
13
Elect Director Roger S. Penske
For
For
Management
14
Elect Director Robert J. Swieringa
For
For
Management
15
Elect Director James S. Tisch
For
For
Management
16
Elect Director Douglas A. Warner III
For
For
Management
17
Ratify Auditors
For
For
Management
18
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
19
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
20
Provide for Cumulative Voting
Against
For
Shareholder
21
Performance-Based Equity Awards
Against
For
Shareholder
22
Withdraw Stock Options Granted to Executive Officers
Against
Against
Shareholder
23
Report on Climate Change Business Risk
Against
Against
Shareholder
24
Report on Animal Testing and Plans for Reduction
Against
Against
Shareholder
 
 
HONEYWELL INTERNATIONAL INC.

Ticker:       HON            Security ID:  438516106
Meeting Date: APR 25, 2011   Meeting Type: Annual
Record Date:  FEB 25, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Gordon M. Bethune
For
For
Management
2
Elect Director Kevin Burke
For
For
Management
3
Elect Director Jaime Chico Pardo
For
For
Management
4
Elect Director David M. Cote
For
For
Management
5
Elect Director D. Scott Davis
For
For
Management
6
Elect Director Linnet F. Deily
For
For
Management
7
Elect Director Judd Gregg
For
For
Management
8
Elect Director Clive R. Hollick
For
For
Management
9
Elect Director George Paz
For
For
Management
10
Elect Director Bradley T. Sheares
For
For
Management
11
Ratify Auditors
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
14
Approve Omnibus Stock Plan
For
For
Management
15
Amend Executive Incentive Bonus Plan
For
For
Management
16
Provide Right to Act by Written Consent
Against
For
Shareholder
17
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
 
 
HORIZON TECHNOLOGY FINANCE CORPORATION

Ticker:       HRZN           Security ID:  44045A102
Meeting Date: MAY 05, 2011   Meeting Type: Annual
Record Date:  MAR 18, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director David P. Swanson
For
For
Management
1.2
Elect Director James J. Bottiglieri
For
For
Management
2
Ratify Auditors
For
For
Management
3
Approve Issuance of Shares for a Private Placement
For
For
Management
 
 
INTEL CORPORATION

Ticker:       INTC           Security ID:  458140100
Meeting Date: MAY 19, 2011   Meeting Type: Annual
Record Date:  MAR 21, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Charlene Barshefsky
For
For
Management
2
Elect Director Susan L. Decker
For
For
Management
3
Elect Director John J. Donahoe
For
For
Management
4
Elect Director Reed E. Hundt
For
For
Management
5
Elect Director Paul S. Otellini
For
For
Management
6
Elect Director James D. Plummer
For
For
Management
7
Elect Director David S. Pottruck
For
For
Management
8
Elect Director Jane E. Shaw
For
For
Management
9
Elect Director Frank D. Yeary
For
For
Management
10
Elect Director David B. Yoffie
For
For
Management
11
Ratify Auditors
For
For
Management
12
Amend Omnibus Stock Plan
For
For
Management
13
Amend Qualified Employee Stock Purchase Plan
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
15
Advisory Vote on Say on Pay Frequency
None
One Year
Management
 
 
INTERNATIONAL BUSINESS MACHINES CORPORATION

Ticker:       IBM            Security ID:  459200101
Meeting Date: APR 26, 2011   Meeting Type: Annual
Record Date:  FEB 25, 2011
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director A. J. P. Belda
For
For
Management
2
Elect Director W. R. Brody
For
For
Management
3
Elect Director K. I. Chenault
For
For
Management
4
Elect Director M. L. Eskew
For
For
Management
5
Elect Director S. A. Jackson
For
For
Management
6
Elect Director A. N. Liveris
For
For
Management
7
Elect Director W. J. McNerney, Jr.
For
For
Management
8
Elect Director J. W. Owens
For
For
Management
9
Elect Director S. J. Palmisano
For
For
Management
10
Elect Director J. E. Spero
For
For
Management
11
Elect Director S. Taurel
For
For
Management
12
Elect Director L. H. Zambrano
For
For
Management
13
Ratify Auditors
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
15
Advisory Vote on Say on Pay Frequency
Three
One Year
Management
16
Provide for Cumulative Voting
Against
For
Shareholder
17
Report on Political Contributions
Against
For
Shareholder
18
Report on Lobbying Expenses
Against
For
Shareholder
 
 
INVESCO LTD.

Ticker:       IVZ            Security ID:  G491BT108
Meeting Date: MAY 26, 2011   Meeting Type: Annual
Record Date:  MAR 28, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Rex D. Adams
For
For
Management
1.2
Elect Director John Banham
For
For
Management
1.3
Elect Director Denis Kessler
For
Against
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
3
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
4
Approve Omnibus Stock Plan
For
For
Management
5
Ratify Ernst & Young LLP as Auditors
For
For
Management
 
 
JPMORGAN CHASE & CO.

Ticker:       JPM            Security ID:  46625H100
Meeting Date: MAY 17, 2011   Meeting Type: Annual
Record Date:  MAR 18, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Crandall C. Bowles
For
For
Management
2
Elect Director Stephen B. Burke
For
For
Management
3
Elect Director David M. Cote
For
For
Management
4
Elect Director James S. Crown
For
For
Management
5
Elect Director James Dimon
For
For
Management
6
Elect Director Ellen V. Futter
For
For
Management
7
Elect Director William H. Gray, III
For
For
Management
8
Elect Director Laban P. Jackson, Jr.
For
For
Management
9
Elect Director David C. Novak
For
For
Management
10
Elect Director Lee R. Raymond
For
For
Management
11
Elect Director William C. Weldon
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
14
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
15
Amend Omnibus Stock Plan
For
Against
Management
16
Affirm Political Non-Partisanship
Against
Against
Shareholder
17
Provide Right to Act by Written Consent
Against
For
Shareholder
18
Report on Loan Modifications
Against
Against
Shareholder
19
Report on Political Contributions
Against
For
Shareholder
20
Institute Procedures to Prevent Investments in Companies that Contribute to Genocide or Crimes Against Humanity
Against
Against
Shareholder
21
Require Independent Board Chairman
Against
Against
Shareholder
 
 
KRAFT FOODS INC.

Ticker:       KFT            Security ID:  50075N104
Meeting Date: MAY 24, 2011   Meeting Type: Annual
Record Date:  MAR 16, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Ajaypal S. Banga
For
For
Management
2
Elect Director Myra M. Hart
For
For
Management
3
Elect Director Peter B. Henry
For
For
Management
4
Elect Director Lois D. Juliber
For
For
Management
5
Elect Director Mark D. Ketchum
For
For
Management
6
Elect Director Richard A. Lerner
For
For
Management
7
Elect Director Mackey J. McDonald
For
For
Management
8
Elect Director John C. Pope
For
For
Management
9
Elect Director Fredric G. Reynolds
For
For
Management
10
Elect Director Irene B. Rosenfeld
For
For
Management
11
Elect Director J.F. Van Boxmeer
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
14
Amend Non-Employee Director Omnibus Stock Plan
For
For
Management
15
Ratify Auditors
For
For
Management
 
 
LIMITED BRANDS, INC.

Ticker:       LTD            Security ID:  532716107
Meeting Date: MAY 26, 2011   Meeting Type: Annual
Record Date:  MAR 28, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Donna A. James
For
For
Management
2
Elect Director Jeffrey H. Miro
For
For
Management
3
Elect Director Raymond Zimmerman
For
For
Management
4
Ratify Auditors
For
For
Management
5
Approve Omnibus Stock Plan
For
For
Management
6
Approve Executive Incentive Bonus Plan
For
For
Management
7
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
8
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
9
Reduce Supermajority Vote Requirement
Against
For
Shareholder
 
 
LINCOLN NATIONAL CORPORATION

Ticker:       LNC            Security ID:  534187109
Meeting Date: MAY 26, 2011   Meeting Type: Annual
Record Date:  MAR 21, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Dennis R. Glass
For
For
Management
2
Elect Director Gary C. Kelly
For
For
Management
3
Elect Director Michael F. Mee
For
For
Management
4
Ratify Auditors
For
For
Management
5
Amend Articles of Incorporation Allowing Shareholders to Amend the Bylaws
For
For
Management
6
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
7
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
 
 
MATTEL, INC.

Ticker:       MAT            Security ID:  577081102
Meeting Date: MAY 13, 2011   Meeting Type: Annual
Record Date:  MAR 18, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Michael J. Dolan
For
For
Management
2
Elect Director Robert A. Eckert
For
For
Management
3
Elect Director Frances D. Fergusson
For
For
Management
4
Elect Director Tully M. Friedman
For
For
Management
5
Elect Director Dominic Ng
For
For
Management
6
Elect Director Vasant M. Prabhu
For
For
Management
7
Elect Director Andrea L. Rich
For
For
Management
8
Elect Director Dean A. Scarborough
For
For
Management
9
Elect Director Christopher A. Sinclair
For
For
Management
10
Elect Director G. Craig Sullivan
For
For
Management
11
Elect Director Kathy Brittain White
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
14
Provide Right to Call Special Meeting
For
Against
Management
15
Ratify Auditors
For
For
Management
 
 
MERCK & CO., INC.

Ticker:       MRK            Security ID:  58933Y105
Meeting Date: MAY 24, 2011   Meeting Type: Annual
Record Date:  MAR 25, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Leslie A. Brun
For
For
Management
2
Elect Director Thomas R. Cech
For
For
Management
3
Elect Director Richard T. Clark
For
For
Management
4
Elect Director Kenneth C. Frazier
For
For
Management
5
Elect Director Thomas H. Glocer
For
For
Management
6
Elect Director Steven F. Goldstone
For
For
Management
7
Elect Director William B. Harrison. Jr.
For
For
Management
8
Elect Director Harry R. Jacobson
For
For
Management
9
Elect Director William N. Kelley
For
For
Management
10
Elect Director C. Robert Kidder
For
For
Management
11
Elect Director Rochelle B. Lazarus
For
For
Management
12
Elect Director Carlos E. Represas
For
For
Management
13
Elect Director Patricia F. Russo
For
For
Management
14
Elect Director Thomas E. Shenk
For
For
Management
15
Elect Director Anne M. Tatlock
For
For
Management
16
Elect Director Craig B. Thompson
For
For
Management
17
Elect Director Wendell P. Weeks
For
For
Management
18
Elect Director Peter C. Wendell
For
For
Management
19
Ratify Auditors
For
For
Management
20
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
21
Advisory Vote on Say on Pay Frequency
Three Years
One Year
Management
 
 
METLIFE, INC.

Ticker:       MET            Security ID:  59156R108
Meeting Date: APR 26, 2011   Meeting Type: Annual
Record Date:  MAR 01, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Steven A. Kandarian
For
For
Management
1.2
Elect Director Sylvia Mathews Burwell
For
For
Management
1.3
Elect Director Eduardo Castro-Wright
For
For
Management
1.4
Elect Director Cheryl W. Grise
For
For
Management
1.5
Elect Director Lulu C. Wang
For
For
Management
2
Declassify the Board of Directors
For
For
Management
3
Ratify Auditors
For
For
Management
4
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
5
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
 
 
MFA FINANCIAL, INC.

Ticker:       MFA            Security ID:  55272X102
Meeting Date: MAY 24, 2011   Meeting Type: Annual
Record Date:  MAR 22, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Stephen R. Blank
For
For
Management
1.2
Elect Director William S. Gorin
For
For
Management
2
Increase Authorized Capital Stock
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
4
Advisory Vote on Say on Pay Frequency
Three
One Year
Management
5
Ratify Auditors
For
For
Management
 
 
NORDIC AMERICAN TANKER SHIPPING LTD.

Ticker:       NAT            Security ID:  G65773106
Meeting Date: JUN 01, 2011   Meeting Type: Annual
Record Date:  APR 25, 2011
 
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Herbjorn Hansson as Director
For
Withhold
Management
1.2
Elect Sir David Giibbons as Director
For
For
Management
1.3
Elect Adreas Ove Ugland as Director
For
For
Management
1.4
Elect Jim Kelly as Director
For
For
Management
1.5
Elect Jan Erik Langangen as Director
For
Withhold
Management
1.6
Elect Paul J. Hopkins as Director
For
For
Management
1.7
Elect Richard H. K. Vietor as Director
For
For
Management
2
Ratify Deloitte AS as Auditors
For
For
Management
3
Reduce Supermajority Vote Requirement
For
For
Management
4
Increase Authorized Common Stock
For
For
Management
5
Change Company Name to Nordic American Tankers Limited
For
For
Management
6
Receive Financial Statements and Statutory Reports (Non-Voting)
None
None
Management
7
Transact Other Business (Non-Voting)
None
None
Management
 
 
NYSE EURONEXT

Ticker:       NYX            Security ID:  629491101
Meeting Date: APR 28, 2011   Meeting Type: Annual
Record Date:  MAR 01, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Andre Bergen
For
For
Management
2
Elect Director Ellyn L. Brown
For
For
Management
3
Elect Director Marshall N. Carter
For
For
Management
4
Elect Director Dominique Cerutti
For
For
Management
5
Elect Director Patricia M. Cloherty
For
For
Management
6
Elect Director Sir George Cox
For
For
Management
7
Elect Director Sylvain Hefes
For
For
Management
8
Elect Director Jan-michiel Hessels
For
For
Management
9
Elect Director Duncan M. McFarland
For
For
Management
10
Elect Director James J. McNulty
For
For
Management
11
Elect Director Duncan L. Niederauer
For
For
Management
12
Elect Director Ricardo Salgado
For
For
Management
13
Elect Director Robert G. Scott
For
For
Management
14
Elect Director Jackson P. Tai
For
For
Management
15
Elect Director Rijnhard Van Tets
For
For
Management
16
Elect Director Sir Brian Williamson
For
For
Management
17
Ratify Auditors
For
For
Management
18
Reduce Supermajority Vote Requirement
For
For
Management
19
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
20
Advisory Vote on Say on Pay Frequency
None
One Year
Management
21
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
22
Provide Right to Act by Written Consent
Against
For
Shareholder
 
 
OCCIDENTAL PETROLEUM CORPORATION

Ticker:       OXY            Security ID:  674599105
Meeting Date: MAY 06, 2011   Meeting Type: Annual
Record Date:  MAR 15, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Spencer Abraham
For
For
Management
2
Elect Director Howard I. Atkins
For
For
Management
3
Elect Director Stephen I. Chazen
For
For
Management
4
Elect Director Edward P. Djerejian
For
Against
Management
5
Elect Director John E. Feick
For
For
Management
6
Elect Director Margaret M. Foran
For
For
Management
7
Elect Director Carlos M. Gutierrez
For
For
Management
8
Elect Director Ray R. Irani
For
Against
Management
9
Elect Director Avedick B. Poladian
For
For
Management
10
Elect Director Rodolfo Segovia
For
Against
Management
11
Elect Director Aziz D. Syriani
For
Against
Management
12
Elect Director Rosemary Tomich
For
Against
Management
13
Elect Director Walter L. Weisman
For
Against
Management
14
Ratify Auditors
For
For
Management
15
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
16
Advisory Vote on Say on Pay Frequency
None
One Year
Management
17
Review Political Expenditures and Processes
Against
For
Shareholder
18
Request Director Nominee with Environmental Qualifications
Against
Against
Shareholder
 
 
PEOPLE'S UNITED FINANCIAL, INC.

Ticker:       PBCT           Security ID:  712704105
Meeting Date: APR 21, 2011   Meeting Type: Annual
Record Date:  FEB 28, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director John P. Barnes
For
For
Management
1.2
Elect Director Collin P. Baron
For
For
Management
1.3
Elect Director Richard M. Hoyt
For
For
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
3
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
4
Ratify Auditors
For
For
Management
 
 
PEPSICO, INC.

Ticker:       PEP            Security ID:  713448108
Meeting Date: MAY 04, 2011   Meeting Type: Annual
Record Date:  MAR 04, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director S.L. Brown
For
For
Management
2
Elect Director I.M. Cook
For
For
Management
3
Elect Director D. Dublon
For
For
Management
4
Elect Director V.J. Dzau
For
For
Management
5
Elect Director R.L. Hunt
For
For
Management
6
Elect Director A. Ibarguen
For
For
Management
7
Elect Director A.C. Martinez
For
For
Management
8
Elect Director I.K. Nooyi
For
For
Management
9
Elect Director S.P. Rockefeller
For
For
Management
10
Elect Director J.J. Schiro
For
For
Management
11
Elect Director L.G. Trotter
For
For
Management
12
Elect Director D. Vasella
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Advisory Vote on Say on Pay Frequency
Three
One Year
Management
15
Ratify Auditors
For
For
Management
16
Adopt Majority Voting for Uncontested Election of Directors
For
For
Management
17
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
18
Report on Political Contributions
Against
Against
Shareholder
 
 
PFIZER INC.

Ticker:       PFE            Security ID:  717081103
Meeting Date: APR 28, 2011   Meeting Type: Annual
Record Date:  MAR 01, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Dennis A. Ausiello
For
For
Management
2
Elect Director Michael S. Brown
For
For
Management
3
Elect Director M. Anthony Burns
For
For
Management
4
Elect Director W. Don Cornwell
For
For
Management
5
Elect Director Frances D. Fergusson
For
For
Management
6
Elect Director William H. Gray III
For
For
Management
7
Elect Director Constance J. Horner
For
For
Management
8
Elect Director James M. Kilts
For
For
Management
9
Elect Director George A. Lorch
For
For
Management
10
Elect Director John P. Mascotte
For
For
Management
11
Elect Director Suzanne Nora Johnson
For
For
Management
12
Elect Director Ian C. Read
For
For
Management
13
Elect Director Stephen W. Sanger
For
For
Management
14
Ratify Auditors
For
For
Management
15
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
16
Advisory Vote on Say on Pay Frequency
Two Years
One Year
Management
17
Publish Political Contributions
Against
Against
Shareholder
18
Report on Public Policy Advocacy Process
Against
Against
Shareholder
19
Adopt Policy to Restrain Pharmaceutical Price Increases
Against
Against
Shareholder
20
Provide Right to Act by Written Consent
Against
For
Shareholder
21
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
22
Report on Animal Testing and Plans for Reduction
Against
Against
Shareholder
 
 
PHILIP MORRIS INTERNATIONAL INC.

Ticker:       PM             Security ID:  718172109
Meeting Date: MAY 11, 2011   Meeting Type: Annual
Record Date:  MAR 15, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Harold Brown
For
For
Management
2
Elect Director Mathis Cabiallavetta
For
For
Management
3
Elect Director Louis C. Camilleri
For
For
Management
4
Elect Director J. Dudley Fishburn
For
For
Management
5
Elect Director Jennifer Li
For
For
Management
6
Elect Director Graham Mackay
For
For
Management
7
Elect Director Sergio Marchionne
For
Against
Management
8
Elect Director Lucio A. Noto
For
For
Management
9
Elect Director Carlos Slim Helu
For
For
Management
10
Elect Director Stephen M. Wolf
For
For
Management
11
Ratify Auditors
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
14
Report on Effect of Marketing Practices on the Poor
Against
Against
Shareholder
15
Require Independent Board Chairman
Against
Against
Shareholder
 
 
PPG INDUSTRIES, INC.

Ticker:       PPG            Security ID:  693506107
Meeting Date: APR 21, 2011   Meeting Type: Annual
Record Date:  FEB 18, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Stephen F. Angel
For
For
Management
1.2
Elect Director Hugh Grant
For
For
Management
1.3
Elect Director Michele J. Hooper
For
For
Management
1.4
Elect Director Robert Mehrabian
For
For
Management
2
Amend Omnibus Stock Plan
For
For
Management
3
Amend Omnibus Stock Plan
For
For
Management
4
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
5
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
6
Ratify Auditors
For
For
Management
7
Report on Community Environmental Impact Disclosure Process
Against
Against
Shareholder
 
 
SEASPAN CORPORATION

Ticker:       SSW            Security ID:  Y75638109
Meeting Date: APR 30, 2011   Meeting Type: Annual
Record Date:  MAR 04, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1a
Elect Peter Shaerf as Director
For
For
Management
1b
Elect John C. Hsu as Director
For
For
Management
2
Approve KPMG LLP Chartered Accountants as Auditors
For
For
Management
 
 
SOLAR CAPITAL LTD.

Ticker:       SLRC           Security ID:  83413U100
Meeting Date: JUN 09, 2011   Meeting Type: Annual
Record Date:  APR 14, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Bruce Spohler
For
For
Management
1.2
Elect Director Steven Hochberg
For
For
Management
2
Ratify Auditors
For
For
Management
3
Approve Issuance of Shares for a Private Placement
For
For
Management
4
Approve Issuance of Warrants/Convertible Debentures
For
Against
Management
 
 
TARGET CORPORATION

Ticker:       TGT            Security ID:  87612E106
Meeting Date: JUN 08, 2011   Meeting Type: Annual
Record Date:  APR 11, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Roxanne S. Austin
For
For
Management
2
Elect Director Calvin Darden
For
For
Management
3
Elect Director Mary N. Dillon
For
For
Management
4
Elect Director James A. Johnson
For
For
Management
5
Elect Director Mary E. Minnick
For
For
Management
6
Elect Director Anne M. Mulcahy
For
For
Management
7
Elect Director Derica W. Rice
For
For
Management
8
Elect Director Stephen W. Sanger
For
For
Management
9
Elect Director Gregg W. Steinhafel
For
For
Management
10
Elect Director John G. Stumpf
For
For
Management
11
Elect Director Solomon D. Trujillo
For
For
Management
12
Ratify Auditors
For
For
Management
13
Approve Omnibus Stock Plan
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
15
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
16
Adopt Compensation Benchmarking Policy
Against
For
Shareholder
17
Report on Electronics Recycling and Preventing E-Waste Export
Against
For
Shareholder
 
 
THE COCA-COLA COMPANY

Ticker:       KO             Security ID:  191216100
Meeting Date: APR 27, 2011   Meeting Type: Annual
Record Date:  FEB 28, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Herbert A. Allen
For
For
Management
2
Elect Director Ronald W. Allen
For
For
Management
3
Elect Director Howard G. Buffett
For
For
Management
4
Elect Director Barry Diller
For
For
Management
5
Elect Director Evan G. Greenberg
For
For
Management
6
Elect Director Alexis M. Herman
For
For
Management
7
Elect Director Muhtar Kent
For
For
Management
8
Elect Director Donald R. Keough
For
For
Management
9
Elect Director Maria Elena Lagomasino
For
For
Management
10
Elect Director Donald F. McHenry
For
For
Management
11
Elect Director Sam Nunn
For
For
Management
12
Elect Director James D. Robinson III
For
For
Management
13
Elect Director Peter V. Ueberroth
For
For
Management
14
Elect Director Jacob Wallenberg
For
For
Management
15
Elect Director James B. Williams
For
For
Management
16
Ratify Auditors
For
For
Management
17
Amend Executive Incentive Bonus Plan
For
For
Management
18
Amend Restricted Stock Plan
For
For
Management
19
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
20
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
21
Publish Report on Chemical Bisphenol-A (BPA)
Against
For
Shareholder
 
 
THE DOW CHEMICAL COMPANY

Ticker:       DOW            Security ID:  260543103
Meeting Date: MAY 12, 2011   Meeting Type: Annual
Record Date:  MAR 14, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Arnold A. Allemang
For
For
Management
2
Elect Director Jacqueline K. Barton
For
For
Management
3
Elect Director James A. Bell
For
For
Management
4
Elect Director Jeff M. Fettig
For
For
Management
5
Elect Director Barbara H. Franklin
For
For
Management
6
Elect Director Jennifer M. Granholm
For
For
Management
7
Elect Director John B. Hess
For
For
Management
8
Elect Director Andrew N. Liveris
For
For
Management
9
Elect Director Paul Polman
For
For
Management
10
Elect Director Dennis H. Reilley
For
For
Management
11
Elect Director James M. Ringler
For
For
Management
12
Elect Director Ruth G. Shaw
For
For
Management
13
Elect Director Paul G. Stern
For
For
Management
14
Ratify Auditors
For
For
Management
15
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
16
Advisory Vote on Say on Pay Frequency
Three
One Year
Management
17
Provide Right to Act by Written Consent
Against
For
Shareholder
 
 
THE SOUTHERN COMPANY

Ticker:       SO             Security ID:  842587107
Meeting Date: MAY 25, 2011   Meeting Type: Annual
Record Date:  MAR 28, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director J. P. Baranco
For
For
Management
1.2
Elect Director J. A. Boscia
For
For
Management
1.3
Elect Director H. A. Clark, III
For
For
Management
1.4
Elect Director T. A. Fanning
For
For
Management
1.5
Elect Director H.W. Habermeyer, Jr.
For
For
Management
1.6
Elect Director V.M Hagen
For
For
Management
1.7
Elect Director W.  A. Hood, Jr.
For
For
Management
1.8
Elect Director D. M. James
For
For
Management
1.9
Elect Director D. E. Klein
For
For
Management
1.1
Elect Director J. N. Purcell
For
For
Management
1.11
Elect Director W. G. Smith, Jr.
For
For
Management
1.12
Elect Director S. R. Specker
For
For
Management
1.13
Elect Director L.D. Thompson
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
4
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
5
Approve Omnibus Stock Plan
For
For
Management
6
Report on Coal Combustion Waste Hazard and Risk Mitigation Efforts
Against
For
Shareholder
 
 
UNITED TECHNOLOGIES CORPORATION

Ticker:       UTX            Security ID:  913017109
Meeting Date: APR 13, 2011   Meeting Type: Annual
Record Date:  FEB 15, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Louis R. Chenevert
For
For
Management
2
Elect Director John V. Faraci
For
For
Management
3
Elect Director Jean-Pierre Garnier
For
For
Management
4
Elect Director Jamie S. Gorelick
For
For
Management
5
Elect Director Edward A. Kangas
For
For
Management
6
Elect Director Ellen J. Kullman
For
For
Management
7
Elect Director Charles R. Lee
For
For
Management
8
Elect Director Richard D. McCormick
For
For
Management
9
Elect Director Harold McGraw III
For
For
Management
10
Elect Director Richard B. Myers
For
For
Management
11
Elect Director H. Patrick Swygert
For
For
Management
12
Elect Director Andre Villeneuve
For
For
Management
13
Elect Director Christine Todd Whitman
For
For
Management
14
Ratify Auditors
For
For
Management
15
Amend Omnibus Stock Plan
For
For
Management
16
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
17
Advisory Vote on Say on Pay Frequency
None
One Year
Management
18
Stock Retention/Holding Period
Against
For
Shareholder
 
 
VERIZON COMMUNICATIONS INC.

Ticker:       VZ             Security ID:  92343V104
Meeting Date: MAY 05, 2011   Meeting Type: Annual
Record Date:  MAR 07, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Richard L. Carrion
For
For
Management
2
Elect Director M. Frances Keeth
For
For
Management
3
Elect Director Robert W. Lane
For
For
Management
4
Elect Director Lowell C. Mcadam
For
For
Management
5
Elect Director Sandra O. Moose
For
For
Management
6
Elect Director Joseph Neubauer
For
For
Management
7
Elect Director Donald T. Nicolaisen
For
For
Management
8
Elect Director Clarence Otis, Jr.
For
For
Management
9
Elect Director Hugh B. Price
For
For
Management
10
Elect Director Ivan G. Seidenberg
For
For
Management
11
Elect Director Rodney E. Slater
For
For
Management
12
Elect Director John W. Snow
For
For
Management
13
Ratify Auditors
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
15
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
16
Disclose Prior Government Service
Against
Against
Shareholder
17
Performance-Based Equity Awards
Against
For
Shareholder
18
Restore or Provide for Cumulative Voting
Against
For
Shareholder
19
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
 
 
WASTE MANAGEMENT, INC.

Ticker:       WM             Security ID:  94106L109
Meeting Date: MAY 13, 2011   Meeting Type: Annual
Record Date:  MAR 16, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Pastora San Juan Cafferty
For
For
Management
2
Elect Director Frank M. Clark, Jr.
For
For
Management
3
Elect Director Patrick W. Gross
For
For
Management
4
Elect Director John C. Pope
For
For
Management
5
Elect Director W. Robert Reum
For
For
Management
6
Elect Director Steven G. Rothmeier
For
For
Management
7
Elect Director David P. Steiner
For
For
Management
8
Elect Director Thomas H. Weidemeyer
For
For
Management
9
Ratify Auditors
For
For
Management
10
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
11
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
12
Provide Right to Call Special Meeting
For
For
Management

 

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.

Dividend and Income Fund, Inc.

By:
/s/ Thomas B. Winmill
 
Thomas B. Winmill, President
   
 
Date: August 29, 2011