-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PbvwQJa/Bw34kWDQSm4qDPlbEX2sfyb880AzhI5VEjiMJ1hR21dteLcmgrZ2hG4o Wo+Dz3Mi4w8vPc+RewTsew== 0001111830-05-000415.txt : 20050830 0001111830-05-000415.hdr.sgml : 20050830 20050830144204 ACCESSION NUMBER: 0001111830-05-000415 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050630 FILED AS OF DATE: 20050830 DATE AS OF CHANGE: 20050830 EFFECTIVENESS DATE: 20050830 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEW CENTURY PORTFOLIOS CENTRAL INDEX KEY: 0000838802 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-05646 FILM NUMBER: 051058461 BUSINESS ADDRESS: STREET 1: 40 WILLIAM ST STREET 2: SUITE 100 CITY: WELLESLEY STATE: MA ZIP: 02481-3902 BUSINESS PHONE: 8886390102 MAIL ADDRESS: STREET 1: 40 WILLIAM ST STREET 2: SUITE 100 CITY: WELLESLEY STATE: MA ZIP: 02481 FORMER COMPANY: FORMER CONFORMED NAME: WESTON PORTFOLIOS DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: WESTON PORTFOLIOS INC DATE OF NAME CHANGE: 19920621 N-PX 1 npx-0605.txt NEW CENTURY PORTFOLIOS - FORM N-PX -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0582 Expires: March 31, 2006 Estimated average burden hours per response 14.4 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-05646 ------------------------------------------ New Century Portfolios - ----------------------------------------------------------------------------- Exact name of registrant as specified in charter) 40 William Street, Suite 100 Wellesley, Massachusetts 02481 - ----------------------------------------------------------------------------- (Address of principal executive offices) Nicole M. Tremblay, Esq. Weston Financial Group, Inc. 40 William Street Wellesley, Massachusetts 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 -------------------- Date of reporting period: July 1, 2004 - June 30, 2005 -------------------------------- 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. SEC 2451 (4-03) 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. ITEM 1. PROXY VOTING RECORD: Appended hereto as Exhibit A is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30 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 30, 2005 ------------------------------------------------------------------------ * Print the name and title of each signing officer under his or her signature. EXHIBIT A - ---------
New Century Portfolios New Century Capital Portfolio Ticker: NCCPX Proxy Voting Record: 7/1/04-6/30/05 (A) (B) (C) (D) (E) (F) (G) (H) (I) - ------------------------------------------------------------------------------------------------------------------------------------ FOR/ MEETING ISSUER VOTE AGAINST ISSUER TICKER CUSIP DATE DESCRIPTION OF VOTE or SH VOTED? CAST MGMT - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Capital FDCAX 316066109 09/15/04 Elect Directors Issuer Yes For For Appreciation - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Capital FDCAX 316066109 09/15/04 To Amend Declaration of Trust to allow Issuer Yes For For Appreciation board to approve mergers - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Japan FJSCX 315910760 09/15/04 Elect Directors Issuer Yes For For Smaller Companies - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Japan FJSCX 315910760 09/15/04 To Amend Declaration of Trust to allow Issuer Yes For For Smaller Companies board to approve mergers - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Elect Board of Governors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Ratify Independent Auditors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Other Matters Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ The Tocqueville TIVFX 888894300 10/22/04 Elect Directors Issuer Yes For For International Value Fund - ------------------------------------------------------------------------------------------------------------------------------------ The Tocqueville TIVFX 888894300 10/22/04 Approve amendment to investment advisory Issuer Yes For For International Value agreement to increase fee breakpoints Fund - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Elect Directors Issuer Yes For For Fund - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Diversification - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Concentration - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Borrowing and Senior Securities - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Lending - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Pledging and Mortgaging of Fund Assets - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Control of and Issuer - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund purchase of Real Estate and Commodities - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund short sales - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund underwriting of securities - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in securities of other investment companies - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investing in issuers when securities are owned by officers and trustees - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in unseasoned issuers - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in options - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in oil and gas - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in illiquid and restricted securities - ------------------------------------------------------------------------------------------------------------------------------------ Strong Funds - STAEX 86335K308 12/10/04 Approve Reorg. Issuer Yes For For Advisor Select A - ------------------------------------------------------------------------------------------------------------------------------------ Strong Funds - STAEX 86335K308 12/10/04 Approve Interim Adv Agmt w/ Wells Fargo Issuer Yes For For Advisor Select A - ------------------------------------------------------------------------------------------------------------------------------------ Strong Funds - STAEX 86335K308 12/10/04 Approve Interim subadvisory agreement Issuer Yes For For Advisor Select A - ------------------------------------------------------------------------------------------------------------------------------------ New Century Portfolios New Century Balanced Portfolio Ticker: NCIPX Proxy Voting Record: 7/1/04-6/30/05 (A) (B) (C) (D) (E) (F) (G) (H) (I) - ------------------------------------------------------------------------------------------------------------------------------------ FOR/ MEETING ISSUER VOTE AGAINST ISSUER TICKER CUSIP DATE DESCRIPTION OF VOTE or SH VOTED? CAST MGMT - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Capital FDCAX 316066109 09/15/04 Elect Directors Issuer Yes For For Appreciation - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Capital FDCAX 316066109 09/15/04 To Amend Declaration of Trust to allow Issuer Yes For For Appreciation board to approve mergers - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Elect Board of Governors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Ratify Independent Auditors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Other Matters Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ The Tocqueville TIVFX 888894300 10/22/04 Elect Directors Issuer Yes For For International Value Fund - ------------------------------------------------------------------------------------------------------------------------------------ The Tocqueville TIVFX 888894300 10/22/04 Approve amendment to investment advisory Issuer Yes For For International Value agreement to increase fee breakpoints Fund - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Elect Directors Issuer Yes For For Fund - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Diversification - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Concentration - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Borrowing and Senior Securities - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Lending - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Pledging and Mortgaging of Fund Assets - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund Control of and Issuer - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund purchase of Real Estate and Commodities - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund short sales - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund underwriting of securities - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in securities of other investment companies - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investing in issuers when securities are owned by officers and trustees - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in unseasoned issuers - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in options - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in oil and gas - ------------------------------------------------------------------------------------------------------------------------------------ SEI S&P 500 Index TRQIX 783924103 10/27/04 Approve Fundamental policies regarding Issuer Yes For For Fund investments in illiquid and restricted securities - ------------------------------------------------------------------------------------------------------------------------------------ Strong Funds - STAEX 86335K308 12/10/04 Approve Reorg. Issuer Yes For For Advisor Select A - ------------------------------------------------------------------------------------------------------------------------------------ Strong Funds - STAEX 86335K308 12/10/04 Approve Interim Adv Agmt w/ Wells Fargo Issuer Yes For For Advisor Select A - ------------------------------------------------------------------------------------------------------------------------------------ Strong Funds - STAEX 86335K308 12/10/04 Approve Interim subadvisory agreement Issuer Yes For For Advisor Select A - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Advisor FAHCX 315807875 02/16/05 Elect Directors Issuer Yes For For High Income Advantage - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Advisor FAHCX 315807875 02/16/05 Vote to Amend Declaration of Trust to Issuer Yes For For High Income approve fund mergers without shareholder Advantage approval - ------------------------------------------------------------------------------------------------------------------------------------ Loomis Sayles LSGBX 543495782 06/02/05 Elect Directors Issuer Yes For For Global Bond Fund-Institutional - ------------------------------------------------------------------------------------------------------------------------------------ Loomis Sayles LSGBX 543495782 06/02/05 Approve and amended and restated Issuer Yes For For Global Bond Declaration of Trust. Fund-Institutional - ------------------------------------------------------------------------------------------------------------------------------------ Loomis Sayles Bond LSGBX 543495782 06/02/05 Elect Directors Issuer Yes For For Fund-Institutional - ------------------------------------------------------------------------------------------------------------------------------------ Loomis Sayles Bond LSGBX 543495782 06/02/05 Approve and amended and restated Issuer Yes For For Fund-Institutional Declaration of Trust. - ------------------------------------------------------------------------------------------------------------------------------------ New Century Portfolios New Century Aggressive Portfolio Ticker: NCAPX Proxy Voting Record: 7/1/04-6/30/05 (A) (B) (C) (D) (E) (F) (G) (H) (I) - ------------------------------------------------------------------------------------------------------------------------------------ FOR/ MEETING ISSUER VOTE AGAINST ISSUER TICKER CUSIP DATE DESCRIPTION OF VOTE or SH VOTED? CAST MGMT - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Capital FDCAX 316066109 09/15/04 Elect Directors Issuer Yes For For Appreciation - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Capital FDCAX 316066109 09/15/04 To Amend Declaration of Trust to allow Issuer Yes For For Appreciation board to approve mergers - ------------------------------------------------------------------------------------------------------------------------------------ Alkermes, Inc. ALKS 01642TBBH 09/23/04 Elect Directors Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ Alkermes, Inc. ALKS 01642TBBH 09/23/04 Increase shares by 2.5m Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Elect Board of Governors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Ratify Independent Auditors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Other Matters Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation CRA 038020BAI 10/21/04 Elect Directors Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation CRA 038020BAI 10/21/04 Ratify Independent Registered Public Issuer Yes For For Accountants - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation CRA 038020BAI 10/21/04 Approve Amendments to employee stock Issuer Yes For For purchase plan - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation CRA 038020BAI 10/21/04 Approve Applera Corp/Applied Biosystems Issuer Yes For For stock incentive plan - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation CRA 038020BAI 10/21/04 Approve Applera/Celera Genomics Group Issuer Yes For For amended stock incentive plan - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation ABI 038020BBH 10/21/04 Elect Directors Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation ABI 038020BBH 10/21/04 Ratify Independent Registered Public Issuer Yes For For Accountants - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation ABI 038020BBH 10/21/04 Approve Amendments to employee stock Issuer Yes For For purchase plan - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation ABI 038020BBH 10/21/04 Approve Applera Corp/Applied Biosystems Issuer Yes For For stock incentive plan - ------------------------------------------------------------------------------------------------------------------------------------ Applera Corporation ABI 038020BBH 10/21/04 Approve Applera/Celera Genomics Group Issuer Yes For For amended stock incentive plan - ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927BBH 11/19/04 Approve issuance of common shares Issuer Yes For For pursuant to merger with Atrix Lab's. - ------------------------------------------------------------------------------------------------------------------------------------ New Century Portfolios New Century International Portfolio Ticker: NCFPX Proxy Voting Record: 7/1/04-6/30/05 (A) (B) (C) (D) (E) (F) (G) (H) (I) - ------------------------------------------------------------------------------------------------------------------------------------ FOR/ MEETING ISSUER VOTE AGAINST ISSUER TICKER CUSIP DATE DESCRIPTION OF VOTE or SH VOTED? CAST MGMT - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Canada FICDX 315910307 09/15/04 Elect Directors Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Canada FICDX 315910307 09/15/04 To Amend Declaration of Trust to allow Issuer Yes For For board to approve mergers - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Japan FJSCX 315910760 09/15/04 Elect Directors Issuer Yes For For Smaller Companies - ------------------------------------------------------------------------------------------------------------------------------------ Fidelity Japan FJSCX 315910760 09/15/04 To Amend Declaration of Trust to allow Issuer Yes For For Smaller Companies board to approve mergers - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Elect Board of Governors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Ratify Independent Auditors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Other Matters Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ The Tocqueville TIVFX 888894300 10/22/04 Elect Directors Issuer Yes For For International Value Fund - ------------------------------------------------------------------------------------------------------------------------------------ The Tocqueville TIVFX 888894300 10/22/04 Approve amendment to investment advisory Issuer Yes For For International Value agreement to increase fee breakpoints Fund - ------------------------------------------------------------------------------------------------------------------------------------ New Century Portfolios New Century Alternative Strategies Portfolio Ticker: NCHPX Proxy Voting Record: 7/1/04-6/30/05 (A) (B) (C) (D) (E) (F) (G) (H) (I) - ------------------------------------------------------------------------------------------------------------------------------------ FOR/ MEETING ISSUER VOTE AGAINST ISSUER TICKER CUSIP DATE DESCRIPTION OF VOTE or SH VOTED? CAST MGMT - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Elect Board of Governors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Ratify Independent Auditors Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/07/04 Other Matters Issuer Yes For For Institute - ------------------------------------------------------------------------------------------------------------------------------------ The Arbitrage Fund ARBFX 03875R106 10/22/04 Elect Directors Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ The Arbitrage Fund ARBFX 03875R106 10/22/04 Ratify Independent Public Accountants Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ CGM Focus Fund CGMFX 125325506 11/19/04 Elect Directors Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ CGM Focus Fund CGMFX 125325506 11/19/04 Ament Declaration of Trust Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ CGM Focus Fund CGMFX 125325506 11/19/04 Approve new Advisory Agreement Issuer Yes For For - ------------------------------------------------------------------------------------------------------------------------------------ CGM Focus Fund CGMFX 125325506 11/19/04 Vote on amendment to Focus Funds Issuer Yes For For fundamental investment restriction on industry concentration - ------------------------------------------------------------------------------------------------------------------------------------ Gabelli ABC Fund GABCX 36239V108 12/30/04 Vote upon articles of amendment to the Issuer Yes For For fund's charter to permit the fund to require direct registration of all accounts - ------------------------------------------------------------------------------------------------------------------------------------ JP Morgan Market JPMNX 616920872 01/20/05 Elect Directors Issuer Yes For For Neutral- Institutional - ------------------------------------------------------------------------------------------------------------------------------------ JP Morgan Market JPMNX 616920872 01/20/05 Approve agreements and plans of Issuer Yes For For Neutral- reorganization pursuant to which each Institutional series of each JPMorgan Fund other than the JPMMFS funds would be reorganized as corresponding series of JPMMFS - ------------------------------------------------------------------------------------------------------------------------------------ One Group Market OGNIX 68232Q869 01/20/05 Elect Directors Issuer Yes For For Neutral Class I - ------------------------------------------------------------------------------------------------------------------------------------ One Group Market OGNIX 68232Q869 01/20/05 Approve amendments to One Group's Issuer Yes For For Neutral Class I declaration of trust - ------------------------------------------------------------------------------------------------------------------------------------ One Group Market OGNIX 68232Q869 01/20/05 Approve and agreement and plan of Issuer Yes For For Neutral Class I reorganization ond redomiciliation - ------------------------------------------------------------------------------------------------------------------------------------ One Group Market OGNIX 68232Q869 01/20/05 Approve the amendment or elimination of Issuer Yes Abstain Abstain Neutral Class I cerain fundamental investment restriction: Borrowing Money - ------------------------------------------------------------------------------------------------------------------------------------ One Group Market OGNIX 68232Q869 01/20/05 Approve the amendment or elimination of Issuer Yes Abstain Abstain Neutral Class I cerain fundamental investment restriction: Investments in commodities and commodity contracts - ------------------------------------------------------------------------------------------------------------------------------------ One Group Market OGNIX 68232Q869 01/20/05 Approve the amendment or elimination of Issuer Yes Abstain Abstain Neutral Class I cerain fundamental investment restriction: Investments for purpose of control - ------------------------------------------------------------------------------------------------------------------------------------ Security Capital SUSIX 813913100 01/20/05 Approve an agreement and plan of Issuer Yes For For US Real Estate- reorganization providing for (1) the Class S acquisition of all of the assets of the fund by One Group Real Estate Fund, a series of the One Group Mutual Funds, in exchange for shares of the Real Estate Fund and the assumpion of all liabilities of the fund by the Real Estate Fund, and (2) The subsequent liquidation fo the fund. - ------------------------------------------------------------------------------------------------------------------------------------ Neuberger Berman NOX 64126L108 03/05/05 Elect Directors Issuer No Income Opportunity Fund - ------------------------------------------------------------------------------------------------------------------------------------ Neuberger Berman NOX 64126L108 03/05/05 To consider and act upon any other Issuer No Income Opportunity business that may properly come before Fund the Meeting or any adjournments thereof. - ------------------------------------------------------------------------------------------------------------------------------------ Enterprise Mergers EMAAX 29372K625 03/31/05 Approve merger of Enterprise Funds into Issuer Yes For For & Acquisitions newly created corresponding AXA Enterprise Fund - ------------------------------------------------------------------------------------------------------------------------------------ Aim Select Real RRE 00888R107 05/09/05 Elect Directors Issuer Yes For For Estate Income Fund-Common - ------------------------------------------------------------------------------------------------------------------------------------ Aim Select Real RRE 00888R107 05/09/05 Ratification of the audit committee's Issuer Yes For For Estate Income appointment of PWC LLP as independent Fund-Common auditors - ------------------------------------------------------------------------------------------------------------------------------------ Plum Creek Timber PCL 729251108 05/11/05 Elect Directors Issuer No Company, Inc. - ------------------------------------------------------------------------------------------------------------------------------------ Plum Creek Timber PCL 729251108 05/11/05 To consider and act upon a proposal to Issuer No Company, Inc. ratify the selection of Ernst & Young LLP as the Company's independent auditors - ------------------------------------------------------------------------------------------------------------------------------------ Plum Creek Timber PCL 729251108 05/11/05 To consider and act upon a stockholder Shareholder No Company, Inc. proposal to increase the voting threshold by which individuals are elected to the Board of Directors - ------------------------------------------------------------------------------------------------------------------------------------ Plum Creek Timber PCL 729251108 05/11/05 To consider and act upon a stockholder Shareholder No Company, Inc. proposal to require the Compensation Committee to adopt a policy providing that a significant amount of future stock option grants be premium-priced stock options, indexed stock options or stock options with performance based vesting terms - ------------------------------------------------------------------------------------------------------------------------------------ Plum Creek Timber PCL 729251108 05/11/05 To transact such other business as may Shareholder No Company, Inc. properly come before the Annual Meeting or any adjournment thereof. - ------------------------------------------------------------------------------------------------------------------------------------ Scudder RREEF Real SRQ 81119Q100 06/29/05 Elect Directors Issuer Yes For For Estate Fund - ------------------------------------------------------------------------------------------------------------------------------------
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