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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) |
100 William Street, Suite 200 Wellesley, Massachusetts | 02481 |
(Address of principal executive offices) | (Zip code) |
Nicole M. Tremblay, Esq.
Weston Financial Group, Inc. 100 William Street, Suite 200 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, 2012 - June 30, 2013
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/ Nicole M. Tremblay | ||
Nicole M. Tremblay, President | |||
Date | July 23, 2013 |
* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
New Century Portfolios | ||||||||
New Century Capital Portfolio | ||||||||
Ticker: NCCPX | ||||||||
Proxy Voting Record: 07/01/12 - 06/30/13 | ||||||||
Issuer | Ticker | Cusip Number | Shareholder Mtg 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 | 10/9/2012 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2012. | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Other Matters. | Issuer | Yes | For | For |
Fidelity Select Software and Computer Services Portfolio | FSCSX | 316390-822 | 5/14/2013 | Elect Directors | Issuer | Yes | For | For |
Fidelity Select Software and Computer Services Portfolio | FSCSX | 316390-822 | 5/14/2013 | To approve a management contract between the fund and Fidelity SelectCo, LLC | Issuer | Yes | For | For |
Fidelity Select Utilities Portfolio | FSUTX | 316390-509 | 5/14/2013 | Elect Directors | Issuer | Yes | For | For |
Fidelity Select Utilities Portfolio | FSUTX | 316390-509 | 5/14/2013 | To approve a management contract between the fund and Fidelity SelectCo, LLC | Issuer | Yes | For | For |
Fidelity Select Health Care Portfolio | FSPHX | 316390-301 | 5/14/2013 | Elect Directors | Issuer | Yes | For | For |
Fidelity Select Health Care Portfolio | FSPHX | 316390-301 | 5/14/2013 | To approve a management contract between the fund and Fidelity SelectCo, LLC | Issuer | Yes | For | For |
Fidelity Select Health Care Portfolio | FSPHX | 316390-301 | 5/14/2013 | Shareholder proposal requesting that the Board of Trustees institute procedures to prevent holding investments in companies that, in management's judgment, substantially contribute to genocide or crimes against humanity. | Security Holder | Yes | Against | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Elect Directors | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Revise the fundamental policy relating to borrowing, concentration of investments, lending, real estate and commodities, senior securities, and underwriting. | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Remove the fundamental policy relating to diversification of investments. | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Convert the fund's investment objective from fundamental to non-fundamental | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Approve a change in the fund's investment objective. | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | To approve an agreement and plan of reorganization that provides for the reorganization of a fund from a Maryland corporation or Massachusetts business trust, as applicable, into a Delaware statutory trust. | Issuer | Yes | For | For |
Oppenheimer Developing Markets Fund Class Y | ODVYX | 683974-505 | 6/21/2013 | Elect Directors | Issuer | Yes | For | For |
Oppenheimer Developing Markets Fund Class Y | ODVYX | 683974-505 | 6/21/2013 | Revise the fundamental policy relating to borrowing, concentration of investments, lending, real estate and commodities, senior securities, and underwriting. | Issuer | Yes | For | For |
Oppenheimer Developing Markets Fund Class Y | ODVYX | 683974-505 | 6/21/2013 | Remove the fundamental policy relating to diversification of investments. | Issuer | Yes | For | For |
Oppenheimer Developing Markets Fund Class Y | ODVYX | 683974-505 | 6/21/2013 | Convert the fund's investment objective from fundamental to non-fundamental | Issuer | Yes | For | For |
Oppenheimer Developing Markets Fund Class Y | ODVYX | 683974-505 | 6/21/2013 | Approve a change in the fund's investment objective. | Issuer | Yes | For | For |
Oppenheimer Developing Markets Fund Class Y | ODVYX | 683974-505 | 6/21/2013 | To approve an agreement and plan of reorganization that provides for the reorganization of a fund from a Maryland corporation or Massachusetts business trust, as applicable, into a Delaware statutory trust. | Issuer | Yes | For | For |
New Century Portfolios | ||||||||
New Century Balanced Portfolio | ||||||||
Ticker: NCIPX | ||||||||
Proxy Voting Record: 07/01/12 - 06/30/13 | ||||||||
Issuer | Ticker | Cusip Number | Shareholder Mtg 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 | 10/9/2012 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2012. | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Other Matters. | Issuer | Yes | For | For |
Loomis Sayles Global Bond I | LSGBX | 543495-782 | 3/18/2013 | Elect Directors | Issuer | Yes | For | For |
Loomis Sayles Institutional High Income I | LSHIX | 543495-600 | 3/18/2013 | Elect Directors | Issuer | Yes | For | For |
Loomis Sayles Bond I | LSBDX | 543495-840 | 3/18/2013 | Elect Directors | Issuer | Yes | For | For |
Fidelity Select Utilities Portfolio | FSUTX | 316390-509 | 5/14/2013 | Elect Directors | Issuer | Yes | For | For |
Fidelity Select Utilities Portfolio | FSUTX | 316390-509 | 5/14/2013 | To approve a management contract between the fund and Fidelity SelectCo, LLC. | Issuer | Yes | For | For |
Fidelity Select Health Care Portfolio | FSPHX | 316390-301 | 5/14/2013 | Elect Directors | Issuer | Yes | For | For |
Fidelity Select Health Care Portfolio | FSPHX | 316390-301 | 5/14/2013 | To approve a management contract between the fund and Fidelity SelectCo, LLC. | Issuer | Yes | For | For |
Fidelity Select Health Care Portfolio | FSPHX | 316390-301 | 5/14/2013 | Shareholder proposal requesting that the Board of Trustees institute procedures to prevent holding investments in companies that, in management's judgment, substantially contribute to genocide or crimes against humanity. | Security Holder | Yes | Against | For |
New Century Portfolios | ||||||||
New Century Opportunistic Portfolio | ||||||||
Ticker: NCAPX | ||||||||
Proxy Voting Record: 07/01/12 - 2/28/13* (*the Fund was merged into New Century Capital Portfolio) | ||||||||
Issuer | Ticker | Cusip Number | Shareholder Mtg 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 |
Brown Advisory Growth Equity Institutional Shares | BIAGX | 74316J-201 | 9/26/2012 | To approve an Agreement and Plan of Reorganization | Issuer | Yes | For | For |
Brown Advisory Growth Equity Institutional Shares | BIAGX | 74316J-201 | 9/26/2012 | To approve a Manager of Managers Arrangement | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2012. | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Other Matters. | Issuer | Yes | For | For |
New Century Portfolios | ||||||||
New Century International Portfolio | ||||||||
Ticker: NCFPX | ||||||||
Proxy Voting Record: 07/01/12 - 06/30/13 | ||||||||
Issuer | Ticker | Cusip Number | Shareholder Mtg 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 | 10/9/2012 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2012. | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Other Matters. | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Elect Directors | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Revise the fundamental policy relating to borrowing, concentration of investments, lending, real estate and commodities, senior securities, and underwriting. | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Remove the fundamental policy relating to diversification of investments. | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Convert the fund's investment objective from fundamental to non-fundamental | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | Approve a change in the fund's investment objective. | Issuer | Yes | For | For |
Oppenheimer International Growth Fund Class Y | OIGYX | 68380L-407 | 6/21/2013 | To approve an agreement and plan of reorganization that provides for the reorganization of a fund from a Maryland corporation or Massachusetts business trust, as applicable, into a Delaware statutory trust. | Issuer | Yes | For | For |
Harbor International Fund Institutional | HAINX | 411511-306 | 6/25/2013 | To approve a new advisory agreement with Harbor Capital Advisors, Inc., the funds' current investment adviser, as a result of a proposed transaction involving the sale of Harbor Capital Advisors' parent company | Issuer | Yes | For | For |
Harbor International Fund Institutional | HAINX | 411511-306 | 6/25/2013 | To approve an amended and restated agreement and declaration of trust for Harbor Funds | Issuer | Yes | For | For |
New Century Portfolios | ||||||||
New Century Alternative Strategies Portfolio | ||||||||
Ticker: NCHPX | ||||||||
Proxy Voting Record: 07/01/12 - 06/30/13 | ||||||||
Issuer | Ticker | Cusip Number | Shareholder Mtg 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 |
Marketfield Fund | MFLDX | 89833W-865 | 09/20/12 | To approve an Agreement and Plan of Regoranization which provides for: (a) the transfer of all the assets and liabilities of the Marketfield Fund to the MainStay Marketfield Fund (the "Acquiring Fund"), and (b) the distributionof the Class I shares of the Acquiring Fund Pro Rata by Marketfield Fund to its shareholders in complete liquidation of the Marketfield Fund. | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Election of Governors | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2012. | Issuer | Yes | For | For |
Investment Company Institute | n/a | n/a | 10/9/2012 | Other Matters. | Issuer | Yes | For | For |
Oppenheimer Steelpath MLP Select 40 Fund Class I | MLPTX | 858268-B11 | 11/16/2012 | Elect Directors | Issuer | Yes | For | For |
Oppenheimer Steelpath MLP Select 40 Fund Class I | MLPTX | 858268-204 | 11/16/2012 | To approve a new investment advisory agreement | Issuer | Yes | For | For |
Oppenheimer Steelpath MLP Select 40 Fund Class I | MLPTX | 858268-204 | 11/16/2012 | Remove the Fund's fundamental 80% investment policy. | Issuer | Yes | For | For |
Oppenheimer Steelpath MLP Select 40 Fund Class I | MLPTX | 858268-204 | 11/16/2012 | Revise the fundamental policies relating to borrowing, concentration of investments, lending, real estate and commodities, senior securities and underwriting. | Issuer | Yes | For | For |
Oppenheimer Steelpath MLP Select 40 Fund Class I | MLPTX | 858268-204 | 11/16/2012 | Remove the fundamental policiy relating to diversification of investments. | Issuer | Yes | For | For |
Oppenheimer Steelpath MLP Select 40 Fund Class I | MLPTX | 858268-204 | 11/16/2012 | To amend and restate the Trust's Agreement and Declaration of Trust | Issuer | Yes | For | For |
Gateway Fund Class A | GATEX | 367829-207 | 3/18/2013 | Elect Directors | Issuer | Yes | For | For |
Eaton Vance Enhanced Equity Income Fund II | EOS | 278277-108 | 4/19/2013 | Elect Directors | Issuer | Yes | For | For |
Eaton Vance Risk-Managed Dividend Equity Income Fund | ETJ | 27829G-106 | 4/19/2013 | Elect Directors | Issuer | Yes | For | For |
ING Global Real Estate Fund Class I | IGLIX | 44980Q-302 | 5/13/2013 | To approve a new investment advisory agreement for the fund with ING Investments propted by the IPO, and to approve, under certain circumstances, any future advisory agreements propted by change of control events that occur as part of the separation plan. | Issuer | Yes | For | For |
ING Global Real Estate Fund Class I | IGLIX | 44980Q-302 | 5/13/2013 | Elect Directors | Issuer | Yes | For | For |
ING Global Real Estate Fund Class I | IGLIX | 44980Q-302 | 5/13/2013 | To approve a modification to the current manager-of-managers policy to permit ING Investments, subject to prior approval by the Board, to enter into and materially amend agreements without obtaining the approval of such fund's shareholders. | Issuer | Yes | For | For |