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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, 2013 - June 30, 2014
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 30, 2014 |
* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
New Century Portfolios' Form N-PX (Annual Proxy Voting record) (07/01/13 - 06/30/14) |
New Century Portfolios
New Century Capital Portfolio
Ticker: NCCPX
Proxy Voting Record: 07/01/13 - 06/30/14
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 | 10/02/13 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2013 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Other Matters | Issuer | Yes | For | For |
Putnam Equity Income CL Y | PEIYX | 746745-405 | 02/27/14 | Approve a new management agreement | Issuer | Yes | For | For |
Putnam Equity Income CL Y | PEIYX | 746745-405 | 02/27/14 | Elect Directors | Issuer | Yes | For | For |
Putnam Equity Income CL Y | PEIYX | 746745-405 | 02/27/14 | Approve an amended and restated Declaration of Trust | Issuer | Yes | For | For |
Putnam Equity Income CL Y | PEIYX | 746745-405 | 02/27/14 | Other Matters | Issuer | Yes | For | For |
Putnam Equity Spectrum Fund CL Y | PYSYX | 74676P-219 | 02/27/14 | Approve a new management agreement | Issuer | Yes | For | For |
Putnam Equity Spectrum Fund CL Y | PYSYX | 74676P-219 | 02/27/14 | Elect Directors | Issuer | Yes | For | For |
Putnam Equity Spectrum Fund CL Y | PYSYX | 74676P-219 | 02/27/14 | Approve an amended and restated Declaration of Trust | Issuer | Yes | For | For |
Putnam Equity Spectrum Fund CL Y | PYSYX | 74676P-219 | 02/27/14 | Other Matters | Issuer | Yes | For | For |
Ridgeworth Large Cap Value Equity CL I | STVTX | 76628R-672 | 03/12/14 | Elect Directors | Issuer | Yes | For | For |
Ridgeworth Large Cap Value Equity CL I | STVTX | 76628R-672 | 03/12/14 | Approve an amendment to the Trust's Agreement and Declaration of Trust | Issuer | Yes | For | For |
Ridgeworth Large Cap Value Equity CL I | STVTX | 76628R-672 | 03/12/14 | Approve the implementation of a Manager of Managers Arrangement | Issuer | Yes | For | For |
Ridgeworth Large Cap Value Equity CL I | STVTX | 76628R-672 | 03/12/14 | Approve new invsetment advisory agreement between Ridgeworth Investments and the Trust | Issuer | Yes | For | For |
Ridgeworth Large Cap Value Equity CL I | STVTX | 76628R-672 | 03/12/14 | Approve a new sub-advisory agreement between Ridgeworth Investments and Ceredex Value Advisors LLC | Issuer | Yes | For | For |
Ridgeworth Large Cap Value Equity CL I | STVTX | 76628R-672 | 03/12/14 | Other Matters | Issuer | Yes | For | For |
JP Morgan Funds (JPMorgan Value Advantage Fund -Institutional) | JVAIX | 4812A2-587 | 06/10/14 | Elect Directors | Issuer | Yes | For | For |
JP Morgan Funds (JPMorgan Value Advantage Fund -Institutional) | JVAIX | 4812A2-587 | 06/10/14 | Other Matters | Issuer | Yes | For | For |
New Century Portfolios
New Century Balanced Portfolio
Ticker: NCIPX
Proxy Voting Record: 07/01/13 - 06/30/14
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 | 10/02/13 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2013 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Other Matters | Issuer | Yes | For | For |
JP Morgan Funds (JPMorgan Value Advantage Fund -Institutional) | JVAIX | 4812A2-587 | 06/10/14 | Elect Directors | Issuer | Yes | For | For |
JP Morgan Funds (JPMorgan Value Advantage Fund -Institutional) | JVAIX | 4812A2-587 | 06/10/14 | Other Matters | Issuer | Yes | For | For |
New Century Portfolios
New Century International Portfolio
Ticker: NCFPX
Proxy Voting Record: 07/01/13 - 06/30/14
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 | 10/02/13 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2013 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Other Matters | Issuer | Yes | For | For |
Wisdomtree Japan Hedged Equity Fund | DXJ | 97717W-851 | 03/11/14 | Elect Directors | Issuer | Yes | For | For |
Wisdomtree Japan Hedged Equity Fund | DXJ | 97717W-851 | 03/11/14 | Other Matters | Issuer | Yes | For | For |
JP Morgan Funds (JPMorgan Latin America Fund -Select) | JLTSX | 4812A3-478 | 06/10/14 | Elect Directors | Issuer | Yes | For | For |
JP Morgan Funds (JPMorgan Latin America Fund -Select) | JLTSX | 4812A3-478 | 06/10/14 | Other Matters | Issuer | Yes | For | For |
New Century Portfolios
New Century Alternative Strategies Portfolio
Ticker: NCHPX
Proxy Voting Record: 07/01/13 - 06/30/14
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 |
The Merger Fund | MERFX | 589509-108 | 07/16/13 | Elect Directors | Issuer | Yes | For | For |
Blackrock Enhanced Equity Dividend Trust | BDJ | 09251A-104 | 07/30/13 | Elect Directors | Issuer | Yes | For | For |
Blackrock Enhanced Equity Dividend Trust | BDJ | 09251A-104 | 07/30/13 | Other Matters | Issuer | Yes | For | For |
Touchstone Merger Arbitrage Fund Instl. Cl | TMGLX | 89155T-698 | 08/02/13 | Elect Directors | Issuer | Yes | For | For |
Touchstone Merger Arbitrage Fund Instl. Cl | TMGLX | 89155T-698 | 08/02/13 | Other Matters | Issuer | Yes | For | For |
Northern Lights Fund Trust (MutualHedge Frontier Legends Fund-I) | MHFIX | 66537X-555 | 09/10/13 | Elect Directors | Issuer | Yes | For | For |
Northern Lights Fund Trust (MutualHedge Frontier Legends Fund-I) | MHFIX | 66537X-555 | 09/10/13 | Other Matters | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2013 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/02/13 | Other Matters | Issuer | Yes | For | For |
Aberdeen Asia-Pacific Income Fund-Com | FAX | 003009-107 | 03/27/14 | Elect Directors | Issuer | Yes | For | For |
Aberdeen Asia-Pacific Income Fund-Com | FAX | 003009-107 | 03/27/14 | Other Matters | Issuer | Yes | For | For |
RS Investment Trust (RS Global Natural Resources Fund) | RSNRX | 74972H-705 | 05/23/14 | Elect Directors | Issuer | Yes | For | For |
RS Investment Trust (RS Global Natural Resources Fund) | RSNRX | 74972H-705 | 05/23/14 | Approve a sub-advisory agreement between RS Investment Management Co. LLC and SailingStone Capital Partners LLC, pursuant to which SailingStone would serve as sub-adviser to the Global Natural Resources Fund. | Issuer | Yes | For | For |
RS Investment Trust (RS Global Natural Resources Fund) | RSNRX | 74972H-705 | 05/23/14 | Other Matters | Issuer | Yes | For | For |