-----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, QX4u5A6PrMNMK98279NQYNrCz8uTBkVAB+EV6qml9XINZjp7B58239eFAGaBYXCe H3gjgt6fVG76K5lyaxg61Q== 0000915402-09-000016.txt : 20090806 0000915402-09-000016.hdr.sgml : 20090806 20090806093751 ACCESSION NUMBER: 0000915402-09-000016 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090806 DATE AS OF CHANGE: 20090806 EFFECTIVENESS DATE: 20090806 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AQUILA ROCKY MOUNTAIN EQUITY FUND CENTRAL INDEX KEY: 0000915402 IRS NUMBER: 133753850 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-08168 FILM NUMBER: 09990162 BUSINESS ADDRESS: STREET 1: 380 MADISON AVE STREET 2: SUITE 2300 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2126976666 MAIL ADDRESS: STREET 1: 390 MADISON AVENUE STREET 2: SUITE 2300 CITY: NEW YORK STATE: NY ZIP: 10017 0000915402 S000006628 AQUILA ROCKY MOUNTAIN EQUITY FUND C000018099 Class A ROCAX C000018100 Class C ROCCX C000018101 Class I ROCIX C000018102 Class Y ROCYX N-PX 1 armef6-09.txt AQUILA ROCKY MOUNTAIN EQUITY FUND 6/30/09 FORM N-PX UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-8168 Aquila Rocky Mountain Equity Fund (Exact name of registrant as specified in charter) 380 Madison Avenue, New York, NY 10017 (Address of principal executive offices) (Zip code) Joseph P. DiMaggio, Chief Financial Officer, and Treasurer 380 Madison Avenue, New York, NY 10017 (name and address of agent for service) Registrant's telephone number, including area code: 212-697-6666 Date of fiscal year end: December 31 Date of reporting period: 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 (subsections 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, D.C. 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. subsection 3507. ******************************* FORM N-Px REPORT ******************************* ICA File Number: 811-08168 Reporting Period: 07/01/2008 - 06/30/2009 Aquila Rocky Mountain Equity Fund ====================== AQUILA ROCKY MOUNTAIN EQUITY FUND ======================= ALLIED WASTE INDUSTRIES, INC. Ticker: AW Security ID: 019589308 Meeting Date: NOV 14, 2008 Meeting Type: Special Record Date: OCT 6, 2008 # Proposal Mgt Rec Vote Cast Sponsor 1 Approve Merger Agreement For For Management 2 Adjourn Meeting For For Management - -------------------------------------------------------------------------------- AMERICAN ECOLOGY CORP. Ticker: ECOL Security ID: 025533407 Meeting Date: MAY 12, 2009 Meeting Type: Annual Record Date: MAR 16, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Victor J. Barnhart For For Management 1.2 Elect Director Joe F. Colvin For For Management 1.3 Elect Director Roy C. Eliff For For Management 1.4 Elect Director Edward F. Heil For For Management 1.5 Elect Director Jeffrey S. Merrifield For For Management 1.6 Elect Director John W. Poling For For Management 1.7 Elect Director Stephen A. Romano For For Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- ARRAY BIOPHARMA INC. Ticker: ARRY Security ID: 04269X105 Meeting Date: OCT 30, 2008 Meeting Type: Annual Record Date: SEP 2, 2008 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director M.H. Caruthers For For Management 1.2 Elect Director Robert E. Conway For For Management 1.3 Elect Director Kyle A. Lefkoff For For Management 2 Amend Qualified Employee Stock Purchase For For Management Plan 3 Amend Omnibus Stock Plan For Against Management 4 Ratify Auditors For For Management - -------------------------------------------------------------------------------- AVNET, INC. Ticker: AVT Security ID: 053807103 Meeting Date: NOV 6, 2008 Meeting Type: Annual Record Date: SEP 8, 2008 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Eleanor Baum For For Management 1.2 Elect Director J. Veronica Biggins For For Management 1.3 Elect Director Lawrence W. Clarkson For For Management 1.4 Elect Director Ehud Houminer For For Management 1.5 Elect Director Frank R. Noonan For For Management 1.6 Elect Director Ray M. Robinson For For Management 1.7 Elect Director William P. Sullivan For For Management 1.8 Elect Director Gary L. Tooker For For Management 1.9 Elect Director Roy Vallee For For Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- BALL CORP. Ticker: BLL Security ID: 058498106 Meeting Date: APR 22, 2009 Meeting Type: Annual Record Date: MAR 2, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Robert W. Alspaugh For Withhold Management 1.2 Elect Director R. David Hoover For Withhold Management 1.3 Elect Director Jan Nicholson For Withhold Management 2 Ratify Auditors For For Management 3 Declassify the Board of Directors Against For Shareholder - -------------------------------------------------------------------------------- BARRETT BILL CORP Ticker: BBG Security ID: 06846N104 Meeting Date: MAY 14, 2009 Meeting Type: Annual Record Date: MAR 26, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director James M. Fitzgibbons For For Management 1.2 Elect Director Randy I. Stein For For Management 2 Ratify Auditors For For Management 3 Declassify the Board of Directors Against For Shareholder 4 Other Business For Against Management - -------------------------------------------------------------------------------- CIBER, INC. Ticker: CBR Security ID: 17163B102 Meeting Date: MAY 4, 2009 Meeting Type: Annual Record Date: MAR 6, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Paul A. Jacobs For Withhold Management 1.2 Elect Director Archibald J. McGill For Withhold Management 2 Amend Qualified Employee Stock Purchase For For Management Plan 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- CIMAREX ENERGY CO Ticker: XEC Security ID: 171798101 Meeting Date: MAY 20, 2009 Meeting Type: Annual Record Date: MAR 24, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1 Elect Director Jerry Box For For Management 2 Elect Director Paul D. Holleman For For Management 3 Elect Director Michael J. Sullivan For For Management 4 Ratify Auditors For For Management - -------------------------------------------------------------------------------- COLDWATER CREEK INC. Ticker: CWTR Security ID: 193068103 Meeting Date: JUN 13, 2009 Meeting Type: Annual Record Date: APR 17, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Dennis C. Pence For For Management 1.2 Elect Director Robert H. McCall For For Management 1.3 Elect Director Frank M. Lesher For For Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- DISCOVERY COMMUNICATIONS, INC. Ticker: DISCA Security ID: 25470F104 Meeting Date: MAY 11, 2009 Meeting Type: Annual Record Date: MAR 16, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Robert R. Beck For Withhold Management 1.2 Elect Director J. David Wargo For Withhold Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- DISCOVERY HOLDINGS COMPANY Ticker: DISCA Security ID: 25468Y107 Meeting Date: SEP 16, 2008 Meeting Type: Annual Record Date: AUG 5, 2008 # Proposal Mgt Rec Vote Cast Sponsor 1 Approve Merger Agreement For For Management 2 Approve Issuance of Shares for a For For Management Private Placement 3 Increase Authorized Preferred and For For Management Common Stock 4 Amend Omnibus Stock Plan For Against Management 5.1 Elect Director John C Malone For Withhold Management 5.2 Elect Director Robert R Bennett For Withhold Management 6 Ratify Auditors For For Management - -------------------------------------------------------------------------------- DISH NETWORK CORP. Ticker: DISH Security ID: 25470M109 Meeting Date: MAY 11, 2009 Meeting Type: Annual Record Date: MAR 16, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director James DeFranco For Withhold Management 1.2 Elect Director Cantey Ergen For Withhold Management 1.3 Elect Director Charles W. Ergen For Withhold Management 1.4 Elect Director Steven R. Goodbarn For For Management 1.5 Elect Director Gary S. Howard For For Management 1.6 Elect Director David K. Moskowitz For Withhold Management 1.7 Elect Director Tom A. Ortolf For For Management 1.8 Elect Director Carl E. Vogel For Withhold Management 2 Ratify Auditors For For Management 3 Approve Omnibus Stock Plan For Against Management 4 Approve Stock Option Exchange Program For Against Management - -------------------------------------------------------------------------------- DYNAMIC MATERIALS CORP. Ticker: BOOM Security ID: 267888105 Meeting Date: JUN 4, 2009 Meeting Type: Annual Record Date: APR 13, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Dean K. Allen For Withhold Management 1.2 Elect Director Yvon Pierre Cariou For For Management 1.3 Elect Director Bernard Hueber For Withhold Management 1.4 Elect Director Gerard Munera For Withhold Management 1.5 Elect Director Richard P. Graff For For Management 1.6 Elect Director Rolf Rospek For For Management 2 Approve Executive Incentive Bonus Plan For For Management 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- ECHOSTAR CORP. Ticker: SATS Security ID: 278768106 Meeting Date: MAY 11, 2009 Meeting Type: Annual Record Date: MAR 16, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Joseph P. Clayton For For Management 1.2 Elect Director R. Stanton Dodge For Withhold Management 1.3 Elect Director Michael T. Dugan For Withhold Management 1.4 Elect Director Charles W. Ergen For Withhold Management 1.5 Elect Director David K. Moskowitz For Withhold Management 1.6 Elect Director Tom A. Ortolf For For Management 1.7 Elect Director C. Michael Schroeder For For Management 2 Ratify Auditors For For Management 3 Amend Qualified Employee Stock Purchase For For Management Plan 4 Amend Bundled Compensation Plans For Against Management - -------------------------------------------------------------------------------- FIRST SOLAR INC Ticker: FSLR Security ID: 336433107 Meeting Date: JUN 4, 2009 Meeting Type: Annual Record Date: APR 14, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Michael J. Ahearn For For Management 1.2 Elect Director Craig Kennedy For For Management 1.3 Elect Director James F. Nolan For For Management 1.4 Elect Director J. Thomas Presby For For Management 1.5 Elect Director Paul H. Stebbins For Withhold Management 1.6 Elect Director Michael Sweeney For Withhold Management 1.7 Elect Director Jose H. Villarreal For Withhold Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- FREEPORT-MCMORAN COPPER & GOLD INC. Ticker: FCX Security ID: 35671D857 Meeting Date: JUN 11, 2009 Meeting Type: Annual Record Date: APR 14, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Richard C. Adkerson For For Management 1.2 Elect Director Robert J. Allison, Jr. For For Management 1.3 Elect Director Robert A. Day For For Management 1.4 Elect Director Gerald J. Ford For For Management 1.5 Elect Director H. Devon Graham, Jr. For For Management 1.6 Elect Director J. Bennett Johnston For For Management 1.7 Elect Director Charles C. Krulak For For Management 1.8 Elect Director Bobby Lee Lackey For For Management 1.9 Elect Director Jon C. Madonna For For Management 1.10 Elect Director Dustan E. McCoy For For Management 1.11 Elect Director Gabrielle K. McDonald For For Management 1.12 Elect Director James R. Moffett For For Management 1.13 Elect Director B.M. Rankin, Jr. For For Management 1.14 Elect Director J. Stapleton Roy For For Management 1.15 Elect Director Stephen H. Siegele For For Management 1.16 Elect Director J. Taylor Wharton For For Management 2 Ratify Auditors For For Management 3 Approve Executive Incentive Bonus Plan For For Management 4 Request Director Nominee Environmental Against For Shareholder Qualifications - -------------------------------------------------------------------------------- GLACIER BANCORP, INC. Ticker: GBCI Security ID: 37637Q105 Meeting Date: APR 29, 2009 Meeting Type: Annual Record Date: MAR 2, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Michael J. Blodnick For For Management 1.2 Elect Director James M. English For Withhold Management 1.3 Elect Director Allen J. Fetscher For Withhold Management 1.4 Elect Director Dallas I. Herron For Withhold Management 1.5 Elect Director Jon W. Hippler For For Management 1.6 Elect Director Craig A. Langel For Withhold Management 1.7 Elect Director L. Peter Larson For Withhold Management 1.8 Elect Director Douglas J. McBride For Withhold Management 1.9 Elect Director John W. Murdoch For Withhold Management 1.10 Elect Director Everit A. Sliter For Withhold Management - -------------------------------------------------------------------------------- IHS INC. Ticker: IHS Security ID: 451734107 Meeting Date: MAY 14, 2009 Meeting Type: Annual Record Date: MAR 13, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Ruann F. Ernst For For Management 1.2 Elect Director Christoph v. Grolman For For Management 1.3 Elect Director Richard W. Roedel For For Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- INTERNATIONAL GAME TECHNOLOGY Ticker: IGT Security ID: 459902102 Meeting Date: MAR 3, 2009 Meeting Type: Annual Record Date: JAN 6, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Robert A. Bittman For For Management 1.2 Elect Director Richard R. Burt For For Management 1.3 Elect Director Patti S. Hart For For Management 1.4 Elect Director Robert A. Mathewson For For Management 1.5 Elect Director Thomas J. Matthews For For Management 1.6 Elect Director Robert Miller For For Management 1.7 Elect Director Frederick B. Rentschler For For Management 1.8 Elect Director David E. Roberson For For Management 2 Amend Omnibus Stock Plan For For Management 3 Ratify Auditors For For Management 4 Elect Director Philip G. Satre For For Management - -------------------------------------------------------------------------------- JANUS CAPITAL GROUP INC. Ticker: JNS Security ID: 47102X105 Meeting Date: APR 30, 2009 Meeting Type: Annual Record Date: MAR 2, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Steven L. Scheid For For Management 1.2 Elect Director Timothy K. Armour For For Management 1.3 Elect Director J. Richard Fredericks For For Management 1.4 Elect Director Lawrence E. Kochard For For Management 1.5 Elect Director Landon H. Rowland For For Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- JDA SOFTWARE GROUP, INC. Ticker: JDAS Security ID: 46612K108 Meeting Date: MAY 11, 2009 Meeting Type: Annual Record Date: MAR 31, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director J. Michael Gullard For For Management 2 Amend Omnibus Stock Plan For For Management 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- KNIGHT TRANSPORTATION, INC. Ticker: KNX Security ID: 499064103 Meeting Date: MAY 21, 2009 Meeting Type: Annual Record Date: MAR 31, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Gary J. Knight For For Management 1.2 Elect Director G.D. Madden For For Management 1.3 Elect Director Kathryn L. Munro For For Management 2 Approve Qualified Employee Stock For For Management Purchase Plan 3 Amend Omnibus Stock Plan For For Management 4 Approve Stock Option Exchange Program For Against Management 5 Ratify Auditors For For Management - -------------------------------------------------------------------------------- LIBERTY MEDIA CORPORATION Ticker: LINTA Security ID: 53071M104 Meeting Date: JUN 25, 2009 Meeting Type: Annual Record Date: APR 27, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Donne F. Fisher For Withhold Management 1.2 Elect Director Gregory B. Maffei For For Management 1.3 Elect Director M. Lavoy Robison For Withhold Management 2 Change Company Name For For Management 3 Approve Reverse Stock Split For For Management 4 Ratify Auditors For For Management - -------------------------------------------------------------------------------- LIBERTY MEDIA CORPORATION Ticker: LINTA Security ID: 53071M500 Meeting Date: JUN 25, 2009 Meeting Type: Annual Record Date: APR 27, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Donne F. Fisher For Withhold Management 1.2 Elect Director Gregory B. Maffei For For Management 1.3 Elect Director M. Lavoy Robison For Withhold Management 2 Change Company Name For For Management 3 Approve Reverse Stock Split For For Management 4 Ratify Auditors For For Management - -------------------------------------------------------------------------------- M.D.C. HOLDINGS, INC. Ticker: MDC Security ID: 552676108 Meeting Date: APR 27, 2009 Meeting Type: Annual Record Date: FEB 27, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director David E. Blackford For For Management 1.2 Elect Director Steven J. Borick For For Management 2 Require Independent Board Chairman Against For Shareholder 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- MEDICIS PHARMACEUTICAL CORP. Ticker: MRX Security ID: 584690309 Meeting Date: MAY 19, 2009 Meeting Type: Annual Record Date: MAR 20, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1 Elect Director Arthur G. Altschul, Jr. For Against Management 2 Elect Director Philip S. Schein, M.D. For For Management 3 Amend Omnibus Stock Plan For Against Management 4 Ratify Auditors For For Management 5 Other Business For Against Management - -------------------------------------------------------------------------------- MERIT MEDICAL SYSTEMS, INC. Ticker: MMSI Security ID: 589889104 Meeting Date: MAY 20, 2009 Meeting Type: Annual Record Date: MAR 25, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Fred P. Lampropoulos For For Management 1.2 Elect Director Franklin J. Miller For For Management 2 Amend Omnibus Stock Plan For For Management 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- MICROCHIP TECHNOLOGY INCORPORATED Ticker: MCHP Security ID: 595017104 Meeting Date: AUG 15, 2008 Meeting Type: Annual Record Date: JUN 19, 2008 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Steve Sanghi For For Management 1.2 Elect Director Albert J. Hugo-Martinez For For Management 1.3 Elect Director L.B. Day For For Management 1.4 Elect Director Matthew W. Chapman For For Management 1.5 Elect Director Wade F. Meyercord For For Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- MOBILE MINI, INC. Ticker: MINI Security ID: 60740F105 Meeting Date: JUN 24, 2009 Meeting Type: Annual Record Date: APR 27, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Stephen A Mcconnell For For Management 1.2 Elect Director Jeffrey S. Goble For For Management 1.3 Elect Director Michael E. Donovan For For Management 2 Ratify Auditors For For Management 3 Amend Omnibus Stock Plan For Against Management - -------------------------------------------------------------------------------- MYRIAD GENETICS, INC. Ticker: MYGN Security ID: 62855J104 Meeting Date: NOV 13, 2008 Meeting Type: Annual Record Date: SEP 26, 2008 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Walter Gilbert, Ph.D. For For Management 1.2 Elect Director D.H. Langer, M.D. For For Management 2 Increase Authorized Common Stock For For Management 3 Amend Stock Option Plan For Against Management 4 Ratify Auditors For For Management - -------------------------------------------------------------------------------- NEWMONT MINING CORP. Ticker: NEM Security ID: 651639106 Meeting Date: APR 29, 2009 Meeting Type: Annual Record Date: MAR 2, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Glen A. Barton For For Management 1.2 Elect Director Vincent A. Calarco For For Management 1.3 Elect Director Joseph A. Carrabba For For Management 1.4 Elect Director Noreen Doyle For For Management 1.5 Elect Director Veronica M. Hagen For For Management 1.6 Elect Director Michael S. Hamson For For Management 1.7 Elect Director Robert J. Miller For For Management 1.8 Elect Director Richard T. O'Brien For For Management 1.9 Elect Director John B. Prescott For For Management 1.10 Elect Director Donald C. Roth For For Management 1.11 Elect Director James V. Taranik For For Management 1.12 Elect Director Simon Thompson For For Management 2 Ratify Auditors For For Management 3 Amend Articles/Bylaws/Charter -- Call Against For Shareholder Special Meetings 4 Require a Majority Vote for the Against For Shareholder Election of Directors - -------------------------------------------------------------------------------- PETSMART Ticker: PETM Security ID: 716768106 Meeting Date: JUN 17, 2009 Meeting Type: Annual Record Date: APR 20, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1 Elect Director Rita V. Foley For For Management 2 Elect Director Joseph S. Hardin, Jr. For For Management 3 Elect Director Amin I. Khalifa For For Management 4 Declassify the Board of Directors For For Management 5 Ratify Auditors For For Management 6 Amend Executive Incentive Bonus Plan For For Management - -------------------------------------------------------------------------------- PINNACLE ENTERTAINMENT, INC. Ticker: PNK Security ID: 723456109 Meeting Date: MAY 5, 2009 Meeting Type: Annual Record Date: MAR 10, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Daniel R. Lee For For Management 1.2 Elect Director Stephen C. Comer For For Management 1.3 Elect Director John V. Giovenco For Withhold Management 1.4 Elect Director Richard J. Goeglein For Withhold Management 1.5 Elect Director Ellis Landau For For Management 1.6 Elect Director Bruce A. Leslie For For Management 1.7 Elect Director James L. Martineau For Withhold Management 1.8 Elect Director Michael Ornest For For Management 1.9 Elect Director Lynn P. Reitnouer For Withhold Management 2 Approve Stock Option Exchange Program For Against Management 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- PROVIDENCE SERVICE CORP., THE Ticker: PRSC Security ID: 743815102 Meeting Date: JUN 15, 2009 Meeting Type: Proxy Contest Record Date: APR 20, 2009 # Proposal Mgt Rec Vote Cast Sponsor Management Proxy (White Card) 1.1 Elect Director Fletcher Jay McCusker For For Management 1.2 Elect Director Kristi L. Meints For For Management 2 Ratify Auditors For For Management # Proposal Diss Rec Vote Cast Sponsor Dissident Proxy (Blue Card) 1.1 Elect Director Michael C. Bradley For None Shareholder 1.2 Elect Director Brian T. Costello For None Shareholder 2 Ratify Auditors For None Management - -------------------------------------------------------------------------------- QUESTAR CORP. Ticker: STR Security ID: 748356102 Meeting Date: MAY 19, 2009 Meeting Type: Annual Record Date: MAR 10, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Keith O. Rattie For For Management 1.2 Elect Director Harris H. Simmons For For Management 1.3 Elect Director M. W. Scoggins For For Management 1.4 Elect Director James A. Harmon For For Management 2 Ratify Auditors For For Management 3 Declassify the Board of Directors For For Management 4 Amend Director/Officer Liability and For For Management Indemnification 5 Increase Authorized Common Stock For For Management 6 Eliminate a Provision Imposing Limits For For Management on Issuance of Preferred Stock 7 Amend Executive Incentive Bonus Plan For Against Management 8 Require a Majority Vote for the None For Shareholder Election of Directors 9 Advisory Vote to Ratify Named Executive Against For Shareholder Officers' Compensation - -------------------------------------------------------------------------------- REPUBLIC SERVICES, INC. Ticker: RSG Security ID: 760759100 Meeting Date: MAY 14, 2009 Meeting Type: Annual Record Date: MAR 16, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director James E. O'Connor For For Management 1.2 Elect Director John W. Croghan For For Management 1.3 Elect Director James W. Crownover For For Management 1.4 Elect Director William J. Flynn For For Management 1.5 Elect Director David I. Foley For For Management 1.6 Elect Director Nolan Lehmann For For Management 1.7 Elect Director W. Lee Nutter For For Management 1.8 Elect Director Ramon A. Rodriguez For For Management 1.9 Elect Director Allan C. Sorensen For For Management 1.10 Elect Director John M. Trani For For Management 1.11 Elect Director Michael W. Wickham For For Management 2 Ratify Auditors For For Management 3 Approve Executive Incentive Bonus Plan For For Management 4 Approve Qualified Employee Stock For For Management Purchase Plan - -------------------------------------------------------------------------------- RIGHTNOW TECHNOLOGIES, INC Ticker: RNOW Security ID: 76657R106 Meeting Date: JUN 3, 2009 Meeting Type: Annual Record Date: APR 9, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Director Richard E. Allen For For Management 2 Ratify Auditors For For Management 3 Other Business For Against Management - -------------------------------------------------------------------------------- ROCKY MOUNTAIN CHOCOLATE FACTORY Ticker: RMCF Security ID: 774678403 Meeting Date: JUL 18, 2008 Meeting Type: Annual Record Date: JUN 9, 2008 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Franklin E. Crail For For Management 1.2 Elect Director Lee N. Mortenson For For Management 1.3 Elect Director Bryan J. Merryman For For Management 1.4 Elect Director Gerald A. Kien For For Management 1.5 Elect Director Clyde Wm. Engle For Withhold Management - -------------------------------------------------------------------------------- SEMITOOL, INC. Ticker: SMTL Security ID: 816909105 Meeting Date: MAR 5, 2009 Meeting Type: Annual Record Date: JAN 9, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Raymon F. Thompson For Withhold Management 1.2 Elect Director Howard E. Bateman For Withhold Management 1.3 Elect Director Donald P. Baumann For Withhold Management 1.4 Elect Director Timothy C. Dodkin For Withhold Management 1.5 Elect Director Daniel J. Eigeman For For Management 1.6 Elect Director Charles P. Grenier For For Management 1.7 Elect Director Steven C. Stahlberg For For Management 1.8 Elect Director Steven R. Thompson For Withhold Management 2 Approve Stock Option Exchange Program For Against Management 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- SHUFFLE MASTER, INC. Ticker: SHFL Security ID: 825549108 Meeting Date: MAR 18, 2009 Meeting Type: Annual Record Date: JAN 26, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Garry W. Saunders For For Management 1.2 Elect Director Louis Castle For For Management 1.3 Elect Director Phillip C. Peckman For For Management 1.4 Elect Director John R. Bailey For For Management 1.5 Elect Director William Warner For For Management 1.6 Elect Director Khatchig Zaven "Chris" For For Management Philibbosian 1.7 Elect Director Timothy J. Parrott For For Management 2 Amend Omnibus Stock Plan For For Management 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- SKYWEST, INC. Ticker: SKYW Security ID: 830879102 Meeting Date: MAY 5, 2009 Meeting Type: Annual Record Date: MAR 12, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Jerry C. Atkin For For Management 1.2 Elect Director W. Steve Albrecht For For Management 1.3 Elect Director J. Ralph Atkin For Withhold Management 1.4 Elect Director Margaret S. Billson For For Management 1.5 Elect Director Ian M. Cumming For Withhold Management 1.6 Elect Director Henry J. Eyring For For Management 1.7 Elect Director Robert G. Sarver For For Management 1.8 Elect Director Steven F. Udvar-Hazy For For Management 1.9 Elect Director James L. Welch For For Management 2 Approve Qualified Employee Stock For For Management Purchase Plan 3 Ratify Auditors For For Management - -------------------------------------------------------------------------------- SONIC INNOVATIONS, INC. Ticker: SNCI Security ID: 83545M109 Meeting Date: MAY 7, 2009 Meeting Type: Annual Record Date: MAR 9, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Cherie M. Fuzzell For For Management 1.2 Elect Director Lawrence C. Ward For For Management 2 Ratify Auditors For For Management 3 Change Company Name For For Management 4 Approve Reverse Stock Split For For Management - -------------------------------------------------------------------------------- SPECTRANETICS CORP., THE Ticker: SPNC Security ID: 84760C107 Meeting Date: JUN 10, 2009 Meeting Type: Annual Record Date: APR 14, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director David G. Blackburn For For Management 1.2 Elect Director R. John Fletcher For For Management 1.3 Elect Director Craig M. Walker, M.D. For For Management 2 Approve Increase in Size of Board For For Management 3 Amend Omnibus Stock Plan For For Management 4 Ratify Auditors For For Management - -------------------------------------------------------------------------------- USANA HEALTH SCIENCES INC Ticker: USNA Security ID: 90328M107 Meeting Date: APR 29, 2009 Meeting Type: Annual Record Date: MAR 6, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Myron W. Wentz For For Management 1.2 Elect Director Ronald S. Poelman For For Management 1.3 Elect Director Robert Anciaux For For Management 1.4 Elect Director Jerry G. McClain For For Management 1.5 Elect Director Gilbert A. Fuller For For Management 2 Ratify Auditors For For Management - -------------------------------------------------------------------------------- WESTERN UNION COMPANY, THE Ticker: WU Security ID: 959802109 Meeting Date: MAY 13, 2009 Meeting Type: Annual Record Date: MAR 16, 2009 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Roberto G. Mendoza For For Management 1.2 Elect Director Michael A. Miles, Jr. For For Management 1.3 Elect Director Dennis Stevenson For For Management 2 Ratify Auditors For For Management ========== END NPX REPORT SIGNATURES 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. AQUILA ROCKY MOUNTAIN EQUITY FUND /s/ Diana P. Herrmann - - ---------------------- Diana P. Herrmann, President and Trustee /s/ Joseph P. DiMaggio - - ----------------------- Joseph P. DiMaggio, Chief Financial Officer and Treasurer August 6, 2009 -----END PRIVACY-ENHANCED MESSAGE-----