-----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, TH8BNzBl3uRoBan86o3r5DzjH/rldB9dSKuJ8wbxkRAq35gQE5s8Kq3UIEsc1MsW UZf10F3I8lsKu1oh0NCyuQ== 0001111830-07-000612.txt : 20070814 0001111830-07-000612.hdr.sgml : 20070814 20070814152223 ACCESSION NUMBER: 0001111830-07-000612 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070630 FILED AS OF DATE: 20070814 DATE AS OF CHANGE: 20070814 EFFECTIVENESS DATE: 20070814 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: 071054545 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 0000838802 S000009278 New Century Capital Portfolio C000025340 New Century Capital Portfolio NCCPX 0000838802 S000009279 New Century Balanced Portfolio C000025341 New Century Balanced Portfolio NCIPX 0000838802 S000009280 New Century Opportunistic Portfolio C000025342 New Century Opportunistic Portfolio NCAPX 0000838802 S000009281 New Century International Portfolio C000025343 New Century International Portfolio NCFPX 0000838802 S000009282 New Century Alternative Strategies Portfolio C000025344 New Century Alternative Strategies Portfolio NCHPX N-PX 1 npx-0607.txt NEW CENTURY PORTFOLIOS - FORM N-PX -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0582 Expires: April 30, 2009 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) (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, 2007 --------------------------------------------- Date of reporting period: July 1, 2006 - June 30, 2007 ------------------------------------ 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 13, 2007 ________________________________________________________________________ * Print the name and title of each signing officer under his or her signature.
- ----------------------------------------------------------------------------------------------------------------------------------- New Century Portfolios' Form N-PX (Annual Proxy Voting record) (07/01/06 - 06/30/07) - ----------------------------------------------------------------------------------------------------------------------------------- New Century Portfolios New Century Capital Portfolio Ticker: NCCPX Proxy Voting Record: 7/1/06-6/30/07 - ----------------------------------------------------------------------------------------------------------------------------------- Whether Matter Did Registrant Proposed by Registrant Cast its Issuer or Cast its How Vote For SH Meeting Actions Security Vote on the Registrant or Against Issuer Ticker Cusip Number Date Voted on Holder Matter Cast Vote Management - ----------------------------------------------------------------------------------------------------------------------------------- Fidelity Capital FDCAX 316066109 09/20/06 Elect Issuer Yes For For Appreciation A Directors - ----------------------------------------------------------------------------------------------------------------------------------- Fidelity Select FSUTX 316390509 09/20/06 Elect Issuer Yes - For For Utilities Growth A Directors confirmed by proxy administrator. - ----------------------------------------------------------------------------------------------------------------------------------- Investment N/A N/A 10/7/2006 Elect Issuer Yes For For Company Institute Board of Governors - ----------------------------------------------------------------------------------------------------------------------------------- Investment N/A N/A 10/7/2006 Ratification Issuer Yes For For Company Institute of Deloitte & Touche LLP as independent auditors for fiscal year ending September 30, 2006. - ----------------------------------------------------------------------------------------------------------------------------------- Investment N/A N/A 10/7/2006 Other Issuer Yes For For Company Institute Matters: grant authority to vote upon such other matters as may com before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. - ----------------------------------------------------------------------------------------------------------------------------------- William Blair WBSIX 093001485 11/30/06 Elect Issuer Yes For For Small Cap Growth Directors Fund - Class I - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206103 04/17/07 Amend the Issuer Yes For For International fund's Stock Fund fundamental investment restriction with respect to the percentage of the funds' assets that are subject to diversification requirements. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206104 04/18/07 Amend the Issuer Yes For For International fund's Stock Fund fundamental investment restrictions with respect to investments in real estate. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206105 04/19/07 Amend the Issuer Yes For For International fund's Stock Fund fundamental investment restrictions with respect to investments in commodities and commodity contracts - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206106 04/20/07 Amend the Issuer Yes For For International fund's Stock Fund fundamental investment restriction with respect to making loans. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206107 04/21/07 To Issuer Yes For For International eliminate Stock Fund the fund's fundamental investment restrictions with respect to investments in oil, gas and mineral leases or other mineral exploration or development programs. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206108 04/22/07 To amend Issuer Yes For For International the fund's Stock Fund fundamental investment restriction with respect to borrowing and issuing senior securities. - ----------------------------------------------------------------------------------------------------------------------------------- Lazard LZISX 52106N807 04/26/07 Elect Issuer Yes For For International Directors Small Cap Portfolio - Institutional Class - ----------------------------------------------------------------------------------------------------------------------------------- Hotchkis & Wiley HWLAX 44134R107 05/18/07 Approve an Issuer Yes For For Large Cap Value A amendment to the fund's fundamental investment restriction to allow securities lending. - ----------------------------------------------------------------------------------------------------------------------------------- Hotchkis & Wiley HWLAX 44134RA00 05/18/07 Elect Issuer Yes For For Large Cap Value A Directors - -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios New Century Balanced Portfolio Ticker: NCIPX Proxy Voting Record: 7/1/06-6/30/07 - ----------------------------------------------------------------------------------------------------------------------------------- Matter Proposed Whether by Did Registrant Issuer Registrant How Cast its Vote or Cast its Registrant For or SH Meeting Actions Security Vote on Cast Against Issuer Ticker Cusip Number Date Voted on Holder the Matter Vote Management - ----------------------------------------------------------------------------------------------------------------------------------- Fidelity Capital FDCAX 316066109 09/20/06 Elect Issuer Yes For For Appreciation Directors - ----------------------------------------------------------------------------------------------------------------------------------- Fidelity Utilities Growth FSUTX 316390509 09/20/06 Elect Issuer Yes For For Portfolio Directors - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Elect Issuer Yes For For Institute Board of Governors - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Ratification Issuer Yes For For Institute of Deloitte & Touche LLP as independent auditors for fiscal year ending September 30, 2006. - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Other Issuer Yes For For Institute Matters: grant authority to vote upon such other matters as may com before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. - ----------------------------------------------------------------------------------------------------------------------------------- William Blair Small Cap WBSIX 093001485 11/30/06 Elect Issuer Yes For For Growth Fund - Class I Directors - ----------------------------------------------------------------------------------------------------------------------------------- Alliance World Dollar AWF 01879R106 12/12/06 To approve Issuer Yes For For Government Fund II the elimination of the fundamental investment policy regarding 65% investment limitation. - ----------------------------------------------------------------------------------------------------------------------------------- Franklin Convertible FISCX 353612104 03/21/07 Elect Issuer Yes For For Securities Fund Class A Directors - ----------------------------------------------------------------------------------------------------------------------------------- Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For Securities Fund Class A an agreement and plan of reorganization that provides for the reorganization of the fund into a Delaware statutory trust. - ----------------------------------------------------------------------------------------------------------------------------------- Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For Securities Fund Class A amendments to certain of the fund's fundamental investment restrictions regarding: Lending - ----------------------------------------------------------------------------------------------------------------------------------- Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For Securities Fund Class A amendments to certain of the fund's fundamental investment restrictions regarding: Investments in Real Estate - ----------------------------------------------------------------------------------------------------------------------------------- Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For Securities Fund Class A amendments to certain of the fund's fundamental investment restrictions regarding: Investments in commodities - ----------------------------------------------------------------------------------------------------------------------------------- Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For Securities Fund Class A amendments to certain of the fund's fundamental investment restrictions regarding: Industry concentration. - ----------------------------------------------------------------------------------------------------------------------------------- Franklin Convertible FISCX 353612104 03/21/07 To approve Issuer Yes For For Securities Fund Class A amendments to certain of the fund's fundamental investment restrictions regarding: Diversification of investments. - ----------------------------------------------------------------------------------------------------------------------------------- Templeton Global Bond Fund TPINX 880208103 03/21/07 Elect Issuer Yes For For Directors - ----------------------------------------------------------------------------------------------------------------------------------- Templeton Global Bond Fund TPINX 880208103 03/21/07 To approve Issuer Yes For For an agreement and plan of reorganization that provides for the reorganization of the fund into a Delaware statutory trust. - ----------------------------------------------------------------------------------------------------------------------------------- Templeton Global Bond Fund TPINX 880208103 03/21/07 To approve Issuer Yes For For amendments to certain of the fund's fundamental investment restrictions regarding: Lending - ----------------------------------------------------------------------------------------------------------------------------------- Templeton Global Bond Fund TPINX 880208103 03/21/07 To approve Issuer Yes For For amendments to certain of the fund's fundamental investment restrictions regarding: Investments in Real Estate - ----------------------------------------------------------------------------------------------------------------------------------- Alliance Bernstein Global AWF 01879R106 03/28/07 Elect Issuer Yes For For High Income Fund Directors - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Income Fund DODIX 256210105 04/17/07 Amend the Issuer Yes For For fund's fundamental investment restriction with respect to the percentage of the funds' assets that are subject to diversification requirements. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Income Fund DODIX 256210105 04/17/07 Amend the Issuer Yes For For fund's fundamental investment restrictions with respect to investments in real estate. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Income Fund DODIX 256210105 04/17/07 Amend the Issuer Yes For For fund's fundamental investment restrictions with respect to investments in commodities and commodity contracts - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Income Fund DODIX 256210105 04/17/07 Amend the Issuer Yes For For fund's fundamental investment restriction with respect to making loans. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Income Fund DODIX 256210105 04/17/07 To Issuer Yes For For eliminate the fund's fundamental investment restrictions with respect to investments in oil, gas and mineral leases or other mineral exploration or development programs. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Income Fund DODIX 256210105 04/17/07 To amend Issuer Yes For For the fund's fundamental investment restriction with respect to borrowing and issuing senior securities. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox International DODFX 256206103 04/17/07 Amend the Issuer Yes For For Stock Fund fund's fundamental investment restriction with respect to the percentage of the funds' assets that are subject to diversification requirements. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox International DODFX 256206104 04/17/07 Amend the Issuer Yes For For Stock Fund fund's fundamental investment restrictions with respect to investments in real estate. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox International DODFX 256206105 04/17/07 Amend the Issuer Yes For For Stock Fund fund's fundamental investment restrictions with respect to investments in commodities and commodity contracts - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox International DODFX 256206106 04/17/07 Amend the Issuer Yes For For Stock Fund fund's fundamental investment restriction with respect to making loans. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox International DODFX 256206107 04/17/07 To Issuer Yes For For Stock Fund eliminate the fund's fundamental investment restrictions with respect to investments in oil, gas and mineral leases or other mineral exploration or development programs. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox International DODFX 256206108 04/17/07 To amend Issuer Yes For For Stock Fund the fund's fundamental investment restriction with respect to borrowing and issuing senior securities. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Stock Fund DODGE 256219106 04/17/07 Amend the Issuer Yes For For fund's fundamental investment restriction with respect to the percentage of the funds' assets that are subject to diversification requirements. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Stock Fund DODGX 256219106 04/17/07 Amend the Issuer Yes For For fund's fundamental investment restrictions with respect to investments in real estate. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Stock Fund DODGX 256219106 04/17/07 Amend the Issuer Yes For For fund's fundamental investment restrictions with respect to investments in commodities and commodity contracts - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Stock Fund DODGX 256219106 04/17/07 Amend the Issuer Yes For For fund's fundamental investment restriction with respect to making loans. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Stock Fund DODGX 256219106 04/17/07 To Issuer Yes For For eliminate the fund's fundamental investment restrictions with respect to investments in oil, gas and mineral leases or other mineral exploration or development programs. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox Stock Fund DODGX 256219106 04/17/07 To amend Issuer Yes For For the fund's fundamental investment restriction with respect to borrowing and issuing senior securities. - ----------------------------------------------------------------------------------------------------------------------------------- Alliance Bernstein Global AWF 01879R106 05/04/07 Elect Issuer Yes For For High Income Fund Directors - ----------------------------------------------------------------------------------------------------------------------------------- Mainstay High Yield MHCAX 56062F772 05/04/07 Elect Issuer Yes For For Corporate Bond Directors - ----------------------------------------------------------------------------------------------------------------------------------- Hotchkis & Wiley Large Cap HWLAX 44134RA00 05/18/07 Elect Issuer Yes For For Value A Directors - ----------------------------------------------------------------------------------------------------------------------------------- Hotchkis & Wiley Large Cap HWLAX 44134R107 05/18/07 Approve an Issuer Yes For For Value A amendment to the fund's fundamental investment restriction to allow securities lending. - ----------------------------------------------------------------------------------------------------------------------------------- American Century Target BTFTX 024935405 06/27/07 Elect Issuer Yes For For Maturities 2015 - Investor Directors Class - -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios New Century Opportunistic Portfolio Ticker: NCAPX Proxy Voting Record: 7/1/06-6/30/07 - ----------------------------------------------------------------------------------------------------------------------------------- Matter Proposed Whether by Did Registrant Issuer Registrant How Cast its Vote or Cast its Registrant For or SH Meeting Actions Security Vote on Cast Against Issuer Ticker Cusip Number Date Voted on Holder the Matter Vote Management - ----------------------------------------------------------------------------------------------------------------------------------- Fidelity Select Medical FSHCX 316390665 09/20/06 Elect Issuer Yes For For Delivery Portfolio Directors - ----------------------------------------------------------------------------------------------------------------------------------- Fidelity Utilities FSUTX 316390509 09/20/06 Elect Issuer Yes For For Growth Portfolio Directors - ----------------------------------------------------------------------------------------------------------------------------------- Fidelity Wireless FWRLX 316390459 09/20/06 Elect Issuer Yes For For Portfolio Directors - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Elect Board Issuer Yes For For Institute of Governors - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Ratification Issuer Yes For For Institute of Deloitte & Touche LLP as independent auditors for fiscal year ending September 30, 2006. - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Other Issuer Yes For For Institute Matters: grant authority to vote upon such other matters as may com before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. - -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios New Century International Portfolio Ticker: NCFPX Proxy Voting Record: 7/1/06-6/30/07 - ----------------------------------------------------------------------------------------------------------------------------------- Matter Did Whether Proposed Registrant Registrant by Issuer Cast its How Cast its or Vote on Registrant Vote For SH Meeting Actions Voted Security the Cast or Against Issuer Ticker Cusip Number Date on Holder Matter Vote Management - ----------------------------------------------------------------------------------------------------------------------------------- Fidelity Phillips Street FDRXX 316067107 07/19/06 To elect Issuer Yes For For Trust: Fidelity Cash Trustees Reserves - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Elect Board of Issuer Yes For For Institute Governors - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Ratification Issuer Yes For For Institute of Deloitte & Touche LLP as independent auditors for fiscal year ending September 30, 2006. - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Other Matters: Issuer Yes For For Institute grant authority to vote upon such other matters as may com before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206103 04/17/07 Amend the Issuer Yes For For International Stock Fund fund's fundamental investment restriction with respect to the percentage of the funds' assets that are subject to diversification requirements. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206104 04/17/07 Amend the Issuer Yes For For International Stock Fund fund's fundamental investment restrictions with respect to investments in real estate. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206105 04/17/07 Amend the Issuer Yes For For International Stock Fund fund's fundamental investment restrictions with respect to investments in commodities and commodity contracts - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206106 04/17/07 Amend the Issuer Yes For For International Stock Fund fund's fundamental investment restriction with respect to making loans. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206107 04/17/07 To eliminate Issuer Yes For For International Stock Fund the fund's fundamental investment restrictions with respect to investments in oil, gas and mineral leases or other mineral exploration or development programs. - ----------------------------------------------------------------------------------------------------------------------------------- Dodge & Cox DODFX 256206108 04/17/07 To amend the Issuer Yes For For International Stock Fund fund's fundamental investment restriction with respect to borrowing and issuing senior securities. - ----------------------------------------------------------------------------------------------------------------------------------- Lazard International LZISX 52106N807 04/26/07 Elect Directors Issuer Yes For For Small Cap Portfolio - Institutional Class - -----------------------------------------------------------------------------------------------------------------------------------
New Century Portfolios New Century Alternative Strategies Portfolio Ticker: NCHPX Proxy Voting Record: 7/1/06-6/30/07 - ----------------------------------------------------------------------------------------------------------------------------------- Matter Did Whether Proposed Registrant Registrant by Issuer Cast its How Cast its or Vote on Registrant Vote For SH Meeting Security the Cast or Against Issuer Ticker Cusip Number Date Actions Voted on Holder Matter Vote Management - ----------------------------------------------------------------------------------------------------------------------------------- RS Global Natural RSNRS 74972H705 08/01/06 To Approve a new Issuer Yes For For Resources Fund investment advisory agreement between RS Investment Management Co. LLC and each of the RS Funds. - ----------------------------------------------------------------------------------------------------------------------------------- RS Global Natural RSNRS 74972H706 08/02/06 Elect Directors Issuer Yes For For Resources Fund - ----------------------------------------------------------------------------------------------------------------------------------- Capital & Income CII 13971Y103 08/15/06 Elect Directors Issuer Yes For For Strategies Fund-Common - ----------------------------------------------------------------------------------------------------------------------------------- Capital & Income CII 13971Y104 08/16/06 To approve a new Issuer Yes For For Strategies Fund-Common investment advisory agreement with Blackrock Advisors, Inc. - ----------------------------------------------------------------------------------------------------------------------------------- Capital & Income CII 13971Y105 08/17/06 To approve a Issuer Yes For For Strategies Fund-Common contingent subadvisor agreement with Blackrock Advisors, Inc. - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Elect Board of Issuer Yes For For Institute Governors - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Ratification of Issuer Yes For For Institute Deloitte & Touche LLP as independent auditors for fiscal year ending September 30, 2006. - ----------------------------------------------------------------------------------------------------------------------------------- Investment Company N/A N/A 10/7/2006 Other Matters: Issuer Yes For For Institute grant authority to vote upon such other matters as may com before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. - ----------------------------------------------------------------------------------------------------------------------------------- DWS Global Commodities GES 23338Y100 10/31/2006 Elect Directors Issuer Yes - For For Stock Fund confirmed by proxy administrator. - ----------------------------------------------------------------------------------------------------------------------------------- Alliance World Dollar AWF 01879R106 12/12/06 To approve the Issuer Yes For For Government Fund II elimination of the fundamental investment policy regarding 65% investment limitation. - ----------------------------------------------------------------------------------------------------------------------------------- WM High Yield Fund CPHYX 928965623 12/15/06 To approve the Issuer Yes For For Class A agreement and plan of reorganization providing for the combination of the WM High Yield Fund into the PIF High Yield Fund II. - ----------------------------------------------------------------------------------------------------------------------------------- WM High Yield Fund CPHYX 928965623 12/15/06 Approval of Issuer Yes For For Class A proposed advisory agreement with WMA. - ----------------------------------------------------------------------------------------------------------------------------------- Cohen & Steers IRFIX 19248H401 12/18/06 To approve a new Issuer Yes For For International Realty subadvisory Class I agreement between Cohen & Steers Capital Management, In. and Houlihan Rovers, S. A. - ----------------------------------------------------------------------------------------------------------------------------------- Cohen & Steers IRFIX 19248H401 12/18/06 To approve a Issuer Yes For For International Realty subadvisory Class I agreement between Cohen & Steers Capital Management, Inc. and Cohen & Steers Asia Limited. - ----------------------------------------------------------------------------------------------------------------------------------- Cohen & Steers IRFIX 19248H401 12/18/06 To approve a Issuer Yes For For International Realty subadvisory Class I agreement between Cohen & Steers Capital Management, Inc. and Cohen & Steers UK Limited. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 Elect Directors Issuer Yes For For Class Z - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve an Issuer Yes For For Class Z agreement and plan of reorganization that provides for the reorganization of the fund into a Delaware statutory trust. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Borrowing - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Lending - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Investments in Real Estate - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Issuing Senior Securities. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Industry concentration. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Diversification of investments. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Beacon Fund - BEGRX 628380305 03/21/07 To approve the Issuer Yes For For Class Z elimination of certain fundamental investment restrictions. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 Elect Directors Issuer Yes For For Class Z - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve an Issuer Yes For For Class Z agreement and plan of reorganization that provides for the reorganization of the fund into a Delaware statutory trust. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Borrowing - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Lending - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Investments in Real Estate - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Issuing Senior Securities. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Industry concentration. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve Issuer Yes For For Class Z amendments to certain of the fund's fundamental investment restrictions regarding: Diversification of investments. - ----------------------------------------------------------------------------------------------------------------------------------- Mutual Discovery Fund MDSIX 628380404 03/21/07 To approve the Issuer Yes For For Class Z elimination of certain fundamental investment restrictions. - ----------------------------------------------------------------------------------------------------------------------------------- Neuberger Berman NOX 64126L108 04/16/07 Elect Directors Issuer Yes For For Income Opportunities Fund - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 Elect Directors Issuer Yes For For - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For fundamental investment policy relating to issuing senior securities. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For fundamental investment policy relating to borrowing money. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For fundamental investment policy relating to concentration of investments. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For fundamental investment policy relating to purchasing or selling real estate. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To revise the Issuer Yes For For fundamental investment policy relating to making loans. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to making short sales of securities. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to purchasing securities on margin. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to call options and put options. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to pledging the fund's assets. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to restricted securities. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to warrants. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to oil, gas or other mineral exploration or development programs. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to investing for the purpose of exercising control or management. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to purchasing securities of any issuer if the fund's trustees and officers beneficially own more than 5% o the outstanding securities of such issuer. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to investing in issuers which have been in continuous operation for less than three years. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to participating on a joint or a joint and several basis in any trading account in securities. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to purchasing securities of other investment companies. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to investing more than 10% of the fund's total assets in the securities of any one issuer. - ----------------------------------------------------------------------------------------------------------------------------------- The Merger Fund MERFX 589509108 04/17/07 To eliminate the Issuer Yes For For fundamental investment policy relating to purchasing securities of any one issuer if as result more than 10% of the voting securities of such issuer would be held by the fund. - ----------------------------------------------------------------------------------------------------------------------------------- Gartmore US Growth MLSAX 36650794 04/23/07 To approve a new Issuer Yes For For Leaders Long-Short investment Class A advisory agreement between Gartmore Mutual fund Capital Trust and the Trust, on behalf of the Fund. - ----------------------------------------------------------------------------------------------------------------------------------- Neuberger Berman R/E NRO 64190A103 05/02/07 Elect Directors Issuer No-received N/A N/A Securities Income proxy on 5/3/07 - 1 day after meeting. - ----------------------------------------------------------------------------------------------------------------------------------- Mainstay High Yield MHCAX 56062F772 05/04/07 Elect Directors Issuer Yes For For Corporate Bond - ----------------------------------------------------------------------------------------------------------------------------------- Neuberger Berman R/E NRO 64190A103 06/06/07 Elect Directors Issuer Yes For For Securities Income - ----------------------------------------------------------------------------------------------------------------------------------- DWS RREEF Real Estate SRQ 233384106 06/07/07 Elect Directors Issuer Yes For For Fund - -----------------------------------------------------------------------------------------------------------------------------------
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