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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, 2014 - June 30, 2015
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 28, 2015 |
* 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: 07/01/14 - 06/30/15 |
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 |
SSGA Funds - SPDR Gold Trust | GLD | 78463V107 | 07/18/14 | Approve amendments to the Trust Indenture that change the manner in which the ordinary fees and expenses of the Trust are paid such that, in return for a payment to the Sponsor of 0.40% per year of the daily NAV of the Trust, the Sponsor will be responsible for all other ordinary fees and expenses of the Trust, as described in the consent solicitation statement. | Issuer | Yes | For | For |
SSGA Funds - SPDR Gold Trust | GLD | 78463V107 | 07/18/14 | Approve an amendment to Section 3.08 of the Trust Indenture to permit the Sponsor to compensate affiliates for providing marketing and other services to the Trust | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2014 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Other Matters | Issuer | Yes | For | For |
New Century Portfolios | ||||||||
New Century Balanced Portfolio | ||||||||
Ticker: NCIPX | ||||||||
Proxy Voting Record: 07/01/14 - 06/30/15 |
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 |
SSGA Funds - SPDR Gold Trust | GLD | 78463V107 | 07/18/14 | Approve amendments to the Trust Indenture that change the manner in which the ordinary fees and expenses of the Trust are paid such that, in return for a payment to the Sponsor of 0.40% per year of the daily NAV of the Trust, the Sponsor will be responsible for all other ordinary fees and expenses of the Trust, as described in the consent solicitation statement. | Issuer | Yes | For | For |
SSGA Funds - SPDR Gold Trust | GLD | 78463V107 | 07/18/14 | Approve an amendment to Section 3.08 of the Trust Indenture to permit the Sponsor to compensate affiliates for providing marketing and other services to the Trust | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2014 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Other Matters | Issuer | Yes | For | For |
Brown Capital Management Small Company Fund - Institutional Class | BCSSX | 115291403 | 12/11/14 | Elect Directors | Issuer | Yes | For | For |
Allianz Global Investors Convertible Fund - Institutional | ANNPX | 01900C649 | 12/18/14 | Elect Directors | Issuer | Yes | For | For |
PIMCO Income Fund | PIMIX | 72201F490 | 04/20/15 | Elect Directors | Issuer | Yes | For | For |
New Century Portfolios | ||||||||
New Century International Portfolio | ||||||||
Ticker: NCFPX | ||||||||
Proxy Voting Record: 07/01/14 - 06/30/15 |
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 | 10/01/14 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2014 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Other Matters | Issuer | Yes | For | For |
Matthews Pacific Tiger Fund | MAPTX | 577130107 | 02/24/15 | Elect Directors | Issuer | Yes | For | For |
Matthews China Dividend Fund | MCDFX | 577125305 | 02/24/15 | Elect Directors | Issuer | Yes | For | For |
Matthews Japan Fund | MIJFX | 577130792 | 02/24/15 | Elect Directors | Issuer | Yes | For | For |
Franklin Mutual European Fund (Franklin Templeton) | TEMIX | 628380834 | 04/07/15 | Elect Directors | Issuer | Yes | For | For |
Franklin Mutual European Fund (Franklin Templeton) | TEMIX | 628380834 | 04/07/15 | To Approve an Amendment to the Current Fundamental Investment Restriction Regarding Investments in Commodities. | Issuer | Yes | For | For |
Franklin Mutual European Fund (Franklin Templeton) | TEMIX | 628380834 | 04/07/15 | To approve the use of a "manager of managers" structure whereby the Fund's investment manager would be able to hire and replace subadvisers without shareholder approval | Issuer | Yes | For | For |
Franklin Mutual European Fund (Franklin Templeton) | TEMIX | 628380834 | 04/07/15 | To approve a new subadvisory agreement with Franklin Templeton Investment Management Limited. | Issuer | Yes | For | For |
DFA International Small Cap Value Portfolio (Dimensional Funds) | DISVX | 233203736 | 05/08/15 | Elect Directors | Issuer | Yes | For | For |
DFA International Small Cap Value Portfolio (Dimensional Funds) | DISVX | 233203736 | 05/08/15 | Aprove a "Manager of Managers" Structure | Issuer | Yes | For | For |
DFA International Small Cap Value Portfolio (Dimensional Funds) | DISVX | 233203736 | 05/08/15 | Approve an updated Investment Management Agreement with Dimensional Fund Advisors LP. | Issuer | Yes | For | For |
DFA International Small Cap Value Portfolio (Dimensional Funds) | DISVX | 233203736 | 05/08/15 | Approve an amendment to the fundamental investment limitation regarding investment in commodities. | Issuer | Yes | For | For |
New Century Portfolios | |||||||
New Century Alternative Strategies Portfolio | |||||||
Ticker: NCHPX | |||||||
Proxy Voting Record: 07/01/14 - 06/30/15 |
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 |
SSGA Funds - SPDR Gold Trust | GLD | 78463V-107 | 07/18/14 | Approve amendments to the Trust Indenture that change the manner in which the ordinary fees and expenses of the Trust are paid such that, in return for a payment to the Sponsor of 0.40% per year of the daily NAV of the Trust, the Sponsor will be responsible for all other ordinary fees and expenses of the Trust, as described in the consent solicitation statement. | Issuer | Yes | For | For |
SSGA Funds - SPDR Gold Trust | GLD | 78463V-107 | 07/18/14 | Approve an amendment to Section 3.08 of the Trust Indenture to permit the Sponsor to compensate affiliates for providing marketing and other services to the Trust | Issuer | Yes | For | For |
Blackrock Enhanced Equity Dividend Trust (Blackrock Funds) | BDJ | 09251A104 | 07/30/14 | Elect Directors | Issuer | Yes | For | For |
Blackrock Credit Allocation Income Trust (Blackrock Funds) | BTZ | 092508100 | 07/30/14 | Elect Directors | Issuer | Yes | For | For |
361 Managed Futures Strategy Fund Class I | AMFZX | 461418337 | 09/17/14 | Appoint Federated Investment Management Company as Sub-Advisor | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2014 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/01/14 | Other Matters | Issuer | Yes | For | For |
CBRE Clarion Global Real Estate Income Fund | IGR | 12504G100 | 11/10/14 | Elect Directors | Issuer | Yes | For | For |
PIMCO Dynamic Income Fund | PDI | 72201Y101 | 12/18/14 | Elect Directors | Issuer | Yes | For | For |
Templeton Global Income Fund | GIM | 881098106 | 03/02/15 | Elect Directors | Issuer | No | N/A | N/A |
Templeton Global Income Fund | GIM | 881098106 | 03/02/15 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending August 31, 2014 | Issuer | No | N/A | N/A |
Aberdeen Asia Pacific Income Fund | FAX | 003009107 | 03/26/15 | Elect Directors (Common Share and Preferred Share Directors) | Issuer | Yes | For | For |
Franklin Mutual Global Discovery Fund Class Z | MDISX | 628380404 | 04/07/15 | Elect Directors | Issuer | Yes | For | For |
Franklin Mutual Global Discovery Fund Class Z | MDISX | 628380404 | 04/07/15 | To Approve an Amendment to the Current Fundamental Investment Restriction Regarding Investments in Commodities. | Issuer | Yes | For | For |
Franklin Mutual Global Discovery Fund Class Z | MDISX | 628380404 | 04/07/15 | To approve the use of a "manager of managers" structure whereby the Fund's investment manager would be able to hire and replace subadvisers without shareholder approval. | Issuer | Yes | For | For |
Franklin Mutual Global Discovery Fund Class Z | MDISX | 628380404 | 04/07/15 | If properly presented, a shareholder proposal submitted by Ms. Carol Haskell and Mr. Jonathan Seidel requesting that the FMSF Board institute procedures to prevent holding investments in companies that, in the judgment of the FMSF Board, substantially contribute to genocide or crimes against humanity, the most egregious violations of human rights. | Issuer | Yes | Against | For |
PIMCO Income Fund | PIMIX | 72201F490 | 04/20/15 | Election of Trustees | Issuer | Yes | For | For |
PIMCO CommoditiesPLUS Strategy Fund | PCLIX | 72201P175 | 04/20/15 | Election of Trustees | Issuer | Yes | For | For |
Tortoise Energy Infrastructure Corporation | TYG | 89147L100 | 05/18/15 | Elect Director | Issuer | Yes | For | For |
Tortoise Energy Infrastructure Corporation | TYG | 89147L100 | 05/18/15 | To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending November 30, 2015. | Issuer | Yes | For | For |
PIMCO Dynamic Income Fund | PDI | 72201Y01 | 06/30/15 | Elect Directors | Issuer | Yes | For | For |