N-PX 1 g90677pxnvpx.txt FIRST CAROLINA INVESTORS, INC. FORM N-PX FOR 7/1/2003-6/30/2004 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 811-08942 FIRST CAROLINA INVESTORS, INC. ------------------------------------------------------------------ (Exact name of registrant as specified in charter) 9347 B FOUNDERS STREET FORT MILL, SOUTH CAROLINA 29706 ------------------------------------------------------------------ (Address of principal executive offices)(Zip Code) BRENT D. BAIRD FIRST CAROLINA INVESTORS, INC. 9347 A FOUNDERS STREET FORT MILL, SOUTH CAROLINA 29706 ------------------------------------------------------------------ (Name and address of agent for service) Registrant's telephone number, including area code: (803)802-0890 Date of fiscal year-end: December 31 Date of reporting period: June 30, 2004 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 (17CFR 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. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. ALDERWOODS GROUP, INC. Ticker: AWGI Security ID: 014383103 Meeting Type: Annual Rec Date: March 8, 2004 Meeting Date: May 4, 2004 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Lloyd E. Campbell For For Management 1.2 Elect Director Anthony G. Eames For For Management 1.3 Elect Director Charles M. Elson For For Management 1.4 Elect Director David R. Hilty For For Management 1.5 Elect Director Paul A. Houston For For Management 1.6 Elect Director Olivia F. Kirtley For For Management 1.7 Elect Director John S. Lacey For For Management 1.8 Elect Director William R. Riedi For For Management 1.9 Elect Director W. MacDonald Snow For For Management 2. Ratify Auditors For For Management -------------------------------------------------------------------------------- ALLIED HEALTHCARE INTERNATIONAL, INC. Ticker: AHCI Security ID: 019222108 Meeting Type: Annual Rec Date: October 1, 2003 Meeting Date: November 14, 2003 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Brent D. Baird For For Management 1.2 Elect Director James B. Hickey, Jr. For For Management 1.3 Elect Director Dr. William A. Peck For For Management 1.4 Elect Director Carl R. Refsland For For Management 1.5 Elect Director John D. Weil For For Management -------------------------------------------------------------------------------- AMCAST INDUSTRIAL CORPORATION Ticker: AICO.OB Security ID: 023395106 Meeting Type: Annual Rec Date: October 20, 2003 Meeting Date: December 17, 2003 # Proposal Mgt Rec Vote Cast Sponsor l.l Elect Director Robert C. Ayotte For For Management 1.2 Elect Director Leo W. Ladehoff For For Management 1.3 Elect Director Richard A. Smith For For Management -------------------------------------------------------------------------------- BARRISTER GLOBAL SERVICES NETWORK, INC. Ticker: BRTR.PK Security ID: 068659200 Meeting Type: Annual Rec Date: July 28, 2003 Meeting Date: September 22, 2003 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Joseph A. Alutto For Management 1.2 Elect Director Franklyn S. Barry, Jr. For Management l.3 Elect Director William O. Bray For Management 1.4 Elect Wrren E. Emblidge, Jr. For Management 1.5 Elect Director Richard E. McPherson For Management 1.6 Elect Director James D. Morgan For Management 1.7 Elect Director Henry P. Semmelhack For Management 2. Ratify Auditors For Management -------------------------------------------------------------------------------- COAST FINANCIAL HOLDINGS, INC. Ticker: CFHI Security ID: 190354100 Meeting Type: Annual Rec Date: March 19, 2004 Meeting Date: May 18, 2004 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director James K. Toomey For For Management 1.2 Elect Director Joseph Gigliotti For For Management 1.3 Elect Director Kennedy Legler,III For For Management l.4 Elect Director Paul G. Nobbs For For Management 1.5 Elect Director Thomas M. O'Brien For For Management 1.6 Elect Director Brian P. Peters For For Management 1.7 Elect Director John R. Reinemeyer For For Management 1.8 Elect Director Michael T. Ruffing For For Management 2. Ratify Auditors For For Management -------------------------------------------------------------------------------- ECOLOGY & ENVIRONMENT, INC. Ticker: EEI Security ID: 278878103 Meeting Type: Annual Rec Date: December 1, 2003 Meeting Date: January 15, 2004 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Ross M. Cellino For For Management 1.2 Elect Director Timothy Butler For For Management 2. Ratify Auditor For For Management 3. Adopt 2003 Company Stock Award Plan For For Management -------------------------------------------------------------------------------- EVANS BANCOPR, INC. Ticker: EVBN Security ID: 29911Q208 Meeting Type: Annual Rec Date: March 8, 2004 Meeting Date: April 20, 2004 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Phillip Brothman For For Management 1.2 Elect Director Mary C. Militello For For Management 1.3 Elect Director David M. Taylor For For Management 1.4 Elect Director Thomas H. Waring,Jr. For For Management -------------------------------------------------------------------------------- THE FINOVA GROUP, INC. Ticker: FNVG.OB Security ID: 317928109 Meeting Type: Annual Rec Date: March 15, 2004 Meeting Date: May 12, 2004 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Thomas F. Boland For Withheld Management 1.2 Elect Director Ian M. Cumming For Withheld Management 1.3 Elect Director Robert Durham For Withheld Management 1.4 Elect Director Thomas E. Mara For Withheld Management 1.5 Elect Director R. Gregory Morgan For Withheld Management 1.6 Elect Director Kenneth R. Smith For Withheld Management 1.7 Elect Director Joseph S. Steinbe For Withheld Management -------------------------------------------------------------------------------- FIRST CAROLINA INVESTORS, INC. Ticker: FCAR.OB Security ID: 319420105 Meeting Type: Annual Rec Date: April 1, 2004 Meeting Date: May 19, 2004 # Proposal Mtg Rec Vote Cast Sponsor 1.1 Elect Director Bruce C. Baird For For Management 1.2 Elect Director Theodore E. Dann,Jr For For Management 1.3 Elect Director Patrick W. E. Hodgson For For Management 1.4 Elect Director James E. Traynor For For Management 1.5 Elect Director Thomas E. Webb III For For Management 2. Ratify Auditors For For Management -------------------------------------------------------------------------------- M & T BANK CORPORATION Ticker: MTB Security ID: 55261F104 Meeting Type: Annual Rec Date: February 27, 2004 Meeting Date: April 20, 2004 # Proposal Mgt Rec Vote Cash Sponsor 1.1 Elect Director William F. Allyn For For Management 1.2 Elect Director Brent D. Baird For For Management 1.3 Elect Director Robert J. Bennett For For Management 1.4 Elect Director C. Angela Bontempo For For Management 1.5 Elect Director Robert T. Brady For For Management 1.6 Elect Director Emerson L. Brumb For For Management 1.7 Elect Director Michael D. Buckley For For Management 1.8 Elect Director Patrick J. Callan For For Management 1.9 Elect Director R. Carlos Carballada For For Management 1.10 Elect Director Jefferson Cunningham III For For Management 1.11 Elect Director Donald Devorris For For Management 1.12 Elect Director Richard E. Garman For For Management 1.13 Elect Director James V. Glynn For For Management 1.14 Elect Director Derek C. Hathaway For For Management 1.15 Elect Director Daniel R. Hawbaker For For Management 1.16 Elect Director Patrick W. E. Hodgson For For Management 1.17 Elect Director Gary Kennedy For For Management 1.18 Elect Director Richard G. King For For Management 1.19 Elect Director Reginald B. Newman,II For For Management 1.20 Elect Director Jorge G. Pereira For For Management 1.21 Elect Director Michael P. Pinto For For Management 1.22 Elect Director Robert E. Sadler,Jr. For For Management 1.23 Elect Director Eugene J. Sheehy For For Management 1.24 Elect Director Stephen G. Sheetz For For Management 1.25 Elect Director Herbert L. Washington For For Management 1.26 Elect Director Robert G. Wilmers For For Management 2. Ratify Auditors For For Management -------------------------------------------------------------------------------- MERCHANTILE BANKSHARES CORPORATION Ticker: MRBK Security ID: 587406101 Meeting Type: Annual Rec Date: April 2, 2004 Meeting Date: May 11, 2004 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Cynthia A. Archer For For Management 1.2 Elect Director Richard O. Berndt For For Management 1.3 Elect Director Howard B. Bowen For For Management 1.4 Elect Director William R. Brody,M.D. For For Management 1.5 Elect Director Edward J. Kelly,III For For Management 1.6 Elect Director Morton B. Plant For For Management 2. Ratify Auditors For For Management 3. Approve 1999 Omnibus Stock Plan, For For Management as amended 4. Approve Corporation and Participating For For Management Affiliates Unfunded Deferred Compensation for Directors, as amended -------------------------------------------------------------------------------- MERCHANTS GROUP, INC. Ticker: MGP Security ID: 588539106 Meeting Type: Annual Rec Date: March 22, 2004 Meeting Date: May 5,2004 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Brent D. Baird For For Management 1.2 Elect Director Thomas E. Kahn For For Management SIGNATURE 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. FIRST CAROLINA INVESTORS, INC. (Registrant) FIRST CAROLINA INVESTORS, INC. By (Signature and Title)* /s/ Brent D. Baird Brent D. Baird, Chief Executive Officer Date: August 25, 2004