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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 811-05646
New Century Portfolios |
(Exact name of registrant as specified in charter) |
40 William Street, Suite 100 Wellesley, Massachusetts | 02481 |
(Address of principal executive offices) | (Zip code) |
Nicole M. Tremblay, Esq.
Weston Financial Group, Inc. 40 William Street, Suite 100 Wellesley, MA 02481 |
(Name and address of agent for service) |
Registrant's telephone number, including area code: (781) 235-7055
Date of fiscal year end: October 31
Date of reporting period: July 1, 2009 - June 30, 2010
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. 239.24 and 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.
ITEM 1. PROXY VOTING RECORD.
Disclose 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 (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) New Century Portfolios
By (Signature and Title)* | /s/ Wayne M. Grzecki | ||
Wayne M. Grzecki, President | |||
Date | August 3, 2010 |
* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
INVESTMENT COMPANY REPORT
New Century Portfolios New Century Capital Portfolio Ticker: NCCPX Proxy Voting Record: 7/1/09-6/30/10 | ||||||||
Issuer | Ticker | Cusip Number | SH Meeting Date | Actions Voted on | Matter Proposed by Issuer or Security Holder | Did Registrant Cast its Vote on the Matter | How Registrant Cast Vote | Whether Registrant Cast its Vote For or Against Management |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | Elect Directors | Issuer | Yes | For | For |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling real estate | Issuer | Yes | For | For |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: issuing senior securities | Issuer | Yes | For | For |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: borrowing money | Issuer | Yes | For | For |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: making loans | Issuer | Yes | For | For |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling commodities | Issuer | Yes | For | For |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: concentrating investments in a particular industry or group of industries | Issuer | Yes | For | For |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: Elimination of outdated fundamental policies not required by law | Issuer | Yes | For | For |
Vanguard 500 Index Fund-Investor | VFINX | 922908-108 | 7/2/2009 | Shareholder proposal "that the board institute procedures to prevent holding investments in companies that, in the judgement of the board, substantially contribute to genocide or crimes against humanity, the most egregious violations of human rights." | Security Holder | Yes | Against | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2009. | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Other Matters. | Issuer | Yes | For | For |
Alkermes, Inc. | ALKS | 01642T-BBH | 10/6/2009 | Elect Directors | Issuer | Yes | For | For |
Alkermes, Inc. | ALKS | 01642T-BBH | 10/6/2009 | To ratify PricewaterhouseCoopers LLP as the company's independent registered public accountants for fiscal year 2010. | Issuer | Yes | For | For |
iShares DJ Transportation Average Index | IYT | 464287-D99 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares DJ Transportation Average Index | IYT | 464287-192 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares DJ US Energy Sector Index | IYE | 464287-J00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares DJ US Energy Sector Index | IYE | 464287-796 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares MSCI EAFE Growth Index | EFG | 464288-S00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI EAFE Growth Index | EFG | 464288-885 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares MSCI EAFE Index | EFA | 464287-F77 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI EAFE Index | EFA | 464287-465 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares MSCI EAFE Value Index | EFV | 464288-R99 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI EAFE Value Index | EFV | 464288-877 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares MSCI Emerging Markets Index | EEM | 464287-E22 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Emerging Markets Index | EEM | 464287-234 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares Russell 1000 Growth Index | IWF | 464287-H22 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares Russell 1000 Growth Index | IWF | 464287-614 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares Russell 1000 Value Index | IWD | 464287-H00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares Russell 1000 Value Index | IWD | 464287-598 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P 500 Growth Index | IVW | 464287-E66 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P 500 Growth Index | IVW | 464287-309 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P 500 Index | IVV | 464287-E00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P 500 Index | IVV | 464287-200 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P 500 Index | IVV | 464287-200 | 11/4/2009 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy | Issuer | Yes | For | For |
iShares S&P 500 Value Index | IVE | 464287-F33 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P 500 Value Index | IVE | 464287-408 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P MidCap 400 Growth Index | IJK | 464287-H11 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P MidCap 400 Growth Index | IJK | 464287-606 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P MidCap 400 Value Index | IJJ | 464287-705 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P MidCap 400 Value Index | IJJ | 464287-I22 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Sec Index | IGE | 464287-F00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Sec Index | IGE | 464287-374 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Sec Index | IGE | 464287-374 | 11/4/2009 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth Index | IJT | 464287-J77 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth Index | IJT | 464287-887 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth Index | IJT | 464287-887 | 11/4/2009 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Value Index | IJS | 464287-J66 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Value Index | IJS | 464287-879 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | Elect Directors | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To approve an agreement and plan of reorganization that provides for the reorganization of each fund. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Borrowing. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Issuance of senior securities. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Underwriting. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Investments in real estate or commodities. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Lending. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Industry concentration. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Approving the elimination of certain policies. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To approve a policy allowing capital research and management company ("CRMC") to appoint subsidiary advisers. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To approve amendments to the funds' investment advisory and service agreements with CRMC. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To approve a form of subsidiary agreement and appointment of subsidiary advisers for the funds. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To consider a proposal submitted by shareholders of certain funds, all as more fully described in the proxy statement. | Security Holder | Yes | Against | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | Elect Directors | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To approve an agreement and plan of reorganization that provides for the reorganization of each fund. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Borrowing. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Issuance of senior securities. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Underwriting. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Investments in real estate or commodities. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Lending. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Industry concentration. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Approving the elimination of certain policies. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To approve a policy allowing capital research and management company ("CRMC") to appoint subsidiary advisers. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To approve amendments to the funds' investment advisory and service agreements with CRMC. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To approve a form of subsidiary agreement and appointment of subsidiary advisers for the funds. | Issuer | Yes | For | For |
The Growth Fund of America - Class A | AGTHX | 399874-106 | 11/24/2009 | To consider a proposal submitted by shareholders of certain funds, all as more fully described in the proxy statement. | Security Holder | Yes | Against | For |
Enzon Pharmaceuticals, Inc | ENZN | 293904-BBH | 1/27/2010 | Proposal to approve the sale of Enzon's specialty pharmaceuticals business pursuant to the asset purchase agreement, by and between Klee Pharmaceuticals, Inc., Defiante Farmaceutica, S.A., and Sigma-Tau Finanziaria, S.P.A., on one hand, and Enzon Pharmaceuticals, Inc., on the other hand, dated as of November 9, 2009, as it may be amended from time to time. | Issuer | Yes | For | For |
Enzon Pharmaceuticals, Inc | ENZN | 293904-BBH | 1/27/2010 | Proposal to adjourn the special meeting to a later date to solicit additional proxies in favor of proposal 1 if there are insufficient votes to approve porposal 1 at the time of the special meeting. | Issuer | Yes | For | For |
Powershares Dynamic Biotech & Genome | PBE | 73935X-856 | 3/22/2010 | Elect Directors | Issuer | Yes | For | For |
Powershares Dynamic Food & Beverage | PBJ | 73935X-849 | 3/22/2010 | Elect Directors | Issuer | Yes | For | For |
Powershares Dynamic Pharmaceuticals | PJP | 73935X-799 | 3/22/2010 | Elect Directors | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Elect Directors | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Ratification of the appointment of Ernst & Young LLP as independent auditors of the company for fiscal year 2010 | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of an amendment to the restated certificate of incorporation of the company (adopt majority voting for uncontested elections of directors) | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of amendments to the restated certificate of incorporation of the company (eliminate supermajority provisions) | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of amendments to the bylaws of the company (adopt majority voting for uncontested elections of directors) | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of an amendment to the bylaws of the company (eliminate supermajority provisions) | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of the company's 2010 incentive compensation plan | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | Elect Directors | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | To ratify the selection of Ernst & Young LLP by the audit committee of the board of directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | If properly presented at the meeting, to vote on a stockholder proposal requesting that the board take steps to adopt majority voting standards in Gilead's certificate of incorporation and by-laws. | Security Holder | Yes | Against | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Elect Directors | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2010. | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Stockholder Proposal: Stockholder Proposal #1 (Shareholder action by written consent). | Security Holder | Yes | Against | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Stockholder Proposal: Stockholder Proposal #2 (Equity retention policy). | Security Holder | Yes | Against | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 5/14/2010 | Elect Directors | Issuer | Yes | For | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 5/14/2010 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 5/14/2010 | To approve an amendment to our amended and restated 2000 equity incentive plan to increase the number of shares reserved for issuance under the plan by 4,500,000 shares. | Issuer | Yes | For | For |
Human Genome Sciences, Inc. | HGSI | 444903-BBH | 5/20/2010 | Elect Directors | Issuer | Yes | For | For |
Human Genome Sciences, Inc. | HGSI | 444903-BBH | 5/20/2010 | To ratify the appointment of Ernst & Young LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
QLT Inc. | QLTI | 746927-BBH | 5/20/2010 | Elect Directors | Issuer | Yes | For | For |
QLT Inc. | QLTI | 746927-BBH | 5/20/2010 | To approve the appointment of Deloitte & Touche LLP as independent auditors of the corporation for the ensuing year and to authorize the directors to fix the renumeration to be paid to the auditors. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X-BBH | 6/9/2010 | Elect Directors | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X-BBH | 6/9/2010 | To ratify the selection of PricewaterhouseCoopers LLP as Biogen Idec's independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X-BBH | 6/9/2010 | To approve an amendment to the Biogen Idec Inc. 2006 non-employee directors equity plan to increase the number of shares available for issuance from 850,000 shares to 1,600,000 shares. | Issuer | Yes | For | For |
Janus Investment Fund | JORNX | 471023-648 | 6/10/2010 | Elect Directors | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | Elect Directors | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000 | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40%. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to ratify the audit committee's selection of independent auditors for 2010 | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | Elect Directors | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40%. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to ratify the audit committee's selection of independent auditors for 2010. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | Elect Directors | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares. | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000. | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40%. | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 6/16/2010 | A proposal to ratify the audit committee's selection of independent auditors for 2010. | Security Holder | No | N/A | N/A |
New Century Portfolios New Century Balanced Portfolio Ticker: NCIPX Proxy Voting Record: 7/1/09-6/30/10 | ||||||||
Issuer | Ticker | Cusip Number | SH Meeting Date | Actions Voted on | Matter Proposed by Issuer or Security Holder | Did Registrant Cast its Vote on the Matter | How Registrant Cast Vote | Whether Registrant Cast its Vote For or Against Management |
Investment Company Institute | N/A | N/A | 10/1/2009 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2009. | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Other Matters. | Issuer | Yes | For | For |
Alkermes, Inc. | ALKS | 01642T-BBH | 10/6/2009 | Elect Directors | Issuer | Yes | For | For |
Alkermes, Inc. | ALKS | 01642T-BBH | 10/6/2009 | To ratify PricewaterhouseCoops LLP as the company's independent registered public accountants for fiscal year 2010. | Issuer | Yes | For | For |
iShares Barclays 3-7 Year Treasury Bond | IEI | 464288-P77 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares Barclays 3-7 Year Treasury Bond | IEI | 464288-661 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares Barclays Aggregate Bond | AGG | 464287-E11 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares Barclays Aggregate Bond | AGG | 464287-226 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares DJ US Energy Sector Index | IYE | 464287-J00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares DJ US Energy Sector Index | IYE | 464287-796 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares MSCI EAFE Index | EFA | 464287-F77 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI EAFE Index | EFA | 464287-465 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares Russell 1000 Growth Index | IWF | 464287-H22 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares Russell 1000 Growth Index | IWF | 464287-614 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares Russell 1000 Value Index | IWD | 464287-H00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares Russell 1000 Value Index | IWD | 464287-598 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P 500 Index | IVV | 464287-200 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P 500 Index | IVV | 464287-200 | 11/4/2009 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy | Issuer | Yes | For | For |
iShares S&P 500 Index | IVV | 464287-E00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P MidCap 400 Value Index | IJJ | 464287-I22 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P MidCap 400 Value Index | IJJ | 464287-705 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Sec Index | IGE | 464287-F00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Sec Index | IGE | 464287-374 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Sec Index | IGE | 464287-374 | 11/4/2009 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth | IJT | 464287-J77 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth | IJT | 464287-887 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth | IJT | 464287-887 | 11/4/2009 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Value Index | IJS | 464287-J66 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Value Index | IJS | 464287-879 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclays Global Fund Advisors | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | Elect Directors | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To approve an agreement and plan of reorganization that provides for the reorganization of each fund. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Borrowing. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Issuance of senior securities. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Underwriting. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Investments in real estate or commodities. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Lending. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Industry concentration. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To update the funds' fundamental investment policies regarding: Approving the elimination of certain policies. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To approve a policy allowing capital research and management company ("CRMC") to appoint subsidiary advisers. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To approve amendments to the funds' investment advisory and service agreements with CRMC. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To approve a form of subsidiary agreement and appointment of subsidiary advisers for the funds. | Issuer | Yes | For | For |
Amcap Fund- Class A | AMCPX | 023375-108 | 11/24/2009 | To consider a proposal submitted by shareholders of certain funds, all as more fully described in the proxy statement. | Security Holder | Yes | Against | For |
Enzon Pharmacueticals, Inc. | ENZN | 293904-BBH | 01/27/10 | Proposal to approve the sale of Enzon's specialty pharmaceuticals business pursuant to the asset purchase agreement, by and between Klee Pharmaceuticals, Inc. , Defiante Farmaceutica, S.A., and Sigma-Tau Finanziaria, S.P.A., on one hand, and Enzon Pharmaceuticals, Inc., on the other hand, dated as of November 9, 2009, as it may be amended from time to time. | Issuer | Yes | For | For |
Enzon Pharmacueticals, Inc. | ENZN | 293904-BBH | 01/27/10 | Proposal to adjourn the special meeting to a later date to solicit additional proxies in favor of proposal 1 if there are insufficient votes to approve proposal 1 at the time of the special meeting | Issuer | Yes | For | For |
Powershares Dynamic Biotech & Genome | PBE | 73935X-856 | 03/22/10 | Elect Directors | Issuer | Yes | For | For |
Powershares Dynamic Food & Beverage | PBJ | 73935X-849 | 03/22/10 | Elect Directors | Issuer | Yes | For | For |
Powershares Dynamic Pharmaceuticals | PJP | 73935X-799 | 03/22/10 | Elect Directors | Issuer | Yes | For | For |
Rydex SER INV Govt Long Bond Strat | RYJUX | 783554-702 | 02/24/10 | To approve a new investment advisory agreement between the fund and Padco Advisors, Inc. | Issuer | Yes | For | For |
Rydex SER INV Govt Long Bond Strat | RYJUX | 783554-702 | 02/24/10 | To approve a new fundamental investment policy on borrowing money | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Elect Directors | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Ratification of the appointment of Ernst & Young LLP as independent auditors of the company for fiscal year 2010. | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of an amendment to the restated certificate of incorporation of the company (adopt majority voting for uncontested elections of directors). | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of amendments to the restated certificate of incorporation of the company (eliminate supermajority provisions). | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of amendments to the bylaws of the company (adopt majority voting for uncontested elections of directors). | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of an amendment to the bylaws of the company (eliminate supermajority provisions). | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of the company's 2010 incentive compensation plan. | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | Elect Directors | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | To ratify the selection of Ernst & Young LLP by the audit committee of the board of directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | If properly presented at the meeting, to vote on a stockholder proposal requesting that the board take steps to adopt majority voting standards in Gilead's certificate of incorporation and by-laws | Security Holder | Yes | Against | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Elect Directors | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2010 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Stockholder Proposal: Stockholder Proposal #1 (Shareholder action by written consent) | Security Holder | Yes | Against | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Stockholder Proposal: Stockholder Proposal #2 (Equity retention policy) | Security Holder | Yes | Against | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 5/14/2010 | Elect Directors | Issuer | Yes | For | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 5/14/2010 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 5/14/2010 | To approve an amendment to our amended and restated 2000 equity incentive plan to increase the number of shares reserved for issuance under the plan by 4,500,000 shares. | Issuer | Yes | For | For |
Human Genome Sciences, Inc. | HGSI | 444903-BBH | 5/20/2010 | Elect Directors | Issuer | Yes | For | For |
Human Genome Sciences, Inc. | HGSI | 444903-BBH | 5/20/2010 | To ratify the appointment of Ernst & Young LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
QLT Inc. | QLTI | 746927-BBH | 5/20/2010 | Elect Directors | Issuer | Yes | For | For |
QLT Inc. | QLTI | 746927-BBH | 5/20/2010 | To approve the appointment of Deloitte & Touche LLP as independent auditors of the coporation for the ensuing year and to authorize the directors to fix the renumeration to be paid to the auditors. | Issuer | Yes | For | For |
Loomis Sayles Instit High Income FD - I | LSHIX | 543495-600 | 05/27/10 | Elect Directors | Issuer | Yes | For | For |
Loomis Sayles Bond Fund | LSBDX | 543495-840 | 05/27/10 | Elect Directors | Issuer | Yes | For | For |
Loomis Sayles Global Bond FD- Instit | LSGBX | 543495-782 | 05/27/10 | Elect Directors | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X-BBH | 06/09/10 | Elect Directors | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X-BBH | 06/09/10 | To ratify the selection of PricewaterhouseCoopers LLP as Biogen Idec's independent registered public accounting firm for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X-BBH | 06/09/10 | To approve an amendment to the Biogen Idec Inc. 2006 non-employee directors equity plan to increase the number of shares available for issuance from 850,000 shares to 1,600,000 shares. | Issuer | Yes | For | For |
American Century Target 2015 - Inv Cl | BTFTX | 024935-405 | 06/16/10 | Elect Directors | Issuer | Yes | For | For |
American Century Target 2015 - Inv Cl | BTFTX | 024935-405 | 06/16/10 | To approve a management agreement with American Century Investment Management, Inc. (Please refer to proxy statement for certain classes of the fund(s) not being solicited on this proposal). | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | Elect Directors | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40%. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to ratify the audit committee's selection of independent auditors for 2010 | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | Elect Directors | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000 | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40% | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to ratify the audit committee's selection of independent auditors for 2010 | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | Elect Directors | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000 | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40% | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to ratify the audit committee's selection of independent auditors for 2010 | Security Holder | No | N/A | N/A |
New Century Portfolios New Century Opportunistic Portfolio Ticker: NCAPX Proxy Voting Record: 7/1/09-6/30/10 | ||||||||
Issuer | Ticker | Cusip Number | SH Meeting Date | Actions Voted on | Matter Proposed by Issuer or Security Holder | Did Registrant Cast its Vote on the Matter | How Registrant Cast Vote | Whether Registrant Cast its Vote For or Against Management |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | Elect Directors | Issuer | Yes | For | For |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling real estate. | Issuer | Yes | For | For |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: issuing senior securities. | Issuer | Yes | For | For |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: borrowing money. | Issuer | Yes | For | For |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: making loans. | Issuer | Yes | For | For |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling commodities. | Issuer | Yes | For | For |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: concentrating investments in a particular industry or group of industries. | Issuer | Yes | For | For |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | To approve updating and standardizing the fund(s) fundamental policies regarding: Elimination of outdated fundamental policies not required by law. | Issuer | Yes | For | For |
Vanguard US Large-Cap Growth Index- ETF | VUG | 922908-736 | 7/2/2009 | Shareholder proposal "that the board institute procedures to prevent holding investments in companies that, in the judgement of the board, substantially contribute to genocide or crimes against humanity, the most egregious violations of human rights." | Security Holder | Yes | Against | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2009. | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Other Matters. | Issuer | Yes | For | For |
Alkermes, Inc. | ALKS | 01642T-BBH | 10/6/2009 | Elect Directors | Issuer | Yes | For | For |
Alkermes, Inc. | ALKS | 01642T-BBH | 10/6/2009 | To ratify PricewaterhouseCoopers LLP as the company's independent registered public accountants for fiscal year 2010. | Issuer | Yes | For | For |
iShares DJ U.S. Energy Sector Index | IYE | 464287-J00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares DJ U.S. Energy Sector Index | IYE | 464287-796 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Emerging Markets Index | EEM | 464287-234 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Emerging Markets Index | EEM | 464287-E22 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P 500 Growth Index | IVW | 464287-E66 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P 500 Growth Index | IVW | 464287-309 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P 500 Value Index | IVE | 464287-F33 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P 500 Value Index | IVE | 464287-408 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Index | IGE | 464287-F00 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Index | IGE | 464287-374 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares S&P North American Natural Resources Index | IGE | 464287-374 | 11/4/2009 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth Index | IJT | 464287-J77 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth Index | IJT | 464287-887 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Growth Index | IJT | 464287-887 | 11/4/2009 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Value Index | IJS | 464287-J66 | 11/4/2009 | Elect Directors | Issuer | Yes | For | For |
iShares S&P SmallCap 600 Value Index | IJS | 464287-879 | 11/4/2009 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors | Issuer | Yes | For | For |
Enzon Pharmacueticals, Inc. | ENZN | 293904-BBH | 01/27/10 | Proposal to approve the sale of Enzon's specialty pharmaceuticals business pursuant to the asset purchase agreement, by and between Klee Pharmaceuticals, Inc. , Defiante Farmaceutica, S.A., and Sigma-Tau Finanziaria, S.P.A., on one hand, and Enzon Pharmaceuticals, Inc., on the other hand, dated as of November 9, 2009, as it may be amended from time to time. | Issuer | Yes | For | For |
Enzon Pharmacueticals, Inc. | ENZN | 293904-BBH | 01/27/10 | Proposal to adjourn the special meeting to a later date to solicit additional proxies in favor of proposal 1 if there are insufficient votes to approve proposal 1 at the time of the special meeting | Issuer | Yes | For | For |
Powershares Dynamic Biotech & Genome | PBE | 73935X-856 | 03/22/10 | Elect Directors | Issuer | Yes | For | For |
Powershares Dynamic Food & Beverage | PBJ | 73935X-849 | 03/22/10 | Elect Directors | Issuer | Yes | For | For |
Powershares Dynamic Pharmaceuticals | PJP | 73935X-799 | 03/22/10 | Elect Directors | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Elect Directors | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Ratification of the appointment of Ernst & Young LLP as independent auditors of the company for fiscal year 2010. | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of an amendment to the restated certificate of incorporation of the company (adopt majority voting for uncontested elections of directors). | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of amendments to the restated certificate of incorporation of the company (eliminate supermajority provisions) | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of amendments to the bylaws of the company (adopt majority voting for uncontested elections of directors) | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of an amendment to the bylaws of the company (eliminate supermajority provisions). | Issuer | Yes | For | For |
Life Technologies Corporation | LIFE | 53217V-BBH | 4/29/2010 | Adoption of the company's 2010 incentive compensation plan. | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | Elect Directors | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | To ratify the selection of Ernst & Young LLP by the audit committee of the board of directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
Gilead Sciences, Inc. | GILD | 375558-BBH | 5/11/2010 | If properly presented at the meeting, to vote on a stockholder proposal requesting that the board take steps to adopt majority voting standards in Gilead's certificate of incorporation and by-laws | Security Holder | Yes | Against | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Elect Directors | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2010 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Stockholder Proposal: Stockholder Proposal #1 (Shareholder action by written consent) | Security Holder | Yes | Against | For |
Amgen Inc. | AMGN | 031162-BBH | 5/12/2010 | Stockholder Proposal: Stockholder Proposal #2 (Equity retention policy) | Security Holder | Yes | Against | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 05/14/10 | Elect Directors | Issuer | Yes | For | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 05/14/10 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
Affymetrix, Inc. | AFFX | 00826T-BBH | 05/14/10 | To approve an amendment to our amended and restated 2000 equity incentive plan to increase the number of shares reserved for issuance under the plan by 4,500,000 shares | Issuer | Yes | For | For |
Human Genome Sciences, Inc. | HGSI | 444903-BBH | 5/20/2010 | Elect Directors | Issuer | Yes | For | For |
Human Genome Sciences, Inc. | HGSI | 444903-BBH | 5/20/2010 | To ratify the appointment of Ernst & Young LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2010 | Issuer | Yes | For | For |
QLT Inc. | QLTI | 746927-BBH | 5/20/2010 | Elect Directors | Issuer | Yes | For | For |
QLT Inc. | QLTI | 746927-BBH | 5/20/2010 | To approve the appointment of Deloitte & Touche LLP as the independent auditors of the corporation for the ensuing year and to authorize the directors to fix the renumeration to be paid to the auditors | Issuer | Yes | For | For |
Biogen Idec Inc. | BIB | 09062X-BBH | 6/9/2010 | Elect Directors | Issuer | Yes | For | For |
Biogen Idec Inc. | BIB | 09062X-BBH | 6/9/2010 | To ratify the selection of PricewaterhouseCoopers LLP as Biogen Idec's independent registered public accounting firm for the fiscal year ending December 31, 2010. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIB | 09062X-BBH | 6/9/2010 | To approve an amendment to the Biogen Idec Inc. 2006 non-employee directors equity plan to increase the number of shares available for issuance from 850,000 shares to 1,600,000 shares. | Issuer | Yes | For | For |
Janus Overseas Fund - CL T | JAOSX | 471023-846 | 6/10/2010 | Approve an amended and restated investment advisory agreement to change the investment advisory fee rate from a fixed rate to a rate that adjusts up and down based upon the fund's performance relative to its benchmark index. | Issuer | Yes | For | For |
Janus Overseas Fund - CL T | JAOSX | 471023-A77 | 6/10/2010 | Elect Directors | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | Elect Directors | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000 | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40%. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to ratify the audit committee's selection of independent auditors for 2010. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | Elect Directors | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000 | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40% | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to ratify the audit committee's selection of independent auditors for 2010 | Issuer | Yes | For | For |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | Elect Directors | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2004 Equity incentive plan to increase the number of shares of common stock available for issuance under the plan by 2,750,000 shares | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2009 employee stock purchase plan to increase the number of shares of common stock available for issuance under the plan by 1,500,000 | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the 2007 director equity plan to increase the number of shares of common stock available for issuance under the plan by 250,000 shares. | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to amend the restated articles of incorporation to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 90% to 40% | Security Holder | No | N/A | N/A |
Genzyme Corporation | GENZ | 372917-BBH | 06/16/10 | A proposal to ratify the audit committee's selection of independent auditors for 2010 | Security Holder | No | N/A | N/A |
New Century Portfolios New Century International Portfolio Ticker: NCFPX Proxy Voting Record: 7/1/09-6/30/10 | ||||||||
Issuer | Ticker | Cusip Number | SH Meeting Date | Actions Voted on | Matter Proposed by Issuer or Security Holder | Did Registrant Cast its Vote on the Matter | How Registrant Cast Vote | Whether Registrant Cast its Vote For or Against Management |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | Elect Directors | Issuer | Yes | For | For |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling real estate. | Issuer | Yes | For | For |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: issuing senior securities. | Issuer | Yes | For | For |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: borrowing money. | Issuer | Yes | For | For |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: making loans. | Issuer | Yes | For | For |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling commodities. | Issuer | Yes | For | For |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: concentrating investments in a particular industry or group of industries. | Issuer | Yes | For | For |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: Elimination of outdated fundamental policies not required by law. | Issuer | Yes | For | For |
Vanguard Emerging Markets Stk Index ETF | VWO | 922042-858 | 07/02/09 | Shareholder proposal "that the board institute procedures to prevent holding investments in companies that, in the judgement of the board, substantially contribute to genocide or crimes against humanity, the most egregious violations of human rights." | Security Holder | Yes | Against | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | Elect Directors | Issuer | Yes | For | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling real estate. | Issuer | Yes | For | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: issuing senior securities. | Issuer | Yes | For | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: borrowing money. | Issuer | Yes | For | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: making loans. | Issuer | Yes | For | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling commodities. | Issuer | Yes | For | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: concentrating investments in a particular industry or group of industries. | Issuer | Yes | For | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: Elimination of outdated fundamental policies not required by law. | Issuer | Yes | For | For |
Vanguard European Stock Index ETF Sh | VGK | 922042-874 | 07/02/09 | Shareholder proposal "that the board institute procedures to prevent holding investments in companies that, in the judgement of the board, substantially contribute to genocide or crimes against humanity, the most egregious violations of human rights." | Security Holder | Yes | Against | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2009. | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Other Matters. | Issuer | Yes | For | For |
iShares FTSE/Xinhua China 25 Index | FXI | 464287-D88 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares FTSE/Xinhua China 25 Index | FXI | 464287-184 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Australia Index | EWA | 464286-A00 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Australia Index | EWA | 464286-103 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Australia Index | EWA | 464286-103 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares MSCI Canada Index | FICDX | 464286-A44 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Canada Index | FICDX | 464286-509 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Canada Index | FICDX | 464286-509 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares MSCI EAFE Growth Index | EFG | 464288-S00 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI EAFE Growth Index | EFG | 464288-885 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI EAFE Index | EFA | 464287-F77 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI EAFE Index | EFA | 464287-465 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI EAFE Index | EFA | 464287-465 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI EAFE Value Index | EFV | 464288-R99 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI EAFE Value Index | EFV | 464288-877 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCi Emerging Markets Index | EEM | 464287-E22 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Emerging Markets Index | EEM | 464287-234 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI France Index | EWQ | 464286-B44 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI France Index | EWQ | 464286-707 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI France Index | EWQ | 464286-707 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares MSCI Germany Index | EWG | 464286-C22 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Germany Index | EWG | 464286-806 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Germany Index | EWG | 464286-806 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares MSCI Japan Index | EWJ | 464286-C66 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Japan Index | EWJ | 464286-848 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Japan Index | EWJ | 464286-848 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares MSCI Mexico Invest Market Index | EWW | 464286-C44 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Mexico Invest Market Index | EWW | 464286-822 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Pacific Ex-Japan Index | EPP | 464286-B11 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Pacific Ex-Japan Index | EPP | 464286-665 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Pacific Ex-Japan Index | EPP | 464286-665 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares MSCI Spain Index | EWP | 464286-B99 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Spain Index | EWP | 464286-764 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Spain Index | EWP | 464286-764 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares MSCI Sweden Index | EWD | 464286-B88 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Sweden Index | EWD | 464286-756 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Switzerland Index | EWL | 464286-B77 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI Switzerland Index | EWL | 464286-749 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI Switzerland Index | EWL | 464286-749 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares MSCI United Kingdom Index | EWU | 464286-B33 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares MSCI United Kingdom Index | EWU | 464286-699 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares MSCI United Kingdom Index | EWU | 464286-699 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares S&P Global Energy Sect Index | IXC | 464287-E99 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares S&P Global Energy Sect Index | IXC | 464287-341 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares S&P Global Energy Sect Index | IXC | 464287-341 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
iShares S&P Global Infrastructure Index | IGF | 464288-M00 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares S&P Global Infrastructure Index | IGF | 464288-372 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares S&P Global Materials Sec Index | MXI | 464288-Q11 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares S&P Global Materials Sec Index | MXI | 464288-695 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors | Issuer | Yes | For | For |
iShares S&P Latin America 40 Index | ILF | 464287-F22 | 11/04/09 | Elect Directors | Issuer | Yes | For | For |
iShares S&P Latin America 40 Index | ILF | 464287-390 | 11/04/09 | To approve a new investment advisory agreement between each company, on behalf of each of its funds, and Barclay's Global Fund Advisors. | Issuer | Yes | For | For |
iShares S&P Latin America 40 Index | ILF | 464287-390 | 11/04/09 | To approve a change in the classification of the fund's investment objective from a fundamental investment policy to a non-fundamental investment policy. | Issuer | Yes | For | For |
Columbia Acorn Intl Select - CL A | LAFAX | 197199-797 | 05/27/10 | To approve the proposed investment advisory agreement with Columbia Wanger Asset Management, L.P. | Issuer | Yes | For | For |
Columbia Acorn Intl Select - CL A | LAFAX | 197199-797 | 05/27/10 | Elect Directors | Issuer | Yes | For | For |
Janus Overseas Fund - CL T | JAOSX | 471023-A77 | 06/10/10 | Elect Directors | Issuer | Yes | For | For |
Janus Overseas Fund - CL T | JAOSX | 471023-846 | 06/10/10 | Approve an amendment and restated investment advisory agreement to change the investment advisory fee rate from a fixed rate to a rate that adjusts up and down based upon the fund's performance relative to its benchmark index. | Issuer | Yes | For | For |
New Century Portfolios New Century Alternative Strategies Portfolio Ticker: NCHPX Proxy Voting Record: 7/1/09-6/30/10 | ||||||||
Issuer | Ticker | Cusip Number | SH Meeting Date | Actions Voted on | Matter Proposed by Issuer or Security Holder | Did Registrant Cast its Vote on the Matter | How Registrant Cast Vote | Whether Registrant Cast its Vote For or Against Management |
Vanguard Mkt Neutral Fd - Inv | VMNFX | 92205G-104 | 07/02/09 | Elect Directors | Issuer | Yes | For | For |
Vanguard Mkt Neutral Fd - Inv | VMNFX | 92205G-104 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling real estate. | Issuer | Yes | For | For |
Vanguard Mkt Neutral Fd - Inv | VMNFX | 92205G-104 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: issuing senior securities. | Issuer | Yes | For | For |
Vanguard Mkt Neutral Fd - Inv | VMNFX | 92205G-104 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: borrowing money. | Issuer | Yes | For | For |
Vanguard Mkt Neutral Fd - Inv | VMNFX | 92205G-104 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: making loans. | Issuer | Yes | For | For |
Vanguard Mkt Neutral Fd - Inv | VMNFX | 92205G-104 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling commodities. | Issuer | Yes | For | For |
Vanguard Mkt Neutral Fd - Inv | VMNFX | 92205G-104 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: concentrating investments in a particular industry or group of industries. | Issuer | Yes | For | For |
Vanguard Mkt Neutral Fd - Inv | VMNFX | 92205G-104 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: Elimination of outdated fundamental policies not required by law. | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | Elect Directors | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling real estate. | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: issuing senior securities. | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: borrowing money. | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: making loans. | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: purchasing and selling commodities. | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: concentrating investments in a particular industry or group of industries. | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | To approve updating and standardizing the fund(s) fundamental policies regarding: Elimination of outdated fundamental policies not required by law. | Issuer | Yes | For | For |
Vanguard Precious Metals & Mining - Inv | VGPMX | 921908-208 | 07/02/09 | Shareholder proposal "that the board institute procedures to prevent holding investments in companies that, in the judgement of the board, substantially contribute to genocide or crimes against humanity, the most egregious violations of human rights." | Security Holder | Yes | Against | For |
Eaton Vance Tax-Managed Diversified Equity Income Fund | ETY | 27828N-102 | 08/28/09 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2009. | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/1/2009 | Other Matters. | Issuer | Yes | For | For |
Ivy Asset Strategy Fund - Class A | WASAX | 466000-759 | 11/06/09 | To approve the reorganization of Ivy Asset Strategy Fund into a corresponding series of a newly formed Deleware statutory trust bearing the name Ivy Funds. | Issuer | Yes | For | For |
Schwab Hedged Equity Fund - Select | SWHEX | 808509-699 | 12/14/09 | Elect Directors | Issuer | Yes | For | For |
Western Asset Emerging Markets Debt Fund | ESD | 95766A-101 | 02/26/10 | Elect Directors | Issuer | Yes | For | For |
Powershares Water Resources Portfolio | PHO | 73935X-575 | 03/22/10 | Elect Directors | Issuer | Yes | For | For |
Nuveen Multi-Strgy Incm & Grth FD 2-Com | JQC | 67073D-102 | 04/06/10 | Elect Directors | Issuer | Yes | For | For |
Loomis Sayles Instit High Income FD - I | LSHIX | 543495-600 | 05/27/10 | Elect Directors | Issuer | Yes | For | For |
Gateway Fund CL A | GATEX | 367829-207 | 05/27/10 | Elect Directors | Issuer | Yes | For | For |