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Expires: March 31, 2012
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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)
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, 2009
---------------------------------------------
Date of reporting period: July 1, 2008 - June 30, 2009
---------------------------------------------
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 26, 2009
------------------------------------------------------------------------
* Print the name and title of each signing officer under his or her signature.
- ------------------------------------------------------------------------------------------------------------------------------------
NEW CENTURY PORTFOLIOS' FORM N-PX (ANNUAL PROXY VOTING RECORD)
- ------------------------------------------------------------------------------------------------------------------------------------
NEW CENTURY PORTFOLIOS
NEW CENTURY CAPITAL PORTFOLIO
TICKER: NCCPX
PROXY VOTING RECORD: 7/1/08-6/30/09
- ------------------------------------------------------------------------------------------------------------------------------------
WHETHER
MATTER DID REGISTRANT
PROPOSED BY REGISTRANT CAST ITS
SH ISSUER OR CAST ITS HOW VOTE FOR
CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST
ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT
- ------------------------------------------------------------------------------------------------------------------------------------
Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 Reorganization of the Issuer Yes For For
Fund into a comparable
series of the Buffalo
Funds, a Delaware
statutory trust
- ------------------------------------------------------------------------------------------------------------------------------------
Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 To approve a uniform set Issuer Yes For For
of fundamental
investment restrictions.
- ------------------------------------------------------------------------------------------------------------------------------------
Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 The redesignation of Issuer Yes For For
investment objectives as
non-fundamental.
- ------------------------------------------------------------------------------------------------------------------------------------
Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 The redesignation of Issuer Yes For For
investment policies and
strategies as
non-fundamental.
- ------------------------------------------------------------------------------------------------------------------------------------
Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 To vote upon any Issuer Yes For For
business as may properly
come before the meeting
or any adjournment
thereafter.
- ------------------------------------------------------------------------------------------------------------------------------------
The Growth Fund of AGTHX 399874-106 08/07/08 Elect Directors Issuer Yes For For
America - Class A
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/2/2008 Election of Governors Issuer Yes For For
Institute
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For
Institute PricewaterhouseCoopers
LLP as independent
auditors for fiscal year
ending September 30, 2008
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For
Institute authority to vote upon
such other matters as
may come before the
Meeting, and any
adjournments thereof, as
they determine to be in
the best interest of the
Institute.
- ------------------------------------------------------------------------------------------------------------------------------------
Amana Income Fund AMANX 022865-109 12/15/08 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Elect Directors Issuer Yes For For
Corporation
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Ratification of the Issuer Yes For For
Corporation appointment of Ernst &
Young LLP as independent
auditors of the company
for fiscal year 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Amendment of the Issuer Yes For For
Corporation Invitrogen Corporation
1998 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the Life Issuer Yes For For
Corporation Technologies Corporation
1999 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the Issuer Yes For For
Corporation company's 2009 equity
incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 To approve the Issuer Yes For For
appointment of Deloitte
& Touche LLP as
independent auditors of
the corporation for the
ensuing year and to
authorize the directors
to fix the renumeration
to be paid to the
auditors
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 To approve the amended Issuer Yes For For
and restated 2000
incentive stock option
plan pursuant to the
shareholder resolution
attached to the proxy
statement as exhibit C
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 To ratify the selection Issuer Yes For For
of Ernst & Young LLP as
our independent
registered public
accountants for the year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For
2009 equity incentive
plan, which authorizes
the issuance of
100,000,000 shares
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For
amendment to our
restated certificate of
incorporation, as
amended, which reduces
the sixty-six and
two-thirds percent
(66-2/3%) voting
requirement to a simple
majority voting
requirement for approval
of certain business
combinations
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 Stockholder proposal #1 Security Yes Against For
(Amend our bylaws to Holder
permit 10 percent of our
outstanding common stock
the ability to call
special meetings)
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 Stockholder proposal #2 Security Yes Against For
(change our jurisdiction Holder
of incorporation from
Delaware to North Dakota)
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To ratify the selection Issuer Yes For For
of Ernst & Young LLP by
the audit committee of
the Board of Directors
as the independent
registered public
accounting firm of
Gilead for the fiscal
year ending December 31,
2009
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To approve an amendment Issuer Yes For For
to Gilead's 2004 equity
incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 Elect Directors Issuer Yes For For
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve the company's Issuer Yes For For
Inc. amended and restated
stock incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve an amendment Issuer Yes For For
Inc. and restatement of the
company's employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To ratify the Issuer Yes For For
Inc. appointment of Ernst &
Young LLP as the
company's independent
registered public
accounting firm for
fiscal year ending
December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve the adoption Issuer Yes For For
of Sepracor's 2009 stock
incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve an amendment Issuer Yes For For
to Sepracor's 1998
employee stock puchase
plan, or 1998 ESPP,
increasing from
1,900,000 to 2,900,000
the number of shares of
Sepracor common stock
reserved for issuance
under the 1998 ESPP
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To ratify the selection Issuer Yes For For
of
PricewaterhouseCoopers
LLP as Sepracor's
independent registered
public accounting firm
for the current fiscal
year
- ------------------------------------------------------------------------------------------------------------------------------------
Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Elect Directors Issuer Yes For For
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Ratification of the Issuer Yes For For
Inc. selection of KPMG LLP to
audit the consolidated
financial statements of
the company for the
fiscal year ending
December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation GENZ 372917-BBH 05/21/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation GENZ 372917-BBH 05/21/09 To amend the 2004 equity Issuer Yes For For
incentive plan to
increase number of
shares of common stock
available for issuance
by 2,500,000 shares
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation GENZ 372917-BBH 05/21/09 A proposal to approve Issuer Yes For For
the 2009 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation GENZ 372917-BBH 05/21/09 A proposal to ratify the Issuer Yes For For
audit committee's
selection of independent
auditors for 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For
of
PricewaterhouseCoopers
LLP as the company's
independent registered
public accounting firm
for the fiscal year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For
the company's bylaws to
change the voting
standard for the
election of directors in
uncontested elections
from a plurality
standard to a majority
standard. The Board of
Directors recommends
this vote "against"
proposals 4 and 5.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For
amend the company's Holder
bylaws to fix the size
of the board at 13
members and remove the
board's ability to
change the size of the
board
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal Security Yes Against For
that the company Holder
reincorporate from
Delaware to North Dakota
and elect to be subject
to the North Dakota
publicly traded
corporations act.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Security Yes Abstain For*
Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the icahn Security Yes Abstain For*
bylaws amendments. Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the North Security Yes Abstain For*
Dakota reincorporation Holder
resolution.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Ratification of Security Yes Abstain For*
independent registered Holder
public accounting firm
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the Biogen Security Yes Abstain For*
bylaw amendment Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For
of
PricewaterhouseCoopers
LLP as the company's
independent registered
public accounting firm
for the fiscal year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For
the company's bylaws to
change the voting
standard for the
election of directors in
uncontested elections
from a plurality
standard to a majority
standard. The Board of
Directors recommends
this vote "against"
proposals 4 and 5.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For
amend the company's Holder
bylaws to fix the size
of the board at 13
members and remove the
board's ability to
change the size of the
board
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal Security Yes Against For
that the company Holder
reincorporate from
Delaware to North Dakota
and elect to be subject
to the North Dakota
publicly traded
corporations act.
- ------------------------------------------------------------------------------------------------------------------------------------
Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 To ratify the Issuer Yes For For
appointment of Ernst &
Young LLP as our
independent registered
public accounting firm
for the fiscal year
ending December 31, 2009.
- ------------------------------------------------------------------------------------------------------------------------------------
* Recommendations of Opposition were "for". Voted for recommendations for
Management by voting against recommendations of Opposition.
- ------------------------------------------------------------------------------------------------------------------------------------
NEW CENTURY PORTFOLIOS
NEW CENTURY BALANCED PORTFOLIO
TICKER: NCIPX
PROXY VOTING RECORD: 7/1/08-6/30/09
- ------------------------------------------------------------------------------------------------------------------------------------
WHETHER
MATTER DID REGISTRANT
PROPOSED BY REGISTRANT CAST ITS
SH ISSUER OR CAST ITS HOW VOTE FOR
CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST
ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Election of Governors Issuer Yes For For
Institute
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For
Institute PricewaterhouseCoopers
LLP as independent
auditors for fiscal year
ending September 30, 2008
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For
Institute authority to vote upon
such other matters as may
come before the Meeting,
and any adjournments
thereof, as they
determine to be in the
best interest of the
Institute.
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Elect Directors Issuer Yes For For
Corporation
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Ratification of the Issuer Yes For For
Corporation appointment of Ernst &
Young LLP as independent
auditors of the company
for fiscal year 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Amendment of the Issuer Yes For For
Corporation Invitrogen Corporation
1998 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the Life Issuer Yes For For
Corporation Technologies Corporation
1999 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the company's Issuer Yes For For
Corporation 2009 equity incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 To approve the Issuer Yes For For
appointment of Deloitte &
Touche LLP as independent
auditors of the
corporation for the
ensuing year and to
authorize the directors
to fix the renumeration
to be paid to the auditors
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 To approve the amended Issuer Yes For For
and restated 2000
incentive stock option
plan pursuant to the
shareholder resolution
attached to the proxy
statement as exhibit C
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 To ratify the selection Issuer Yes For For
of Ernst & Young LLP as
our independent
registered public
accountants for the year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For
2009 equity incentive
plan, which authorizes
the issuance of
100,000,000 shares
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For
amendement to our
restated certificate of
incorporation, as
amended, which reduces
the sixty-six and
two-thirds percent
(66-2/3%) voting
requirement to a simple
majority voting
requirement for approval
of certain business
combinations
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 Stockholder proposal #1 Security Yes Against For
(Amend our bylaws to Holder
permit 10 percent of our
outstanding common stock
the ability to call
special meetings)
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc. AMGN 031162-BBH 05/06/09 Stockholder proposal #2 Security Yes Against For
(change our jurisdiction Holder
of incorporation from
Delaware to North Dakota)
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 Election of Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To ratify the selection Issuer Yes For For
of Ernst & Young LLP by
the audit committee of
the Board of Directors as
the independent
registered public
accounting firm of Gilead
for the fiscal year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To approve an amendment Issuer Yes For For
to Gilead's 2004 equity
incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 Elect Directors Issuer Yes For For
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve the company's Issuer Yes For For
Inc. amended and restated
stock incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve an amendment Issuer Yes For For
Inc. and restatement of the
company's employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To ratify the appointment Issuer Yes For For
Inc. of Ernst & Young LLP as
the company's independent
registered public
accounting firm for
fiscal year ending
December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve the adoption Issuer Yes For For
of Sepracor's 2009 stock
incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve an amendment Issuer Yes For For
to Sepracor's 1998
employee stock puchase
plan, or 1998 ESPP,
increasing from 1,900,000
to 2,900,000 the number
of shares of Sepracor
common stock reserved for
issuance under the 1998
ESPP
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To ratify the selection Issuer Yes For For
of PricewaterhouseCoopers
LLP as Sepracor's
independent registered
public accounting firm
for the current fiscal
year
- ------------------------------------------------------------------------------------------------------------------------------------
Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Elect Directors Issuer Yes For For
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Ratification of the Issuer Yes For For
Inc. selection of KPMG LLP to
audit the consolidated
financial statements of
the company for the
fiscal year ending
December 31, 2009.
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation ENZN 372917-BBH 05/21/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation ENZN 372917-BBH 05/21/09 To amend the 2004 equity Issuer Yes For For
incentive plan to
increase number of shares
of common stock available
for issuance by 2,500,000
shares
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation ENZN 372917-BBH 05/21/09 A proposal to approve the Issuer Yes For For
2009 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation ENZN 372917-BBH 05/21/09 A proposal to ratify the Issuer Yes For For
audit committee's
selection of independent
auditors for 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For
of PricewaterhouseCoopers
LLP as the company's
independent registered
public accounting firm
for the fiscal year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For
the company's bylaws to
change the voting
standard for the election
of directors in
uncontested elections
from a plurality standard
to a majority standard.
The Board of Directors
recommends this vote
"against" proposals 4 and
5.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For
amend the company's Holder
bylaws to fix the size of
the board at 13 members
and remove the board's
ability to change the
size of the board
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal that Security Yes Against For
the company reincorporate Holder
from Delaware to North
Dakota and elect to be
subject to the North
Dakota publicly traded
corporations act.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Security Yes Abstain For*
Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the icahn Security Yes Abstain For*
bylaws amendments Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the North Security Yes Abstain For*
Dakota reincorporation Holder
resolution.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Ratification of Security Yes Abstain For*
independent registered Holder
public accounting firm
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the Biogen Security Yes Abstain For*
bylaw amendment Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For
of PricewaterhouseCoopers
LLP as the company's
independent registered
public accounting firm
for the fiscal year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For
the company's bylaws to
change the voting
standard for the election
of directors in
uncontested elections
from a plurality standard
to a majority standard.
The Board of Directors
recommends this vote
"against" proposals 4 and
5.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For
amend the company's Holder
bylaws to fix the size of
the board at 13 members
and remove the board's
ability to change the
size of the board
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal that Security Yes Against For
the company reincorporate Holder
from Delaware to North
Dakota and elect to be
subject to the North
Dakota publicly traded
corporations act.
- ------------------------------------------------------------------------------------------------------------------------------------
Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 To ratify the appointment Issuer Yes For For
of Ernst & Young LLP as
our independent
registered public
accounting firm for the
fiscal year ending
December 31, 2009.
- ------------------------------------------------------------------------------------------------------------------------------------
* Recommendations of Opposition were "for". Voted for recommendations for
Management by voting against recommendations of Opposition.
- ------------------------------------------------------------------------------------------------------------------------------------
NEW CENTURY PORTFOLIOS
NEW CENTURY OPPORTUNISTIC PORTFOLIO
TICKER: NCAPX
PROXY VOTING RECORD: 7/1/08-6/30/09
- ------------------------------------------------------------------------------------------------------------------------------------
WHETHER
MATTER DID REGISTRANT
PROPOSED BY REGISTRANT CAST ITS
SH ISSUER OR CAST ITS HOW VOTE FOR
CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST
ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Election of Governors Issuer Yes For For
Institute
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For
Institute PricewaterhouseCoopers
LLP as independent
auditors for fiscal year
ending 9/30/08
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For
Institute authority to vote upon
such other matters as may
come before the Meeting,
and any adjournments
thereof, as they
determine to be in the
best interest of the
Institute
- ------------------------------------------------------------------------------------------------------------------------------------
Applied Biosystems, Inc ABI 038149-BBH 10/28/08 Approve and adopt the Issuer Yes For For
agreement and plan of
merger, as amended, by
and among Invitrogen
Corporation, Atom
Acquisition, LLC, and
Applied Biosystems Inc.,
as such agreement may be
amended from time to
time, and to approve the
merger of Applied
Biosystems Inc. with and
into Atom Acquisition,
LLC, all as more fully
described in the proxy
statement
- ------------------------------------------------------------------------------------------------------------------------------------
Applied Biosystems, Inc ABI 038149-BBH 10/28/08 To adjorn the applied Issuer Yes For For
Biosystems Special
Meeting of stockholders,
if necessary, to solicit
additional proxies if
there are not sufficient
votes for the foregoing
proposal
- ------------------------------------------------------------------------------------------------------------------------------------
Amana Growth Fund AMAGX 022865-208 12/15/08 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Elect Directors Issuer Yes For For
Corporation
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Ratification of the Issuer Yes For For
Corporation appointment of Ernst &
Young LLP as independent
auditors of the company
for fiscal year 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Amendment of the Issuer Yes For For
Corporation Invitrogen Corporation
1998 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the Life Issuer Yes For For
Corporation Technologies Corporation
1999 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the company's Issuer Yes For For
Corporation 2009 equity incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 To approve the Issuer Yes For For
appointment of Deloitte &
Touche LLP as independent
auditors of the
corporation for the
ensuing year and to
authorize the directors
to fix the renumeration
to be paid to the auditors
- ------------------------------------------------------------------------------------------------------------------------------------
QLT Inc. QLTI 746927-BBH 05/05/09 To approve the amended Issuer Yes For For
and restated 2000
incentive stock option
plan pursuant to the
shareholder resolution
attached to the proxy
statement as exhibit C
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc AMGN 031162-BBH 05/06/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc AMGN 031162-BBH 05/06/09 To ratify the selection Issuer Yes For For
of Ernst & Young LLP as
our independent
registered public
accountants for the year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For
2009 equity incentive
plan, which authorizes
the issuance of
100,000,000 shares
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For
amendment to our restated
certificate of
incorporation, as
amended, which reduces
the sixty-six and
two-thirds percent
(66-2/3%) voting
requirement to a simple
majority voting
requirement for approval
of certain business
combinations.
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc AMGN 031162-BBH 05/06/09 Stockholder proposal #1 Security Yes Against For
(amend our bylaws to Holder
permit 10 percent of our
outstanding common stock
the ability to call
special meetings.)
- ------------------------------------------------------------------------------------------------------------------------------------
Amgen Inc AMGN 031162-BBH 05/06/09 Stockholder proposal #2 Security Yes Against For
(change our jurisdiction Holder
of incorporation from
Deleware to North Dakota.)
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 Election of Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To ratify the selection Issuer Yes For For
of Ernst & Young LLP by
the audit committee of
the Board of Directors as
the independent
registered public
accounting firm of Gilead
for the fiscal year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To approve an amendment Issuer Yes For For
to Gilead's 2004 equity
incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 Elect Directors Issuer Yes For For
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve the company's Issuer Yes For For
Inc. amended and restated
stock incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve an amendment Issuer Yes For For
Inc. and restatement of the
company's employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences, HGSI 444903-BBH 05/06/09 To ratify the appointment Issuer Yes For For
Inc. of Ernst & Young LLP as
the company's independent
registered public
accounting firm for
fiscal year ending
December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve the adoption Issuer Yes For For
of Sepracor's 2009 stock
incentive plan
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve an amendment Issuer Yes For For
to Sepracor's 1998
employee stock puchase
plan, or 1998 ESPP,
increasing from 1,900,000
to 2,900,000 the number
of shares of Sepracor
common stock reserved for
issuance under the 1998
ESPP
- ------------------------------------------------------------------------------------------------------------------------------------
Sepracor Inc. SEPR 817315-BBH 05/14/09 To ratify the selection Issuer Yes For For
of PricewaterhouseCoopers
LLP as Sepracor's
independent registered
public accounting firm
for the current fiscal
year
- ------------------------------------------------------------------------------------------------------------------------------------
Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Elect Directors Issuer Yes For For
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Ratification of the Issuer Yes For For
Inc. selection of KPMG LLP to
audit the consolidated
financial statements of
the company for the
fiscal year ending
December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation GENZ 372917-BBH 05/21/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation GENZ 372917-BBH 05/21/09 To amend the 2004 equity Issuer Yes For For
incentive plan to
increase number of shares
of common stock available
for issuance by 2,500,000
shares
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation GENZ 372917-BBH 05/21/09 A proposal to approve the Issuer Yes For For
2009 employee stock
purchase plan
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corporation GENZ 372917-BBH 05/21/09 A proposal to ratify the Issuer Yes For For
audit committee's
selection of independent
auditors for 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For
of PricewaterhouseCoopers
LLP as the company's
independent registered
public accounting firm
for the fiscal year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For
the company's bylaws to
change the voting
standard for the election
of directors in
uncontested elections
from a plurality standard
to a majority standard.
The Board of Directors
recommends this vote
"against" proposals 4 and
5.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For
amend the company's Holder
bylaws to fix the size of
the board at 13 members
and remove the board's
ability to change the
size of the board
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal that Security Yes Against For
the company reincorporate Holder
from Delaware to North
Dakota and elect to be
subject to the North
Dakota publicly traded
corporations act.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Security Yes Abstain For*
Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the icahn Security Yes Abstain For*
bylaws amendments. Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the North Security Yes Abstain For*
Dakota reincorporation Holder
resolution
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Ratification of the Security Yes Abstain For*
independent registered Holder
public accounting firm.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the Biogen Security Yes Abstain For*
bylaw amendment. Holder
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For
of PricewaterhouseCoopers
LLP as the company's
independent registered
public accounting firm
for the fiscal year
ending December 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For
the company's bylaws to
change the voting
standard for the election
of directors in
uncontested elections
from a plurality standard
to a majority standard.
The Board of Directors
recommends this vote
"against" proposals 4 and
5.
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For
amend the company's Holder
bylaws to fix the size of
the board at 13 members
and remove the board's
ability to change the
size of the board
- ------------------------------------------------------------------------------------------------------------------------------------
Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal that Security Yes Against For
the company reincorporate Holder
from Delaware to North
Dakota and elect to be
subject to the North
Dakota publicly traded
corporations act.
- ------------------------------------------------------------------------------------------------------------------------------------
Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 Elect Directors Issuer Yes For For
- ------------------------------------------------------------------------------------------------------------------------------------
Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 To ratify the appointment Issuer Yes For For
of Ernst & Young LLP as
our independent
registered public
accounting firm for the
fiscal year ending
December 31, 2009.
- ------------------------------------------------------------------------------------------------------------------------------------
* Recommendations of Opposition were "for". Voted for recommendations for
Management by voting against recommendations of Opposition.
- ------------------------------------------------------------------------------------------------------------------------------------
NEW CENTURY PORTFOLIOS
NEW CENTURY INTERNATIONAL PORTFOLIO
TICKER: NCFPX
PROXY VOTING RECORD: 7/1/08-6/30/09
- ------------------------------------------------------------------------------------------------------------------------------------
WHETHER
MATTER DID REGISTRANT
PROPOSED BY REGISTRANT CAST ITS
SH ISSUER OR CAST ITS HOW VOTE FOR
CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST
ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Election of Governors Issuer Yes For For
Institute
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For
Institute PricewaterhouseCoopers
LLP as independent
auditors for fiscal year
ending September 30, 2008
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For
Institute authority to vote upon
such other matters as may
come before the Meeting,
and any adjournments
thereof, as they
determine to be in the
best interest of the
Institute.
- ------------------------------------------------------------------------------------------------------------------------------------
Ivy European IEOAX 465898-815 01/15/09 To approve the Issuer Yes For For
Opportunities Fund- reorganization of each
Class A series of Ivy Funds and
each series of Ivy Funds,
Inc. into a corresponding
series of a newly formed
Delaware statutory trust
bearing the name Ivy
Funds.
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NEW CENTURY PORTFOLIOS
NEW CENTURY ALTERNATIVE STRATEGIES PORTFOLIO
TICKER: NCHPX
PROXY VOTING RECORD: 7/1/08-6/30/09
- ------------------------------------------------------------------------------------------------------------------------------------
WHETHER
MATTER DID REGISTRANT
PROPOSED BY REGISTRANT CAST ITS
SH ISSUER OR CAST ITS HOW VOTE FOR
CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST
ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT
- ------------------------------------------------------------------------------------------------------------------------------------
BlackRock Real Asset BCF 09254B-109 09/12/08 Elect Directors Issuer Yes For For
Equity Trust
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Election of Governors Issuer Yes For For
Institute
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For
Institute PricewaterhouseCoopers
LLP as independent
auditors for fiscal year
ending September 30, 2008
- ------------------------------------------------------------------------------------------------------------------------------------
Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For
Institute authority to vote upon
such other matters as
may come before the
Meeting, and any
adjournments thereof, as
they determine to be in
the best interest of the
Institute.
- ------------------------------------------------------------------------------------------------------------------------------------
DWS Global Commodities GCS 23338Y-100 10/13/08 Elect Directors Issuer Yes For For
Stock Fund, Inc
- ------------------------------------------------------------------------------------------------------------------------------------
DWS Global Commodities GCS 23338Y-100 10/13/08 Elect Directors Security Yes For Against
Stock Fund, Inc Holder
- ------------------------------------------------------------------------------------------------------------------------------------
DWS Global Commodities GCS 23338Y-100 10/13/08 Elect Directors Issuer Yes For For
Stock Fund, Inc
- ------------------------------------------------------------------------------------------------------------------------------------
Eaton Vance National EIHMX 27826L-249 11/14/08 Elect Directors Issuer Yes For For
Municipals Fund -
Class I
- ------------------------------------------------------------------------------------------------------------------------------------
The Prudent Bear Fund BEARX 744294-109 12/03/08 To approve or disapprove Issuer Yes For For
- - No Load Shares agreement and plan of
reorganization pursuant
to which Federated
Prudent Bear Fund, a
portfolio of Federated
Equity Funds, would
acquire all of the
assets and stated
liabilities of Prudent
Bear Fund in exchange
for class A shares and
class C shares of the
Federated Prudent Bear
Fund, all as more fully
described in the proxy
statement
- ------------------------------------------------------------------------------------------------------------------------------------
Ivy Asset Strategy WASAX 466000-759 01/15/09 To approve the Issuer Yes For For
Fund - Class A reorganiztion of each
series of Ivy Funds and
each series of Ivy
Funds, Inc. into a
corresponding series of
a newly formed Delaware
statutory trust bearing
the name Ivy Funds.
- ------------------------------------------------------------------------------------------------------------------------------------
Western Asset Emerging ESD 95766A-101 02/27/09 Elect Directors Issuer Yes For For
Markets Debt Fund
- ------------------------------------------------------------------------------------------------------------------------------------
Nuveen Equity Premium JPZ 6706ER-101 05/06/09 Elect Directors Issuer Yes For For
Income Fund-Com
- ------------------------------------------------------------------------------------------------------------------------------------
Nuveen Multi-Strgy JQC 67073D-102 05/06/09 Elect Directors Issuer Yes For For
Incm & Grth Fd 2-Com
- ------------------------------------------------------------------------------------------------------------------------------------
The Gabelli Global GDL 36245G-103 05/18/09 Elect Directors Issuer Yes For For
Deal Fund
- ------------------------------------------------------------------------------------------------------------------------------------
JP Morgan U.S. Real SUSIX 4812C0-589 06/15/09 Elect Directors Issuer Yes For For
Estate Fund - Class A
- ------------------------------------------------------------------------------------------------------------------------------------