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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, 2016 - June 30, 2017
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 5, 2017 |
* 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: 07/01/16 - 06/30/17 |
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 | 10/05/16 | Elect Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2016 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Other Matters | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 12/09/16 | Amendment of the Institute's Certificate of Incorporaiton and By-Laws to add a new global devision. | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | Election of Trustees | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approv an amendment to the Trust's Agreement and Declaration | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve changing the Fundamental Investment Restriction regarding the purchase and sale of physical commondities. | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Powershares Capital Management LLC | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Asset Management (India) Private Limited | Issuer | Yes | For | For |
MFS Growth Fund - Class I | MFEIX | 552985863 | 03/23/17 | Elect Directors | Issuer | Yes | For | For |
MFS International Value Fund - Class I | MINIX | 55273E822 | 03/23/17 | Elect Directors | Issuer | Yes | For | For |
iShares Funds S&P 500 Growth ETF | IVW | 464287309 | 06/19/17 | Elect Directors | Issuer | Yes | For | For |
iShares Funds S&P Mid-Cap 400 Growth ETF | IJK | 464287606 | 06/19/17 | Elect Directors | Issuer | Yes | For | For |
iShares Funds Nasdaq Biotech ETF | IBB | 464287556 | 06/19/17 | Elect Directors | Issuer | Yes | For | For |
iShares Funds S&P 500 Value ETF | IVE | 464287408 | 06/19/17 | Elect Directors | Issuer | Yes | For | For |
New Century Portfolios | ||||||||
New Century Balanced Portfolio | ||||||||
Ticker: NCIPX | ||||||||
Proxy Voting Record: 07/01/16 - 06/30/17 |
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 Capital Management Small Company Fund - Institutional Shares | BCSSX | 115291403 | 07/15/16 | To approve a new investment advisory agreement between the Trust and Brown Capital Management, LLC with regard to each of the Funds. | Issuer | Yes | For | For |
Brown Capital Management Small Company Fund - Institutional Shares | BCSSX | 115291403 | 07/15/16 | To make revisions to the Funds' fundamental investment restrictions. | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Elect Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2016 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Other Matters | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 12/09/16 | Amendment of the Institute's Certificate of Incorporaiton and By-Laws to add a new global devision. | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | Election of Trustees | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approv an amendment to the Trust's Agreement and Declaration | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve changing the Fundamental Investment Restriction regarding the purchase and sale of physical commondities. | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Powershares Capital Management LLC | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Asset Management (India) Private Limited | Issuer | Yes | For | For |
MFS Value Fund - Class I | MEIIX | 552983694 | 03/23/17 | Elect Directors | Issuer | Yes | For | For |
iShares Funds Core S&P 500 ETF | IVV | 464287200 | 06/19/17 | Elect Directors | Issuer | Yes | For | For |
Allianz GI Convertible & Inc. II Common | NCZ | 018825109 | 07/13/17 | Elect Directors | Issuer | Yes | For | For |
New Century Portfolios | ||||||||
New Century International Portfolio | ||||||||
Ticker: NCFPX | ||||||||
Proxy Voting Record: 07/01/16 - 06/30/17 |
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 | 10/05/16 | Elect Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2016 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Other Matters | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 12/09/16 | Amendment of the Institute's Certificate of Incorporaiton and By-Laws to add a new global devision. | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | Election of Trustees | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approv an amendment to the Trust's Agreement and Declaration | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve changing the Fundamental Investment Restriction regarding the purchase and sale of physical commondities. | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Powershares Capital Management LLC | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Asset Management (India) Private Limited | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | Election of Trustees | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approv an amendment to the Trust's Agreement and Declaration | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve changing the Fundamental Investment Restriction regarding the purchase and sale of physical commondities. | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Powershares Capital Management LLC | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Asset Management (India) Private Limited | Issuer | Yes | For | For |
MFS International Value Fund - Class I | MINIX | 55273E822 | 03/23/17 | Elect Directors | Issuer | Yes | For | For |
iShares Funds MSCI Japan ETF | EWJ | 46434G822 | 06/19/17 | Elect Directors | Issuer | Yes | For | For |
iShares Funds MSCI Europe ETF | IEUR | 46434V738 | 06/19/17 | Elect Directors | Issure | Yes | For | For |
iShares Funds MSCI UK ETF | EWU | 46435G334 | 06/19/17 | Elect Directors | Issure | Yes | For | For |
iShares Funds MSCI Sweden Capped ETF | EWD | 464286756 | 06/19/17 | Elect Directors | Issure | Yes | For | For |
iShares Funds MSCI Australia ETF | EWA | 464286103 | 06/19/17 | Elect Directors | Issure | Yes | For | For |
iShares Funds MSCI Switzerland Capped ETF | EWL | 464286749 | 06/19/17 | Elect Directors | Issure | Yes | For | For |
iShares Funds MSCI Germany ETF | EWG | 464286806 | 06/19/17 | Elect Directors | Issure | Yes | For | For |
New Century Portfolios | |||||||
New Century Alternative Strategies Portfolio | |||||||
Ticker: NCHPX | |||||||
Proxy Voting Record: 07/01/16 - 06/30/17 |
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 |
Blackrock Enhanced Equity Dividend Trust | BDJ | 09251A104 | 07/26/16 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Elect Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2016 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/05/16 | Other Matters | Issuer | Yes | For | For |
Versus Multi-Manager Real Estate Inc. FD CL | VCMIX | 92532P207 | 10/04/16 | A new investment sub-advisory agreement by and amond the Fund, Versus Capital Advisors LLC (the "Adviser") and Principal Real Estate Investors LLC | Issuer | Yes | For | For |
Versus Multi-Manager Real Estate Inc. FD CL | VCMIX | 92532P207 | 10/04/16 | A new investment sub-advisory agreement by and amond the Fund, the Adviser and Heitman Real Estate Securities, LLC | Issuer | Yes | For | For |
Versus Multi-Manager Real Estate Inc. FD CL | VCMIX | 92532P207 | 10/04/16 | A new investment sub-advisory agreement by and amond the Fund, the Adviser and Heitman Real Estate Securities GMBH | Issuer | Yes | For | For |
Versus Multi-Manager Real Estate Inc. FD CL | VCMIX | 92532P207 | 10/04/16 | A new investment sub-advisory agreement by and amond the Fund, the Adviser and Heitman International Real Estate Securities HK Limited | Issuer | Yes | For | For |
CBRE Clarion Global Real Estate Inc. FD | IGR | 12504G100 | 10/12/16 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 12/09/16 | Amendment of the Institute's Certificate of Incorporaiton and By-Laws to add a new global devision. | Issuer | Yes | For | For |
Templeton Global Income Fund | GIM | 880198106 | 03/01/17 | Election of Trustees | Issuer | Yes | For | For |
Templeton Global Income Fund | GIM | 880198106 | 03/01/17 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending December 31, 2017 | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | Election of Trustees | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approv an amendment to the Trust's Agreement and Declaration | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve changing the Fundamental Investment Restriction regarding the purchase and sale of physical commondities. | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Powershares Capital Management LLC | Issuer | Yes | For | For |
STIT Treasury Portfolio Institutional | SRIXX | 825252406 | 03/09/17 | To approve an amendment to the current Master Intergroup Sub-Advisory Contract to add Invesco Asset Management (India) Private Limited | Issuer | Yes | For | For |
Kellner Merger Fund Institutional Class | GAKIX | 00768D335 | 03/03/17 | Election of Trustees | Issuer | Yes | For | For |
Berwyn Income Fund | BERIX | 46141Q493 | 06/16/17 | To approve an Agreement and Plan of Reorganization | Issuer | Yes | For | For |