OMB APPROVAL |
OMB Number: 3235-0582 |
Expires: March 31, 2018 |
Estimated average burden hours per response 7.2 |
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, MA | 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, 2015 – June 30, 2016 |
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 22, 2016 |
* 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) (07/01/15 - 06/30/16) |
New Century Portfolios
New Century Capital Portfolio
Ticker: NCCPX
Proxy Voting Record: 07/01/15 - 06/30/16
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 | 10/07/15 | Elect Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2015 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Other Matters | Issuer | Yes | For | For |
New Century Portfolios
New Century Balanced Portfolio
Ticker: NCIPX
Proxy Voting Record: 07/01/15 - 06/30/16
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 | 10/07/15 | Elect Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2015 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Other Matters | Issuer | Yes | For | For |
First Eagle Global Fund - Class A | SGENX | 32008F507 | 10/20/15 | To seek shareholder approval of “new” advisory agreements for the Funds that will continue the existing advisory arrangement with First Eagle Investment Management, LLC (“FEIM” or the “Adviser”) subsequent to the prospective change of ownership (the “Transaction”) of the parent company of FEIM, Arnhold and S. Bleichroeder Holdings, Inc. (“ASB Holdings”). | Issuer | Yes | For | For |
First Eagle Global Fund - Class A | SGENX | 32008F507 | 10/20/15 | Elect Director | Issuer | Yes | For | For |
Western Asset High Income Opportunity Fund Inc | HIO | 95766K109 | 01/29/16 | Elect Director | Issuer | Yes | For | For |
Allianz GI Convertible & Inc. II Common | NCZ | 018825109 | 06/30/16 | Elect Directors | Issuer | Yes | For | For |
Legg Mason - Western Asset High Income Opportunity Fund Inc | HIO | 95766K109 | 06/30/16 | The Stockholders of the Fund are being asked to approve the merger of Western Asset Managed High Income Fund Inc. with and into the Fund in accordance with the MD General Corporation Law. | Issuer | Yes | For | For |
Legg Mason - Western Asset High Income Opportunity Fund Inc | HIO | 95766K109 | 06/30/16 | The Stockholders of the Fund are being asked to approve a Fundamental Investment Policy regarding Senior Securities. | Issuer | Yes | For | For |
New Century Portfolios
New Century International Portfolio
Ticker: NCFPX
Proxy Voting Record: 07/01/15 - 06/30/16
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 | 10/07/15 | Elect Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2015 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Other Matters | Issuer | Yes | For | For |
Matthews India Fund - Investor Class | MINDX | 577130859 | 12/04/15 | To Approve New Investment Advisory Agreement Between the Trust and Matthews, the Funds' current Investment Adviser | Issuer | Yes | For | For |
Matthews Pacific Tiger Fund - Investor Class | MAPTX | 577130107 | 12/04/15 | To Approve New Investment Advisory Agreement Between the Trust and Matthews, the Funds' current Investment Adviser | Issuer | Yes | For | For |
Matthews Japan Fund - Institutional Class | MIJFX | 577130792 | 12/04/15 | To Approve New Investment Advisory Agreement Between the Trust and Matthews, the Funds' current Investment Adviser | Issuer | Yes | For | For |
Matthews China Dividend Fund - Investor Class | MCDFX | 577125305 | 12/04/15 | To Approve New Investment Advisory Agreement Between the Trust and Matthews, the Funds' current Investment Adviser | Issuer | Yes | For | For |
Oakmark International Fund | OAKIX | 413838202 | 05/20/16 | Elect Board of Trustees | Issuer | Yes | For | For |
Oakmark International Fund | OAKIX | 413838202 | 05/20/16 | Amend certain fundamental investment restrictions (borrowing money and issuing senior securities; making loans; and investing in commodities and commodity contracts) | Issuer | Yes | For | For |
Oakmark International Fund | OAKIX | 413838202 | 05/20/16 | Adopt an Amended and Restated Declaration of Trust (future amendments; treatment of shareholder and Trust claims; liability of Trustees and Officers; thidrd party beneficiciary claims; and tustee powers.) | Issuer | Yes | For | For |
New Century Portfolios
New Century Alternative Strategies Portfolio
Ticker: NCHPX
Proxy Voting Record: 07/01/15 - 06/30/16
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 |
Calamos Market Neutral Income Fund-CL A | CVSIX | 128119203 | 07/16/15 | Elect Directors | Issuer | Yes | For | For |
Blackrock Enhanced Equity Dividend TR | BDJ | 09251A104 | 07/29/15 | Elect Directors | Issuer | Yes | For | For |
Blackrock Credit Allocation Income TR | BTZ | 092508100 | 07/29/15 | Elect Directors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Elect Governors | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2015 | Issuer | Yes | For | For |
Investment Company Institute | N/A | N/A | 10/07/15 | Other Matters | Issuer | Yes | For | For |
CBRE Clarion Global Real Estate Income Fund | IGR | 12504G100 | 10/07/15 | Elect Trustee | Issuer | Yes | For | For |
First Eagle Global Fund - Class A | SGENX | 32008F507 | 10/20/15 | To seek Shareholder Approval of the "New" Advisory Agreement for the Fund that will continue the existing Advisory arrangement with First Eagle Investment Management, LLC ("FEIM") subsequent to the prospective change of ownership of the parent company of FEIM, Arnhold and S. Bleichroeder Holdings Inc. | Issuer | Yes | For | For |
First Eagle Global Fund - Class A | SGENX | 32008F507 | 10/20/15 | Elect Director | Issuer | Yes | For | For |
First Eagle Gold Fund - Class I | FEGIX | 32008F770 | 10/20/15 | To seek shareholder approval of “new” advisory agreements for the Funds that will continue the existing advisory arrangement with First Eagle Investment Management, LLC (“FEIM” or the “Adviser”) subsequent to the prospective change of ownership (the “Transaction”) of the parent company of FEIM, Arnhold and S. Bleichroeder Holdings, Inc. (“ASB Holdings”). | Issuer | Yes | For | For |
First Eagle Gold Fund - Class I | FEGIX | 32008F770 | 10/20/15 | Elect Director | Issuer | Yes | For | For |
Templeton Global Income Fund | GIM | 880198106 | 03/01/16 | Elect Director | Issuer | Yes | For | For |
Templeton Global Income Fund | GIM | 880198106 | 03/01/16 | Ratification of PricewaterhouseCoopers LLP as independent registered public accounting firm for the fiscal year ending August 31, 2016 | Issuer | Yes | For | For |
Berwyn Income Fund | BERIX | 086233202 | 03/31/16 | Approve proposed Agreement and Plans of Reorganization (which provides for the transfer of all of the assets of each Acquired Fund to a newly-created corresponding series of the Investment Management Series Trust in exchange for shares of that Acquiring Fund and the assumption of all of the liabilities of the Acquired Fund by the corresponding Acquiring Fund. | Issuer | Yes | For | For |
PIMCO Dynamic Credit Income Fund | PCI | 72202D106 | 04/29/16 | Elect Director | Issuer | Yes | For | For |
FPA Crescent Fund | FPACX | 30254T759 | 05/09/16 | Elect Director | Issuer | Yes | For | For |
Pimco Income Strategy Fund II | PFN | 72201J104 | 06/30/16 | Elect Director | Issuer | Yes | For | For |