N-PX 1 npx-0609.txt NEW CENTURY PORTFOLIOS - FORM N-PX -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0582 Expires: March 31, 2012 Estimated average burden hours per response 9.6 -------------------------- 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, 2009 --------------------------------------------- Date of reporting period: July 1, 2008 - June 30, 2009 --------------------------------------------- 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 26, 2009 ------------------------------------------------------------------------ * Print the name and title of each signing officer under his or her signature.
------------------------------------------------------------------------------------------------------------------------------------ NEW CENTURY PORTFOLIOS' FORM N-PX (ANNUAL PROXY VOTING RECORD) ------------------------------------------------------------------------------------------------------------------------------------ NEW CENTURY PORTFOLIOS NEW CENTURY CAPITAL PORTFOLIO TICKER: NCCPX PROXY VOTING RECORD: 7/1/08-6/30/09 ------------------------------------------------------------------------------------------------------------------------------------ WHETHER MATTER DID REGISTRANT PROPOSED BY REGISTRANT CAST ITS SH ISSUER OR CAST ITS HOW VOTE FOR CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT ------------------------------------------------------------------------------------------------------------------------------------ Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 Reorganization of the Issuer Yes For For Fund into a comparable series of the Buffalo Funds, a Delaware statutory trust ------------------------------------------------------------------------------------------------------------------------------------ Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 To approve a uniform set Issuer Yes For For of fundamental investment restrictions. ------------------------------------------------------------------------------------------------------------------------------------ Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 The redesignation of Issuer Yes For For investment objectives as non-fundamental. ------------------------------------------------------------------------------------------------------------------------------------ Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 The redesignation of Issuer Yes For For investment policies and strategies as non-fundamental. ------------------------------------------------------------------------------------------------------------------------------------ Buffalo Small Cap Fund BUFSX 119804-102 07/22/08 To vote upon any Issuer Yes For For business as may properly come before the meeting or any adjournment thereafter. ------------------------------------------------------------------------------------------------------------------------------------ The Growth Fund of AGTHX 399874-106 08/07/08 Elect Directors Issuer Yes For For America - Class A ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/2/2008 Election of Governors Issuer Yes For For Institute ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For Institute PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2008 ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For Institute authority to vote upon such other matters as may come before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. ------------------------------------------------------------------------------------------------------------------------------------ Amana Income Fund AMANX 022865-109 12/15/08 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Elect Directors Issuer Yes For For Corporation ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Ratification of the Issuer Yes For For Corporation appointment of Ernst & Young LLP as independent auditors of the company for fiscal year 2009 ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Amendment of the Issuer Yes For For Corporation Invitrogen Corporation 1998 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the Life Issuer Yes For For Corporation Technologies Corporation 1999 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the Issuer Yes For For Corporation company's 2009 equity incentive plan ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 To approve the Issuer Yes For For appointment of Deloitte & Touche LLP as independent auditors of the corporation for the ensuing year and to authorize the directors to fix the renumeration to be paid to the auditors ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 To approve the amended Issuer Yes For For and restated 2000 incentive stock option plan pursuant to the shareholder resolution attached to the proxy statement as exhibit C ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 To ratify the selection Issuer Yes For For of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For 2009 equity incentive plan, which authorizes the issuance of 100,000,000 shares ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For amendment to our restated certificate of incorporation, as amended, which reduces the sixty-six and two-thirds percent (66-2/3%) voting requirement to a simple majority voting requirement for approval of certain business combinations ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 Stockholder proposal #1 Security Yes Against For (Amend our bylaws to Holder permit 10 percent of our outstanding common stock the ability to call special meetings) ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 Stockholder proposal #2 Security Yes Against For (change our jurisdiction Holder of incorporation from Delaware to North Dakota) ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To ratify the selection Issuer Yes For For of Ernst & Young LLP by the audit committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To approve an amendment Issuer Yes For For to Gilead's 2004 equity incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 Elect Directors Issuer Yes For For Inc. ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve the company's Issuer Yes For For Inc. amended and restated stock incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve an amendment Issuer Yes For For Inc. and restatement of the company's employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To ratify the Issuer Yes For For Inc. appointment of Ernst & Young LLP as the company's independent registered public accounting firm for fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve the adoption Issuer Yes For For of Sepracor's 2009 stock incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve an amendment Issuer Yes For For to Sepracor's 1998 employee stock puchase plan, or 1998 ESPP, increasing from 1,900,000 to 2,900,000 the number of shares of Sepracor common stock reserved for issuance under the 1998 ESPP ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as Sepracor's independent registered public accounting firm for the current fiscal year ------------------------------------------------------------------------------------------------------------------------------------ Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Elect Directors Issuer Yes For For Inc. ------------------------------------------------------------------------------------------------------------------------------------ Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Ratification of the Issuer Yes For For Inc. selection of KPMG LLP to audit the consolidated financial statements of the company for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation GENZ 372917-BBH 05/21/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation GENZ 372917-BBH 05/21/09 To amend the 2004 equity Issuer Yes For For incentive plan to increase number of shares of common stock available for issuance by 2,500,000 shares ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation GENZ 372917-BBH 05/21/09 A proposal to approve Issuer Yes For For the 2009 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation GENZ 372917-BBH 05/21/09 A proposal to ratify the Issuer Yes For For audit committee's selection of independent auditors for 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For the company's bylaws to change the voting standard for the election of directors in uncontested elections from a plurality standard to a majority standard. The Board of Directors recommends this vote "against" proposals 4 and 5. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For amend the company's Holder bylaws to fix the size of the board at 13 members and remove the board's ability to change the size of the board ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal Security Yes Against For that the company Holder reincorporate from Delaware to North Dakota and elect to be subject to the North Dakota publicly traded corporations act. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Security Yes Abstain For* Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the icahn Security Yes Abstain For* bylaws amendments. Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the North Security Yes Abstain For* Dakota reincorporation Holder resolution. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Ratification of Security Yes Abstain For* independent registered Holder public accounting firm ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the Biogen Security Yes Abstain For* bylaw amendment Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For the company's bylaws to change the voting standard for the election of directors in uncontested elections from a plurality standard to a majority standard. The Board of Directors recommends this vote "against" proposals 4 and 5. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For amend the company's Holder bylaws to fix the size of the board at 13 members and remove the board's ability to change the size of the board ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal Security Yes Against For that the company Holder reincorporate from Delaware to North Dakota and elect to be subject to the North Dakota publicly traded corporations act. ------------------------------------------------------------------------------------------------------------------------------------ Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 To ratify the Issuer Yes For For appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2009. ------------------------------------------------------------------------------------------------------------------------------------
* Recommendations of Opposition were "for". Voted for recommendations for Management by voting against recommendations of Opposition.
------------------------------------------------------------------------------------------------------------------------------------ NEW CENTURY PORTFOLIOS NEW CENTURY BALANCED PORTFOLIO TICKER: NCIPX PROXY VOTING RECORD: 7/1/08-6/30/09 ------------------------------------------------------------------------------------------------------------------------------------ WHETHER MATTER DID REGISTRANT PROPOSED BY REGISTRANT CAST ITS SH ISSUER OR CAST ITS HOW VOTE FOR CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Election of Governors Issuer Yes For For Institute ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For Institute PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2008 ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For Institute authority to vote upon such other matters as may come before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Elect Directors Issuer Yes For For Corporation ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Ratification of the Issuer Yes For For Corporation appointment of Ernst & Young LLP as independent auditors of the company for fiscal year 2009 ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Amendment of the Issuer Yes For For Corporation Invitrogen Corporation 1998 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the Life Issuer Yes For For Corporation Technologies Corporation 1999 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the company's Issuer Yes For For Corporation 2009 equity incentive plan ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 To approve the Issuer Yes For For appointment of Deloitte & Touche LLP as independent auditors of the corporation for the ensuing year and to authorize the directors to fix the renumeration to be paid to the auditors ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 To approve the amended Issuer Yes For For and restated 2000 incentive stock option plan pursuant to the shareholder resolution attached to the proxy statement as exhibit C ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 To ratify the selection Issuer Yes For For of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For 2009 equity incentive plan, which authorizes the issuance of 100,000,000 shares ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For amendement to our restated certificate of incorporation, as amended, which reduces the sixty-six and two-thirds percent (66-2/3%) voting requirement to a simple majority voting requirement for approval of certain business combinations ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 Stockholder proposal #1 Security Yes Against For (Amend our bylaws to Holder permit 10 percent of our outstanding common stock the ability to call special meetings) ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc. AMGN 031162-BBH 05/06/09 Stockholder proposal #2 Security Yes Against For (change our jurisdiction Holder of incorporation from Delaware to North Dakota) ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 Election of Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To ratify the selection Issuer Yes For For of Ernst & Young LLP by the audit committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To approve an amendment Issuer Yes For For to Gilead's 2004 equity incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 Elect Directors Issuer Yes For For Inc. ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve the company's Issuer Yes For For Inc. amended and restated stock incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve an amendment Issuer Yes For For Inc. and restatement of the company's employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To ratify the appointment Issuer Yes For For Inc. of Ernst & Young LLP as the company's independent registered public accounting firm for fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve the adoption Issuer Yes For For of Sepracor's 2009 stock incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve an amendment Issuer Yes For For to Sepracor's 1998 employee stock puchase plan, or 1998 ESPP, increasing from 1,900,000 to 2,900,000 the number of shares of Sepracor common stock reserved for issuance under the 1998 ESPP ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as Sepracor's independent registered public accounting firm for the current fiscal year ------------------------------------------------------------------------------------------------------------------------------------ Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Elect Directors Issuer Yes For For Inc. ------------------------------------------------------------------------------------------------------------------------------------ Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Ratification of the Issuer Yes For For Inc. selection of KPMG LLP to audit the consolidated financial statements of the company for the fiscal year ending December 31, 2009. ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation ENZN 372917-BBH 05/21/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation ENZN 372917-BBH 05/21/09 To amend the 2004 equity Issuer Yes For For incentive plan to increase number of shares of common stock available for issuance by 2,500,000 shares ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation ENZN 372917-BBH 05/21/09 A proposal to approve the Issuer Yes For For 2009 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation ENZN 372917-BBH 05/21/09 A proposal to ratify the Issuer Yes For For audit committee's selection of independent auditors for 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For the company's bylaws to change the voting standard for the election of directors in uncontested elections from a plurality standard to a majority standard. The Board of Directors recommends this vote "against" proposals 4 and 5. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For amend the company's Holder bylaws to fix the size of the board at 13 members and remove the board's ability to change the size of the board ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal that Security Yes Against For the company reincorporate Holder from Delaware to North Dakota and elect to be subject to the North Dakota publicly traded corporations act. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Security Yes Abstain For* Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the icahn Security Yes Abstain For* bylaws amendments Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the North Security Yes Abstain For* Dakota reincorporation Holder resolution. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Ratification of Security Yes Abstain For* independent registered Holder public accounting firm ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the Biogen Security Yes Abstain For* bylaw amendment Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For the company's bylaws to change the voting standard for the election of directors in uncontested elections from a plurality standard to a majority standard. The Board of Directors recommends this vote "against" proposals 4 and 5. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For amend the company's Holder bylaws to fix the size of the board at 13 members and remove the board's ability to change the size of the board ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal that Security Yes Against For the company reincorporate Holder from Delaware to North Dakota and elect to be subject to the North Dakota publicly traded corporations act. ------------------------------------------------------------------------------------------------------------------------------------ Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 To ratify the appointment Issuer Yes For For of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2009. ------------------------------------------------------------------------------------------------------------------------------------
* Recommendations of Opposition were "for". Voted for recommendations for Management by voting against recommendations of Opposition.
------------------------------------------------------------------------------------------------------------------------------------ NEW CENTURY PORTFOLIOS NEW CENTURY OPPORTUNISTIC PORTFOLIO TICKER: NCAPX PROXY VOTING RECORD: 7/1/08-6/30/09 ------------------------------------------------------------------------------------------------------------------------------------ WHETHER MATTER DID REGISTRANT PROPOSED BY REGISTRANT CAST ITS SH ISSUER OR CAST ITS HOW VOTE FOR CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Election of Governors Issuer Yes For For Institute ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For Institute PricewaterhouseCoopers LLP as independent auditors for fiscal year ending 9/30/08 ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For Institute authority to vote upon such other matters as may come before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute ------------------------------------------------------------------------------------------------------------------------------------ Applied Biosystems, Inc ABI 038149-BBH 10/28/08 Approve and adopt the Issuer Yes For For agreement and plan of merger, as amended, by and among Invitrogen Corporation, Atom Acquisition, LLC, and Applied Biosystems Inc., as such agreement may be amended from time to time, and to approve the merger of Applied Biosystems Inc. with and into Atom Acquisition, LLC, all as more fully described in the proxy statement ------------------------------------------------------------------------------------------------------------------------------------ Applied Biosystems, Inc ABI 038149-BBH 10/28/08 To adjorn the applied Issuer Yes For For Biosystems Special Meeting of stockholders, if necessary, to solicit additional proxies if there are not sufficient votes for the foregoing proposal ------------------------------------------------------------------------------------------------------------------------------------ Amana Growth Fund AMAGX 022865-208 12/15/08 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Elect Directors Issuer Yes For For Corporation ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Ratification of the Issuer Yes For For Corporation appointment of Ernst & Young LLP as independent auditors of the company for fiscal year 2009 ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Amendment of the Issuer Yes For For Corporation Invitrogen Corporation 1998 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the Life Issuer Yes For For Corporation Technologies Corporation 1999 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Life Technologies LIFE 53217V-BBH 04/30/09 Adoption of the company's Issuer Yes For For Corporation 2009 equity incentive plan ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 To approve the Issuer Yes For For appointment of Deloitte & Touche LLP as independent auditors of the corporation for the ensuing year and to authorize the directors to fix the renumeration to be paid to the auditors ------------------------------------------------------------------------------------------------------------------------------------ QLT Inc. QLTI 746927-BBH 05/05/09 To approve the amended Issuer Yes For For and restated 2000 incentive stock option plan pursuant to the shareholder resolution attached to the proxy statement as exhibit C ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc AMGN 031162-BBH 05/06/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc AMGN 031162-BBH 05/06/09 To ratify the selection Issuer Yes For For of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For 2009 equity incentive plan, which authorizes the issuance of 100,000,000 shares ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc AMGN 031162-BBH 05/06/09 To approve the proposed Issuer Yes For For amendment to our restated certificate of incorporation, as amended, which reduces the sixty-six and two-thirds percent (66-2/3%) voting requirement to a simple majority voting requirement for approval of certain business combinations. ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc AMGN 031162-BBH 05/06/09 Stockholder proposal #1 Security Yes Against For (amend our bylaws to Holder permit 10 percent of our outstanding common stock the ability to call special meetings.) ------------------------------------------------------------------------------------------------------------------------------------ Amgen Inc AMGN 031162-BBH 05/06/09 Stockholder proposal #2 Security Yes Against For (change our jurisdiction Holder of incorporation from Deleware to North Dakota.) ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 Election of Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To ratify the selection Issuer Yes For For of Ernst & Young LLP by the audit committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Gilead Sciences, Inc. GILD 375558-BBH 05/06/09 To approve an amendment Issuer Yes For For to Gilead's 2004 equity incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 Elect Directors Issuer Yes For For Inc. ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve the company's Issuer Yes For For Inc. amended and restated stock incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To approve an amendment Issuer Yes For For Inc. and restatement of the company's employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Human Genome Sciences, HGSI 444903-BBH 05/06/09 To ratify the appointment Issuer Yes For For Inc. of Ernst & Young LLP as the company's independent registered public accounting firm for fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve the adoption Issuer Yes For For of Sepracor's 2009 stock incentive plan ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To approve an amendment Issuer Yes For For to Sepracor's 1998 employee stock puchase plan, or 1998 ESPP, increasing from 1,900,000 to 2,900,000 the number of shares of Sepracor common stock reserved for issuance under the 1998 ESPP ------------------------------------------------------------------------------------------------------------------------------------ Sepracor Inc. SEPR 817315-BBH 05/14/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as Sepracor's independent registered public accounting firm for the current fiscal year ------------------------------------------------------------------------------------------------------------------------------------ Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Elect Directors Issuer Yes For For Inc. ------------------------------------------------------------------------------------------------------------------------------------ Enzon Pharmaceuticals, ENZN 293904-BBH 05/21/09 Ratification of the Issuer Yes For For Inc. selection of KPMG LLP to audit the consolidated financial statements of the company for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation GENZ 372917-BBH 05/21/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation GENZ 372917-BBH 05/21/09 To amend the 2004 equity Issuer Yes For For incentive plan to increase number of shares of common stock available for issuance by 2,500,000 shares ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation GENZ 372917-BBH 05/21/09 A proposal to approve the Issuer Yes For For 2009 employee stock purchase plan ------------------------------------------------------------------------------------------------------------------------------------ Genzyme Corporation GENZ 372917-BBH 05/21/09 A proposal to ratify the Issuer Yes For For audit committee's selection of independent auditors for 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For the company's bylaws to change the voting standard for the election of directors in uncontested elections from a plurality standard to a majority standard. The Board of Directors recommends this vote "against" proposals 4 and 5. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For amend the company's Holder bylaws to fix the size of the board at 13 members and remove the board's ability to change the size of the board ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal that Security Yes Against For the company reincorporate Holder from Delaware to North Dakota and elect to be subject to the North Dakota publicly traded corporations act. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Security Yes Abstain For* Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the icahn Security Yes Abstain For* bylaws amendments. Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the North Security Yes Abstain For* Dakota reincorporation Holder resolution ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Ratification of the Security Yes Abstain For* independent registered Holder public accounting firm. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Approval of the Biogen Security Yes Abstain For* bylaw amendment. Holder ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To ratify the selection Issuer Yes For For of PricewaterhouseCoopers LLP as the company's independent registered public accounting firm for the fiscal year ending December 31, 2009 ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 To approve amendments ot Issuer Yes For For the company's bylaws to change the voting standard for the election of directors in uncontested elections from a plurality standard to a majority standard. The Board of Directors recommends this vote "against" proposals 4 and 5. ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal to Security Yes Against For amend the company's Holder bylaws to fix the size of the board at 13 members and remove the board's ability to change the size of the board ------------------------------------------------------------------------------------------------------------------------------------ Biogen Idec Inc. BIIB 09062X-BBH 06/03/09 Shareholder proposal that Security Yes Against For the company reincorporate Holder from Delaware to North Dakota and elect to be subject to the North Dakota publicly traded corporations act. ------------------------------------------------------------------------------------------------------------------------------------ Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 Elect Directors Issuer Yes For For ------------------------------------------------------------------------------------------------------------------------------------ Affymetrix, Inc. AFFX 00826T-BBH 06/17/09 To ratify the appointment Issuer Yes For For of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2009. ------------------------------------------------------------------------------------------------------------------------------------
* Recommendations of Opposition were "for". Voted for recommendations for Management by voting against recommendations of Opposition.
------------------------------------------------------------------------------------------------------------------------------------ NEW CENTURY PORTFOLIOS NEW CENTURY INTERNATIONAL PORTFOLIO TICKER: NCFPX PROXY VOTING RECORD: 7/1/08-6/30/09 ------------------------------------------------------------------------------------------------------------------------------------ WHETHER MATTER DID REGISTRANT PROPOSED BY REGISTRANT CAST ITS SH ISSUER OR CAST ITS HOW VOTE FOR CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Election of Governors Issuer Yes For For Institute ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For Institute PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2008 ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For Institute authority to vote upon such other matters as may come before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. ------------------------------------------------------------------------------------------------------------------------------------ Ivy European IEOAX 465898-815 01/15/09 To approve the Issuer Yes For For Opportunities Fund- reorganization of each Class A series of Ivy Funds and each series of Ivy Funds, Inc. into a corresponding series of a newly formed Delaware statutory trust bearing the name Ivy Funds. ------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------ NEW CENTURY PORTFOLIOS NEW CENTURY ALTERNATIVE STRATEGIES PORTFOLIO TICKER: NCHPX PROXY VOTING RECORD: 7/1/08-6/30/09 ------------------------------------------------------------------------------------------------------------------------------------ WHETHER MATTER DID REGISTRANT PROPOSED BY REGISTRANT CAST ITS SH ISSUER OR CAST ITS HOW VOTE FOR CUSIP MEETING SECURITY VOTE ON REGISTRANT OR AGAINST ISSUER TICKER NUMBER DATE ACTIONS VOTED ON HOLDER THE MATTER CAST VOTE MANAGEMENT ------------------------------------------------------------------------------------------------------------------------------------ BlackRock Real Asset BCF 09254B-109 09/12/08 Elect Directors Issuer Yes For For Equity Trust ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Election of Governors Issuer Yes For For Institute ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Ratification of Issuer Yes For For Institute PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2008 ------------------------------------------------------------------------------------------------------------------------------------ Investment Company N/A N/A 10/02/08 Other Matters. Grant Issuer Yes For For Institute authority to vote upon such other matters as may come before the Meeting, and any adjournments thereof, as they determine to be in the best interest of the Institute. ------------------------------------------------------------------------------------------------------------------------------------ DWS Global Commodities GCS 23338Y-100 10/13/08 Elect Directors Issuer Yes For For Stock Fund, Inc ------------------------------------------------------------------------------------------------------------------------------------ DWS Global Commodities GCS 23338Y-100 10/13/08 Elect Directors Security Yes For Against Stock Fund, Inc Holder ------------------------------------------------------------------------------------------------------------------------------------ DWS Global Commodities GCS 23338Y-100 10/13/08 Elect Directors Issuer Yes For For Stock Fund, Inc ------------------------------------------------------------------------------------------------------------------------------------ Eaton Vance National EIHMX 27826L-249 11/14/08 Elect Directors Issuer Yes For For Municipals Fund - Class I ------------------------------------------------------------------------------------------------------------------------------------ The Prudent Bear Fund BEARX 744294-109 12/03/08 To approve or disapprove Issuer Yes For For - No Load Shares agreement and plan of reorganization pursuant to which Federated Prudent Bear Fund, a portfolio of Federated Equity Funds, would acquire all of the assets and stated liabilities of Prudent Bear Fund in exchange for class A shares and class C shares of the Federated Prudent Bear Fund, all as more fully described in the proxy statement ------------------------------------------------------------------------------------------------------------------------------------ Ivy Asset Strategy WASAX 466000-759 01/15/09 To approve the Issuer Yes For For Fund - Class A reorganiztion of each series of Ivy Funds and each series of Ivy Funds, Inc. into a corresponding series of a newly formed Delaware statutory trust bearing the name Ivy Funds. ------------------------------------------------------------------------------------------------------------------------------------ Western Asset Emerging ESD 95766A-101 02/27/09 Elect Directors Issuer Yes For For Markets Debt Fund ------------------------------------------------------------------------------------------------------------------------------------ Nuveen Equity Premium JPZ 6706ER-101 05/06/09 Elect Directors Issuer Yes For For Income Fund-Com ------------------------------------------------------------------------------------------------------------------------------------ Nuveen Multi-Strgy JQC 67073D-102 05/06/09 Elect Directors Issuer Yes For For Incm & Grth Fd 2-Com ------------------------------------------------------------------------------------------------------------------------------------ The Gabelli Global GDL 36245G-103 05/18/09 Elect Directors Issuer Yes For For Deal Fund ------------------------------------------------------------------------------------------------------------------------------------ JP Morgan U.S. Real SUSIX 4812C0-589 06/15/09 Elect Directors Issuer Yes For For Estate Fund - Class A ------------------------------------------------------------------------------------------------------------------------------------