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
ASA LIMITED
-----------
(Exact name of registrant as specified in charter)
11 SUMMER STREET
BUFFALO, NEW YORK 14209
(Address of principal executive offices)
JPMORGAN CHASE BANK
3 CHASE METROTECH CENTER
BROOKLYN, NEW YORK 11245
(name and address of agent for service)
Registrant's telephone number, including area code: (716) 883-2428
Date of fiscal year end: NOVEMBER 30, 2007
Date of reporting period: JULY 1, 2006 - JUNE 30, 2007
Item 1. Proxy Voting Record
"*" indicates the JSE Limited Ticker Symbol
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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ANGLO AMERICAN PLC 04/17/07
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Ticker: AGL* CUSIP: NA
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Annual Meeting Proposals
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1 Accept Financial Statements and Statutory Reports Mgmt. For For
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2 Approve Final Dividend of USD 0.75 per Ordinary Share Mgmt. For For
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3 Elect Cynthia Carroll as Director Mgmt. For For
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4 Re-elect Chris Fay as Director Mgmt. For For
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5 Re-elect Sir Rob Margetts as Director Mgmt. For For
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6 Re elect Nicky Oppenheimer as Director Mgmt. For For
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7 Reappoint Deloitte & Touche LLP as Auditors of the Company Mgmt. For For
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8 Authorize Board to Fix Remuneration of Auditors Mgmt. For For
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9 Approve Remuneration Report Mgmt. For For
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10 Authorize Issue of Equity or Equity-linked Securities with Mgmt. For For
Pre-emptive Rights up to Aggregate Nominal Amount of
USD 74,000,000
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11 Subject to the Passing of Ordinary Resolution Number 10, Mgmt. For For
Authorise Issue of Equity or Equity-Linked Securities
without Pre-emptive Rights up to Aggregate Nominal
Amount of USD 37,000,000
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12 Authorize 148,000,000 Ordinary Shares for Market Purchase Mgmt. For For
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13 Authorize the Company to Use Electronic Communications Mgmt. For For
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14 Amend Articles of Association Re: Electronic Communications Mgmt. For For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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ANGLO AMERICAN PLC 06/25/07
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Ticker: AGL* CUSIP: NA
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Special Meeting Proposals
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1 Amend Articles of Association Mgmt. For For
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2 Approve Demerger of Mondi; Authorize the Payment of a Dividend Mgmt. For For
in Specie; Approve the Demerger Agreement, the Indemnity
Agreement and the Tax Agreement; Authorise Directors to Take
All Necessary Steps to Give Effect to the Demerger
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3 Approve Sub-Division of All Issued or Unissued Ordinary Shares Mgmt. For For
into New Ordinary Shares; Approve Consolidation of All Unissued
Intermediate Shares into New Ordinary Shares; Approve
Consolidation of All Issued Intermediate Shares into New
Ordinary Shares
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4 Approve Reduction of Cap. Of Mondi Plc; Approve Cancellation of Mgmt. For For
the Paid Up Cap. Of Mondi Plc to Enable the Transfer of Ord.
Shares of Mondi Ltd to the Anglo American Shareholders on the
Basis of 1 Mondi Ltd Ord. Share for Every 10 Mondi Plc Ord.
Shares
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5 Approve Consolidation of All Mondi Plc Ordinary Shares into New Mgmt. For For
Ordinary Shares; Approve Sub-Division of Each Authorised but
Unissued Ordinary Share and Each Special Converting Share in
the Capital of Mondi Plc into 10 Shares of the Relevant Class
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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ANGLO PLATINUM LTD. 03/03/07
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Ticker: AMS* CUSIP: NA
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Proposals
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1 Accept Financial Statements and Statutory Reports for Mgmt. For For
Year Ended 31 December 2006
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2 Re-elect PM Baum as Director Mgmt. For For
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3 Elect RMW Dunne as Director Mgmt. For For
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4 Re-elect R Havenstein as Director Mgmt. For For
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5 Re-elect NB Mbazima as Director Mgmt. For For
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6 Re-elect RG Mills as Director Mgmt. For For
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7 Re-elect WA Nairn as Director Mgmt. For For
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8 Re-elect TMF Phaswana as Director Mgmt. For For
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9 Ratify Deloitte & Touche as Auditors Mgmt. For For
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10 Authorize Repurchase of up to 20 Percent of Issued Share Capital Mgmt. For For
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11 Place Authorized but Unissued Shares under Control of Directors Mgmt. For For
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12 Approve the Non-Executive Director Fees Mgmt. For For
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13 Authorize Board to Ratify and Execute Approved Resolutions Mgmt. For For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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ANGLOGOLD ASHANTI LIMITED
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Ticker: ANG* CUSIP: NA
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Special Meeting Proposals 12/11/06
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1 Approve Increase in Authorized Capital to ZAR 102 Million by Mgmt. For For
the Creation of 4 Million New E Ordinary Shares
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2 Amend Bylaws to Reflect the Change in Capital Mgmt. For For
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3 Approve the Bokamoso Employee Share Ownership Plan Mgmt. For For
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4 Approve Issuance of Shares to the Trust and Izingwe Holdings Mgmt. For For
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5 Approve Issuance of 1.76 Million Ordinary Shares to Mgmt For For
Trusts or Entities to Administer Such Shares for the
Benefit of Employees
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6 Authorize Board to Ratify and Execute Approved Resolutions Mgmt For For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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ANGLOGOLD ASHANTI LIMITED
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Ticker: ANG* CUSIP: NA
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Annual Meeting Proposals 05/04/07
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1 Accept Financial Statements and Statutory Reports for Mgmt. For For
Year Ended 12-31-06
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2 Re-elect FB Arisman as Director Mgmt. For For
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3 Re-elect RE Bannerman as Director Mgmt. For For
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4 Re-elect WA Nairn as Director Mgmt. For For
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5 Re-elect SR Thompson as Director Mgmt. For For
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6 Re-elect JH Mensah as Director Appointed During the Year Mgmt. For For
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7 Re-elect W.L. Nkuhlu as Director Appointed During the Year Mgmt. For For
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8 Re-elect SM Pityana as Director Appointed During the Year Mgmt. For For
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9 Place Authorized But Unissued Shares under control of Directors Mgmt. For For
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10 Approve Issuance of Shares without Preemptive Rights Mgmt. For For
up to a Maximum of 10 Percent of Issued Capital
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11 Approve Remuneration of Directors Mgmt. For For
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12 Authorize Repurchase of Up to 20 Percent of Issued Share Capital Mgmt. For For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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BARRICK GOLD CORPORATION 05/02/07
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Ticker: ABX CUSIP: 067901108
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Annual and Special Meeting Proposals
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1 Election of Directors Mgmt. For All For
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2 Resolution Approving the Appointment of PriceWaterhouseCoopers Mgmt. For For
LLP as the Auditors of Barrick and Authorizing the Directors to
Fix their Remuneration
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3 Special Resolution Approving the Amendment of the Stock Mgmt. For For
Option Plan (2004) of Barrick
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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COMPANIA DE MINAS BUENAVENTURA S.A.A. 11/02/06
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Ticker: BVN CUSIP: 204448104
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Special Meeting Proposal
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1 Approval to Merge Inversiones Mineras De Sur S.A. into Compania Mgmt. Not Voted --
de Minas Buenaventura S.A.A.
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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COMPANIA DE MINAS BUENAVENTURA S.A.A. 12/04/06
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Ticker: BVN CUSIP: 204448104
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Special Meeting Proposals
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1 Approval of the Merger of Minas Poracota S.A. into Compania De Mgmt. For For
Minas Buenaventura S.A.A. by the Absorption of the First By
the Second
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2 A Voluntary Contribution has Been Under Negotiation With the Mgmt. For For
Peruvian Government and Will Be the Equivalent to 3.75% of the
Net Income Taking Away the 64.4% of the Mining Royalties Paid.
This Contribution will be Administered by the Mining Companies.
Approval of the Granting of a Voluntary Contribution for
Expenses in Social Liability to be Privately Administered
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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COMPANIA DE MINAS BUENAVENTURA S.A.A.
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Ticker: BVN CUSIP: 204448104
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Annual Meeting Proposals 03/28/07
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1 Approval of the Annual Report, Balance Sheet, Profit and Loss Mgmt. For For
Statement and other Financial Statements of the Year Ended
December 31, 2006.
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2 Delegation to the Audit Committee of the Designation of the Mgmt. For For
External Auditors for the Year 2007
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3 Distribution of Dividends Mgmt. For For
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4 Ratification of the Agreements Adopted by the General Shareholders Mgmt. For For
Meeting Held on December 4, 2006
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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GOLDCORP INC.
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Ticker: GG CUSIP: 380956409
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Annual and Special Meeting Proposals 05/02/07
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1 A Special Resolution Authorizing and Empowering the Directors Mgmt. For For
to Determine the Number of Directors of the Company Within the
Minimum and Maximum Number Set Forth in the Articles and the
Number of Directors of the Company to Be elected at the Annual
Meeting of Shareholders of the Company
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2 Election of Directors Mgmt. For All For
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3 Appointment of Deloitte & Touche LLP, Chartered Accountants, as Mgmt. For For
Auditors and Authorizing the Directors to Fix Their
Remuneration
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4 Resolution Approving an Amendment to the Company's 2005 Mgmt. For For
Stock Option Plan
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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GOLD FIELDS LIMITED 11/10/06
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Ticker: GFI* CUSIP: NA
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Proposals
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1 Adoption of Financial Statements Mgmt. For For
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2 Re-election of Director - JG Hopwood Mgmt. For For
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3 Re-election of Director - DMJ Ncube Mgmt. For For
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4 Re-election of Director - ID Cockerill Mgmt. For For
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5 Re-election of Director - GJ Gerwel Mgmt. For For
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6 Re-election of Director - NJ Holland Mgmt. For For
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7 Re-election of Director - RL Pennant-Rea Mgmt. For For
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8 Placement of Shares Under Control of Directors Mgmt. For For
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9 Issuing Equity Securities for Cash Mgmt. For For
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10 Revocation of Erroneous Prior Ordinary Resolution and Placement Mgmt. For For
of Unissued Shares under the Control of Directors for the
Purpose of The Gold Fields Limited 2005 Share Plan
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11 Revocation of Erroneous Prior Resolution and Placement of
Unissued shares under the Control of Directors for the Purpose
of the GF Management Incentive Scheme
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12 Award of Rights to Non-executive Directors Under the Gold Mgmt. For For
Fields Limited 2005 Non-executive Share Plan
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13 Increase of Directors' fees Mgmt. For For
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14 Acquisition of Company's own shares Mgmt. For For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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HARMONY GOLD MINING LIMITED 11/10/06
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Ticker: HMY CUSIP: 413216300
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Proposals
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1 Adoption of 2005/2006 Audited Financial Statements Mgmt. For For
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2 Re-elect FT DeBuck Mgmt. For For
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3 Re-elect DS Lushaba Mgmt. For For
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4 Re-Elect M Motloba Mgmt. For For
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5 Increase and Fix the Remuneration of Non-Executive Directors Mgmt. For For
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6 Grant Authority for Share Repurchase Mgmt. For For
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7 Authorize the Implementation of the Harmony 2006 Share Plan Mgmt. For For
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8 Place 10% of the Unissued Ordinary Shares of the Company Mgmt. For For
Under Directors' Control
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9 Grant Authority to the Directors to Allot and Issue Mgmt. For For
Equity Securities for Cash up to 5%
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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IMPALA PLATINUM HOLDINGS LIMITED 07/04/06
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Ticker: IMP* CUSIP: NA
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Special Meeting Proposals
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1 Authorize Increase in Implats Authorized Capital through the Mgmt. For For
Creation of Implats A Ordinary Shares
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2 Amend Articles of Association Re: Rights and Conditions Mgmt. For For
of New Shares
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3 Approve Issuance of Implats A Ordinary Shares to RBTIH Mgmt. For For
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4 Acquire RBTIH's 49 Percent Stake in the IRS Business Mgmt. For For
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5 Authorize Repurchase of Implats A Ordinary Shares from RBTIH Mgmt. For For
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6 Approve Issuance of Implats Ordinary Shares (Conversion and Mgmt. For For
Top-Up Shares) to RBTIH
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7 Adopt the Morokotso Employee Share Ownership Program Mgmt. For For
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8 Approve Issuance of Implats Ordinary Shares to the Morokotso Trust Mgmt. For For
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9 Authorize Repurchase of Implats Ordinary Shares from the Mgmt. For For
Morokotso Trust
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10 Authorize Board to Ratify and Execute Approved Resolutions Mgmt. For For
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IMPALA PLATINUM HOLDINGS LIMITED 10/12/06
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Ticker: IMP* CUSIP: NA
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Annual Meeting Proposals
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1 Re-elect S Bessit as Director Mgmt. Not Voted -----
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2 Re-elect K Mokhele as Director Mgmt. Not Voted -----
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3 Re-elect KC Rumble as Director Mgmt. Not Voted -----
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4 Re-elect LC van Vught as Director Mgmt. Not Voted -----
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5 Re-elect NDB Orleyn as Director Mgmt. Not Voted -----
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6 Approve Remuneration of Directors Mgmt. Not Voted -----
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7 Place Authorized But Unissued Shares up to 10 Percent of Mgmt. Not Voted -----
Issued Capital under Control of Directors
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8 Authorize Repurchase of Up to 10 Percent of Issued Share Capital Mgmt. Not Voted -----
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9 Approve Stock Split Mgmt. Not Voted -----
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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IMPALA PLATINUM HOLDINGS LIMITED 11/29/06
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Ticker: IMP* CUSIP: NA
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Special Meeting Proposals
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1 Approve the Discharge of the Company's Obligation to Mgmt. For For
Periodically Pay the Royalties and to Deliver an Ultimate Fully
Diluted Shareholding of 12.1 Percent in Implats by the RBN
Group
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2 Approve Issuance of 75 Million Ordinary Shares to the Royal Mgmt. For For
Bafokeng Tholo Investment Holding Company (Pty) Limited (RBTIH)
and the Royal Bafokeng Impala Investment Holding Company (Pty)
Limited (RBIIH)
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3 Authorize Specific Repurchase of 2.5 Million Ordinary Mgmt. For For
Shares from RBIIH and RBTIH
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4 Approve Conversion of 44 Million A Ordinary Shares into Mgmt. For For
Ordinary Shares
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5 Amend Bylaws Pursuant to Change in Capital Mgmt. For For
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6 Authorize Board to Ratify and Execute Approved Resolutions Mgmt. For For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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IMPALA PLATINUM HOLDINGS LIMITED 04/18/07
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Ticker: IMP* CUSIP: NA
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Special Meeting Proposals
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1 Approve Revision of Agreement between Impala and Various Mgmt. For For
Royal Bafokeng Entities
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2 Approve Issuance of Four Implats Ordinary Shares for Mgmt. For For
ZAR 1.9 Million
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3 Authorize Board to Ratify and Execute Approved Resolutions Mgmt. For For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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LONMIN PLC 01/26/06
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Ticker: LNMIY.PK CUSIP: 54336Q203
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Proposals
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1 Receive the Audited Accounts and the Reports of the Directors Mgmt. Not Voted -----
and Auditors for the Year Ended 30 September 2006
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2 Receive and approve the Directors' Remuneration Report for Mgmt. Not Voted -----
the Year Ended 30 September 2006
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3 Declare a Final Dividend of 55 US Cents Per Share in Respect of Mgmt. Not Voted -----
the Year Ended 30 September 2006, Payable on 9 February 2007 to
Shareholders on the Registers at the Close of Business on 12
January 2007
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4 Re-appoint KPMG Audit Plc as the Company's Auditors and to Mgmt. Not Voted -----
Authorise the Directors to Agree the Auditors' Remuneration
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5 Re-elect Ian Farmer as a Director of the Company Mgmt. Not Voted -----
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6 Re-elect Peter Godsoe as a Director of the Company Mgmt. Not Voted -----
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7 Re-elect Brad Mills as a Director of the Company Mgmt. Not Voted -----
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8 Re-elect Roger Phillimore as a Director of the Company Mgmt. Not Voted -----
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9 Authorize Directors to Allot Unissued Shares Mgmt. Not Voted -----
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10 Authorize Disapplication of Pre-emptive Rights Mgmt. Not Voted -----
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11 Authorize Repurchase of Company Shares Mgmt. Not Voted -----
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12 Amend Shareholder Value Incentive Plan Mgmt. Not Voted -----
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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MERIDIAN INC. 05/01/07
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Ticker: MDG CUSIP: 589975101
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Proposals
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1 Election of Directors Mgmt. For All For
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2 Appointment of KPMG LLP as Auditors and Authorize Board of Mgmt. For For
Directors to Fix their Remuneration
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3 Approval of the 2007 Share Incentive Plan Mgmt. For For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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NEWCREST MINING LIMITED 10/26/06
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Ticker: NCMGY.PK CUSIP: 651191108
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Proposals
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1 Receive Financial Statements and Statutory Reports Mgmt. Not Voted -----
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2 Elect Directors Mgmt. Not Voted -----
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3 Approve Remuneration Report Mgmt. Not Voted -----
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4 Approve the Grant of 165,000 Rights to Ian Smith Under the Mgmt. Not Voted -----
Company's Executive Performance Share Plan
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5 Approve the Further Grant to Ian Smith of Up to 60,000 Rights Mgmt. Not Voted -----
under the Company's Executive Performance Share Plan and Up to
5,760 Rights Under the Company's Restricted Share Plan
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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NEWMONT MINING CORPORATION 04/24/07
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Ticker: NEM CUSIP: 651639106
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Proposals
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1 Elect Directors Mgmt. For All For
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2 Ratify Appointment of Independent Auditors Mgmt. For For
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3 Stockholder Proposal Regarding Newmont's Indonesian Shareholder Against For
Operations, if Introduced at the Meeting
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4 Stockholder Proposal Regarding a Report to Stockholders Shareholder For For
regarding Newmont's Policies and Practices in Communities
Around its Operations, if Introduced at the Meeting
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5 Stockholder Proposal Regarding Independent Board Chairman Shareholder Against For
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Meeting Sponsor Vote Cast For/
Date Against
Mgmt.
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RANDGOLD RESOURCES LIMITED 04/30/07
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Ticker: GOLD CUSIP: 752344309
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Proposals
------- -------------------------------------------------------------------- ------------- ------------- ------------- ------------
1 Adopt Directors' Report and Accounts Mgmt. For For
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2 Elect Directors Mgmt. For All For
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3 Adopt the Report of the Remuneration Committee Mgmt. For For
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4 Approve the Fees Payable to Directors Mgmt. For For
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5 Appoint BDO Stoy Hayward LLP as Auditors of the Company Mgmt. For For
for the Year Ending 31 December 2007
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SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
ASA Limited
/s/ Robert J.A. Irwin
--------------------------------------
by Robert J.A. Irwin
Chairman, President and Treasurer
(Principal Executive Officer)
Date: August 27, 2007