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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)
1270 Hillcrest Avenue, Pasadena, California 91106
(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) 484-5744
Date of fiscal year end: March 31st
Date of reporting period: July 1, 2010 - June 30, 2011
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, 2011 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
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/ Richard J. Capalbo
Richard J. Capalbo, President and CEO
Date: August 8, 2011
* Print the name and title of each signing officer under his or her signature.
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
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Investment Company Act file number: | 811-07414 |
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Reporting Period: July 1, 2010 through June 30, 2011 |
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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 | Chevron Corp | CVX | 166764100 | 4/25/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
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| A | L F Deily |
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| For |
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3 |
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| B | RE Dehnham |
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| For |
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4 |
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| C | RJ Eaton |
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| For |
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5 |
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| D | C Hagel |
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| For |
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6 |
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| E | E Hernandez |
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| For |
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7 |
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| F | GL Kirkland |
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| For |
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8 |
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| G | DB Rice |
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| For |
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9 |
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| H | KW Sharer |
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10 |
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| I | CR Shoemate |
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11 |
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| J | JG Stumpf |
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| For |
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12 |
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| K | RD Sugar |
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| For |
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13 |
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| L | C Ware |
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| For |
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14 |
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| M | JS Watson |
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| For |
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15 |
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| 2 | Ratification of Accountants | MGMT | Y | For | For |
16 |
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| 3 | Named Executive Officer Compensation | MGMT | Y | For | For |
17 |
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| 4 | Frequency Votes on Officer Comp. | MGMT | Y | Abstain | Against |
18 |
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| 5 | Director with Environmental Experience | SHRLD | Y | Abstain | Against |
19 |
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| 6 | Human Rights committee | SHRLD | Y | Abstain | Against |
20 |
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| 7 | Sustain Metric for Exec. Compensation | SHRLD | Y | Abstain | Against |
21 |
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| 8 | Guidelines for Country Selection | SHRLD | Y | Abstain | Against |
22 |
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| 9 | Financial Risks from Climate Change | SHRLD | Y | Abstain | Against |
23 |
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| 10 | Hydraulic Fracturing | SHRLD | Y | Abstain | Against |
24 |
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| 11 | Offshore Oil Wells | SHRLD | Y | Abstain | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
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Investment Company Act file number: |
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Reporting Period: July 1, 2010 through June 30, 2011 |
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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 | Consolidated Water | CWCO | G23773107 | 5/24/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
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| A | Carson K Ebanks |
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| For |
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3 |
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| B | Richard L Finlay |
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| For |
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4 |
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| C | Clarence B Flowers, JR |
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| For |
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5 |
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| D | Frederick W. Mctaggart |
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| For |
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6 |
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| 2 | Vote on Executive Compensation | MGMT | Y | Abstain | For |
7 |
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| 3 | Frequency Vote on Exec. Compensation | MGMT | Y | Abstain | Against |
8 |
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| 4 | Ratify Marcum LLP as indep. Acctnting | MGMT | Y | For | For |
9 |
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10 | McDonald's Corp. | MCD | 580135101 | 5/19/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
11 |
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| A | Susan E Arnold |
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12 |
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| B | Richard H Lenny |
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13 |
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| C | Cary D Mcmillan |
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14 |
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| D | Sheila A Penrose |
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15 |
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| E | James A Skinner |
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16 |
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| 2 | Approve Accounting Firm Serve Audit | MGMT | Y | For | For |
17 |
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| 3 | Vote on Executive Compensation | MGMT | Y | Abstain | For |
18 |
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| 4 | Frequency Vote on Exec. Compensation | MGMT | Y | Abstain | Against |
19 |
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| 5 | Eliminate Major/Vote Requirmnts #12 | MGMT | Y | Abstain | Against |
20 |
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| 6 | Eliminate Major/Vote Requirmnts #13 | MGMT | Y | Abstain | Against |
21 |
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| 7 | Eliminate Major/Vote Requirmnts #14 | MGMT | Y | Abstain | Against |
22 |
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| 8 | Vote Shareholder Classified Board | SHRLD | Y | Abstain | Against |
23 |
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| 9 | Vote Shareholder Atmosphere Stunning | SHRLD | Y | Abstain | Against |
24 |
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| 10 | Vote Shareholder Report Child Nutrition | SHRLD | Y | Abstain | Against |
25 |
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| 11 | Shareholder Propose Beverage Contain | SHRLD | Y | Abstain | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
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Investment Company Act file number: |
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Reporting Period: July 1, 2010 through June 30, 2011 |
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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 | Senior Housing Prop | SNH | 81721M109 | 5/16/2011 | 1 | ELECTION OF DIRECTORS |
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2 |
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| A | Fredrick N Zeytoonjian | MGMT | Y | For |
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3 |
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| 2 | Resolution on Exectutive Compensation | MGMT | Y | Abstain | Against |
4 |
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| 3 | Frequency on Exec. Compensation | MGMT | Y | Abstain | Against |
5 |
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| 4 | Ratify Accounting Firm for 2011 | MGMT | Y | For | For |
6 |
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7 | NGP Capital Res. | NGPC | 62912R107 | 5/11/2011 | 1 | ELECTION OF DIRECTORS |
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8 |
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| A | Edward W. Blessing | MGMT | Y | For |
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9 |
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| 2 | Ratify Accounting Firm for 2011 | MGMT | Y | For | For |
10 |
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| 3 | Adjourn 2011 annual meeting | MGMT | Y | For | For |
11 |
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12 | Monmouth | MNR | 609720107 | 5/5/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
13 |
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| A | Neal Herstik | MGMT | Y | For |
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14 |
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| B | Matthew I Hirsch | MGMT | Y | For |
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15 |
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| C | Stephen B Wolgin | MGMT | Y | For |
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16 |
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| 2 | Approval of Accounting Firm 2011 | MGMT | Y | For | For |
17 |
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| 3 | vote on Executive Compensation | MGMT | Y | Abstain | Against |
18 |
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| 4 | Frequency on Exec. Compensation | MGMT | Y | Abstain | Against |
19 |
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Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
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Investment Company Act file number: |
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Reporting Period: July 1, 2010 through June 30, 2011 |
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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 | Conoco Phillips | COP | 20825C104 | 5/11/2011 | 1 | ELECTION OF DIRECTORS | MGMT |
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| For |
2 |
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| A | Richard L Armitage |
| Y | For |
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3 |
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| B | Richard H Auchinleck |
| Y | For |
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4 |
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| C | James E Copeland, JR |
| Y | For |
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5 |
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| D | Kenneth M Duberstein |
| Y | For |
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6 |
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| E | ruth R Harkin |
| Y | For |
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7 |
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| F | Harold W McGraw lll |
| Y | For |
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8 |
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| G | James J Mulva |
| Y | For |
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9 |
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| H | Robert A Niblock |
| Y | For |
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10 |
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| I | Harald J Norvik |
| Y | For |
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11 |
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| J | William K Reilly |
| Y | For |
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12 |
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| K | Victoria J Tschinkel |
| Y | For |
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13 |
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| L | Kathryn C Turner |
| Y | For |
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14 |
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| M | William E Wade JR |
| Y | For |
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15 |
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| 2 | Ratify Accounting Firm 2011 | MGMT | Y | For | For |
16 |
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| 3 | Approval of Executive Compensation | MGMT | Y | For | For |
17 |
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| 4 | Frequency on executive compensation | MGMT | Y | Abstain |
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18 |
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| 5 | 2011 Stock and Performance Incentive P | MGMT | Y | Against | Against |
19 |
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| 6 | Gender expression non discrimination | SHRLD | Y | Abstain | Against |
20 |
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| 7 | Political Contributions | SHRLD | Y | Abstain | Against |
21 |
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| 8 | Grassroots lobbying expenditures | SHRLD | Y | Abstain | Against |
22 |
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| 9 | Accident Risk Mitigation | SHRLD | Y | Abstain | Against |
23 |
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| 10 | Enviro Policy Louisiana Wetlands | SHRLD | Y | Abstain | Against |
24 |
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| 11 | Greenhouse Gas Reduction Targets | SHRLD | Y | Abstain | Against |
25 |
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| 12 | Rinancial Risk From Climate Change | SHRLD | Y | Abstain | Against |
26 |
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| 13 | Canadian Oil Sands | SHRLD | Y | Abstain | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
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Investment Company Act file number: |
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Reporting Period: July 1, 2010 through June 30, 2011 |
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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 | Bank of America | BAC | 60505591 | 5/11/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
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| A | Mukesh D Ambani |
| Y | For |
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3 |
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| B | Susan S Bies |
| Y | For |
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4 |
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| C | Frank P Bramble SR |
| Y | For |
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5 |
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| D | Virgis W Colbert |
| Y | For |
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6 |
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| E | Charles K Gifford |
| Y | For |
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7 |
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| F | Charles O Holliday JR |
| Y | For |
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8 |
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| G | D Paul Jones JR |
| Y | For |
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9 |
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| H | Monica C Lozano |
| Y | For |
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10 |
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| I | Thomas J May |
| Y | For |
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11 |
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| J | Brian T Moynihan |
| Y | For |
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12 |
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| K | Donald E Powell |
| Y | For |
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13 |
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| L | Charles O Rossotti |
| Y | For |
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14 |
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| M | Robert W Scully |
| Y | For |
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15 |
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| 2 | vote to aprrove exec. Compensation | MGMT | Y | Abstain | Against |
16 |
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| 3 | Frequency of say on pay votes | MGMT | Y | Abstain | Against |
17 |
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| 4 | Ratify Public Acct. Firm for 2011 | MGMT | Y | For | For |
18 |
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| 5 | Stockholder disclosure on govt emplmnt | SHRLD | Y | Abstain | Against |
19 |
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| 6 | stockholder action by written consent | SHRLD | Y | Abstain | Against |
20 |
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| 7 | Mortgage servicing operations | SHRLD | Y | Abstain | Against |
21 |
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| 8 | Grassroots Lobbying | SHRLD | Y | Abstain | Against |
22 |
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| 9 | OTC Derivatives Trading | SHRLD | Y | Abstain | Against |
23 |
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| 10 | Cumulative vote in contested election | SHRLD | Y | Abstain | Against |
24 |
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| 11 | recoupment of incentive compensation | SHRLD | Y | Abstain | Against |
25 |
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| 12 | Prohibition of certain relocation benefits | SHRLD | Y | Abstain | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
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Investment Company Act file number: |
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Reporting Period: July 1, 2010 through June 30, 2011 |
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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 | Verizon Comm. | VZ | 92343V104 | 5/5/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
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| A | Richard L Carrion |
| Y | For |
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3 |
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| B | M Frances Keeth |
| Y | For |
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4 |
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| C | Robert W Lane |
| Y | For |
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5 |
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| D | Lowell C Mcadam |
| Y | For |
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6 |
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| E | Sandra O Moose |
| Y | For |
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7 |
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| F | Joseph Neubauer |
| Y | For |
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8 |
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| G | donald T Nicolaisen |
| Y | For |
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9 |
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| H | Clarence Otis JR |
| Y | For |
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10 |
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| I | Hugh B Price |
| Y | For |
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11 |
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| J | Ivan G Seidenberg |
| Y | For |
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12 |
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| K | Rodney E Slater |
| Y | For |
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13 |
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| L | John W Snow |
| Y | For |
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14 |
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| 2 | Ratification of Accounting Firm | MGMT | Y | For | For |
15 |
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| 3 | Vote Related to Executive compensation | MGMT | Y | Abstain | Against |
16 |
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| 4 | Future votes on executive compensation | MGMT | Y | Abstain | Against |
17 |
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| 5 | disclose prior government service | SHRLD | Y | Abstain | Against |
18 |
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| 6 | performance stock unit/thresholds | SHRLD | Y | Abstain | Against |
19 |
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| 7 | Cumulative voting | SHRLD | Y | Abstain | Against |
20 |
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| 8 | shareholder right to call special meeting | SHRLD | Y | Abstain | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
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Investment Company Act file number: |
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Reporting Period: July 1, 2010 through June 30, 2011 |
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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 | Kimberly-Clark | KMB | 494368103 | 4/21/2011 | 1 | ELECTION OF DIRECTORS | MGMT |
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| For |
2 |
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| A | John R Alm |
| Y | For |
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3 |
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| B | John F Bergstrom |
| Y | For |
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4 |
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| C | Abelardo E Bru |
| Y | For |
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5 |
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| D | Robert W Decherd |
| Y | For |
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6 |
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| E | Thomas J Falk |
| Y | For |
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7 |
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| F | Mae C Jemison MD |
| Y | For |
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8 |
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| G | James M Jenness |
| Y | For |
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9 |
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| H | Nancy J Karch |
| Y | For |
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10 |
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| I | Ian C Read |
| Y | For |
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11 |
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| J | Linda Johnson Rice |
| Y | For |
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12 |
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| K | Marc J Shapiro |
| Y | For |
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13 |
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| L | G Craig Sullivan |
| Y | For |
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14 |
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| 2 | Ratification of Auditors | MGMT | Y | For | For |
15 |
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| 3 | 2011 Outside Directors Compensation | MGMT | Y | Abstain | Against |
16 |
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| 4 | 2011 Equity Participation Plan | MGMT | Y | Against | Against |
17 |
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| 5 | Executive Compensation Program | MGMT | Y | Abstain | Against |
18 |
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| 6 | Frequency on Executive Compensation | MGMT | Y | Abstain | Against |
19 |
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Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
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Investment Company Act file number: |
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Reporting Period: July 1, 2010 through June 30, 2011 |
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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 | Johnson & Johnson | JNJ | 478160104 | 4/28/2011 | 1 | ELECTION OF DIRECTORS | MGMT |
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| For |
2 |
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| A | Mary Sue coleman |
| Y | For |
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3 |
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| B | James G Cullen |
| Y | For |
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4 |
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| C | Ian EL Davis |
| Y | For |
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5 |
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| D | Michael ME Johns |
| Y | For |
|
6 |
|
|
|
| E | Susan L Lindquist |
| Y | For |
|
7 |
|
|
|
| F | Anne M Mulcahy |
| Y | For |
|
8 |
|
|
|
| G | Leo F Mullin |
| Y | For |
|
9 |
|
|
|
| H | William D Perez |
| Y | For |
|
10 |
|
|
|
| I | Charles Prince |
| Y | For |
|
11 |
|
|
|
| J | David Satcher |
| Y | For |
|
12 |
|
|
|
| K | William C Weldon |
| Y | For |
|
13 |
|
|
|
| 2 | Ratification of Auditors | MGMT | Y | For | For |
14 |
|
|
|
| 3 | Named Executive Officer Compensation | MGMT | Y | Abstain | Against |
15 |
|
|
|
| 4 | Frequency of Compensation | MGMT | Y | Abstain | Against |
16 |
|
|
|
| 5 | Proposal on Pharma Price Restraint | SHRLD | Y | Abstain | Against |
17 |
|
|
|
| 6 | Amendment to Co.'s equal employment | SHRLD | Y | Abstain | Against |
18 |
|
|
|
| 7 | Adopting non animal methods for training | SHRLD | Y | Abstain | Against |
19 |
|
|
|
|
|
|
|
|
|
|
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
|
| ||||||
Investment Company Act file number: |
|
|
|
| ||||||
Reporting Period: July 1, 2010 through June 30, 2011 |
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
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 | General Electric | GE | 369604103 | 4/27/2011 | 1 | ELECTION OF DIRECTORS | MGMT |
|
| For |
2 |
|
|
|
| A | W. Geoffrey Beattie |
| Y | For |
|
3 |
|
|
|
| B | James I Cash JR |
| Y | For |
|
4 |
|
|
|
| C | Ann M Fudge |
| Y | For |
|
5 |
|
|
|
| D | Susan Hockfield |
| Y | For |
|
6 |
|
|
|
| E | Jeffrey R Immelt |
| Y | For |
|
7 |
|
|
|
| F | Andrea Jung |
| Y | For |
|
8 |
|
|
|
| G | Alan G (AG) Lafley |
| Y | For |
|
9 |
|
|
|
| H | Robert W Lane |
| Y | For |
|
10 |
|
|
|
| I | Ralph S Larsen |
| Y | For |
|
11 |
|
|
|
| J | Rochelle B Lazarus |
| Y | For |
|
12 |
|
|
|
| K | James J Mulva |
| Y | For |
|
13 |
|
|
|
| L | Sam Nunn |
| Y | For |
|
14 |
|
|
|
| M | Roger S Penske |
| Y | For |
|
15 |
|
|
|
| N | Robert J Swieringa |
| Y | For |
|
16 |
|
|
|
| O | James S Tisch |
| Y | For |
|
17 |
|
|
|
| P | Douglas A Warner lll |
| Y | For |
|
18 |
|
|
|
| 2 | Ratification of KPMG | MGMT | Y | For | For |
19 |
|
|
|
| 3 | Resolution on exectuive compensation | MGMT | Y | Abstain | Against |
20 |
|
|
|
| 4 | Frequency of executive compensation | MGMT | Y | Abstain | Against |
21 |
|
|
|
| 5 | Proposal cumulative voting | SHRLD | Y | Abstain | Against |
22 |
|
|
|
| 6 | Proposal future stock options | SHRLD | Y | Abstain | Against |
23 |
|
|
|
| 7 | Withdraw stock options from executives | SHRLD | Y | Abstain | Against |
24 |
|
|
|
| 8 | Climate change risk disclosure | SHRLD | Y | Abstain | Against |
25 |
|
|
|
| 9 | Transparency in Animal Research | SHRLD | Y | Abstain | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
|
| ||||||
Investment Company Act file number: |
|
|
|
| ||||||
Reporting Period: July 1, 2010 through June 30, 2011 |
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
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 | Investors Real Estate | IRET | 461730103 | 9/21/2010 | 1 | ELECTION OF DIRECTORS | MGMT |
|
| For |
2 |
|
|
|
| A | Patrick G Jones |
| Y | For |
|
3 |
|
|
|
| B | Timothy P Mihalick |
| Y | For |
|
4 |
|
|
|
| C | Jeffrey L Miller |
| Y | For |
|
5 |
|
|
|
| D | CW Chip Morgan |
| Y | For |
|
6 |
|
|
|
| E | John T Reed |
| Y | For |
|
7 |
|
|
|
| F | Edward T Schafer |
| Y | For |
|
8 |
|
|
|
| G | W David Scott |
| Y | For |
|
9 |
|
|
|
| H | Stephen L Stenehjem |
| Y | For |
|
10 |
|
|
|
| I | John D Stewart |
| Y | For |
|
11 |
|
|
|
| J | Thomas A Wentz JR |
| Y | For |
|
12 |
|
|
|
| 2 | Ratify Auditors of 2011 | MGMT | Y | For | For |
13 |
|
|
|
|
|
|
|
|
|
|
14 | Paychex, Inc | PAYX | 704326107 | 10/13/2010 | 1 | ELECTION OF DIRECTORS | MGMT |
|
| For |
15 |
|
|
|
| A | B Thomas Golisano |
| Y | For |
|
16 |
|
|
|
| B | David JS Flaschen |
| Y | For |
|
17 |
|
|
|
| C | Grant M Inman |
| Y | For |
|
18 |
|
|
|
| D | Pamela A Joseph |
| Y | For |
|
19 |
|
|
|
| E | Joseph M Tucci |
| Y | For |
|
20 |
|
|
|
| F | Joseph M Velli |
| Y | For |
|
21 |
|
|
|
| 2 | Amend stock incentive plan | MGMT | Y | Against | Against |
22 |
|
|
|
| 3 | Ratify Accounting Firm 2011 | MGMT | Y | For | For |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
|
| ||||||
Investment Company Act file number: |
|
|
|
| ||||||
Reporting Period: July 1, 2010 through June 30, 2011 |
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
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 | Campbell Soup | CPB | 134429109 | 11/18/2010 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
|
|
|
| A | Edmund M Carpenter |
| Y | For |
|
3 |
|
|
|
| B | Paul R Charron |
| Y | For |
|
4 |
|
|
|
| C | Douglas R Conant |
| Y | For |
|
5 |
|
|
|
| D | Bennett Dorrance |
| Y | For |
|
6 |
|
|
|
| E | Harvey Golub |
| Y | For |
|
7 |
|
|
|
| F | Lawrence C Karlson |
| Y | For |
|
8 |
|
|
|
| G | Randall W Larrimore |
| Y | For |
|
9 |
|
|
|
| H | Mary Alice D Malone |
| Y | For |
|
10 |
|
|
|
| I | Sara Mathew |
| Y | For |
|
11 |
|
|
|
| J | Denise M Morrison |
| Y | For |
|
12 |
|
|
|
| K | William D Perez |
| Y | For |
|
13 |
|
|
|
| L | Charles R Perrin |
| Y | For |
|
14 |
|
|
|
| M | A Barry Rand |
| Y | For |
|
15 |
|
|
|
| N | Nick Shreiber |
| Y | For |
|
16 |
|
|
|
| O | Archbold D Van Beuren |
| Y | For |
|
17 |
|
|
|
| P | Les C Vinney |
| Y | For |
|
18 |
|
|
|
| Q | Charlotte C Weber |
| Y | For |
|
19 |
|
|
|
| 2 | Ratify Accounting Firm | MGMT | Y | For | For |
20 |
|
|
|
| 3 | Amend long-term incentive plan | MGMT |
| Against | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
|
| ||||||
Investment Company Act file number: |
|
|
|
| ||||||
Reporting Period: July 1, 2010 through June 30, 2011 |
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
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 | Clearbridge Energy | CEM | 184692101 | 12/10/2010 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
|
|
|
| A | Carol L Colman |
| Y | For |
|
3 |
|
|
|
| B | Daniel P Cronin |
| Y | For |
|
4 |
|
|
|
| C | Paolo M Cucchi |
| Y | For |
|
5 |
|
|
|
| D | Leslie H Gelb |
| Y | For |
|
6 |
|
|
|
| E | William R Hutchinson |
| Y | For |
|
7 |
|
|
|
| F | R Jay Gerken |
| Y | For |
|
8 |
|
|
|
| G | Jeswald W Salacuse |
| Y | For |
|
9 |
|
|
|
| H | Riordan Roett |
| Y | For |
|
10 |
|
|
|
|
|
|
|
|
|
|
11 | Qualcomm | QCOM | 747525103 | 3/8/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
12 |
|
|
|
| A | Barbara T Alexander |
| Y | For |
|
13 |
|
|
|
| B | Stephen M Bennett |
| Y | For |
|
14 |
|
|
|
| C | Donald G Cruickshank |
| Y | For |
|
15 |
|
|
|
| D | Raymond V Dittamore |
| Y | For |
|
16 |
|
|
|
| E | Thomas W Horton |
| Y | For |
|
17 |
|
|
|
| F | Irwin Mark Jacobs |
| Y | For |
|
18 |
|
|
|
| G | Paul E Jacobs |
| Y | For |
|
19 |
|
|
|
| H | Robert E Kahn |
| Y | For |
|
20 |
|
|
|
| I | Sherry Lansing |
| Y | For |
|
21 |
|
|
|
| J | Duane A Nelles |
| Y | For |
|
22 |
|
|
|
| K | Francisco Ros |
| Y | For |
|
23 |
|
|
|
| L | Brent Scowcroft |
| Y | For |
|
24 |
|
|
|
| M | Marc I Stern |
| Y | For |
|
25 |
|
|
|
| 2 | Incentive Plan Increase Share Reserves | MGMT | Y | Against | Against |
26 |
|
|
|
| 3 | Employee Stock Purchase Plan | MGMT | Y | For | For |
27 |
|
|
|
| 4 | Ratify Accounting Firm for 2011 | MGMT | Y | For | For |
28 |
|
|
|
| 5 | Vote on Executive Compensation | MGMT | Y | Abstain | Against |
29 |
|
|
|
| 6 | Frequency of Executive Compensation | MGMT | Y | For | For |
30 |
|
|
|
| 7 | Proposal if properly presented Annual M. | SHRLD | Y | Abstain | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
|
| ||||||
Investment Company Act file number: |
|
|
|
| ||||||
Reporting Period: July 1, 2010 through June 30, 2011 |
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
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 | 4/14/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
|
|
|
| A | Edward C Bernard |
| Y | For |
|
3 |
|
|
|
| B | James T Brady |
| Y | For |
|
4 |
|
|
|
| C | J Alfred Broaddus JR |
| Y | For |
|
5 |
|
|
|
| D | Donald B Hebb |
| Y | For |
|
6 |
|
|
|
| E | James AC Kennedy |
| Y | For |
|
7 |
|
|
|
| F | Robert F Maclellan |
| Y | For |
|
8 |
|
|
|
| G | Brian C Rogers |
| Y | For |
|
9 |
|
|
|
| H | Dr. Alfred Sommer |
| Y | For |
|
10 |
|
|
|
| I | Dwight S Taylor |
| Y | For |
|
11 |
|
|
|
| J | Anne Marie Whittemore |
| Y | For |
|
12 |
|
|
|
| 2 | Approve compensation paid to executive | MGMT | Y | For | For |
13 |
|
|
|
| 3 | Frequency of compensation paid to exec. | MGMT | Y | Abstain | Against |
14 |
|
|
|
| 4 | Ratify Accounting Firm for 2011 | MGMT | Y | For | For |
15 |
|
|
|
|
|
|
|
|
|
|
16 | Eli Lilly & CO | LLY | 532457108 | 4/18/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
17 |
|
|
|
| A | ML Eskew |
|
| For |
|
18 |
|
|
|
| B | AG Gilman |
|
| For |
|
19 |
|
|
|
| C | KN Horn |
|
| For |
|
20 |
|
|
|
| D | JC Lechleiter |
|
| For |
|
|
|
|
|
| 2 | Ratify Accounting Firm for 2011 | MGMT |
| For | For |
|
|
|
|
| 3 | Compensation paid to executive Officers | MGMT |
| Abstain | Against |
|
|
|
|
| 4 | Frequency of compensation paid to exec. | MGMT |
| Abstain | Against |
|
|
|
|
| 5 | Amendments Annual Election of Director | MGMT |
| For | For |
|
|
|
|
| 6 | Eliminate all supermajority vote requirmnt | MGMT |
| For | For |
|
|
|
|
| 7 | Executive Officer Incentive plan | MGMT |
| Against | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
|
| ||||||
Investment Company Act file number: |
|
|
|
| ||||||
Reporting Period: July 1, 2010 through June 30, 2011 |
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
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 | Greenhill CO | GHL | 395259104 | 4/20/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
|
|
|
| A | Robert F Greenhill |
| Y | For |
|
3 |
|
|
|
| B | Scott L Bok |
| Y | For |
|
4 |
|
|
|
| C | John C Danforth |
| Y | For |
|
5 |
|
|
|
| D | Steven F Goldstone |
| Y | For |
|
6 |
|
|
|
| E | Stephen L Key |
| Y | For |
|
7 |
|
|
|
| F | Robert T Blakely |
| Y | For |
|
8 |
|
|
|
| 2 | Ratify Auditors for 2011 | MGMT | Y | For | For |
9 |
|
|
|
| 3 | Approval executive compensation | MGMT | Y | Abstain | Against |
10 |
|
|
|
| 4 | Frequency of executive compensation | MGMT | Y | Abstain | Against |
11 |
|
|
|
|
|
|
|
|
|
|
12 | Digital Reality | DLR | 253868103 | 4/25/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
13 |
|
|
|
| A | Richard A Magnuson |
| Y | For |
|
14 |
|
|
|
| B | Michael F Foust |
| Y | For |
|
15 |
|
|
|
| C | Laurence A Chapman |
| Y | For |
|
16 |
|
|
|
| D | Kathleen Earley |
| Y | For |
|
17 |
|
|
|
| E | Ruann F Ernst PHD |
| Y | For |
|
18 |
|
|
|
| F | Dennis E Singleton |
| Y | For |
|
19 |
|
|
|
| G | Robert H Zerbst |
| Y | For |
|
20 |
|
|
|
| 2 | Ratify Auditors for 2011 | MGMT | Y | For | For |
|
|
|
|
| 3 | Approval executive compensation | MGMT | Y | For | For |
|
|
|
|
| 4 | Frequency of executive compensation | MGMT | Y | Abstain | Against |
Registrant: The Santa Barbara Group of Mutual Funds, Inc. - The Montecito Fund |
| Item 1, Exhibit A |
|
| ||||||
Investment Company Act file number: |
|
|
|
| ||||||
Reporting Period: July 1, 2010 through June 30, 2011 |
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
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 | Unitil Corp | UTL | 913259107 | 4/21/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
2 |
|
|
|
| A | Robert V Antonucci |
| Y | For |
|
3 |
|
|
|
| B | David P Brownell |
| Y | For |
|
4 |
|
|
|
| C | Albert H Elfner lll |
| Y | For |
|
5 |
|
|
|
| D | Michael B Green |
| Y | For |
|
6 |
|
|
|
| E | M Brian Oshaughnessy |
| Y | For |
|
7 |
|
|
|
| 2 | Amend articles of incorporation | MGMT | Y | For | For |
8 |
|
|
|
| 3 | Ratify Auditors for 2011 | MGMT | Y | For | For |
9 |
|
|
|
| 4 | approval of executive compensation | MGMT | Y | Abstain | Against |
10 |
|
|
|
| 5 | Frequency of executive compensation | MGMT | Y | Abstain | Against |
11 |
|
|
|
|
|
|
|
|
|
|
12 | Abbot Laboratories | ABT | 2824100 | 4/29/2011 | 1 | ELECTION OF DIRECTORS | MGMT | Y |
| For |
13 |
|
|
|
| A | RJ Alpern |
| Y | For |
|
14 |
|
|
|
| B | RS Austin |
| Y | For |
|
15 |
|
|
|
| C | WJ Farrell |
| Y | For |
|
16 |
|
|
|
| D | HL Fuller |
| Y | For |
|
17 |
|
|
|
| E | EM Liddy |
| Y | For |
|
18 |
|
|
|
| F | PN Novakovic |
| Y | For |
|
19 |
|
|
|
| G | WA Osborn |
| Y | For |
|
20 |
|
|
|
| H | SC Scott lll |
| Y | For |
|
|
|
|
|
| I | GF Tilton |
| Y | For |
|
|
|
|
|
| J | MD White |
| Y | For |
|
|
|
|
|
| 2 | Ratify Auditors for 2011 | MGMT | Y | For | For |
|
|
|
|
| 3 | approval of executive compensation | MGMT | Y | Abstain | Against |
|
|
|
|
| 4 | Frequency of executive compensation | MGMT | Y | Abstain | Against |
|
|
|
|
| 5 | Pharmaceutical Pricing | SHRLD | Y | Abstain | Against |
| Registrant: Santa Barbara Group of Mutual Funds - PFW Water Fund |
|
|
| Item 1, Exhibit A | |||||
| Investment Company Act file number: 811-07414 |
|
|
|
|
|
|
| ||
| Reporting Period: July 1, 2010 through June 30, 2011 |
|
|
|
|
|
|
| ||
|
|
|
|
|
|
|
|
|
|
|
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 | American Tower | AMT | 299122012 | Annual 8-18-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
| Corporation |
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2 | American Water | AWK | 304201033 | Annual 5-6-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
| Works Company |
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3 | Bader Meter Inc. | BMI | 565251081 | Annual 5-29-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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4 | Cadiz Inc. | CDZI | 1275372076 | Annual 6-2-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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5 | Calgon Carbon Corporation | CCC | 1296031065 | Annual 5-28-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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6 | Companhia De | SBS | 20441A1025 | Special 5-28-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
| Saneamento Basico |
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7 | Energy Recovery | ERII | 29270J1007 | Annual 6-10-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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8 | Floweserve Corporation | FLS | 34354P1057 | Annual 5-19-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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9 | Heckman Corporation | HEK | 4226801086 | Annual 5-16-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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10 | Insituform Technologies Inc. | INSU | 4576671030 | Annual 4-20-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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11 | Itron Inc. | ITRI | 4657411066 | Annual 5-3-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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12 | Layne Christensen Company | LAYN | 52110501046 | Annual 6-9-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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13 | Mesa Laboratories, Inc. | MLAB | 59064R1095 | Annual 9-23-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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14 | Met-Pro Corporation | MRP | 5908763064 | Annual 6-1-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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15 | Molycorp Inc. | MCP | 6088751090 | Annual 6-1-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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16 | Mueller Water | MWA |
| Annual 1-26-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
| Products Inc. |
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17 | Nalco Holding Company | NLC | 62985Q1013 | Annual 5-29-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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18 | O. I. Corporation | OICO | 6708411052 | Speicial 11-15-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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19 | O2Micro International | OIIIM | 67107W1009 | Annual 6-22-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
| Limited |
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20 | SJW Corp. | SJW | 7843051043 | Annual 4-27-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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21 | The Gorman-Rupp Company | GRC | 3830821043 | Annual 4-27-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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22 | Tri-Tech Holding Ind | TRIT | 9103F1063 | Annual 11-19-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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23 | Veolia Environnement | VE | 92334N1037 | Annual 5-17-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
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24 | Watts Water | WTS | 9427491025 | Annual 5-11-11 |
| Election Board of Directors | Issurer | N | N* | N/A |
| Technologies Inc. |
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* | Custodian Bank failed to send shareholder meeting materials to Registrant's proxy voting agent before shareholder meeting date. |
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