-----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, NI+bTeHhErAmh4bU55KVVw96siLMkP93g8Y8WgLkQ8IaU6vusRS9sT/hLh9gJs5d h2TUwclXGlYVvCqqhJBkJw== 0000910472-09-000612.txt : 20090819 0000910472-09-000612.hdr.sgml : 20090819 20090819120531 ACCESSION NUMBER: 0000910472-09-000612 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090819 FILED AS OF DATE: 20090819 DATE AS OF CHANGE: 20090819 EFFECTIVENESS DATE: 20090819 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SANTA BARBARA GROUP OF MUTUAL FUNDS INC CENTRAL INDEX KEY: 0000895645 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-07414 FILM NUMBER: 091023305 BUSINESS ADDRESS: STREET 1: 14020 S. 147TH ST. CITY: OMAHA STATE: NE ZIP: 68137 BUSINESS PHONE: 6268441441 MAIL ADDRESS: STREET 1: 107 S. FAIR OAKS BLVD STREET 2: SUITE 315 CITY: PASADENA STATE: CA ZIP: 91105 FORMER COMPANY: FORMER CONFORMED NAME: ASCHER FUNDS INC DATE OF NAME CHANGE: 19930328 0000895645 S000011045 PFW Water Fund C000030473 PFW Water Fund Class A BEGAX C000030474 PFW Water Fund Class C BEGCX 0000895645 S000011046 Montecito Fund C000030476 Montecito Fund MONAX N-PX 1 coverandsignaturepage.htm THE SANTA BARBARA GROUP OF MUTUAL FUNDS, INC. Gem Com, LLC

      OMB Number: 3235-0582

Expires: March 31, 2012

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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:  811-07414


                        THE SANTA BARBARA GROUP OF MUTUAL FUNDS, INC.

(Exact name of registrant as specified in charter)


107 South Fair Oaks Avenue, Suite 315, Pasadena, California 91105

                                                                                                  (Address of principal executive offices)             

                                                                                             (Zip code)


Emile R. Molineaux, Esq.

Gemini Fund Services, LLC

450 Wireless Boulevard

Hauppauge, NY 11788

_______________________________________________________________________

(Name and address of agent for service)


Registrant's telephone number, including area code:  (626) 844-1441


Date of fiscal year end:  March 31st


Date of reporting period:  July 1, 2008 - June 30, 2009

                        


ITEM 1. PROXY VOTING RECORD:


Appended hereto as Exhibit A  is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2009 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.


Registrant:  The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund                                        

   

Item 1, Exhibit A

Investment Company Act file number:

811-07414

       

Reporting Period: July 1, 2008 through September 30, 2008

       
           

FORM N-PX - PROXY VOTING RECORD REQUIREMENTS

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

PetroChina

PTR

7164E100

7/31/2008

S1

Domestic Bonds Resolution

MGMT

Y

FOR

FOR

2

BNY Money Fund

 

05561M507

7/16/2008

1

Transfer assets to Dreyfus

MGMT

Y

FOR

FOR

3

Sun Communities

SUI

866674104

7/18/2008

1

Directors recommend

MGMT

Y

FOR

FOR

4

 

 

 

 

a

Gary Shiffman

 

 

 

 

5

 

 

 

 

b

Ronald Piasecki

 

 

 

 

6

 

 

 

 

2

Registered accounting firm

MGMT

Y

FOR

FOR

7

HJ Heinz

HNZ

423074103

8/13/2008

1

Directors recommend

MGMT

Y

FOR

FOR

8

 

 

 

 

a

WR Johnson

 

 

 

 

9

 

 

 

 

b

CE Bunch

 

 

 

 

10

 

 

 

 

c

LS Coleman

 

 

 

 

11

 

 

 

 

d

JG Drosdick

 

 

 

 

12

 

 

 

 

e

EE Holiday

 

 

 

 

13

 

 

 

 

f

C Kendle

 

 

 

 

14

 

 

 

 

g

DR O'Hare

 

 

 

 

15

 

 

 

 

h

N Peltz

 

 

 

 

16

 

 

 

 

I

DH Reilley

 

 

 

 

17

 

 

 

 

j

LC Swann

 

 

 

 

18

 

 

 

 

k

TJ Usher

 

 

 

 

19

 

 

 

 

l

MF Weinstein

 

 

 

 

20

 

 

 

 

2

Registered accounting firm

MGMT

Y

FOR

FOR

21

 

 

 

 

3

Amend bylaws  D&O Indemnity

MGMT

Y

AGAINST

AGAINST

22

 

 

 

 

4

Amend business combinations

MGMT

Y

AGAINST

AGAINST

23

Investors Real Estate Trust

IRET

461730103

9/16/2008

1

Directors recommend

MGMT

Y

FOR

FOR

24

 

 

 

 

a

Patrick Jones

 

 

 

 

25

 

 

 

 

b

Timothy Mihalick

 

 

 

 

26

 

 

 

 

c

Jeffrey Miller

 

 

 

 

27

 

 

 

 

d

CW Morgan

 

 

 

 

28

 

 

 

 

e

John Reed

 

 

 

 

29

 

 

 

 

f

David Scott

 

 

 

 

30

 

 

 

 

g

Stephen Stenehjem

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

h

John Stewart

 

 

 

 

2

 

 

 

 

I

Thomas Wentz

 

 

 

 

3

 

 

 

 

2

2008 Incentive Plan

MGMT

Y

AGAINST

AGAINST

4

 

 

 

 

3

Registered accounting firm

MGMT

Y

FOR

FOR

5

 

 

 

 

 

 

 

 

 

 


Registrant:  The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund                                        

   

Item 1, Exhibit A

Investment Company Act file number:

811-07414

       

Reporting Period: October 1, 2008 through December 31, 2008

      
           

FORM N-PX - PROXY VOTING RECORD REQUIREMENTS

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

Paychex, Inc.

PAYX

704326107

10/7/2008

1

Election of Directors

MGMT

Y

 

 

2

 

 

 

 

a.

B Thomas Golisano

 

 

For

For

3

 

 

 

 

b.

David JS Flaschen

 

 

For

For

4

 

 

 

 

c.

Phillip Horsley

 

 

For

For

5

 

 

 

 

d.  

Grant M Inman

 

 

For

For

6

 

 

 

 

e.

Pamela A Joseph

 

 

For

For

7

 

 

 

 

f.

Jonathan J Judge

 

 

For

For

8

 

 

 

 

g.

Joseph M Tucci

 

 

For

For

9

 

 

 

 

h.

Joseph M Velli

 

 

For

For

10

 

 

 

 

2

Ratification of Auditor

MGMT

Y

For

For

11

 

 

 

 

 

 

 

 

 

 

12

Procter & Gamble

PG

742718109

10/14/2008

1

Election of Directors

MGMT

Y

For

For

13

 

 

 

 

 

Kenneth Chenault

 

 

 

 

14

 

 

 

 

 

Scott Cook

 

 

 

 

15

 

 

 

 

 

Rajat Gupta

 

 

 

 

16

 

 

 

 

 

AG Lafley

 

 

 

 

17

 

 

 

 

 

Charles Lee

 

 

 

 

18

 

 

 

 

 

Lynn Martin

 

 

 

 

19

 

 

 

 

 

James Mcnerney Jr.

 

 

 

 

20

 

 

 

 

 

Jonathan Rodgers

 

 

 

 

21

 

 

 

 

 

Ralph Snyderman

 

 

 

 

22

 

 

 

 

 

Margaret Whitman

 

 

 

 

23

 

 

 

 

 

Patricia Woertz

 

 

 

 

24

 

 

 

 

 

Ernesto Zedillo

 

 

 

 

25

 

 

 

 

2

Ratification of Auditor

MGMT

Y

For

For

26

 

 

 

 

3

Adopt Majority Voting

MGMT

Y

For

For

27

 

 

 

 

4

Rotate site of annual mtg.

SHAREHOLD

Y

Against

For

28

 

 

 

 

5

Executive Compensation

SHAREHOLD

Y

ABSTAIN

Against

29

 

 

 

 

 

 

 

 

 

 

30

 

 

 

 

 

 

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

Microsoft

MSFT

594918104

11/19/2008

 

Directors

 

 

 

 

2

 

 

 

 

1

Steven Ballmer

MGMT

Y

For

For

3

 

 

 

 

2

James Cash

MGMT

Y

For

For

4

 

 

 

 

3

Dina Dublon

MGMT

Y

For

For

5

 

 

 

 

4

William Gates III

MGMT

Y

For

For

6

 

 

 

 

5

Raymond Gilmartin

MGMT

Y

For

For

7

 

 

 

 

6

Reed Hastings

MGMT

Y

For

For

8

 

 

 

 

7

David Marquardt

MGMT

Y

For

For

9

 

 

 

 

8

Charles Noski

MGMT

Y

For

For

10

 

 

 

 

9

Helmut Panke

MGMT

Y

For

For

11

 

 

 

 

10

Executive Officer Plan

MGMT

Y

Against

Against

12

 

 

 

 

11

1999 Stock Option Plan

MGMT

Y

Against

Against

13

 

 

 

 

12

Auditor

MGMT

Y

For

For

14

 

 

 

 

13

Internet Censorship

MGMT

Y

Against

For

15

 

 

 

 

14

Human Rights

MGMT

Y

Against

For

16

 

 

 

 

15

Charitable Contributions

MGMT

Y

Against

For

17

 

 

 

 

 

 

 

 

 

 

18

Petroleo Brasileiro

PBR

71654V408

11/24/2008

1

Approval of protocol of inc.

MGMT

Y

For

For

19

 

 

 

 

2

evaluate assets & report

MGMT

Y

For

For

20

 

 

 

 

 

 

 

 

 

 



Registrant:  The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund                                        

   

Item 1, Exhibit A

Investment Company Act file number:

811-07414

       

Reporting Period: January 1, 2009 through March 31, 2009

       
           

FORM N-PX - PROXY VOTING RECORD REQUIREMENTS

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

Qualcomm Inc.

QCOM

487436608483

3/3/2009

1

Election of Directors

MGMT

Y

For

For

2

 

 

 

 

a.

Barbara T Alexander

 

 

 

 

3

 

 

 

 

b.

Stephen M Bennett

 

 

 

 

4

 

 

 

 

c.

Donald G Cruickshank

 

 

 

 

5

 

 

 

 

d.  

Raymond V Dittamore

 

 

 

 

6

 

 

 

 

e.

Thomas W Horton

 

 

 

 

7

 

 

 

 

f.

Irwin Mark Jacobs

 

 

 

 

8

 

 

 

 

g.

Paul E Jacobs

 

 

 

 

9

 

 

 

 

h.

Robert E Kahn

 

 

 

 

10

 

 

 

 

I

Duane A Nelles

 

 

 

 

11

 

 

 

 

j

Marc I Stern

 

 

 

 

12

 

 

 

 

k

Brent Scowcroft

 

 

 

 

13

 

 

 

 

 

 

 

 

 

 

14

 

 

 

 

2

Ratify Accountant

MGMT

Y

For

For

15

 

 

 

 

 

 

 

 

 

 

16

 

 

 

 

 

 

 

 

 

 

17

 

 

 

 

 

 

 

 

 

 

18

 

 

 

 

 

 

 

 

 

 

19

 

 

 

 

 

 

 

 

 

 

20

 

 

 

 

 

 

 

 

 

 

21

 

 

 

 

 

 

 

 

 

 

22

 

 

 

 

 

 

 

 

 

 

23

 

 

 

 

 

 

 

 

 

 

24

 

 

 

 

 

 

 

 

 

 

25

 

 

 

 

 

 

 

 

 

 

26

 

 

 

 

 

 

 

 

 

 

27

 

 

 

 

 

 

 

 

 

 

28

 

 

 

 

 

 

 

 

 

 

29

 

 

 

 

 

 

 

 

 

 

30

 

 

 

 

 

 

 

 

 

 


Registrant:  The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund                                        

   

Item 1, Exhibit A

Investment Company Act file number:

811-07414

       

Reporting Period: April 1, 2009 through June 30, 2009

       
           

FORM N-PX - PROXY VOTING RECORD REQUIREMENTS

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

T Rowe Price

TROW

74144T108

4/8/2009

1

Election of Directors

MGMT

Y

For

For

2

 

 

 

 

a.

Edward Bernard

 

 

 

 

3

 

 

 

 

b.

James Brady

 

 

 

 

4

 

 

 

 

c.

J Alfred Broaddus

 

 

 

 

5

 

 

 

 

d.  

Donald Hebb

 

 

 

 

6

 

 

 

 

e.

James Kennedy

 

 

 

 

7

 

 

 

 

f.

Brian Rogers

 

 

 

 

8

 

 

 

 

g.

Dr. Alfred Sommer

 

 

 

 

9

 

 

 

 

h.

Dwight Taylor

 

 

 

 

10

 

 

 

 

I

Anne Marie Whittemore

 

 

 

 

11

 

 

 

 

 

 

 

 

 

 

12

 

 

 

 

2

Ratify Accountant

MGMT

Y

For

For

13

 

 

 

 

 

 

 

 

 

 

14

Eli Lilly

LLY

532457108

4/20/2009

1

Election of Directors

MGMT

Y

For

For

15

 

 

 

 

 

MS Felstein

 

 

 

 

16

 

 

 

 

 

JE Fyrwald

 

 

 

 

17

 

 

 

 

 

ER Marram

 

 

 

 

18

 

 

 

 

 

DR Oberhelman

 

 

 

 

19

 

 

 

 

2

Ratify Auditor

MGMT

Y

For

For

20

 

 

 

 

3

Annual election of directors

MGMT

Y

For

For

21

 

 

 

 

4

Reapprove terms of bonus plan

MGMT

Y

Abstain

Against

22

 

 

 

 

5

Eliminate supermajority vote

SHAREHOLD

Y

Abstain

Against

23

 

 

 

 

6

Amend bylaws by majority

SHAREHOLD

Y

Abstain

Against

24

 

 

 

 

7

Shareholders ratify comp.

SHAREHOLD

Y

Abstain

Against

25

 

 

 

 

 

 

 

 

 

 

26

General Electric

GE

369604103

4/22/2009

a.

Election of Directors

MGMT

Y

For

For

27

 

 

 

 

1

James Cash

 

 

 

 

28

 

 

 

 

2

William Castell

 

 

 

 

29

 

 

 

 

3

Ann Fudge

 

 

 

 

30

 

 

 

 

4

Susan Hockfield

 

 

 

 

           
           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

5

Jeffrey Immelt

 

 

 

 

2

 

 

 

 

6

Andrea Jung

 

 

 

 

3

 

 

 

 

7

Alan Lafley

 

 

 

 

4

 

 

 

 

8

Robert Lane

 

 

 

 

5

 

 

 

 

9

Ralph Larsen

 

 

 

 

6

 

 

 

 

10

Rochelle Lazarus

 

 

 

 

7

 

 

 

 

11

James Mulva

 

 

 

 

8

 

 

 

 

12

Sam Nunn

 

 

 

 

9

 

 

 

 

13

Roger Penske

 

 

 

 

10

 

 

 

 

14

Robert Swieringa

 

 

 

 

11

 

 

 

 

15

Douglas Warner

 

 

 

 

12

 

 

 

 

b1

Ratification of KPMG

MGMT

Y

For

For

13

 

 

 

 

c

Shareowner Proposals

SHAREHOLD

Y

Abstain

Against

14

 

 

 

 

1

Cumulative Voting

 

 

 

 

15

 

 

 

 

2

Executive Comp Advisory vote

 

 

 

 

16

 

 

 

 

3

Independent study break up GE

 

 

 

 

17

 

 

 

 

4

dividend policy

 

 

 

 

18

 

 

 

 

5

golden parachutes

 

 

 

 

19

 

 

 

 

 

 

 

 

 

 

20

Greenhill

GHL

395259104

4/22/2009

1

Election of Directors

MGMT

Y

For

For

21

 

 

 

 

 

Robert Greenhill

 

 

 

 

22

 

 

 

 

 

Scott Bok

 

 

 

 

23

 

 

 

 

 

Simon Borrows

 

 

 

 

24

 

 

 

 

 

John Danforth

 

 

 

 

25

 

 

 

 

 

Steven Goldstone

 

 

 

 

26

 

 

 

 

 

Stephen Key

 

 

 

 

27

 

 

 

 

 

Robert Blakely

 

 

 

 

28

 

 

 

 

2

Ratification of Ernst & Young

MGMT

Y

For

For

29

 

 

 

 

 

 

 

 

 

 

30

Avery Dennison

AVY

53611109

4/23/2009

1

Election of Directors

MGMT

Y

For

For

           
           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

a

John Cardis

 

 

 

 

2

 

 

 

 

b

David Pyott

 

 

 

 

3

 

 

 

 

c

Dean Scarborough

 

 

 

 

4

 

 

 

 

d

Julia Stewart

 

 

 

 

5

 

 

 

 

2

Ratification of Pricewaterhouse

MGMT

Y

For

For

6

 

 

 

 

3

Senior Exec incentive plan

MGMT

Y

For

For

7

 

 

 

 

 

 

 

 

 

 

8

Johnson & Johnson

JNJ

478160104

4/23/2009

1

Election of Directors

MGMT

Y

For

For

9

 

 

 

 

a

Mary Coleman

 

 

 

 

10

 

 

 

 

b

James Cullen

 

 

 

 

11

 

 

 

 

c

Michael Johns

 

 

 

 

12

 

 

 

 

d

Arnold Langbo

 

 

 

 

13

 

 

 

 

e

Susan Lindquist

 

 

 

 

14

 

 

 

 

f

Leo Mullin

 

 

 

 

15

 

 

 

 

g

William Perez

 

 

 

 

16

 

 

 

 

h

Charles Prince

 

 

 

 

17

 

 

 

 

I

David Satcher

 

 

 

 

18

 

 

 

 

j

William Weldon

 

 

 

 

19

 

 

 

 

2

Ratification of Pricewaterhouse

MGMT

Y

For

For

20

 

 

 

 

3

Executive Comp policies

SHAREHOLD

Y

Abstain

Against

21

 

 

 

 

 

 

 

 

 

 

22

Abbott Labs

ABT

2824100

4/24/2009

1

Election of Directors

MGMT

Y

For

For

23

 

 

 

 

 

RJ Alpern

 

 

 

 

24

 

 

 

 

 

RS Austin

 

 

 

 

25

 

 

 

 

 

WM Daley

 

 

 

 

26

 

 

 

 

 

WJ Farrell

 

 

 

 

27

 

 

 

 

 

HL Fuller

 

 

 

 

28

 

 

 

 

 

WA Osborn

 

 

 

 

29

 

 

 

 

 

DAL Owen

 

 

 

 

30

 

 

 

 

 

WA Reynolds

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

 

RS Roberts

 

 

 

 

2

 

 

 

 

 

SC Scott

 

 

 

 

3

 

 

 

 

 

WD Smithburg

 

 

 

 

4

 

 

 

 

 

GF Tilton

 

 

 

 

5

 

 

 

 

 

MD White

 

 

 

 

6

 

 

 

 

2

2009 Incentive program

MGMT

Y

Against

Against

7

 

 

 

 

3

2009 employee purchase

MGMT

Y

For

For

8

 

 

 

 

4

Ratification of Deloitte LLP

MGMT

Y

For

For

9

 

 

 

 

5

Animal testing

SHAREHOLD

Y

Abstain

Against

10

 

 

 

 

6

Health care principles

SHAREHOLD

Y

Abstain

Against

11

 

 

 

 

7

Advisory vote

SHAREHOLD

Y

Abstain

Against

12

 

 

 

 

 

 

 

 

 

 

13

Kimberly Clark

KMB

494368103

4/30/2009

1

Election of directors

MGMT

Y

For

For

14

 

 

 

 

a

John Alm

 

 

 

 

15

 

 

 

 

b

Dennis Beresford

 

 

 

 

16

 

 

 

 

c

John Bergstrom

 

 

 

 

17

 

 

 

 

d

Abelardo Bru

 

 

 

 

18

 

 

 

 

e

Robert Decherd

 

 

 

 

19

 

 

 

 

f

Thomas Falk

 

 

 

 

20

 

 

 

 

g

Mae Jemison

 

 

 

 

21

 

 

 

 

h

Ian Read

 

 

 

 

22

 

 

 

 

I

G Craig Sullivan

 

 

 

 

23

 

 

 

 

2

Ratification of auditors

MGMT

Y

For

For

24

 

 

 

 

3

25% to call special meeting

MGMT

Y

For

For

25

 

 

 

 

4

Performance goals 2001 eqty

MGMT

Y

For

Against

26

 

 

 

 

5

Cumulative voting

SHAREHOLD

Y

Abstain

Against

27

 

 

 

 

 

 

 

 

 

 

28

Nationwide Health

NHP

638620104

5/5/2009

1

Election of directors

MGMT

Y

For

For

29

 

 

 

 

 

William Doyle

 

 

 

 

30

 

 

 

 

 

Richard Gilchrist

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

 

Robert Paulson

 

 

 

 

2

 

 

 

 

 

Jeffrey Rush

 

 

 

 

3

 

 

 

 

 

Keith Russell

 

 

 

 

4

 

 

 

 

2

Ratification of Ernst & Young

MGMT

Y

For

For

5

 

 

 

 

 

 

 

 

 

 

6

Pepsico Inc.

PEP

713448108

5/6/2009

1

Election of directors

MGMT

Y

For

For

7

 

 

 

 

a

SL Brown

 

 

 

 

8

 

 

 

 

b

IM Cook

 

 

 

 

9

 

 

 

 

c

D Dublon

 

 

 

 

10

 

 

 

 

d

VJ Dzau

 

 

 

 

11

 

 

 

 

e

RL Hunt

 

 

 

 

12

 

 

 

 

f

A Ibarguen

 

 

 

 

13

 

 

 

 

g

AC Martinez

 

 

 

 

14

 

 

 

 

h

IK Nooyi

 

 

 

 

15

 

 

 

 

I

SP Rockefeller

 

 

 

 

16

 

 

 

 

j

JJ Schiro

 

 

 

 

17

 

 

 

 

k

LG Trotter

 

 

 

 

18

 

 

 

 

l

D Vasella

 

 

 

 

19

 

 

 

 

m

MD White

 

 

 

 

20

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

21

 

 

 

 

3

Executive Incentive plan

MGMT

Y

Against

Against

22

 

 

 

 

4

container recycling

SHAREHOLD

Y

Abstain

Against

23

 

 

 

 

5

genetically engineered products

SHAREHOLD

Y

Abstain

Against

24

 

 

 

 

6

charitable contributions rpt.

SHAREHOLD

Y

Abstain

Against

25

 

 

 

 

7

Advisory vote compensation

SHAREHOLD

Y

Abstain

Against

26

 

 

 

 

 

 

 

 

 

 

27

Monmouth

MNRTA

609720107

5/6/2009

1

Election of directors

MGMT

Y

For

For

28

 

 

 

 

 

Catherine Elflein

 

 

 

 

29

 

 

 

 

 

Eugene Landy

 

 

 

 

30

 

 

 

 

 

Michael Landy

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

 

Samuel Landy

 

 

 

 

2

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

3

 

 

 

 

 

 

 

 

 

 

4

Ecolab

ECL

278865100

5/8/2009

1

Election of directors

MGMT

Y

For

For

5

 

 

 

 

a

Leslie Biller

 

 

 

 

6

 

 

 

 

b

Jerry Grundhofer

 

 

 

 

7

 

 

 

 

c

John Zillmer

 

 

 

 

8

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

9

 

 

 

 

3

Management Incentive plan

MGMT

Y

For

For

10

 

 

 

 

4

Remove classification of terms

SHAREHOLD

Y

Abstain

Against

11

 

 

 

 

 

 

 

 

 

 

12

Gladstone Commercial

GOOD

376536108

5/7/2009

1

Election of directors

MGMT

Y

For

For

13

 

 

 

 

 

David Dullum

 

 

 

 

14

 

 

 

 

 

Maurice Coulon

 

 

 

 

15

 

 

 

 

 

Terry Brubaker

 

 

 

 

16

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

17

 

 

 

 

 

 

 

 

 

 

18

United Parcel

UPS

911312106

5/7/2009

1

Election of directors

MGMT

Y

For

For

19

 

 

 

 

 

Duane Ackerman

 

 

 

 

20

 

 

 

 

 

Michael Burns

 

 

 

 

21

 

 

 

 

 

Scott Davis

 

 

 

 

22

 

 

 

 

 

Stuart Eizenstat

 

 

 

 

23

 

 

 

 

 

Michael Eskew

 

 

 

 

24

 

 

 

 

 

William Johnson

 

 

 

 

25

 

 

 

 

 

Ann Livermore

 

 

 

 

26

 

 

 

 

 

Rudy Markham

 

 

 

 

27

 

 

 

 

 

John Thompson

 

 

 

 

28

 

 

 

 

 

Carol Tome

 

 

 

 

29

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

30

 

 

 

 

3

2009 Incentive plan

MGMT

Y

Against

Against

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

Enerplus Resources

ERF

29274D604

5/8/2009

1

Election of directors

MGMT

Y

For

For

2

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

3

 

 

 

 

 

 

 

 

 

 

4

HRPT Properties

HRPT

40426W101

5/13/2009

1

Election of directors

MGMT

Y

For

For

5

 

 

 

 

 

William Lamkin

 

 

 

 

6

 

 

 

 

 

Adam Portnoy

 

 

 

 

7

 

 

 

 

2

Reverse split

MGMT

Y

For

For

8

 

 

 

 

 

 

 

 

 

 

9

First Industrial Realty

FR

32054K103

5/13/2009

1

Election of directors

MGMT

Y

For

For

10

 

 

 

 

 

John Rau

 

 

 

 

11

 

 

 

 

 

Robert Slater

 

 

 

 

12

 

 

 

 

 

Ed Tyler

 

 

 

 

13

 

 

 

 

 

Bruce Duncan

 

 

 

 

14

 

 

 

 

2

2009 stock incentive plan

MGMT

Y

Against

Against

15

 

 

 

 

3

Ratification of accountant

MGMT

Y

For

For

16

 

 

 

 

 

 

 

 

 

 

17

Ashford Hospitality

AHT

44103109

5/19/2009

1

Election of directors

MGMT

Y

For

For

18

 

 

 

 

 

Archie Bennett

 

 

 

 

19

 

 

 

 

 

Montgomery Bennett

 

 

 

 

20

 

 

 

 

 

BJ Ansell

 

 

 

 

21

 

 

 

 

 

Thomas Callahan

 

 

 

 

22

 

 

 

 

 

Martin Edelman

 

 

 

 

23

 

 

 

 

 

Michael Murphy

 

 

 

 

24

 

 

 

 

 

Philip Payne

 

 

 

 

25

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

26

 

 

 

 

3

require chairman to be independent

SHAREHOLD

Y

Abstain

Against

27

 

 

 

 

 

 

 

 

 

 

28

Kraft Foods

KFT

50075N104

5/20/2009

1

Election of directors

MGMT

Y

For

For

29

 

 

 

 

a

Ajay Banga

 

 

 

 

30

 

 

 

 

b

Myra Hart

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

c

Lois Juliber

 

 

 

 

2

 

 

 

 

d

Mark Ketchum

 

 

 

 

3

 

 

 

 

e

Richard Lerner

 

 

 

 

4

 

 

 

 

f

John Pope

 

 

 

 

5

 

 

 

 

g

Fredric Reynolds

 

 

 

 

6

 

 

 

 

h

Irene Rosenfeld

 

 

 

 

7

 

 

 

 

I

Deborah Wright

 

 

 

 

8

 

 

 

 

j

Frank Zarb

 

 

 

 

9

 

 

 

 

2

2005 incentive plan

MGMT

Y

Against

Against

10

 

 

 

 

3

Ratification of accountant

MGMT

Y

For

For

11

 

 

 

 

4

Shareholder Meetings

SHAREHOLD

Y

Abstain

Against

12

 

 

 

 

 

 

 

 

 

 

13

Education Realty

EDR

28140H104

5/20/2009

1

Election of directors

MGMT

Y

For

For

14

 

 

 

 

 

Paul Bower

 

 

 

 

15

 

 

 

 

 

Monte Barrow

 

 

 

 

16

 

 

 

 

 

William Cahill

 

 

 

 

17

 

 

 

 

 

John Ford

 

 

 

 

18

 

 

 

 

 

Wendell Weakley

 

 

 

 

19

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

20

 

 

 

 

3

2004 incentive plan

MGMT

Y

Against

Against

21

 

 

 

 

 

 

 

 

 

 

22

Sovran Self Storage

SSS

84610H108

5/21/2009

1

Election of directors

MGMT

Y

For

For

23

 

 

 

 

 

Robert Attea

 

 

 

 

24

 

 

 

 

 

Kenneth Myszka

 

 

 

 

25

 

 

 

 

 

John Burns

 

 

 

 

26

 

 

 

 

 

Anthony Gammie

 

 

 

 

27

 

 

 

 

 

Charles Lannon

 

 

 

 

28

 

 

 

 

 

James Boldt

 

 

 

 

29

 

 

 

 

2

2009 option & award plan

MGMT

Y

Against

Against

30

 

 

 

 

3

Ratification of accountant

MGMT

Y

For

For

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

First Potomac

FPO

33610F109

5/21/2009

1

Election of directors

MGMT

Y

For

For

2

 

 

 

 

 

Robert Arnold

 

 

 

 

3

 

 

 

 

 

Richard Chess

 

 

 

 

4

 

 

 

 

 

Douglas Donatelli

 

 

 

 

5

 

 

 

 

 

Roderick Heller

 

 

 

 

6

 

 

 

 

 

Michael McCullough

 

 

 

 

7

 

 

 

 

 

Alan Merten

 

 

 

 

8

 

 

 

 

 

Terry Stevens

 

 

 

 

9

 

 

 

 

2

2009 Equity Comp Plan

MGMT

Y

Against

Against

10

 

 

 

 

3

2009 share purchase plan

MGMT

Y

Against

Against

11

 

 

 

 

4

Ratification of accountant

MGMT

Y

For

For

12

 

 

 

 

 

 

 

 

 

 

13

Medical Properties

MPW

58463J304

5/21/2009

1

Election of directors

MGMT

Y

For

For

14

 

 

 

 

 

Edward Aldag

 

 

 

 

15

 

 

 

 

 

Virginia Clarke

 

 

 

 

16

 

 

 

 

 

Steven Dawson

 

 

 

 

17

 

 

 

 

 

Steven Hamner

 

 

 

 

18

 

 

 

 

 

Robert Holmes

 

 

 

 

19

 

 

 

 

 

Sherry Kellett

 

 

 

 

20

 

 

 

 

 

William McKenzie

 

 

 

 

21

 

 

 

 

 

Glenn Orr

 

 

 

 

22

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

23

 

 

 

 

 

 

 

 

 

 

24

Intel Corp

INTC

458140100

5/20/2009

1

Election of directors

MGMT

Y

For

For

25

 

 

 

 

a

Charlene Barshefsky

 

 

 

 

26

 

 

 

 

b

Susan Decker

 

 

 

 

27

 

 

 

 

c

John Donahoe

 

 

 

 

28

 

 

 

 

d

Reed Hundt

 

 

 

 

29

 

 

 

 

e

Paul Otellini

 

 

 

 

30

 

 

 

 

f

James Plummer

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

g

David Pottruck

 

 

 

 

2

 

 

 

 

h

Jane Shaw

 

 

 

 

3

 

 

 

 

I

John Thornton

 

 

 

 

4

 

 

 

 

j

Frank Yeary

 

 

 

 

5

 

 

 

 

k

David Yoffie

 

 

 

 

6

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

7

 

 

 

 

3

2006 equity incentive plan

MGMT

Y

Against

Against

8

 

 

 

 

4

employee stock option exchange

MGMT

Y

Against

Against

9

 

 

 

 

5

Advisory on executive comp.

MGMT

Y

Against

Against

10

 

 

 

 

6

Cumulative voting

SHAREHOLD

Y

Abstain

Against

11

 

 

 

 

7

Human right to water

SHAREHOLD

Y

Abstain

Against

12

 

 

 

 

 

 

 

 

 

 

13

Tortoise Energy

TYG

89147L100

5/22/2009

1

Election of directors

MGMT

Y

For

For

14

 

 

 

 

 

Charles Heath

 

 

 

 

15

 

 

 

 

2

Issue shares below NAV

MGMT

Y

Against

Against

16

 

 

 

 

3

Ratification of accountant

MGMT

Y

For

For

17

 

 

 

 

 

 

 

 

 

 

18

McDonald's

MCD

580135101

5/27/2009

1

Election of directors

MGMT

Y

For

For

19

 

 

 

 

a

Robert Eckert

 

 

 

 

20

 

 

 

 

b

Enrique Hernandez

 

 

 

 

21

 

 

 

 

c

Jeanne Jackson

 

 

 

 

22

 

 

 

 

d

Andrew McKenna

 

 

 

 

23

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

24

 

 

 

 

3

Approval of performance goals

MGMT

Y

Against

Against

25

 

 

 

 

4

2009 cash incentive plan

MGMT

Y

For

For

26

 

 

 

 

5

executive compensation

SHAREHOLD

Y

Abstain

Against

27

 

 

 

 

6

cage-free eggs

SHAREHOLD

Y

Abstain

Against

28

 

 

 

 

 

 

 

 

 

 

29

Chevron

CVX

166764100

5/27/2009

1

Election of directors

MGMT

Y

For

For

30

 

 

 

 

a

SH Armacost

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

 

 

 

 

b

LF Deily

 

 

 

 

2

 

 

 

 

c

RE Denham

 

 

 

 

3

 

 

 

 

d

RJ Eaton

 

 

 

 

4

 

 

 

 

e

E Hernandez

 

 

 

 

5

 

 

 

 

f

FG Jenifer

 

 

 

 

6

 

 

 

 

g

S Nunn

 

 

 

 

7

 

 

 

 

h

DJ O'Reilly

 

 

 

 

8

 

 

 

 

I

DB Rice

 

 

 

 

9

 

 

 

 

j

KW Sharer

 

 

 

 

10

 

 

 

 

k

CR Shoemate

 

 

 

 

11

 

 

 

 

l

RD Sugar

 

 

 

 

12

 

 

 

 

m

C Ware

 

 

 

 

13

 

 

 

 

n

JS Watson

 

 

 

 

14

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

15

 

 

 

 

3

performance based awards

MGMT

Y

Against

Against

16

 

 

 

 

4

terms of long-term incentive

MGMT

Y

Against

Against

17

 

 

 

 

5

stockholder meetings

SHAREHOLD

Y

Abstain

Against

18

 

 

 

 

6

advisory vote summary comp

SHAREHOLD

Y

Abstain

Against

19

 

 

 

 

7

Greenhouse gas emission

SHAREHOLD

Y

Abstain

Against

20

 

 

 

 

8

Country selection

SHAREHOLD

Y

Abstain

Against

21

 

 

 

 

9

Human rights policy

SHAREHOLD

Y

Abstain

Against

22

 

 

 

 

10

Host Country laws

SHAREHOLD

Y

Abstain

Against

23

 

 

 

 

 

 

 

 

 

 

24

21st Century

TCHC

90136Q100

6/2/2009

1

Election of directors

MGMT

Y

For

For

25

 

 

 

 

 

Bruce Simberg

 

 

 

 

26

 

 

 

 

 

Richard Wilcox

 

 

 

 

27

 

 

 

 

2

2002 stock option plan

MGMT

Y

Against

Against

28

 

 

 

 

3

2009 stock option plan

MGMT

Y

Against

Against

29

 

 

 

 

4

Ratification of accountant

MGMT

Y

For

For

30

 

 

 

 

 

 

 

 

 

 

           

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

Macquarie Infrastructure

MIC

55608B105

6/4/2009

1

Election of directors

MGMT

Y

For

For

2

 

 

 

 

 

Norman Brown

 

 

 

 

3

 

 

 

 

 

George Carmany

 

 

 

 

4

 

 

 

 

 

William Webb

 

 

 

 

5

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

6

 

 

 

 

3

Amendment to management agmt

MGMT

Y

Abstain

Against

7

 

 

 

 

 

 

 

 

 

 

8

UMH Properties

UMH

903002103

6/9/2009

1

Election of directors

MGMT

Y

For

For

9

 

 

 

 

 

Anna Chew

 

 

 

 

10

 

 

 

 

 

Eugene Landy

 

 

 

 

11

 

 

 

 

 

Samuel Landy

 

 

 

 

12

 

 

 

 

2

Ratification of accountant

MGMT

Y

For

For

13

 

 

 

 

 

 

 

 

 

 

14

 

 

 

 

 

 

 

 

 

 


                                      

Registrant:Santa Barbara Group of Mutual Funds, Inc. - PFW Water Fund

   

Item 1, Exhibit B

Investment Company Act file number: 811-07414

       

Reporting Period: July 1, 2008 - June 30, 2009

       
           

FORM N-PX - PROXY VOTING RECORD REQUIREMENTS

 

(a) Issuer's Name

(b) Exchange Ticker Symbol

(c)"CUSIP" #

(d) Shareholder Meeting Date

(e) Matter Identification

(f) Proposal Type

(g) Voted

(h) Vote Cast

(i) For/Against Management

1

Boswell, JG

BWEL

101205102

Annual 10/22/08

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

2

Lindsay Corporation

LNN

535555106

Annual 01/26/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Approval of management Incentive Umbrella Plan

Issuer

Y

For

For

 

 

 

 

 

3

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

3

Mueller Water Products

MWA

624758108

Annual 01/28/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Approval of Stock Conversion

Issuer

Y

For

For

 

 

 

 

 

3

Management Stock Incentive Plan

Issuer

Y

For

For

 

 

 

 

 

4

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

4

American States Water Co.

AWR

29899101

Annual 05/19/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

3

To transact any other buisness that may properly come before the meeting or any adjournment thereof

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

5

American Water Works

AWK

30420103

Annual 05/8/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

3

Proposal to approve amendments to the American Water Works Company, Inc. 2007 Omnibus Equity Compensation Plan

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

6

Ameron International

AMN

30710107

Annual 03/25/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

7

Aqua America Inc.

WTR

03836W103

Annual 05/08/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Approval of the 2009 Omnibus Equity Compensation Plan

Issuer

Y

For

For

 

 

 

 

 

3

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

4

Shareholder proposal regarding the preparation and publication of a sustainability report

Issuer

Y

Against

Against

 

 

 

 

 

 

 

 

 

 

 

8

Badger Meter, Inc.

BMI

56525108

Annual 04/24/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

9

Connecticut Water Service

CTWS

207797101

Annual 05/13/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Proposal To Ratify The Appointment Of Pricewaterhousecoopers Llp, Independent Registered Public Accountants, As Independent Auditors For The Year Ending December 31, 2009

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

10

Consolidated Water Co.

CWCO

G23773107

Annual 1/8/2009

1

Approval of Amendment to Articles of Association to authorize Company's Board of Directors to approve the manner and terms of any repurchase by the Company of its shares of stock without shareholder approval

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

11

Consolidated Water Co.

CWCO

G23773107

Annual 05/20/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

 

Amend articles to eliminate requirement that a poll be demanded in order for a shareholder or proxy holder to be entitled to one vote for each share held or represented by proxy

Issuer

Y

For

For

 

 

 

 

 

 

Approve the amendment of the amended and restated articles, all as more fully described in the proxy statement

Issuer

Y

For

For

 

 

 

 

 

 

Amendment of the articles of association to clarify that proxies may be appointed by, and notices of meetings, reports and financial statements may be delivered by, electronic means

Issuer

Y

For

For

 

 

 

 

 

 

Amendment of articles related to: (a) charitable contributions; (b) director conflicts; & (c) the issuance of shares

Issuer

Y

For

For

 

 

 

 

 

 

Amendment of articles to permit the board to approve the repurchase at fair market value

Issuer

Y

For

For

 

 

 

 

 

 

Adoption of an amended and restated articles incorporating any and all amendments approved in proposals 2 - 6

Issuer

Y

For

For

 

 

 

 

 

 

Ratify the selection of Rachlin LLP as the independent registered public accounting firm

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

12

Entegris, Inc.

ENTG

29362U104

Annual 05/6/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

13

Gorman Rupp

GRC

383082104

Annual 04/23/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

14

Heckmann Corp.

HEK

422680108

Annual 5/6/2009

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Approval of Amendment to Certificate of Incorporation to increase the number of authorized shares of common stock

Issuer

Y

For

For

 

 

 

 

 

3

Approval of the Heckmann Corp 2009 Equity Incentive Plan

Issuer

Y

For

For

 

 

 

 

 

4

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

5

Approval of any motion to transact such other buisness as may properly come before the annual meeting or any adjournment

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

15

Met Pro Corporation

MPR

590876306

Annual 06/03/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

16

Nalco Holding Company

NLC

62985Q101

Annual 05/01/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

17

Northwest Pipe Company

NWPX

667746101

Annual 06/2/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

18

Pennichuck Corp

PNNW

708254206

Annual 5/6/2009

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Approval of the proposed amendment and restatement of the Pennichuck Corp 200 stock option plan

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

19

Pentair Inc.

PNR

709631105

Annual 04/30/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Approval of Executive Officer Performance Plan

Issuer

Y

For

For

 

 

 

 

 

3

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

20

SJW Corp

SJW

784305104

Annual 05/06/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

21

Tejon Ranch Co.

TRC

879080109

Annual 05/12/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

22

Toro Company

TTC

891092108

Annual 3/18/2009

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Approval of amendment to increase issuance of common stock shares

Issuer

Y

For

For

 

 

 

 

 

3

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

23

Valmont Industries Inc.

VMI

920253101

Annual 04/27/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification of Auditors

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

24

Veolia Environment

VE

92334N103

Annual 05/07/09

1

Approval of the reports and parent company financial statements for the 2008 financial year.

Issuer

Y

For

For

 

 

 

 

 

2

Approval of the consolidated financial statements for the 2008 financial year.

Issuer

Y

For

For

 

 

 

 

 

3

Approval of the expenses and charges referred to in article 39-4 of the code general des impots.

Issuer

Y

For

For

 

 

 

 

 

4

Allocation of income and date of payment of dividends.

Issuer

Y

For

For

 

 

 

 

 

5

Opting for the payment of the dividend in shares.

Issuer

Y

For

For

 

 

 

 

 

6

Approval of regulated agreements and undertakings (not including amendment to commitment made to a corporate officer).

Issuer

Y

For

For

 

 

 

 

 

7

Approval of regulated agreements and undertakings (amendment to commitment made to a corporate officer).

Issuer

Y

For

For

 

 

 

 

 

8

Renewal of the term of office of a director.

Issuer

Y

For

For

 

 

 

 

 

9

Renewal of the term of office of a director.

Issuer

Y

For

For

 

 

 

 

 

10

Renewal of the term of office of a director.

Issuer

Y

For

For

 

 

 

 

 

11

Renewal of the term of office of a director.

Issuer

Y

For

For

 

 

 

 

 

12

Renewal of the term of office of a director.

Issuer

Y

For

For

 

 

 

 

 

13

Renewal of the term of office of a director.

Issuer

Y

For

For

 

 

 

 

 

14

Renewal of the term of office of a director.

Issuer

Y

For

For

 

 

 

 

 

15

Authorization for the board of directors to trade in the company's own shares.

Issuer

Y

For

For

 

 

 

 

 

16

Delegation to the board of directors of authority to decide to carry out increases in the share capital by issuance, without preferential subscription rights, of shares and/or securities giving access to the company's capital and/or the issuance of securities entitling their holders to the allotment of debt instruments in a private placement covered by article l. 411-2, ii of the french monetary and financial code (as modified by order no 2009-80 of january 22, 2009)

Issuer

Y

For

For

 

 

 

 

 

17

Authorization for the board of directors to increase the share capital by issuing shares or negotiable securities convertible into shares, reserved for members of employee savings plans, without shareholders' preferential subscription rights

Issuer

Y

For

For

 

 

 

 

 

18

Authorization for the board of directors to decide, during the period of a takeover bid, to issue warrants with preferential rights to subscribe the company's shares, including their free allocation to all the company's shareholders

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

19

Reduction in the director's term of office and related amendment of the bylaws

Issuer

Y

For

For

 

 

 

 

 

20

Powers to carry out formalities

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

25

Watts Water Technologies

WTS

942749102

Annual 05/13/09

1

Election of Directors

Issuer

Y

For

For

 

 

 

 

 

2

Ratification Of The Selection Of Kpmg LLP As Our Independent Registered Public Accounting Firm For The Current Fiscal Year

Issuer

Y

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CONTENT KEY:

 

 

 

 

 

 

 

 

 

A.

Company Name - Company Name as it appeared on the ballot (e.g., Microsoft)

   

 

B.

Ticker - e.g., MSFT

        

 

C.

Security ID (cusip, isin, sedol) - as it appears on the ballot (e.g., 2383130)

   

 

D.

Meeting Type & Date - e.g., ANNUAL, SPECIAL; MM/DD/YYYY

   

 

E.

Agenda Item Number & Description - as it appeared on the ballot (e.g., 2. Approve Employee Stock Purchase Plan); identify each director considered for election.

F.

Management or Shareholder Proposal - identify whether the matter was proposed by the issuer or by a security holder (MGMT or SHAREHOLD)

 

G.

Voted - identify whether or not the registrant has voted on the matter (Y or N); if the matter was not voted include a footnote describing why the matter was not voted on.

H.

Fund Vote - FOR or AGAINST proposal, or ABSTAIN; FOR or WITHHOLD regarding election of directors

   

 

I.

Management Recommendation - FOR or AGAINST

 

 

 

 

 

 



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.


(Registrant)

THE SANTA BARBARA GROUP OF MUTUAL FUNDS, INC.

          


By (Signature and Title)*    /s/ John P. Odell

     John P. Odell, Co-President


Date: August 18, 2009


* Print the name and title of each signing officer under his or her signature.




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