0001111830-11-000498.txt : 20110803 0001111830-11-000498.hdr.sgml : 20110803 20110803134138 ACCESSION NUMBER: 0001111830-11-000498 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110803 DATE AS OF CHANGE: 20110803 EFFECTIVENESS DATE: 20110803 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EMPIRE BUILDER TAX FREE BOND FUND CENTRAL INDEX KEY: 0000730004 IRS NUMBER: 042828342 STATE OF INCORPORATION: MA FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-03907 FILM NUMBER: 111006481 BUSINESS ADDRESS: STREET 1: ULTIMUS FUND SOLUTIONS, LLC STREET 2: 224 PICTORIA DRIVE, SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 BUSINESS PHONE: 513-587-3400 MAIL ADDRESS: STREET 1: ULTIMUS FUND SOLUTIONS, LLC STREET 2: 224 PICTORIA DRIVE, SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 FORMER COMPANY: FORMER CONFORMED NAME: INVESTMENT TRUST OF BOSTON NEW YORK TAX FREE INCOME FUND DATE OF NAME CHANGE: 19840425 FORMER COMPANY: FORMER CONFORMED NAME: ITB EMPIRE TAX FREE INCOME FUND DATE OF NAME CHANGE: 19831226 0000730004 S000003521 EMPIRE BUILDER TAX FREE BOND FUND C000009757 BUILDER EMBTX C000009758 PREMIER EMTPX N-PX 1 emp_npx-0611.htm EMPIRE BUILDER TAX FREE BOND FUND - FORM N-PX emp_npx-0611.htm
 
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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       811-03907      


The Empire Builder Tax Free Bond Fund
(Exact name of registrant as specified in charter)
 
 
546 Fifth Avenue, 7th Floor                                New York, NY
10036
(Address of principal executive offices)
(Zip code)
 
 
Frank L. Newbauer, Esq.

Ultimus Fund Solutions, LLC  225 Pictoria Drive, Suite 450   Cincinnati, Ohio 45246
(Name and address of agent for service)
 
 
Registrant's telephone number, including area code:    (513) 587-3400   

Date of fiscal year end:          February 28                                          
 
Date of reporting period:         July 1, 2010 - June 30, 2011                         
 
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)          The Empire Builder Tax Free Bond Fund                                     


By (Signature and Title)*
/s/ Seth M. Glickenhaus
  
 
Seth M. Glickenhaus, President
  
Date
August 3, 2011
    

* Print the name and title of each signing officer under his or her signature.
 
 
 
 
 
EXHIBIT A
 
 
   INVESTMENT COMPANY REPORT - THE EMPIRE BUILDER TAX FREE BOND FUND  
     
   EMBTX -  EMTPX  
     
  July 1, 2010 - June 30, 2011  
 
The Fund held no securities entitled to vote at a meeting of shareholders during the reporting period (July 1, 2010 through July 30, 2011).