0001111830-14-000533.txt : 20140730 0001111830-14-000533.hdr.sgml : 20140730 20140730143949 ACCESSION NUMBER: 0001111830-14-000533 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140730 DATE AS OF CHANGE: 20140730 EFFECTIVENESS DATE: 20140730 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: 141002415 BUSINESS ADDRESS: STREET 1: 100 WILLIAM STREET STREET 2: SUITE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 BUSINESS PHONE: (781) 235-7055 MAIL ADDRESS: STREET 1: 100 WILLIAM STREET STREET 2: SUITE 200 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 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 ncp_npx-0614.htm NEW CENTURY PORTFOLIOS - N-PX ncp_npx-0613.htm
 
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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)


100 William Street, Suite 200                           Wellesley, Massachusetts
02481
(Address of principal executive offices)
(Zip code)


Nicole M. Tremblay, Esq.

Weston Financial Group, Inc.                 100 William Street, Suite 200           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                                               
 
Date of reporting period:      July 1, 2013 - June 30, 2014                      

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/ Nicole M. Tremblay
  
 
Nicole M. Tremblay, President
  
Date
July 30, 2014
    


* Print the name and title of each signing officer under his or her signature.
 
 
EXHIBIT A
 
New Century Portfolios' Form N-PX (Annual Proxy Voting record)   (07/01/13 - 06/30/14)
New Century Portfolios
New Century Capital Portfolio
Ticker: NCCPX
Proxy Voting Record: 07/01/13 - 06/30/14
Issuer
Ticker
Cusip Number
Shareholder Mtg Date
Actions Voted on
Matter Proposed by Issuer or Security Holder
Did Registrant Cast its Vote on the Matter
How Registrant Cast Vote
Whether Registrant Cast its Vote For or Against Management
Investment Company Institute
N/A
N/A
10/02/13
Elect Directors
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2013
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Other Matters
Issuer
Yes
For
For
Putnam Equity Income CL Y
PEIYX
746745-405
02/27/14
Approve a new management agreement
Issuer
Yes
For
For
Putnam Equity Income CL Y
PEIYX
746745-405
02/27/14
Elect Directors
Issuer
Yes
For
For
Putnam Equity Income CL Y
PEIYX
746745-405
02/27/14
Approve an amended and restated Declaration of Trust
Issuer
Yes
For
For
Putnam Equity Income CL Y
PEIYX
746745-405
02/27/14
Other Matters
Issuer
Yes
For
For
Putnam Equity Spectrum Fund CL Y
PYSYX
74676P-219
02/27/14
Approve a new management agreement
Issuer
Yes
For
For
Putnam Equity Spectrum Fund CL Y
PYSYX
74676P-219
02/27/14
Elect Directors
Issuer
Yes
For
For
Putnam Equity Spectrum Fund CL Y
PYSYX
74676P-219
02/27/14
Approve an amended and restated Declaration of Trust
Issuer
Yes
For
For
Putnam Equity Spectrum Fund CL Y
PYSYX
74676P-219
02/27/14
Other Matters
Issuer
Yes
For
For
Ridgeworth Large Cap Value Equity CL I
STVTX
76628R-672
03/12/14
Elect Directors
Issuer
Yes
For
For
Ridgeworth Large Cap Value Equity CL I
STVTX
76628R-672
03/12/14
Approve an amendment to the Trust's Agreement and Declaration of Trust
Issuer
Yes
For
For
Ridgeworth Large Cap Value Equity CL I
STVTX
76628R-672
03/12/14
Approve the implementation of a Manager of Managers Arrangement
Issuer
Yes
For
For
Ridgeworth Large Cap Value Equity CL I
STVTX
76628R-672
03/12/14
Approve new invsetment advisory agreement between Ridgeworth Investments and the Trust
Issuer
Yes
For
For
Ridgeworth Large Cap Value Equity CL I
STVTX
76628R-672
03/12/14
Approve a new sub-advisory agreement between Ridgeworth Investments and Ceredex Value Advisors LLC
Issuer
Yes
For
For
Ridgeworth Large Cap Value Equity CL I
STVTX
76628R-672
03/12/14
Other Matters
Issuer
Yes
For
For
JP Morgan  Funds (JPMorgan Value Advantage Fund -Institutional)
JVAIX
4812A2-587
06/10/14
Elect Directors
Issuer
Yes
For
For
JP Morgan  Funds (JPMorgan Value Advantage Fund -Institutional)
JVAIX
4812A2-587
06/10/14
Other Matters
Issuer
Yes
For
For

 
New Century Portfolios
New Century Balanced Portfolio
Ticker: NCIPX
Proxy Voting Record: 07/01/13 - 06/30/14
Issuer
Ticker
Cusip Number
Shareholder Mtg Date
Actions Voted on
Matter Proposed by Issuer or Security Holder
Did Registrant Cast its Vote on the Matter
How Registrant Cast Vote
Whether Registrant Cast its Vote For or Against Management
Investment Company Institute
N/A
N/A
10/02/13
Elect Directors
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2013
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Other Matters
Issuer
Yes
For
For
JP Morgan  Funds (JPMorgan Value Advantage Fund -Institutional)
JVAIX
4812A2-587
06/10/14
Elect Directors
Issuer
Yes
For
For
JP Morgan  Funds (JPMorgan Value Advantage Fund -Institutional)
JVAIX
4812A2-587
06/10/14
Other Matters
Issuer
Yes
For
For
New Century Portfolios
New Century International Portfolio
Ticker: NCFPX
Proxy Voting Record: 07/01/13 - 06/30/14
Issuer
Ticker
Cusip Number
Shareholder Mtg Date
Actions Voted on
Matter Proposed by Issuer or Security Holder
Did Registrant Cast its Vote on the Matter
How Registrant Cast Vote
Whether Registrant Cast its Vote For or Against Management
Investment Company Institute
N/A
N/A
10/02/13
Elect Directors
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2013
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Other Matters
Issuer
Yes
For
For
Wisdomtree Japan Hedged Equity Fund
DXJ
97717W-851
03/11/14
Elect Directors
Issuer
Yes
For
For
Wisdomtree Japan Hedged Equity Fund
DXJ
97717W-851
03/11/14
Other Matters
Issuer
Yes
For
For
JP Morgan  Funds (JPMorgan Latin America Fund -Select)
JLTSX
4812A3-478
06/10/14
Elect Directors
Issuer
Yes
For
For
JP Morgan  Funds (JPMorgan Latin America Fund -Select)
JLTSX
4812A3-478
06/10/14
Other Matters
Issuer
Yes
For
For
New Century Portfolios
New Century Alternative Strategies Portfolio
Ticker: NCHPX
Proxy Voting Record: 07/01/13 - 06/30/14
Issuer
Ticker
Cusip Number
Shareholder Mtg Date
Actions Voted on
Matter Proposed by Issuer or Security Holder
Did Registrant Cast its Vote on the Matter
How Registrant Cast Vote
Whether Registrant Cast its Vote For or Against Management
The Merger Fund
MERFX
589509-108
07/16/13
Elect Directors
Issuer
Yes
For
For
Blackrock Enhanced Equity Dividend Trust
BDJ
09251A-104
07/30/13
Elect Directors
Issuer
Yes
For
For
Blackrock Enhanced Equity Dividend Trust
BDJ
09251A-104
07/30/13
Other Matters
Issuer
Yes
For
For
Touchstone Merger Arbitrage Fund Instl. Cl
TMGLX
89155T-698
08/02/13
Elect Directors
Issuer
Yes
For
For
Touchstone Merger Arbitrage Fund Instl. Cl
TMGLX
89155T-698
08/02/13
Other Matters
Issuer
Yes
For
For
Northern Lights Fund Trust (MutualHedge Frontier Legends Fund-I)
MHFIX
66537X-555
09/10/13
Elect Directors
Issuer
Yes
For
For
Northern Lights Fund Trust (MutualHedge Frontier Legends Fund-I)
MHFIX
66537X-555
09/10/13
Other Matters
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Elect Directors
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Ratification of PricewaterhouseCoopers LLP as independent auditors for fiscal year ending September 30, 2013
Issuer
Yes
For
For
Investment Company Institute
N/A
N/A
10/02/13
Other Matters
Issuer
Yes
For
For
Aberdeen Asia-Pacific Income Fund-Com
FAX
003009-107
03/27/14
Elect Directors
Issuer
Yes
For
For
Aberdeen Asia-Pacific Income Fund-Com
FAX
003009-107
03/27/14
Other Matters
Issuer
Yes
For
For
RS Investment Trust (RS Global Natural Resources Fund)
RSNRX
74972H-705
05/23/14
Elect Directors
Issuer
Yes
For
For
RS Investment Trust (RS Global Natural Resources Fund)
RSNRX
74972H-705
05/23/14
Approve a sub-advisory agreement between RS Investment Management Co. LLC and SailingStone Capital Partners LLC, pursuant to which SailingStone would serve as sub-adviser to the Global Natural Resources Fund.
Issuer
Yes
For
For
RS Investment Trust (RS Global Natural Resources Fund)
RSNRX
74972H-705
05/23/14
Other Matters
Issuer
Yes
For
For