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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- 10123
The North Country Funds
________________________________________________________________________
(Exact name of registrant as specified in charter)
150 Motor Parkway, Hauppauge, New York 11788
(Address of principal executive offices)
(Zip code)
Emile R. Molineaux, General Counsel
Gemini Fund Services, LLC
The Hauppauge Corporate Center
150 Motor Parkway
Hauppauge, New York 11788
________________________________________________________________________
(Name and address of agent for service)
Registrant's telephone number, including area code: (631) 470-2600
Date of fiscal year end: November 30
Date of reporting period: July 1, 2003 - June 30, 2004
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB ") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507. SEC 2451 (4-03) Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
ITEM 1. PROXY VOTING RECORD: (see attached table)
Appended hereto as Exhibit A and Exhibit B is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2004 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 (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and
(i). Whether the Registrant cast its vote for or against management.
SIGNATURES
[See General Instruction F]
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)
THE NORTH COUNTRY FUNDS
By (Signature and Title)*
/S/ Michael J. Wagner
Michael J. Wagner, President
Date August 20, 2004
* Print the name and title of each signing officer under his or her signature.
Item 1 Exhibit A1 | ||||||||||
Vote Summary Report | ||||||||||
Apr 01, 2004 - Jun 30, 2004 | ||||||||||
The North Country Funds – Equity Growth Fund | ||||||||||
Investment Company Act file number: 811- 10123 | ||||||||||
Mtg | Company/ | Mgmt | Vote | Record | Shares | |||||
Date/Type | Ballot Issues | Security | Rec | Cast | Date | Prpnent | Voted | |||
04/23/04 - A | Abbott Laboratories *ABT* | 002824100 | 02/25/04 | 29,500 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Drug Pricing | Against | Against | ShrHoldr | ||||||
4 | Report on Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
5 | Prohibit Awards to Executives | Against | Against | ShrHoldr | ||||||
6 | Report on Operational Imact of HIV/AIDS, TB, and Malaria Pandemic | Against | Against | ShrHoldr | ||||||
04/30/04 - A | Alcoa Inc. *AA* | 013817101 | 02/02/04 | 35,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Approve Omnibus Stock Plan | For | For | Mgmt | ||||||
3 | Report on Pay Disparity | Against | Against | ShrHoldr | ||||||
4 | Submit Severance Agreement (Change-in-Control) to Shareholder Vote | Against | Against | ShrHoldr | ||||||
04/26/04 - A | American Express Co. *AXP* | 025816109 | 02/27/04 | 40,000 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director Daniel F. Akerson --- For | |||||||||
1.2 | Elect Director Charlene Barshefsky --- For | |||||||||
1.3 | Elect Director William G. Bowen --- For | |||||||||
1.4 | Elect Director Ursula M. Burns --- For | |||||||||
1.5 | Elect Director Kenneth I. Chenault --- For | |||||||||
1.6 | Elect Director Peter R. Dolan --- For | |||||||||
1.7 | Elect Director Vernon E. Jordan, Jr. --- Withhold | |||||||||
1.8 | Elect Director Jan Leschly --- For | |||||||||
1.9 | Elect Director Richard A. McGinn --- For | |||||||||
1.10 | Elect Director Edward D. Miller --- For | |||||||||
1.11 | Elect Director Frank P. Popoff --- For | |||||||||
1.12 | Elect Director Robert D. Walter --- For | |||||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Establish Term Limits for Directors | Against | Against | ShrHoldr | ||||||
4 | Report on Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
05/19/04 - A | American International Group, Inc. *AIG* | 026874107 | 03/26/04 | 24,500 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Approve Executive Incentive Bonus Plan | For | For | Mgmt | ||||||
3 | Approve Non-Employee Director Stock Option Plan | For | For | Mgmt | ||||||
4 | Ratify Auditors | For | For | Mgmt | ||||||
5 | Report on Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
6 | Divest from Tobacco Equities | Against | Against | ShrHoldr | ||||||
7 | Link Executive Compensation to Predatory Lending | Against | Against | ShrHoldr | ||||||
05/13/04 - A | Amgen, Inc. *AMGN* | 031162100 | 03/19/04 | 23,000 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director Frank J. Biondi, Jr. --- For | |||||||||
1.2 | Elect Director Jerry D. Choate --- Withhold | |||||||||
1.3 | Elect Director Frank C. Herringer --- For | |||||||||
1.4 | Elect Director Gilbert S. Omenn --- For | |||||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Prepare Glass Ceiling Report | Against | Against | ShrHoldr | ||||||
4 | Expense Stock Options | Against | For | ShrHoldr | ||||||
04/28/04 - A | Anheuser-Busch Companies, Inc. *BUD* | 035229103 | 03/01/04 | 22,200 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
05/06/04 - A | Apache Corp. *APA* | 037411105 | 03/17/04 | 31,000 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director Eugene C. Fiedorek --- For | |||||||||
1.2 | Elect Director Patricia Albjerg Graham --- For | |||||||||
1.3 | Elect Director F. H. Merelli --- Withhold | |||||||||
1.4 | Elect Director Raymond Plank --- For | |||||||||
2 | Report on Greenhouse Gas Emissions | Against | For | ShrHoldr | ||||||
05/06/04 - A | Avon Products, Inc. *AVP* | 054303102 | 03/15/04 | 21,250 | ||||||
1 | Elect Directors | For | Withhold | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Increase Authorized Common Stock | For | For | Mgmt | ||||||
4 | Declassify the Board of Directors | Against | For | ShrHoldr | ||||||
5 | Report on Feasibility of Removing Parabens from Company Products | Against | Against | ShrHoldr | ||||||
6 | Report on Feasibility of Removing Dibutyl Phthalate from Company Products | Against | Against | ShrHoldr | ||||||
06/24/04 - A | Best Buy Co., Inc. *BBY* | 086516101 | 04/26/04 | 20,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Approve Omnibus Stock Plan | For | For | Mgmt | ||||||
04/21/04 - A | Burlington Resources Inc. *BR* | 122014103 | 02/23/04 | 24,000 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director Barbara T. Alexander --- For | |||||||||
1.2 | Elect Director Reuben V. Anderson --- For | |||||||||
1.3 | Elect Director Laird I. Grant --- For | |||||||||
1.4 | Elect Director Robert J. Harding --- For | |||||||||
1.5 | Elect Director John T. LaMacchia --- For | |||||||||
1.6 | Elect Director Randy L. Limbacher --- For | |||||||||
1.7 | Elect Director James F. McDonald --- For | |||||||||
1.8 | Elect Director Kenneth W. Orce --- Withhold | |||||||||
1.9 | Elect Director Donald M. Roberts --- For | |||||||||
1.10 | Elect Director James A. Runde --- For | |||||||||
1.11 | Elect Director John F. Schwarz --- For | |||||||||
1.12 | Elect Director Walter Scott, Jr. --- Withhold | |||||||||
1.13 | Elect Director Bobby S. Shackouls --- For | |||||||||
1.14 | Elect Director Steven J. Shapiro --- For | |||||||||
1.15 | Elect Director William E. Wade, Jr. --- For | |||||||||
2 | Approve Increase in Common Stock and a Stock Split | For | For | Mgmt | ||||||
3 | Ratify Auditors | For | For | Mgmt | ||||||
05/04/04 - A | Danaher Corp. *DHR* | 235851102 | 03/10/04 | 24,950 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Amend Stock Option Plan | For | For | Mgmt | ||||||
4 | Develop Charter Language on Board Diversity | Against | Against | ShrHoldr | ||||||
04/23/04 - A | Dominion Resources, Inc. *D* | 25746U109 | 02/27/04 | 8,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Submit Executive Compensation to Vote | Against | Against | ShrHoldr | ||||||
04/28/04 - A | E.I. Du Pont De Nemours & Co. *DD* | 263534109 | 03/09/04 | 7,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Report on Executive Ties to Government | Against | Against | ShrHoldr | ||||||
4 | Adopt and Report on a Code of Corporate Conduct | Against | Against | ShrHoldr | ||||||
5 | Limit Executive Compensation | Against | Against | ShrHoldr | ||||||
05/07/04 - A | Ecolab, Inc. *ECL* | 278865100 | 03/16/04 | 32,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Amend Executive Incentive Bonus Plan | For | For | Mgmt | ||||||
3 | Approve Employee Stock Purchase Plan | For | For | Mgmt | ||||||
4 | Ratify Auditors | For | For | Mgmt | ||||||
05/26/04 - A | Exxon Mobil Corp. *XOM* | 30231G102 | 04/05/04 | 31,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Approve Non-Employee Director Restricted Stock Plan | For | For | Mgmt | ||||||
4 | Affirm Political Nonpartisanship | Against | Against | ShrHoldr | ||||||
5 | Report on Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
6 | Report on Equatorial Guinea | Against | Against | ShrHoldr | ||||||
7 | Separate Chairman and CEO Positions | Against | For | ShrHoldr | ||||||
8 | Prohibit Awards to Executives | Against | Against | ShrHoldr | ||||||
9 | Report on Stock Option Distribution by Race and Gender | Against | Against | ShrHoldr | ||||||
10 | Amend EEO Statement to Include Reference to Sexual Orientation | Against | For | ShrHoldr | ||||||
11 | Report on Climate Change Research | Against | Against | ShrHoldr | ||||||
04/20/04 - A | Fastenal Co. *FAST* | 311900104 | 02/23/04 | 24,000 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director Robert A. Kierlin --- Withhold | |||||||||
1.2 | Elect Director Stephen M. Slaggie --- Withhold | |||||||||
1.3 | Elect Director Michael M. Gostomski --- For | |||||||||
1.4 | Elect Director John D. Remick --- For | |||||||||
1.5 | Elect Director Henry K. McConnon --- For | |||||||||
1.6 | Elect Director Robert A. Hansen --- For | |||||||||
1.7 | Elect Director Willard D. Oberton --- Withhold | |||||||||
1.8 | Elect Director Michael J. Dolan --- For | |||||||||
1.9 | Elect Director Reyne K. Wisecup --- Withhold | |||||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
05/19/04 - A | First Data Corp. *FDC* | 319963104 | 03/22/04 | 30,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
05/04/04 - A | Gannett Co., Inc. *GCI* | 364730101 | 03/05/04 | 17,300 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Amend Omnibus Stock Plan | For | For | Mgmt | ||||||
4 | Limit Executive Compensation | Against | Against | ShrHoldr | ||||||
04/28/04 - A | General Electric Co. *GE* | 369604103 | 03/01/04 | 44,000 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director James I. Cash, Jr. --- For | |||||||||
1.2 | Elect Director Dennis D. Dammerman --- For | |||||||||
1.3 | Elect Director Ann M. Fudge --- For | |||||||||
1.4 | Elect Director Claudio X. Gonzalez --- Withhold | |||||||||
1.5 | Elect Director Jeffrey R. Immelt --- For | |||||||||
1.6 | Elect Director Andrea Jung --- For | |||||||||
1.7 | Elect Director Alan G. Lafley --- For | |||||||||
1.8 | Elect Director Kenneth G. Langone --- For | |||||||||
1.9 | Elect Director Ralph S. Larsen --- For | |||||||||
1.10 | Elect Director Rochelle B. Lazarus --- For | |||||||||
1.11 | Elect Director Sam Nunn --- For | |||||||||
1.12 | Elect Director Roger S. Penske --- For | |||||||||
1.13 | Elect Director Robert J. Swieringa --- For | |||||||||
1.14 | Elect Director Douglas A. Warner III --- For | |||||||||
1.15 | Elect Director Robert C. Wright --- For | |||||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Amend Omnibus Stock Plan | For | For | Mgmt | ||||||
4 | Provide for Cumulative Voting | Against | Against | ShrHoldr | ||||||
5 | Eliminate Animal Testing | Against | Against | ShrHoldr | ||||||
6 | Report on Nuclear Fuel Storage Risks | Against | Against | ShrHoldr | ||||||
7 | Report on PCB Clean-up | Against | For | ShrHoldr | ||||||
8 | Report on Foreign Outsourcing | Against | Against | ShrHoldr | ||||||
9 | Prepare Sustainability Report | Against | Against | ShrHoldr | ||||||
10 | Limit Composition of Management Development and Compensation Committee to Independent Directors | Against | Against | ShrHoldr | ||||||
11 | Report on Pay Disparity | Against | Against | ShrHoldr | ||||||
12 | Limit Awards to Executives | Against | Against | ShrHoldr | ||||||
13 | Limit Board Service for Other Companies | Against | For | ShrHoldr | ||||||
14 | Separate Chairman and CEO Positions | Against | Against | ShrHoldr | ||||||
15 | Hire Advisor/Maximize Shareholder Value | Against | Against | ShrHoldr | ||||||
16 | Adopt a Retention Ratio for Executives and Directors | Against | Against | ShrHoldr | ||||||
17 | Require 70% to 80% Independent Board | Against | Against | ShrHoldr | ||||||
18 | Report on Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
05/18/04 - A | Guidant Corp. *GDT* | 401698105 | 03/11/04 | 20,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Expense Stock Options | Against | For | ShrHoldr | ||||||
04/24/04 - A | Harley-Davidson, Inc. *HDI* | 412822108 | 03/10/04 | 30,800 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Amend Executive Incentive Bonus Plan | For | For | Mgmt | ||||||
3 | Approve Omnibus Stock Plan | For | For | Mgmt | ||||||
4 | Ratify Auditors | For | For | Mgmt | ||||||
05/19/04 - A | Intel Corp. *INTC* | 458140100 | 03/22/04 | 38,500 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director Craig R. Barrett --- For | |||||||||
1.2 | Elect Director Charlene Barshefsky --- For | |||||||||
1.3 | Elect Director E. John P. Browne --- For | |||||||||
1.4 | Elect Director Andrew S. Grove --- For | |||||||||
1.5 | Elect Director D. James Guzy --- Withhold | |||||||||
1.6 | Elect Director Reed E. Hundt --- For | |||||||||
1.7 | Elect Director Paul S. Otellini --- For | |||||||||
1.8 | Elect Director David S. Pottruck --- For | |||||||||
1.9 | Elect Director Jane E. Shaw --- For | |||||||||
1.10 | Elect Director John L. Thornton --- For | |||||||||
1.11 | Elect Director David B. Yoffie --- For | |||||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Approve Omnibus Stock Plan | For | For | Mgmt | ||||||
4 | Expense Stock Options | Against | For | ShrHoldr | ||||||
5 | Limit/Prohibit Awards to Executives | Against | For | ShrHoldr | ||||||
6 | Performance- Based/Indexed Options | Against | For | ShrHoldr | ||||||
05/11/04 - A | ITT Industries, Inc. *ITT* | 450911102 | 03/19/04 | 12,000 | ||||||
1 | Ratify Auditors | For | For | Mgmt | ||||||
2 | Elect Directors | For | For | Mgmt | ||||||
04/22/04 - A | Johnson & Johnson *JNJ* | 478160104 | 02/24/04 | 20,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Cease Charitable Contributions | Against | Against | ShrHoldr | ||||||
05/28/04 - A | Lowe *LOW* | 548661107 | 04/01/04 | 7,500 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director Leonard L. Berry --- For | |||||||||
1.2 | Elect Director Paul Fulton --- For | |||||||||
1.3 | Elect Director Dawn E. Hudson --- Withhold | |||||||||
1.4 | Elect Director Marshall O. Larsen --- For | |||||||||
1.5 | Elect Director Robert A. Niblock --- For | |||||||||
1.6 | Elect Director Stephen F. Page --- For | |||||||||
1.7 | Elect Director O. Temple Sloan, Jr. --- For | |||||||||
1.8 | Elect Director Robert L. Tillman --- For | |||||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
05/11/04 - A | Masco Corp. *MAS* | 574599106 | 03/15/04 | 50,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Approve Executive Incentive Bonus Plan | For | For | Mgmt | ||||||
3 | Ratify Auditors | For | For | Mgmt | ||||||
04/23/04 - A | Merrill Lynch & Co., Inc. *MER* | 590188108 | 02/24/04 | 17,500 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Restore or Provide for Cumulative Voting | Against | For | ShrHoldr | ||||||
4 | Separate Chairman and CEO Positions | Against | For | ShrHoldr | ||||||
05/05/04 - A | PepsiCo, Inc. *PEP* | 713448108 | 03/12/04 | 21,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Approve Executive Incentive Bonus Plan | For | For | Mgmt | ||||||
4 | Report on Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
5 | Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic | Against | Against | ShrHoldr | ||||||
04/22/04 - A | Pfizer Inc. *PFE* | 717081103 | 02/27/04 | 44,500 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Approve Omnibus Stock Plan | For | For | Mgmt | ||||||
4 | Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic | Against | Against | ShrHoldr | ||||||
5 | Cease Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
6 | Report on Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
7 | Establish Term Limits for Directors | Against | Against | ShrHoldr | ||||||
8 | Report on Drug Pricing | Against | Against | ShrHoldr | ||||||
9 | Limit Awards to Executives | Against | Against | ShrHoldr | ||||||
10 | Amend Animal Testing Policy | Against | Against | ShrHoldr | ||||||
04/27/04 - A | Praxair, Inc. *PX* | 74005P104 | 03/01/04 | 21,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Amend Omnibus Stock Plan | For | For | Mgmt | ||||||
3 | Increase Authorized Common Stock | For | For | Mgmt | ||||||
4 | Approve Stockholder Protection Rights Agreement | For | For | Mgmt | ||||||
05/26/04 - A | Southern Company *SO* | 842587107 | 03/29/04 | 15,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Approve Outside Director Stock in Lieu of Cash | For | For | Mgmt | ||||||
06/17/04 - A | Staples, Inc. *SPLS* | 855030102 | 04/19/04 | 35,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Approve Omnibus Stock Plan | For | For | Mgmt | ||||||
3 | Amend Employee Stock Purchase Plan | For | For | Mgmt | ||||||
4 | Amend Employee Stock Purchase Plan | For | For | Mgmt | ||||||
5 | Ratify Auditors | For | For | Mgmt | ||||||
6 | Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote | Against | Against | ShrHoldr | ||||||
7 | Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote | Against | For | ShrHoldr | ||||||
8 | Limit Executive Compensation | Against | Against | ShrHoldr | ||||||
9 | Prohibit Auditor from Providing Non-Audit Services | Against | Against | ShrHoldr | ||||||
04/21/04 - A | State Street Corp. (Boston) *STT* | 857477103 | 02/27/04 | 34,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Exempt Board of Directors from Massachusetts General Laws, Chapter 156B, Section 50A(a) | Against | For | ShrHoldr | ||||||
05/19/04 - A | Target Corporation *TGT* | 87612E106 | 03/22/04 | 22,500 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Amend Omnibus Stock Plan | For | For | Mgmt | ||||||
05/20/04 - A | The Hartford Financial Services Group, Inc. *HIG* | 416515104 | 03/22/04 | 28,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Limit Executive Compensation | Against | Against | ShrHoldr | ||||||
04/14/04 - A | United Technologies Corp. *UTX* | 913017109 | 02/17/04 | 22,500 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Ratify Auditors | For | For | Mgmt | ||||||
3 | Disclosure of Executive Compensation | Against | Against | ShrHoldr | ||||||
4 | Develop Ethical Criteria for Military Contracts | Against | Against | ShrHoldr | ||||||
5 | Performance-Based/Indexed Options | Against | For | ShrHoldr | ||||||
6 | Separate Chairman and CEO Positions | Against | For | ShrHoldr | ||||||
06/04/04 - A | Wal-Mart Stores, Inc. *WMT* | 931142103 | 04/05/04 | 17,500 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Approve Stock Option Plan | For | For | Mgmt | ||||||
3 | Approve Stock Option Plan | For | For | Mgmt | ||||||
4 | Amend Employee Stock Purchase Plan | For | For | Mgmt | ||||||
5 | Ratify Auditors | For | For | Mgmt | ||||||
6 | Separate Chairman and CEO Positions | Against | For | ShrHoldr | ||||||
7 | Prepare Sustainability Report | Against | For | ShrHoldr | ||||||
8 | Report on Stock Option Distribution by Race and Gender | Against | For | ShrHoldr | ||||||
9 | Report on Genetically Modified Organisms (GMO) | Against | Against | ShrHoldr | ||||||
10 | Prepare Diversity Report | Against | For | ShrHoldr | ||||||
11 | Submit Executive Compensation to Vote | Against | For | ShrHoldr | ||||||
04/27/04 - A | Wells Fargo & Company *WFC* | 949746101 | 03/09/04 | 24,500 | ||||||
1 | Elect Directors | For | Split | Mgmt | ||||||
1.1 | Elect Director J.A. Blanchard III --- For | |||||||||
1.2 | Elect Director Susan E. Engel --- For | |||||||||
1.3 | Elect Director Enrique Hernandez, Jr. --- For | |||||||||
1.4 | Elect Director Robert L. Joss --- For | |||||||||
1.5 | Elect Director Reatha Clark King --- For | |||||||||
1.6 | Elect Director Richard M. Kovacevich --- For | |||||||||
1.7 | Elect Director Richard D. McCormick --- For | |||||||||
1.8 | Elect Director Cynthia H. Milligan --- For | |||||||||
1.9 | Elect Director Philip J. Quigley --- For | |||||||||
1.10 | Elect Director Donald B. Rice --- Withhold | |||||||||
1.11 | Elect Director Judith M. Runstad --- Withhold | |||||||||
1.12 | Elect Director Stephen W. Sanger --- For | |||||||||
1.13 | Elect Director Susan G. Swenson --- For | |||||||||
1.14 | Elect Director Michael W. Wright --- Withhold | |||||||||
2 | Approve Retirement Plan | For | For | Mgmt | ||||||
3 | Ratify Auditors | For | For | Mgmt | ||||||
4 | Expense Stock Options | Against | For | ShrHoldr | ||||||
5 | Limit Executive Compensation | Against | Against | ShrHoldr | ||||||
6 | Link Executive Compensation to Social Issues | Against | Against | ShrHoldr | ||||||
7 | Report on Political Contributions/Activities | Against | Against | ShrHoldr | ||||||
05/21/04 - A | Yahoo!, Inc. *YHOO* | 984332106 | 03/25/04 | 30,000 | ||||||
1 | Elect Directors | For | Withhold | Mgmt | ||||||
2 | Amend Employee Stock Purchase Plan | For | For | Mgmt | ||||||
3 | Ratify Auditors | For | For | Mgmt | ||||||
4 | Expense Stock Options | Against | For | ShrHoldr | ||||||
05/10/04 - A | Zimmer Holdings Inc *ZMH* | 98956P102 | 03/15/04 | 20,500 | ||||||
1 | Elect Directors | For | Withhold | Mgmt | ||||||
2 | Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote | Against | For | ShrHoldr | ||||||
3 | Ratify Auditors | Against | For | ShrHoldr | ||||||
Vote Summary Report | ||||||||||||||
Jan 01, 2004 - Mar 31, 2004 | ||||||||||||||
The North Country Funds | ||||||||||||||
Mtg | Company/ | Mgmt | Vote | Record | Shares | |||||||||
Date/Type | Ballot Issues | Security | Rec | Cast | Date | Prpnent | Voted | |||||||
01/15/04 - A | Family Dollar Stores, Inc. *FDO* | 307000109 | 11/24/03 | 42,000 | ||||||||||
1 | Elect Directors | For | For | MGMT | ||||||||||
2 | Approve Non-Employee Director Stock Option Plan | For | For | MGMT | ||||||||||
3 | Ratify Auditors | For | For | MGMT | ||||||||||
03/23/04 - A | Fifth Third Bancorp *FITB* | 316773100 | 01/30/04 | 16,800 | ||||||||||
1 | Elect Directors | For | For | MGMT | ||||||||||
2 | Approve Omnibus Stock Plan | For | For | MGMT | ||||||||||
3 | Ratify Auditors | For | For | MGMT | ||||||||||
4 | Adopt Sexual Orientation Non-Discrimination Policy | None | For | ShrHoldr | ||||||||||
03/17/04 - A | Hewlett-Packard Co. *HPQ* | 428236103 | 01/20/04 | 74,000 | ||||||||||
1 | Elect Directors | For | Split | MGMT | ||||||||||
1.1 | Elect Director L.T. Babbio, Jr. --- For | |||||||||||||
1.2 | Elect Director P.C. Dunn --- For | |||||||||||||
1.3 | Elect Director C.S. Fiorina --- For | |||||||||||||
1.4 | Elect Director R.A. Hackborn --- For | |||||||||||||
1.5 | Elect Director G.A. Keyworth II --- For | |||||||||||||
1.6 | Elect Director R.E. Knowling, Jr. --- For | |||||||||||||
1.7 | Elect Director S.M. Litvack --- Withhold | |||||||||||||
1.8 | Elect Director R.L. Ryan --- For | |||||||||||||
1.9 | Elect Director L.S. Salhany --- For | |||||||||||||
2 | Ratify Auditors | For | For | MGMT | ||||||||||
3 | Approve Omnibus Stock Plan | For | For | MGMT | ||||||||||
4 | Expense Stock Options | Against | For | ShrHoldr | ||||||||||
03/30/04 - A | Starbucks Corp. *SBUX* | 855244109 | 01/26/04 | 20,000 | ||||||||||
1 | Elect Directors | For | For | MGMT | ||||||||||
2 | Ratify Auditors | For | For | MGMT | ||||||||||
03/31/04 - A | The Goldman Sachs Group, Inc. *GS* | 38141G104 | 02/02/04 | 17,500 | ||||||||||
1 | Elect Directors | For | For | MGMT | ||||||||||
2 | Ratify Auditors | For | For | MGMT | ||||||||||
3 | Declassify the Board of Directors | Against | For | ShrHoldr | ||||||||||
03/19/04 - S | Travelers Property Casualty Corp. *TPK* | 89420G406 | 02/06/04 | 80,822 | ||||||||||
1 | Approve Merger Agreement | For | For | MGMT | ||||||||||
01/14/04 - A | Walgreen Co. *WAG* | 931422109 | 11/17/03 | 29,500 | ||||||||||
1 | Elect Directors | For | For | MGMT | ||||||||||
2 | Approve Non-Employee Director Omnibus Stock Plan | For | Against | MGMT | ||||||||||
Vote Summary Report | ||||||||||
Oct 01, 2003 – Dec 31, 2003 | ||||||||||
The North Country Funds – 0000380 | ||||||||||
Mtg | Company/ | Mgmt | Vote | Record | Shares | |||||
Date/Type | Ballot Issues | Security | Rec | Cast | Date | Prpnent | Voted | |||
12/18/03 - S | Apache Corp. *APA* | 037411105 | 10/29/03 | 18,500 | ||||||
1 | Increase Authorized Common Stock | For | For | MGMT | ||||||
11/13/03 - A | Brinker International, Inc. *EAT* | 109641100 | 09/15/03 | 32,000 | ||||||
1 | Elect Directors | For | Split | MGMT | ||||||
1.1 | Elect Director Ronald A. McDougall --- For | |||||||||
1.2 | Elect Director Douglas H. Brooks --- For | |||||||||
1.3 | Elect Director Dan W. Cook, III --- For | |||||||||
1.4 | Elect Director Robert M. Gates --- For | |||||||||
1.5 | Elect Director Marvin J. Girouard --- Withhold | |||||||||
1.6 | Elect Director Ronald Kirk --- Withhold | |||||||||
1.7 | Elect Director George R. Mrkonic --- For | |||||||||
1.8 | Elect Director Erle Nye --- For | |||||||||
1.9 | Elect Director James E. Oesterreicher --- Withhold | |||||||||
1.10 | Elect Director Cece Smith --- Withhold | |||||||||
1.11 | Elect Director Roger T. Staubach --- For | |||||||||
2 | Ratify Auditors | For | Against | MGMT | ||||||
Shareholder Proposal | ||||||||||
3 | Report on the Impact of Genetically Engineered Products | Against | Against | ShrHoldr | ||||||
11/05/03 - A | Cardinal Health, Inc. *CAH* | 14149Y108 | 09/08/03 | 28,000 | ||||||
1 | Elect Directors | For | For | MGMT | ||||||
11/11/03 - A | Cisco Systems, Inc. *CSCO* | 17275R102 | 09/12/03 | 97,000 | ||||||
1 | Elect Directors | For | For | MGMT | ||||||
2 | Amend Employee Stock Purchase Plan | For | For | MGMT | ||||||
3 | Ratify Auditors | For | For | MGMT | ||||||
Shareholder Proposals | ||||||||||
4 | Report on Company Products Used by the Government to Monitor the Internet | Against | Against | ShrHoldr | ||||||
5 | Report on Pay Disparity | Against | Against | ShrHoldr | ||||||
10/28/03 - S | First Data Corp. *FDC* | 319963104 | 09/08/03 | 30,000 | ||||||
1 | Approve Merger Agreement | For | For | MGMT | ||||||
10/30/03 - A | Intuit, Inc. *INTU* | 461202103 | 09/02/03 | 27,000 | ||||||
1 | Elect Directors | For | For | MGMT | ||||||
2 | Amend Employee Stock Purchase Plan | For | For | MGMT | ||||||
3 | Ratify Auditors | For | For | MGMT | ||||||
11/05/03 - A | Linear Technology Corp. *LLTC* | 535678106 | 09/08/03 | 14,000 | ||||||
1 | Elect Directors | For | Split | MGMT | ||||||
1.1 | Elect Director Robert H. Swanson, Jr. --- Withhold | |||||||||
1.2 | Elect Director David S. Lee --- For | |||||||||
1.3 | Elect Director Leo T. McCarthy --- For | |||||||||
1.4 | Elect Director Richard M. Moley --- For | |||||||||
1.5 | Elect Director Thomas S. Volpe --- For | |||||||||
2 | Ratify Auditors | For | For | MGMT | ||||||
11/11/03 - A | Microsoft Corp. *MSFT* | 594918104 | 09/12/03 | 50,000 | ||||||
1 | Elect Directors | For | Split | MGMT | ||||||
1.1 | Elect Director William H. Gates, III --- For | |||||||||
1.2 | Elect Director Steven A. Ballmer --- For | |||||||||
1.3 | Elect Director James I. Cash, Jr., Ph.D. --- For | |||||||||
1.4 | Elect Director Raymond V. Gilmartin --- For | |||||||||
1.5 | Elect Director Ann McLaughlin Korologos --- For | |||||||||
1.6 | Elect Director David F. Marquardt --- For | |||||||||
1.7 | Elect Director Charles H. Noski --- For | |||||||||
1.8 | Elect Director Dr. Helmut Panke --- For | |||||||||
1.9 | Elect Director Wm. G. Reed, Jr. --- For | |||||||||
1.10 | Elect Director Jon A. Shirley --- Withhold | |||||||||
2 | Amend Omnibus Stock Plan | For | For | MGMT | ||||||
3 | Amend Non-Employee Director Stock Option Plan | For | For | MGMT | ||||||
Shareholder Proposal | ||||||||||
4 | Refrain from Giving Charitable Contributions | Against | Against | ShrHoldr | ||||||
10/14/03 - A | The Procter & Gamble Company *PG* | 742718109 | 08/01/03 | 11,250 | ||||||
1 | Elect Directors | For | For | MGMT | ||||||
2 | Ratify Auditors | For | For | MGMT | ||||||
3 | Approve Non-Employee Director Omnibus Stock Plan | For | Against | MGMT | ||||||
Shareholder Proposals | ||||||||||
4 | Declassify the Board of Directors | Against | For | ShrHoldr | ||||||
5 | Label Genetically Engineered Foods | Against | Against | ShrHoldr | ||||||
Vote Summary Report | |||||||||||||||
Jul 01, 2003 - Sep 30, 2003 | |||||||||||||||
The North Country Funds – 0000380 | |||||||||||||||
Mtg | Company/ | Mgmt | Vote | Record | Shares | ||||||||||
Date/Type | Ballot Issues | Security | Rec | Cast | Date | Prpnent | Voted | ||||||||
08/11/03 - A | Forest Laboratories, Inc. *FRX* | 345838106 | 06/20/03 | 23,000 | |||||||||||
1 | Elect Directors | For | Split | MGMT | |||||||||||
1.1 | Elect Director Howard Solomon --- Withhold | ||||||||||||||
1.2 | Elect Director William J. Candee, III --- For | ||||||||||||||
1.3 | Elect Director George S. Cohan --- For | ||||||||||||||
1.4 | Elect Director Dan L. Goldwasser --- For | ||||||||||||||
1.5 | Elect Director Lester B. Salans, M.D. --- For | ||||||||||||||
1.6 | Elect Director Kenneth E. Goodman --- Withhold | ||||||||||||||
1.7 | Elect Director Phillip M. Satow --- Withhold | ||||||||||||||
2 | Increase Authorized Common Stock | For | Against | MGMT | |||||||||||
3 | Ratify Auditors | For | For | MGMT | |||||||||||
09/22/03 - A | General Mills, Inc. *GIS* | 370334104 | 07/24/03 | 7,700 | |||||||||||
1 | Elect Directors | For | For | MGMT | |||||||||||
2 | Ratify Auditors | For | For | MGMT | |||||||||||
3 | Approve Omnibus Stock Plan | For | For | MGMT | |||||||||||
08/28/03 - A | Medtronic, Inc. *MDT* | 585055106 | 07/03/03 | 27,700 | |||||||||||
1 | Elect Directors | For | For | MGMT | |||||||||||
2 | Ratify Auditors | For | For | MGMT | |||||||||||
3 | Approve Omnibus Stock Plan | For | For | MGMT | |||||||||||
4 | Approve Executive Incentive Bonus Plan | For | For | MGMT | |||||||||||
07/22/03 - S | Zimmer Holdings Inc *ZMH* | 98956P102 | 06/16/03 | 20,000 | |||||||||||
1 | Issue Shares in Connection with an Acquisition | For | For | MGMT | |||||||||||
THE NORTH COUNTRY FUNDS: INTERMEDIATE BOND FUND | Item 1 Exhibit A2 | |||||||
Investment Company Act file number: 811- 10123 | ||||||||
July 1, 2003 - June 30, 2004 | ||||||||
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(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For or Against Management |
NA | NA | NA | NA | NA | NA | NA | NA | NA |