0000910472-11-001470.txt : 20110818 0000910472-11-001470.hdr.sgml : 20110818 20110818165326 ACCESSION NUMBER: 0000910472-11-001470 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110818 DATE AS OF CHANGE: 20110818 EFFECTIVENESS DATE: 20110818 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: 111045392 BUSINESS ADDRESS: STREET 1: 14020 S. 147TH ST. CITY: OMAHA STATE: NE ZIP: 68137 BUSINESS PHONE: 626-844-1441 MAIL ADDRESS: STREET 1: 1270 HILLCREST AVENUE CITY: PASADENA STATE: CA ZIP: 91106 FORMER COMPANY: FORMER CONFORMED NAME: ASCHER FUNDS INC DATE OF NAME CHANGE: 19930328 0000895645 S000011045 PFW Water Fund C000030473 PFW Water Fund Class A PFWAX C000030474 PFW Water Fund Class C PFWCX C000089631 PFW Water Fund Class I 0000895645 S000011046 Montecito Fund C000030476 Montecito Fund MONAX N-PX 1 coverandsignaturepage.htm SANTA BARBARA GROUP OF MUTUAL FUNDS                                                                                   --------------------------

 

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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

 

 

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

Chevron Corp

CVX

166764100

4/25/2011

1

ELECTION OF DIRECTORS

MGMT

Y

 

For

2

 

 

 

 

A

L F Deily

 

 

For

 

3

 

 

 

 

B

RE Dehnham

 

 

For

 

4

 

 

 

 

C

RJ Eaton

 

 

For

 

5

 

 

 

 

D

C Hagel

 

 

For

 

6

 

 

 

 

E

E Hernandez

 

 

For

 

7

 

 

 

 

F

GL Kirkland

 

 

For

 

8

 

 

 

 

G

DB Rice

 

 

For

 

9

 

 

 

 

H

KW Sharer

 

 

For

 

10

 

 

 

 

I

CR Shoemate

 

 

For

 

11

 

 

 

 

J

JG Stumpf

 

 

For

 

12

 

 

 

 

K

RD Sugar

 

 

For

 

13

 

 

 

 

L

C Ware

 

 

For

 

14

 

 

 

 

M

JS Watson

 

 

For

 

15

 

 

 

 

2

Ratification of Accountants

MGMT

Y

For

For

16

 

 

 

 

3

Named Executive Officer Compensation

MGMT

Y

For

For

17

 

 

 

 

4

Frequency Votes on Officer Comp.

MGMT

Y

Abstain

Against

18

 

 

 

 

5

Director with Environmental Experience

SHRLD

Y

Abstain

Against

19

 

 

 

 

6

Human Rights committee

SHRLD

Y

Abstain

Against

20

 

 

 

 

7

Sustain Metric for Exec. Compensation

SHRLD

Y

Abstain

Against

21

 

 

 

 

8

Guidelines for Country Selection

SHRLD

Y

Abstain

Against

22

 

 

 

 

9

Financial Risks from Climate Change

SHRLD

Y

Abstain

Against

23

 

 

 

 

10

Hydraulic Fracturing

SHRLD

Y

Abstain

Against

24

 

 

 

 

11

Offshore Oil Wells

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

Consolidated Water

CWCO

G23773107

5/24/2011

1

ELECTION OF DIRECTORS

MGMT

Y

 

For

2

 

 

 

 

A

Carson K Ebanks

 

 

For

 

3

 

 

 

 

B

Richard L Finlay

 

 

For

 

4

 

 

 

 

C

Clarence B Flowers, JR

 

 

For

 

5

 

 

 

 

D

Frederick W. Mctaggart

 

 

For

 

6

 

 

 

 

2

Vote on Executive Compensation

MGMT

Y

Abstain

For

7

 

 

 

 

3

Frequency Vote on Exec. Compensation

MGMT

Y

Abstain

Against

8

 

 

 

 

4

Ratify Marcum LLP as indep. Acctnting

MGMT

Y

For

For

9

 

 

 

 

 

 

 

 

 

 

10

McDonald's Corp.

MCD

580135101

5/19/2011

1

ELECTION OF DIRECTORS

MGMT

Y

 

For

11

 

 

 

 

A

Susan E Arnold

 

 

 

 

12

 

 

 

 

B

Richard H Lenny

 

 

 

 

13

 

 

 

 

C

Cary D Mcmillan

 

 

 

 

14

 

 

 

 

D

Sheila A Penrose

 

 

 

 

15

 

 

 

 

E

James A Skinner

 

 

 

 

16

 

 

 

 

2

Approve Accounting Firm Serve Audit

MGMT

Y

For

For

17

 

 

 

 

3

Vote on Executive Compensation

MGMT

Y

Abstain

For

18

 

 

 

 

4

Frequency Vote on Exec. Compensation

MGMT

Y

Abstain

Against

19

 

 

 

 

5

Eliminate Major/Vote Requirmnts #12

MGMT

Y

Abstain

Against

20

 

 

 

 

6

Eliminate Major/Vote Requirmnts #13

MGMT

Y

Abstain

Against

21

 

 

 

 

7

Eliminate Major/Vote Requirmnts #14

MGMT

Y

Abstain

Against

22

 

 

 

 

8

Vote Shareholder Classified Board

SHRLD

Y

Abstain

Against

23

 

 

 

 

9

Vote Shareholder Atmosphere Stunning

SHRLD

Y

Abstain

Against

24

 

 

 

 

10

Vote Shareholder Report Child Nutrition

SHRLD

Y

Abstain

Against

25

 

 

 

 

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

 

 

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

Senior Housing Prop

SNH

81721M109

5/16/2011

1

ELECTION OF DIRECTORS

 

 

 

For

2

 

 

 

 

A

Fredrick N Zeytoonjian

MGMT

Y

For

 

3

 

 

 

 

2

Resolution on Exectutive Compensation

MGMT

Y

Abstain

Against

4

 

 

 

 

3

Frequency on Exec. Compensation

MGMT

Y

Abstain

Against

5

 

 

 

 

4

Ratify Accounting Firm for 2011

MGMT

Y

For

For

6

 

 

 

 

 

 

 

 

 

 

7

NGP Capital Res.

NGPC

62912R107

5/11/2011

1

ELECTION OF DIRECTORS

 

 

 

For

8

 

 

 

 

A

Edward W. Blessing

MGMT

Y

For

 

9

 

 

 

 

2

Ratify Accounting Firm for 2011

MGMT

Y

For

For

10

 

 

 

 

3

Adjourn 2011 annual meeting

MGMT

Y

For

For

11

 

 

 

 

 

 

 

 

 

 

12

Monmouth

MNR

609720107

5/5/2011

1

ELECTION OF DIRECTORS

MGMT

Y

 

For

13

 

 

 

 

A

Neal Herstik

MGMT

Y

For

 

14

 

 

 

 

B

Matthew I Hirsch

MGMT

Y

For

 

15

 

 

 

 

C

Stephen B Wolgin

MGMT

Y

For

 

16

 

 

 

 

2

Approval of Accounting Firm 2011

MGMT

Y

For

For

17

 

 

 

 

3

vote on Executive Compensation

MGMT

Y

Abstain

Against

18

 

 

 

 

4

Frequency on Exec. Compensation

MGMT

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

Conoco Phillips

COP

20825C104

5/11/2011

1

ELECTION OF DIRECTORS

MGMT

 

 

For

2

 

 

 

 

A

Richard L Armitage

 

Y

For

 

3

 

 

 

 

B

Richard H Auchinleck

 

Y

For

 

4

 

 

 

 

C

James E Copeland, JR

 

Y

For

 

5

 

 

 

 

D

Kenneth M Duberstein

 

Y

For

 

6

 

 

 

 

E

ruth R Harkin

 

Y

For

 

7

 

 

 

 

F

Harold W McGraw lll

 

Y

For

 

8

 

 

 

 

G

James J Mulva

 

Y

For

 

9

 

 

 

 

H

Robert A Niblock

 

Y

For

 

10

 

 

 

 

I

Harald J Norvik

 

Y

For

 

11

 

 

 

 

J

William K Reilly

 

Y

For

 

12

 

 

 

 

K

Victoria J Tschinkel

 

Y

For

 

13

 

 

 

 

L

Kathryn C Turner

 

Y

For

 

14

 

 

 

 

M

William E Wade JR

 

Y

For

 

15

 

 

 

 

2

Ratify Accounting Firm 2011

MGMT

Y

For

For

16

 

 

 

 

3

Approval of Executive Compensation

MGMT

Y

For

For

17

 

 

 

 

4

Frequency on executive compensation

MGMT

Y

Abstain

 

18

 

 

 

 

5

2011 Stock and Performance Incentive P

MGMT

Y

Against

Against

19

 

 

 

 

6

Gender expression non discrimination

SHRLD

Y

Abstain

Against

20

 

 

 

 

7

Political Contributions

SHRLD

Y

Abstain

Against

21

 

 

 

 

8

Grassroots lobbying expenditures

SHRLD

Y

Abstain

Against

22

 

 

 

 

9

Accident Risk Mitigation

SHRLD

Y

Abstain

Against

23

 

 

 

 

10

Enviro Policy Louisiana Wetlands

SHRLD

Y

Abstain

Against

24

 

 

 

 

11

Greenhouse Gas Reduction Targets

SHRLD

Y

Abstain

Against

25

 

 

 

 

12

Rinancial Risk From Climate Change

SHRLD

Y

Abstain

Against

26

 

 

 

 

13

Canadian Oil Sands

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

Bank of America

BAC

60505591

5/11/2011

1

ELECTION OF DIRECTORS

MGMT

Y

 

For

2

 

 

 

 

A

Mukesh D Ambani

 

Y

For

 

3

 

 

 

 

B

Susan S Bies

 

Y

For

 

4

 

 

 

 

C

Frank P Bramble SR

 

Y

For

 

5

 

 

 

 

D

Virgis W Colbert

 

Y

For

 

6

 

 

 

 

E

Charles K Gifford

 

Y

For

 

7

 

 

 

 

F

Charles O Holliday JR

 

Y

For

 

8

 

 

 

 

G

D Paul Jones JR

 

Y

For

 

9

 

 

 

 

H

Monica C Lozano

 

Y

For

 

10

 

 

 

 

I

Thomas J May

 

Y

For

 

11

 

 

 

 

J

Brian T Moynihan

 

Y

For

 

12

 

 

 

 

K

Donald E Powell

 

Y

For

 

13

 

 

 

 

L

Charles O Rossotti

 

Y

For

 

14

 

 

 

 

M

Robert W Scully

 

Y

For

 

15

 

 

 

 

2

vote to aprrove exec. Compensation

MGMT

Y

Abstain

Against

16

 

 

 

 

3

Frequency of say on pay votes

MGMT

Y

Abstain

Against

17

 

 

 

 

4

Ratify Public Acct. Firm for 2011

MGMT

Y

For

For

18

 

 

 

 

5

Stockholder disclosure on govt emplmnt

SHRLD

Y

Abstain

Against

19

 

 

 

 

6

stockholder action by written consent

SHRLD

Y

Abstain

Against

20

 

 

 

 

7

Mortgage servicing operations

SHRLD

Y

Abstain

Against

21

 

 

 

 

8

Grassroots Lobbying

SHRLD

Y

Abstain

Against

22

 

 

 

 

9

OTC Derivatives Trading

SHRLD

Y

Abstain

Against

23

 

 

 

 

10

Cumulative vote in contested election

SHRLD

Y

Abstain

Against

24

 

 

 

 

11

recoupment of incentive compensation

SHRLD

Y

Abstain

Against

25

 

 

 

 

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

 

 

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

Verizon Comm.

VZ

92343V104

5/5/2011

1

ELECTION OF DIRECTORS

MGMT

Y

 

For

2

 

 

 

 

A

Richard L Carrion

 

Y

For

 

3

 

 

 

 

B

M Frances Keeth

 

Y

For

 

4

 

 

 

 

C

Robert W Lane

 

Y

For

 

5

 

 

 

 

D

Lowell C Mcadam

 

Y

For

 

6

 

 

 

 

E

Sandra O Moose

 

Y

For

 

7

 

 

 

 

F

Joseph Neubauer

 

Y

For

 

8

 

 

 

 

G

donald T Nicolaisen

 

Y

For

 

9

 

 

 

 

H

Clarence Otis JR

 

Y

For

 

10

 

 

 

 

I

Hugh B Price

 

Y

For

 

11

 

 

 

 

J

Ivan G Seidenberg

 

Y

For

 

12

 

 

 

 

K

Rodney E Slater

 

Y

For

 

13

 

 

 

 

L

John W Snow

 

Y

For

 

14

 

 

 

 

2

Ratification of Accounting Firm

MGMT

Y

For

For

15

 

 

 

 

3

Vote Related to Executive compensation

MGMT

Y

Abstain

Against

16

 

 

 

 

4

Future votes on executive compensation

MGMT

Y

Abstain

Against

17

 

 

 

 

5

disclose prior government service

SHRLD

Y

Abstain

Against

18

 

 

 

 

6

performance stock unit/thresholds

SHRLD

Y

Abstain

Against

19

 

 

 

 

7

Cumulative voting

SHRLD

Y

Abstain

Against

20

 

 

 

 

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

 

 

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

Kimberly-Clark

KMB

494368103

4/21/2011

1

ELECTION OF DIRECTORS

MGMT

 

 

For

2

 

 

 

 

A

John R Alm

 

Y

For

 

3

 

 

 

 

B

John F Bergstrom

 

Y

For

 

4

 

 

 

 

C

Abelardo E Bru

 

Y

For

 

5

 

 

 

 

D

Robert W Decherd

 

Y

For

 

6

 

 

 

 

E

Thomas J Falk

 

Y

For

 

7

 

 

 

 

F

Mae C Jemison MD

 

Y

For

 

8

 

 

 

 

G

James M Jenness

 

Y

For

 

9

 

 

 

 

H

Nancy J Karch

 

Y

For

 

10

 

 

 

 

I

Ian  C Read

 

Y

For

 

11

 

 

 

 

J

Linda Johnson Rice

 

Y

For

 

12

 

 

 

 

K

Marc J Shapiro

 

Y

For

 

13

 

 

 

 

L

G Craig Sullivan

 

Y

For

 

14

 

 

 

 

2

Ratification of Auditors

MGMT

Y

For

For

15

 

 

 

 

3

2011 Outside Directors Compensation

MGMT

Y

Abstain

Against

16

 

 

 

 

4

2011 Equity Participation Plan

MGMT

Y

Against

Against

17

 

 

 

 

5

Executive Compensation Program

MGMT

Y

Abstain

Against

18

 

 

 

 

6

Frequency on Executive Compensation

MGMT

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

Johnson & Johnson

JNJ

478160104

4/28/2011

1

ELECTION OF DIRECTORS

MGMT

 

 

For

2

 

 

 

 

A

Mary Sue coleman

 

Y

For

 

3

 

 

 

 

B

James G Cullen

 

Y

For

 

4

 

 

 

 

C

Ian EL Davis

 

Y

For

 

5

 

 

 

 

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2

American Water

AWK

304201033

Annual 5-6-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

Works Company

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

Bader Meter Inc.

BMI

565251081

Annual 5-29-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

4

Cadiz Inc.

CDZI

1275372076

Annual 6-2-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

  

 

 

 

5

Calgon Carbon Corporation

CCC

1296031065

Annual 5-28-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

6

 Companhia De

SBS

20441A1025

Special 5-28-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

Saneamento Basico

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

7

Energy Recovery

ERII

29270J1007

Annual 6-10-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

8

Floweserve Corporation

FLS

34354P1057

Annual 5-19-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

9

Heckman Corporation

HEK

4226801086

Annual 5-16-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

10

Insituform Technologies Inc.

INSU

4576671030

Annual 4-20-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

11

Itron Inc.

ITRI

4657411066

Annual 5-3-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

12

Layne Christensen Company

LAYN

52110501046

Annual 6-9-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

13

Mesa Laboratories, Inc.

MLAB

59064R1095

Annual 9-23-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

14

Met-Pro Corporation

MRP

5908763064

Annual 6-1-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

15

Molycorp Inc.

MCP

6088751090

Annual 6-1-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

16

Mueller Water

MWA

 

Annual 1-26-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

Products Inc.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

17

Nalco Holding Company

NLC

62985Q1013

Annual 5-29-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

18

O. I. Corporation

OICO

6708411052

Speicial 11-15-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

19

O2Micro International

OIIIM

67107W1009

Annual 6-22-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

Limited

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

20

SJW Corp.

SJW

7843051043

Annual 4-27-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

21

The Gorman-Rupp Company

GRC

3830821043

Annual 4-27-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

22

Tri-Tech Holding Ind

TRIT

9103F1063

Annual 11-19-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

23

Veolia Environnement

VE

92334N1037

Annual 5-17-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

 

 

 

 

 

 

 

 

 

 

24

Watts Water

WTS

9427491025

Annual 5-11-11

 

Election Board of Directors

Issurer

N

N*

N/A

 

Technologies Inc.

 

 

 

 

 

 

 

 

 


*

Custodian Bank failed to send shareholder meeting materials to Registrant's proxy voting agent before shareholder meeting date.