0001144204-13-046164.txt : 20130815 0001144204-13-046164.hdr.sgml : 20130815 20130815094616 ACCESSION NUMBER: 0001144204-13-046164 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130630 FILED AS OF DATE: 20130815 DATE AS OF CHANGE: 20130815 EFFECTIVENESS DATE: 20130815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OCM MUTUAL FUND CENTRAL INDEX KEY: 0000745338 IRS NUMBER: 226444024 FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-04010 FILM NUMBER: 131040865 BUSINESS ADDRESS: STREET 1: 1299 OCEAN AVENUE STREET 2: SUITE 210 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 414-299-2000 MAIL ADDRESS: STREET 1: C/O UMB FUND SERVICES, INC. STREET 2: 803 W. MICHIGAN STREET CITY: MILWAUKEE STATE: WI ZIP: 53233 FORMER COMPANY: FORMER CONFORMED NAME: PIA MUTUAL FUND DATE OF NAME CHANGE: 20030402 FORMER COMPANY: FORMER CONFORMED NAME: MONTEREY MUTUAL FUND DATE OF NAME CHANGE: 19970325 FORMER COMPANY: FORMER CONFORMED NAME: MONITREND MUTUAL FUND DATE OF NAME CHANGE: 19920703 0000745338 S000005294 OCM MUTUAL FUND C000014470 OCM Gold Fund - Investor Class OCMGX C000101831 OCM Gold Fund - Advisor Class N-PX 1 v352220_npx.htm N-PX

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act File Number 811-04010

 

OCM Mutual Fund

1536 Holmes Street

Livermore, CA 94550

 

(Address of principal executive offices)

 

 

OCM Mutual Fund

Attn: Greg Orrell

1536 Holmes Street

Livermore, CA 94550

 

(Name and address of agent for service)

 

 

Registrant's telephone number, including area code: (925) 455-0802

 

Date of fiscal year end: November 30

 

Date of reporting period: July 1, 2012 through June 30, 2013

 

 
 

Item 1. Proxy Voting Record


Company Name Company CUSIP Shareholder Describe The Matter Voted On Proposed by Company Did Orrell How did Orrell Votes cast for
  Symbol Number Meeting date or Shareholder Capital vote? Capital Vote? or against Mgt
                 
Argentex Mining Corp. AGXMF 04014H108 9/18/2012 1. Set number of directors at five; 2. Elect Company Yes For For
        directors; 3. Appoint Morgan & Co. as auditors,        
        directors to fix remuneration; 4. Approve 2012        
        stock option plan.        
                 
MAG Silver Corp. MAG CN 55903Q955 10/5/2012 1. Set number of directors at nine; 2. Elect Company Yes For For
        directors; 3. Appoint Deloitte & Touche LLP as        
        auditors, directors to fix remuneration; 4. Ratify,        
        confirm and approve Company's advance        
        notice policy.        
                 
Royal Gold, Inc. RGLD 780287108 11/14/2012 1. Election of S. Dempsey, T. Jensen, and Company Yes For For
        G. Bogden to board of directors; 2. Appoint        
        Ernst & Young as auditors; 3. Approve        
        resolution relating to executive compensation.        
                 
Kingsgate Consolidated Ltd. KCN AU Q5318K103 11/21/2012 1. Re-election of Peter McAleer as director; Company Yes For For
        2. Ratify and approve previous share issues;        
        3. Approval of remuneration report; 4. Issue of        
        performance rights to Gavin Thomas.        
                 
Perseus Mining Ltd. PRU CN Q74174956 11/23/2012 1. Adoption of remuneration report; Company Yes For For
         2-3. Re-election of directors Rhett Brans and        
        Sean Harvey; 4. Approval of Performance        
        Rights Plan; 5-7. Issue of performance rights        
        to Mark Calderwood, Colin Carson and        
        Rhett Brans.        
                 
CGA Mining Ltd. CGA CN Q22628954 11/28/2012 1-3. Re-election of directors Magee, Scott, and Company Yes For For
        Lockyer; 4. Approval of Loan Funded        
        Share Plan; 5. Remuneration report.        
                 
Indochine Mining Ltd. IDC AU Q4880W108 11/28/2012 1. Adoption of remuneration report; 2-4. Re- Company Yes For For
        elect John Shaw and Ian Ross as directors;        
        5. Authorization of issues and options;        
        6. Approval of 10% placement facility.        
                 
Argonaut Gold Ltd. AR CN 04016A952 12/6/2012 1. Issuance of maximum 32,673,683 common Company Yes For For
(Special Meeting)       shares of Argonaut Gold Ltd. to holders        
        of Prodigy Gold.        
                 
B2Gold Corp. BTO CN 11777Q951 12/20/2012 1. Approve issuance of shares of B2Gold Corp. Company Yes For For
(Special Meeting)       in connection with the acquisition of all of the        
        issued and outstanding securities of CGA        
        Mining Ltd.        
                 
CGA Mining Ltd. CGA CN Q2262895 12/24/2012 1. Approve acquisition of CGA Mining Ltd. by Company Yes For For
        B2Gold Corp.        
                 
AngloGold Ashanti Ltd. ADR AU 035128206 3/11/2013 1. Amendments to the rules of AngloGold Company Yes For For
(Extraordinary General       Ashanti Ltd. ADR Long-Term Incentive Plan 2005;        
meeting)       2. Amendments to the rules of the AngloGold        
        Ashanti Ltd. ADR Limited Bonus Share Plan 2005;        
        3. Authority to directors and Company secretary to        
        resolutions 1 & 2.        
                 
AngloGold Ashanti Ltd. ADR AU 035128206 3/27/2013 1. Special resolution - Approval of a new Memorandum Company Yes For For
(Extraordinary General       of Incorporation for Anglo Gold Ashanti Ltd. ADR;        
meeting)       2. Ordinary resolution - Authority to directors        
        and Company secretary to implement resolution 1.        
                 
Newmont Mining Corp. NEM 651639106 4/24/2013 1A-1J. Election of directors; 2. Ratify Company Yes For For
        appointment of PricewaterhouseCoopers LLP        
        as auditors; 3. Approve named executive        
        officer compensation; 4. Approve 2013        
        stock option plan; 5. Approve performance        
        pay plan.        
                 
Barrick Gold Corp. ABX 067901108 4/24/2013 1. Elect directors; 2. Appoint Pricewaterhouse- Company Yes For For
        Coopers LLP as the auditors, directors to fix        
        remuneration; 3. Resolution on executive        
        compensation.        
                 
Agnico-Eagle Mines Ltd. AEM 008474108 4/26/2013 1. Elect directors; 2. Appoint Ernst & Young Company Yes For For
        as auditors, directors to fix remuneration;        
        3. Resolution approving an amendment to the        
        Company’s stock option plan; 4. Special resolution        
        approving amendment to Company's Articles        
        to change the Company's name; 5. Resolution        
        confirming an amendment to the Company's by-        
        laws; 6. Non-binding advisory resolution accepting        
        the Company’s approach to executive        
        compensation.        
                 
Randgold Resources Ltd. ADR GOLD 752344309 4/29/2013 1. Receive audited financial statements year Company Yes For For
        ending 2012; 2. Declare final dividend of $0.50        
        per ordinary share; 3. Approve directors'        
        remuneration report year ending 12/31/2012;        
    4-12. Re-elect directors; 13. Re-appoint BDO        
        as auditors; 14. Authorize directors to determine        
        remuneration of the auditors; 15. Authority to        
        allot shares and grant rights to subscribe for        
        or convert any security into shares; 16. Awards        
        of ordinary shares to non-executive directors;        
        17. Authorize the Board to grant CEO a one-off        
        career shares award of Company ordinary        
        shares in the Company; 18. Increase fees that        
        may be paid to directors from $750,000 to        
        $1,000,000; 19. Authority to disapply        
        preemption rights; 20. Authority for the        
        Company to purchase its own ordinary shares.        
                 
New Gold, Inc. NGD 644535106 5/1/2013 1. Set number of directors at eight; 2. Elect Company Yes For For
        directors; 3. Appoint Deloitte & Touche LLP as        
        auditors, directors to fix remuneration.        

 

 
 

Company Name Company CUSIP Shareholder Describe the Matter Voted on Proposed by Company Did Orrell How did Orrell Votes cast for
  Symbol Number Meeting date or Shareholder Capital vote? Capital Vote? or against Mgt
                 
Yamana Gold, Inc. AUY 98462Y100 5/1/2013 1. Elect directors; 2. Appoint Deloitte & Touche LLP Company Yes For For
        as auditors.        
                 
Wesdome Gold Mines Ltd. WDO CN 95083R951 5/1/2013 1. Set number of directors at 9; 2. Elect Company Yes For For
        directors; 3. Appoint Grant Thornton LLP as        
        auditors, directors to fix remuneration.        
                 
Eldorado Gold Corp. EGO 284902103 5/2/2013 1. Elect directors; 2. Appoint KPMG LLP as Company Yes For For
        auditors; 3. Authorize directors to fix auditor's        
        pay.        
                 
Goldcorp, Inc. GG 380956409 5/2/2013 A. Elect directors; B. Appoint Deloitte & Touche LLP as Company Yes For For
        auditors, directors to fix remuneration; C. Resolution        
    approving amendments to the restricted share        
        unit plan; D. Non-binding advisory resolution        
        accepting the Company's approach to        
        executive compensation.        
                 
Argonaut Gold Ltd. AR CN 04016A952 5/7/2013 1. Elect directors; 2. Appoint Pricewaterhouse- Company Yes For For
        Coopers LLP as auditors, directors to fix        
        remuneration; 3. Pass resolution to confirm and        
        ratify an amendment to the general by-law;        
        4. Confirm and reauthorize Company's 2010        
        share incentive plan.        
                 
Franco-Nevada Corp. FNV CN 349915959 5/8/2013 1. Elect directors; 2. Appoint Pricewaterhouse- Company Yes For For
        Coopers LLP as auditors, directors to fix        
        remuneration; 3. Acceptance of Corporation's        
        approach to executive compensation.        
                 
Tahoe Resources, Inc. THO CN 873868954 5/9/2013 1. Elect directors; 2. Appoint Deloitte & Touche LLP as Company Yes For For
        auditors; 3. Approve an amended and restated        
        share option plan for the Company.        
                 
Silver Wheaton Corp. SLW CN 828336958 5/21/2013 A. Elect directors; B. Appoint Deloitte & Touch LLP as Company Yes For A-C For
        auditors, directors to fix remuneration; C. Resolution     Abstain D  
        accepting Company's approach to executive        
        compensation; D. Such other business as        
        may properly come before the meeting.        
                 
Kinross Gold Corp. KGC 496902404 5/8/2013 1. Elect directors; 2. Appoint KPMG LLP as Company Yes For For
        auditors, directors to set remuneration;        
        3. Pass an advisory resolution regarding        
        executive compensation.        
                 
Primero Mining Corp. P CN 74164W957 5/8/2013 1. Elect directors; 2. Appoint Deloitte & Touche LLP as Company Yes For For
        auditors, directors to fix remuneration;        
        3. Approve Company's restated stock option        
        Plan; 4. Approve phantom share unit plan for        
        employees of the Company.        
                 
Claude Resources, Inc. CRJ CN 182873950 5/9/2013 1. Elect directors; 2. Appoint KPMG LLP as Company Yes For For
        auditors, directors to fix remuneration; 3. Ratification        
        of stock option plan; 4. Ratification and approval        
        of employee share purchase plan.        
                 
Centerra Gold, Inc. CG CN 152006953 5/10/2013 1. Elect directors; 2. Appoint KPMG LLP as Company Yes For For
        auditors, directors to fix remuneration; 3. Vote        
        on any other matters that might come before        
        the Board.        
                 
AuRico Gold, Inc. AUQ 05155C105 5/13/2013 1. Elect directors; 2. Appoint KPMG LLP as Company Yes For For
        auditors, directors to fix remuneration;        
        3. Approve and ratify the amended restated        
        shareholder rights plan; 4. Pass an ordinary        
        resolution to approve long term incentive        
        plan of the Company.        
                 
SEMAFO, Inc. SMF CN 816922959 5/13/2013 1. Elect directors; 2. Appoint Pricewaterhouse- Company Yes For For
        Coopers LLP as auditors, directors to fix        
        remuneration; 3. Advisory resolution on the        
        Corporation's approach to executive compensation.        
                 
Centerra Gold, Inc. CG CN 152006953 5/10/2013 1. Elect directors; 2. Appoint KPMG LLP as Company Yes For For
        auditors, directors to fix remuneration.        
                 
Pan American Silver Corp. PAAS 697900108 5/13/2013 1. Elect directors; 2. Appoint Deloitte & Touche LLP as Company Yes For For
        auditors, authorize directors to fix remuneration;        
        3. Resolution approving executive compensation.        
                 
AngloGold Ashanti Ltd. ADR AU 035128206 5/13/2013 1. Re-appoint Ernst & Young as auditors; Company Yes For For
        2-4. Elect directors; 5-8. Appoint members of        
        audit and corporate governance committee;        
        9. Authority to directors to allot and issue        
        ordinary shares; 10. Authority to directors        
        to issue for cash those ordinary shares        
        placed under the control of the directors;        
        11. Endorsement of Company's remuneration        
        policy; S1 Increase in non-executive director's        
        fees; S2. Increase in non-executive director's        
        committee fees; S3. Acquisition of Company's        
        shares; S4 Approval to grant financial        
        assistance in terms of Sec. 44 and 45.        
                 
IAMGOLD Corp. IAG 450913108 5/21/2013 1. Elect director; 2. Appoint KPMG LLP as Company Yes For For
        auditors, directors to fix remuneration;        
        3. Resolution approving executive compensation;        
        4. Resolution approving that by-law number two        
        amend by-law number one of the corporation.        
                 
Sutter Gold Mining, Inc. SGM CN 86944A956 6/11/2013 1. Elect directors; 2. Appoint Deloitte & Touche LLP as Company Yes For For
        auditors, directors to fix remuneration; 3. Confirm        
        Company's stock option plan.        
                 
Veris Gold Corp. VG CN 92346R951 6/18/2013 1. Set number of directors at nine; 2. Elect Company Yes For For
        directors; 3. Appoint Deloitte & Touche LLP as auditors;        
        4. Approve renewal of Company's stock        
        option plan; 5. Approve resolution adopting        
        Company's advance notice policy; 6. Approve        
        Company's shareholder rights plan.        
                 
B2Gold Corp. BTO CN 11777Q951 6/10/2013 1. Set number of directors at eight; 2. Elect Company Yes For For
        directors; 3. Appoint PricewaterhouseCoopers        
        LLC as auditors, authorize directors to set        
        remuneration.        

 
 

 

Company Name Company CUSIP Shareholder Describe The Matter Voted On Proposed by Company Did Orrell How did Orrell Votes cast for
  Symbol Number Meeting date or Shareholder Capital vote? Capital Vote? or against Mgt
                 
Avala Resources Ltd. AVZ CN 05337B959 6/12/2013 1. Elect directors; 2. Re-appoint Chabot Grant Company Yes For For
        Thornton LLP as auditors, directors to set        
        remuneration; 3. Approve Company's 10%        
        "rolling" stock option plan.        
                 
Sabina Silver Corp. SBB CN 785246950 6/13/2013 1. Determine number of directors at ten; Company Yes For For
        2. Elect directors; 3. Appoint KPMG LLP as        
        auditors; 4. Approve Company's stock option        
        plan; 5. Approve resolution of the Company's        
        advance notice policy.        
                 
Fortuna Silver Mines, Inc. FVI CN 349915959 6/20/2013 1. Determine number of directors at seven; Company Yes For 1-9 For
        2-8. Elect directors; 9. Appoint Deloitte & Touche LLP     Abstain 10  
        as auditors, directors to fix remuneration;        
        10. Transact such other business as may        
        properly come before the meeting.        
                 
MAG Silver Corp. MAG CN 55903Q955 6/18/2013 1. Elect directors; 2. Appoint Deloitte & Touche LLC as Company Yes For For
        auditors, directors to fix remuneration;        
        3. Approve continuation of shareholder rights        
        plan.        
                 
Endeavour Mining Corp. EDV CN G3040R950 6/5/2013 1. Elect directors; 2. Appoint Deloitte & Touche LLP as Company Yes For For
        auditors, directors to fix remuneration.        
                 
Veris Gold Corp. VG CN 92346R951 6/14/2013 1. Set number of directors at nine; 2. Elect Company Yes For For
        directors; 3. Appoint Deloitte & Touche LLP as auditors,        
        directors to set remuneration; 4. Approve        
        renewal of Company's stock option plan;        
      5. Approve resolution adopting the Company's        
        advance notice policy; 6. Approve Company's        
        shareholder rights plan agreement.        
                 
San Gold Corp. SGR CN 79780P955 6/25/2013 1. Elect directors; 2. Appoint Scarrow & Company Yes For 1- 4 For
        Donald LLP as auditors, directors to fix     Abstain 5  
        remuneration; 3. Re-approval of stock option        
        plan; 4. Ratification of the amendment to the        
        by-laws of the corporation; 5. Transact further        
        business.        

 

 
 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934 and 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.

 

 

OCM Mutual Fund

 

/s/ Gregory M. Orrell

Gregory M. Orrell

President

August 15, 2013