--------------------------
OMB APPROVAL
--------------------------
OMB Number: 3235-0582
Expires: April 30, 2009
Estimated average burden
hours per response 14.4
--------------------------
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)
40 William Street, Suite 100 Wellesley, Massachusetts 02481
- --------------------------------------------------------------------------------
(Address of principal executive offices) (Zip code)
Nicole M. Tremblay, Esq.
Weston Financial Group, Inc. 40 William Street, Suite 100 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, 2007
---------------------------------------------
Date of reporting period: July 1, 2006 - June 30, 2007
------------------------------------
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/ Wayne M. Grzecki
____________________________________________________
Wayne M. Grzecki, President
Date August 13, 2007
________________________________________________________________________
* Print the name and title of each signing officer under his or her signature.
- -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios' Form N-PX (Annual Proxy Voting record) (07/01/06 - 06/30/07)
- -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios
New Century Capital Portfolio
Ticker: NCCPX
Proxy Voting Record: 7/1/06-6/30/07
- -----------------------------------------------------------------------------------------------------------------------------------
Whether
Matter Did Registrant
Proposed by Registrant Cast its
Issuer or Cast its How Vote For
SH Meeting Actions Security Vote on the Registrant or Against
Issuer Ticker Cusip Number Date Voted on Holder Matter Cast Vote Management
- -----------------------------------------------------------------------------------------------------------------------------------
Fidelity Capital FDCAX 316066109 09/20/06 Elect Issuer Yes For For
Appreciation A Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Fidelity Select FSUTX 316390509 09/20/06 Elect Issuer Yes - For For
Utilities Growth A Directors confirmed by
proxy
administrator.
- -----------------------------------------------------------------------------------------------------------------------------------
Investment N/A N/A 10/7/2006 Elect Issuer Yes For For
Company Institute Board of
Governors
- -----------------------------------------------------------------------------------------------------------------------------------
Investment N/A N/A 10/7/2006 Ratification Issuer Yes For For
Company Institute of
Deloitte &
Touche LLP
as
independent
auditors
for fiscal
year
ending
September
30, 2006.
- -----------------------------------------------------------------------------------------------------------------------------------
Investment N/A N/A 10/7/2006 Other Issuer Yes For For
Company Institute Matters:
grant
authority
to vote
upon such
other
matters as
may com
before the
Meeting,
and any
adjournments
thereof,
as they
determine
to be in
the best
interest
of the
Institute.
- -----------------------------------------------------------------------------------------------------------------------------------
William Blair WBSIX 093001485 11/30/06 Elect Issuer Yes For For
Small Cap Growth Directors
Fund - Class I
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206103 04/17/07 Amend the Issuer Yes For For
International fund's
Stock Fund fundamental
investment
restriction
with
respect to
the
percentage
of the
funds'
assets
that are
subject to
diversification
requirements.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206104 04/18/07 Amend the Issuer Yes For For
International fund's
Stock Fund fundamental
investment
restrictions
with
respect to
investments
in real
estate.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206105 04/19/07 Amend the Issuer Yes For For
International fund's
Stock Fund fundamental
investment
restrictions
with
respect to
investments
in
commodities
and
commodity
contracts
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206106 04/20/07 Amend the Issuer Yes For For
International fund's
Stock Fund fundamental
investment
restriction
with
respect to
making
loans.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206107 04/21/07 To Issuer Yes For For
International eliminate
Stock Fund the fund's
fundamental
investment
restrictions
with
respect to
investments
in oil,
gas and
mineral
leases or
other
mineral
exploration
or
development
programs.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206108 04/22/07 To amend Issuer Yes For For
International the fund's
Stock Fund fundamental
investment
restriction
with
respect to
borrowing
and
issuing
senior
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
Lazard LZISX 52106N807 04/26/07 Elect Issuer Yes For For
International Directors
Small Cap
Portfolio -
Institutional
Class
- -----------------------------------------------------------------------------------------------------------------------------------
Hotchkis & Wiley HWLAX 44134R107 05/18/07 Approve an Issuer Yes For For
Large Cap Value A amendment
to the
fund's
fundamental
investment
restriction
to allow
securities
lending.
- -----------------------------------------------------------------------------------------------------------------------------------
Hotchkis & Wiley HWLAX 44134RA00 05/18/07 Elect Issuer Yes For For
Large Cap Value A Directors
- -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios
New Century Balanced Portfolio
Ticker: NCIPX
Proxy Voting Record: 7/1/06-6/30/07
- -----------------------------------------------------------------------------------------------------------------------------------
Matter
Proposed Whether
by Did Registrant
Issuer Registrant How Cast its Vote
or Cast its Registrant For or
SH Meeting Actions Security Vote on Cast Against
Issuer Ticker Cusip Number Date Voted on Holder the Matter Vote Management
- -----------------------------------------------------------------------------------------------------------------------------------
Fidelity Capital FDCAX 316066109 09/20/06 Elect Issuer Yes For For
Appreciation Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Fidelity Utilities Growth FSUTX 316390509 09/20/06 Elect Issuer Yes For For
Portfolio Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Elect Issuer Yes For For
Institute Board of
Governors
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Ratification Issuer Yes For For
Institute of
Deloitte &
Touche LLP
as
independent
auditors
for fiscal
year
ending
September
30, 2006.
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Other Issuer Yes For For
Institute Matters:
grant
authority
to vote
upon such
other
matters as
may com
before the
Meeting,
and any
adjournments
thereof,
as they
determine
to be in
the best
interest
of the
Institute.
- -----------------------------------------------------------------------------------------------------------------------------------
William Blair Small Cap WBSIX 093001485 11/30/06 Elect Issuer Yes For For
Growth Fund - Class I Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Alliance World Dollar AWF 01879R106 12/12/06 To approve Issuer Yes For For
Government Fund II the
elimination
of the
fundamental
investment
policy
regarding
65%
investment
limitation.
- -----------------------------------------------------------------------------------------------------------------------------------
Franklin Convertible FISCX 353612104 03/21/07 Elect Issuer Yes For For
Securities Fund Class A Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For
Securities Fund Class A an
agreement
and plan
of
reorganization
that
provides
for the
reorganization
of the
fund into
a Delaware
statutory
trust.
- -----------------------------------------------------------------------------------------------------------------------------------
Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For
Securities Fund Class A amendments
to certain
of the
fund's
fundamental
investment
restrictions
regarding:
Lending
- -----------------------------------------------------------------------------------------------------------------------------------
Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For
Securities Fund Class A amendments
to certain
of the
fund's
fundamental
investment
restrictions
regarding:
Investments
in Real
Estate
- -----------------------------------------------------------------------------------------------------------------------------------
Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For
Securities Fund Class A amendments
to certain
of the
fund's
fundamental
investment
restrictions
regarding:
Investments
in
commodities
- -----------------------------------------------------------------------------------------------------------------------------------
Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For
Securities Fund Class A amendments
to certain
of the
fund's
fundamental
investment
restrictions
regarding:
Industry
concentration.
- -----------------------------------------------------------------------------------------------------------------------------------
Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For
Securities Fund Class A amendments
to certain
of the
fund's
fundamental
investment
restrictions
regarding:
Diversification
of
investments.
- -----------------------------------------------------------------------------------------------------------------------------------
Templeton Global Bond Fund TPINX 880208103 03/21/07 Elect Issuer Yes For For
Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Templeton Global Bond Fund TPINX 880208103 03/21/07 To approve Issuer Yes For For
an
agreement
and plan
of
reorganization
that
provides
for the
reorganization
of the
fund into
a Delaware
statutory
trust.
- -----------------------------------------------------------------------------------------------------------------------------------
Templeton Global Bond Fund TPINX 880208103 03/21/07 To approve Issuer Yes For For
amendments
to certain
of the
fund's
fundamental
investment
restrictions
regarding:
Lending
- -----------------------------------------------------------------------------------------------------------------------------------
Templeton Global Bond Fund TPINX 880208103 03/21/07 To approve Issuer Yes For For
amendments
to certain
of the
fund's
fundamental
investment
restrictions
regarding:
Investments
in Real
Estate
- -----------------------------------------------------------------------------------------------------------------------------------
Alliance Bernstein Global AWF 01879R106 03/28/07 Elect Issuer Yes For For
High Income Fund Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Income Fund DODIX 256210105 04/17/07 Amend the Issuer Yes For For
fund's
fundamental
investment
restriction
with
respect to
the
percentage
of the
funds'
assets
that are
subject to
diversification
requirements.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Income Fund DODIX 256210105 04/17/07 Amend the Issuer Yes For For
fund's
fundamental
investment
restrictions
with
respect to
investments
in real
estate.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Income Fund DODIX 256210105 04/17/07 Amend the Issuer Yes For For
fund's
fundamental
investment
restrictions
with
respect to
investments
in
commodities
and
commodity
contracts
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Income Fund DODIX 256210105 04/17/07 Amend the Issuer Yes For For
fund's
fundamental
investment
restriction
with
respect to
making
loans.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Income Fund DODIX 256210105 04/17/07 To Issuer Yes For For
eliminate
the fund's
fundamental
investment
restrictions
with
respect to
investments
in oil,
gas and
mineral
leases or
other
mineral
exploration
or
development
programs.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Income Fund DODIX 256210105 04/17/07 To amend Issuer Yes For For
the fund's
fundamental
investment
restriction
with
respect to
borrowing
and
issuing
senior
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox International DODFX 256206103 04/17/07 Amend the Issuer Yes For For
Stock Fund fund's
fundamental
investment
restriction
with
respect to
the
percentage
of the
funds'
assets
that are
subject to
diversification
requirements.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox International DODFX 256206104 04/17/07 Amend the Issuer Yes For For
Stock Fund fund's
fundamental
investment
restrictions
with
respect to
investments
in real
estate.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox International DODFX 256206105 04/17/07 Amend the Issuer Yes For For
Stock Fund fund's
fundamental
investment
restrictions
with
respect to
investments
in
commodities
and
commodity
contracts
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox International DODFX 256206106 04/17/07 Amend the Issuer Yes For For
Stock Fund fund's
fundamental
investment
restriction
with
respect to
making
loans.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox International DODFX 256206107 04/17/07 To Issuer Yes For For
Stock Fund eliminate
the fund's
fundamental
investment
restrictions
with
respect to
investments
in oil,
gas and
mineral
leases or
other
mineral
exploration
or
development
programs.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox International DODFX 256206108 04/17/07 To amend Issuer Yes For For
Stock Fund the fund's
fundamental
investment
restriction
with
respect to
borrowing
and
issuing
senior
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Stock Fund DODGE 256219106 04/17/07 Amend the Issuer Yes For For
fund's
fundamental
investment
restriction
with
respect to
the
percentage
of the
funds'
assets
that are
subject to
diversification
requirements.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Stock Fund DODGX 256219106 04/17/07 Amend the Issuer Yes For For
fund's
fundamental
investment
restrictions
with
respect to
investments
in real
estate.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Stock Fund DODGX 256219106 04/17/07 Amend the Issuer Yes For For
fund's
fundamental
investment
restrictions
with
respect to
investments
in
commodities
and
commodity
contracts
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Stock Fund DODGX 256219106 04/17/07 Amend the Issuer Yes For For
fund's
fundamental
investment
restriction
with
respect to
making
loans.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Stock Fund DODGX 256219106 04/17/07 To Issuer Yes For For
eliminate
the fund's
fundamental
investment
restrictions
with
respect to
investments
in oil,
gas and
mineral
leases or
other
mineral
exploration
or
development
programs.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox Stock Fund DODGX 256219106 04/17/07 To amend Issuer Yes For For
the fund's
fundamental
investment
restriction
with
respect to
borrowing
and
issuing
senior
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
Alliance Bernstein Global AWF 01879R106 05/04/07 Elect Issuer Yes For For
High Income Fund Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Mainstay High Yield MHCAX 56062F772 05/04/07 Elect Issuer Yes For For
Corporate Bond Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Hotchkis & Wiley Large Cap HWLAX 44134RA00 05/18/07 Elect Issuer Yes For For
Value A Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Hotchkis & Wiley Large Cap HWLAX 44134R107 05/18/07 Approve an Issuer Yes For For
Value A amendment
to the
fund's
fundamental
investment
restriction
to allow
securities
lending.
- -----------------------------------------------------------------------------------------------------------------------------------
American Century Target BTFTX 024935405 06/27/07 Elect Issuer Yes For For
Maturities 2015 - Investor Directors
Class
- -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios
New Century Opportunistic Portfolio
Ticker: NCAPX
Proxy Voting Record: 7/1/06-6/30/07
- -----------------------------------------------------------------------------------------------------------------------------------
Matter
Proposed Whether
by Did Registrant
Issuer Registrant How Cast its Vote
or Cast its Registrant For or
SH Meeting Actions Security Vote on Cast Against
Issuer Ticker Cusip Number Date Voted on Holder the Matter Vote Management
- -----------------------------------------------------------------------------------------------------------------------------------
Fidelity Select Medical FSHCX 316390665 09/20/06 Elect Issuer Yes For For
Delivery Portfolio Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Fidelity Utilities FSUTX 316390509 09/20/06 Elect Issuer Yes For For
Growth Portfolio Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Fidelity Wireless FWRLX 316390459 09/20/06 Elect Issuer Yes For For
Portfolio Directors
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Elect Board Issuer Yes For For
Institute of Governors
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Ratification Issuer Yes For For
Institute of Deloitte
& Touche LLP
as
independent
auditors for
fiscal year
ending
September
30, 2006.
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Other Issuer Yes For For
Institute Matters:
grant
authority to
vote upon
such other
matters as
may com
before the
Meeting, and
any
adjournments
thereof, as
they
determine to
be in the
best
interest of
the
Institute.
- -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios
New Century International Portfolio
Ticker: NCFPX
Proxy Voting Record: 7/1/06-6/30/07
- -----------------------------------------------------------------------------------------------------------------------------------
Matter Did Whether
Proposed Registrant Registrant
by Issuer Cast its How Cast its
or Vote on Registrant Vote For
SH Meeting Actions Voted Security the Cast or Against
Issuer Ticker Cusip Number Date on Holder Matter Vote Management
- -----------------------------------------------------------------------------------------------------------------------------------
Fidelity Phillips Street FDRXX 316067107 07/19/06 To elect Issuer Yes For For
Trust: Fidelity Cash Trustees
Reserves
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Elect Board of Issuer Yes For For
Institute Governors
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Ratification Issuer Yes For For
Institute of Deloitte &
Touche LLP as
independent
auditors for
fiscal year
ending
September 30,
2006.
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Other Matters: Issuer Yes For For
Institute grant
authority to
vote upon such
other matters
as may com
before the
Meeting, and
any
adjournments
thereof, as
they determine
to be in the
best interest
of the
Institute.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206103 04/17/07 Amend the Issuer Yes For For
International Stock Fund fund's
fundamental
investment
restriction
with respect
to the
percentage of
the funds'
assets that
are subject to
diversification
requirements.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206104 04/17/07 Amend the Issuer Yes For For
International Stock Fund fund's
fundamental
investment
restrictions
with respect
to investments
in real estate.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206105 04/17/07 Amend the Issuer Yes For For
International Stock Fund fund's
fundamental
investment
restrictions
with respect
to investments
in commodities
and commodity
contracts
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206106 04/17/07 Amend the Issuer Yes For For
International Stock Fund fund's
fundamental
investment
restriction
with respect
to making
loans.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206107 04/17/07 To eliminate Issuer Yes For For
International Stock Fund the fund's
fundamental
investment
restrictions
with respect
to investments
in oil, gas
and mineral
leases or
other mineral
exploration or
development
programs.
- -----------------------------------------------------------------------------------------------------------------------------------
Dodge & Cox DODFX 256206108 04/17/07 To amend the Issuer Yes For For
International Stock Fund fund's
fundamental
investment
restriction
with respect
to borrowing
and issuing
senior
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
Lazard International LZISX 52106N807 04/26/07 Elect Directors Issuer Yes For For
Small Cap Portfolio -
Institutional Class
- -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios
New Century Alternative Strategies Portfolio
Ticker: NCHPX
Proxy Voting Record: 7/1/06-6/30/07
- -----------------------------------------------------------------------------------------------------------------------------------
Matter Did Whether
Proposed Registrant Registrant
by Issuer Cast its How Cast its
or Vote on Registrant Vote For
SH Meeting Security the Cast or Against
Issuer Ticker Cusip Number Date Actions Voted on Holder Matter Vote Management
- -----------------------------------------------------------------------------------------------------------------------------------
RS Global Natural RSNRS 74972H705 08/01/06 To Approve a new Issuer Yes For For
Resources Fund investment
advisory agreement
between RS
Investment
Management Co. LLC
and each of the RS
Funds.
- -----------------------------------------------------------------------------------------------------------------------------------
RS Global Natural RSNRS 74972H706 08/02/06 Elect Directors Issuer Yes For For
Resources Fund
- -----------------------------------------------------------------------------------------------------------------------------------
Capital & Income CII 13971Y103 08/15/06 Elect Directors Issuer Yes For For
Strategies Fund-Common
- -----------------------------------------------------------------------------------------------------------------------------------
Capital & Income CII 13971Y104 08/16/06 To approve a new Issuer Yes For For
Strategies Fund-Common investment
advisory agreement
with Blackrock
Advisors, Inc.
- -----------------------------------------------------------------------------------------------------------------------------------
Capital & Income CII 13971Y105 08/17/06 To approve a Issuer Yes For For
Strategies Fund-Common contingent
subadvisor
agreement with
Blackrock
Advisors, Inc.
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Elect Board of Issuer Yes For For
Institute Governors
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Ratification of Issuer Yes For For
Institute Deloitte & Touche
LLP as independent
auditors for
fiscal year ending
September 30, 2006.
- -----------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/7/2006 Other Matters: Issuer Yes For For
Institute grant authority to
vote upon such
other matters as
may com before the
Meeting, and any
adjournments
thereof, as they
determine to be in
the best interest
of the Institute.
- -----------------------------------------------------------------------------------------------------------------------------------
DWS Global Commodities GES 23338Y100 10/31/2006 Elect Directors Issuer Yes - For For
Stock Fund confirmed
by proxy
administrator.
- -----------------------------------------------------------------------------------------------------------------------------------
Alliance World Dollar AWF 01879R106 12/12/06 To approve the Issuer Yes For For
Government Fund II elimination of the
fundamental
investment policy
regarding 65%
investment
limitation.
- -----------------------------------------------------------------------------------------------------------------------------------
WM High Yield Fund CPHYX 928965623 12/15/06 To approve the Issuer Yes For For
Class A agreement and plan
of reorganization
providing for the
combination of the
WM High Yield Fund
into the PIF High
Yield Fund II.
- -----------------------------------------------------------------------------------------------------------------------------------
WM High Yield Fund CPHYX 928965623 12/15/06 Approval of Issuer Yes For For
Class A proposed advisory
agreement with WMA.
- -----------------------------------------------------------------------------------------------------------------------------------
Cohen & Steers IRFIX 19248H401 12/18/06 To approve a new Issuer Yes For For
International Realty subadvisory
Class I agreement between
Cohen & Steers
Capital
Management, In.
and Houlihan
Rovers, S. A.
- -----------------------------------------------------------------------------------------------------------------------------------
Cohen & Steers IRFIX 19248H401 12/18/06 To approve a Issuer Yes For For
International Realty subadvisory
Class I agreement between
Cohen & Steers
Capital
Management, Inc.
and Cohen & Steers
Asia Limited.
- -----------------------------------------------------------------------------------------------------------------------------------
Cohen & Steers IRFIX 19248H401 12/18/06 To approve a Issuer Yes For For
International Realty subadvisory
Class I agreement between
Cohen & Steers
Capital
Management, Inc.
and Cohen & Steers
UK Limited.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 Elect Directors Issuer Yes For For
Class Z
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve an Issuer Yes For For
Class Z agreement and plan
of reorganization
that provides for
the reorganization
of the fund into a
Delaware statutory
trust.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding:
Borrowing
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding: Lending
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding:
Investments in
Real Estate
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding: Issuing
Senior Securities.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding:
Industry
concentration.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding:
Diversification of
investments.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve the Issuer Yes For For
Class Z elimination of
certain
fundamental
investment
restrictions.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 Elect Directors Issuer Yes For For
Class Z
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve an Issuer Yes For For
Class Z agreement and plan
of reorganization
that provides for
the reorganization
of the fund into a
Delaware statutory
trust.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding:
Borrowing
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding: Lending
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding:
Investments in
Real Estate
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding: Issuing
Senior Securities.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding:
Industry
concentration.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For
Class Z amendments to
certain of the
fund's fundamental
investment
restrictions
regarding:
Diversification of
investments.
- -----------------------------------------------------------------------------------------------------------------------------------
Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve the Issuer Yes For For
Class Z elimination of
certain
fundamental
investment
restrictions.
- -----------------------------------------------------------------------------------------------------------------------------------
Neuberger Berman NOX 64126L108 04/16/07 Elect Directors Issuer Yes For For
Income Opportunities
Fund
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 Elect Directors Issuer Yes For For
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For
fundamental
investment policy
relating to
issuing senior
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For
fundamental
investment policy
relating to
borrowing money.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For
fundamental
investment policy
relating to
concentration of
investments.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For
fundamental
investment policy
relating to
purchasing or
selling real
estate.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For
fundamental
investment policy
relating to making
loans.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to making
short sales of
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
purchasing
securities on
margin.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to call
options and put
options.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
pledging the
fund's assets.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
restricted
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
warrants.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to oil,
gas or other
mineral
exploration or
development
programs.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
investing for the
purpose of
exercising control
or management.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
purchasing
securities of any
issuer if the
fund's trustees
and officers
beneficially own
more than 5% o the
outstanding
securities of such
issuer.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
investing in
issuers which have
been in continuous
operation for less
than three years.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
participating on a
joint or a joint
and several basis
in any trading
account in
securities.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
purchasing
securities of
other investment
companies.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
investing more
than 10% of the
fund's total
assets in the
securities of any
one issuer.
- -----------------------------------------------------------------------------------------------------------------------------------
The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For
fundamental
investment policy
relating to
purchasing
securities of any
one issuer if as
result more than
10% of the voting
securities of such
issuer would be
held by the fund.
- -----------------------------------------------------------------------------------------------------------------------------------
Gartmore US Growth MLSAX 36650794 04/23/07 To approve a new Issuer Yes For For
Leaders Long-Short investment
Class A advisory agreement
between Gartmore
Mutual fund
Capital Trust and
the Trust, on
behalf of the Fund.
- -----------------------------------------------------------------------------------------------------------------------------------
Neuberger Berman R/E NRO 64190A103 05/02/07 Elect Directors Issuer No-received N/A N/A
Securities Income proxy on
5/3/07 -
1 day
after
meeting.
- -----------------------------------------------------------------------------------------------------------------------------------
Mainstay High Yield MHCAX 56062F772 05/04/07 Elect Directors Issuer Yes For For
Corporate Bond
- -----------------------------------------------------------------------------------------------------------------------------------
Neuberger Berman R/E NRO 64190A103 06/06/07 Elect Directors Issuer Yes For For
Securities Income
- -----------------------------------------------------------------------------------------------------------------------------------
DWS RREEF Real Estate SRQ 233384106 06/07/07 Elect Directors Issuer Yes For For
Fund
- -----------------------------------------------------------------------------------------------------------------------------------