N-PX 1 aegis_npx.htm ANNUAL REPORT OF PROXY VOTING aegis_npx.htm
 


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 811-21399
 
The Aegis Funds
(Exact name of registrant as specified in charter)
 
6862 Elm Street, Suite 830, McLean, Virginia 22101
(Address of principal executive offices)             (Zip code)
 
Aegis Financial Corporation
6862 Elm Street, Suite 830, McLean, Virginia 22101
 (Name and address of agent for service)
 
Registrant's telephone number, including area code: (703) 528-7788

Date of fiscal year end: December 31

Date of reporting period: July 1, 2012 – June 30, 2013
 
 

 

 
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
 
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 
 
 
 

AEGIS HIGH YIELD FUND PROXY VOTING RECORD
 
FOR PERIOD JULY 1, 2012 TO JUNE 30, 2013

 
 
AMERIGO RESOURCES LTD.
             
       
Security
  
03074G109
  
Meeting Type
  
ANNUAL
       
Ticker Symbol
  
ARREF
  
Meeting Date
  
7-MAY-2013
       
 
                 
 
Item
 
  
 
Proposal
 
  
 
Type
 
  
 
Vote
 
  
 
For/Against
Management
 
         
01
  
TO SET THE NUMBER OF DIRECTORS AT 8.
  
Management
  
For
  
For
         
02
  
DIRECTOR
1) KLAUS ZEITLER
2) ROBERT GAYTON
3) SIDNEY ROBINSON
4) RUSTON GOEPEL
5) MIGUEL GRAU
6) ALBERTO SALAS
7) GEOFF CASTLE
8) GEORGE IRELAND
  
Management
  
For
  
For
                 
                 
03
  
APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION.
  
Management
  
For
  
For
                 
04
  
TO TRANSACT ANY OTHER BUSINESS THAT MAY PROPERLY COME BEFORE THE MEETING AND ANY ADJORNMENT THEREOF.
  
Management
  
For
  
For


 
BALTIC TRADING LIMITED
             
       
Security
  
Y0553W103
  
Meeting Type
  
ANNUAL
Ticker Symbol
  
BALT
  
Meeting Date
  
16-MAY-2013
       
 
 
Item
 
  
 
Proposal
 
  
 
Type
 
  
 
Vote
 
  
 
For/Against
Management
 
         
01
  
DIRECTOR
1) HARRY A. PERRIN
  
Management
  
For
  
For
         
         
02
  
RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT AUDITORS OF BALTIC TRADING FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
 
  
Management
  
For
  
For
 
 
 
GLOBUS MARITIME LIMITED
             
       
Security
  
Y27265209
  
Meeting Type
  
ANNUAL
Ticker Symbol
  
GLBS
  
Meeting Date
  
5-SEP-2012
 
 
Item
 
  
 
Proposal
 
  
 
Type
 
  
 
Vote
 
  
 
For/Against
Management
 
         
01
  
DIRECTOR
1) ELIAS S. DEFTEREOS
2) JEFFREY O. PARRY
 
  
Management
  
For
  
For
                 
                 
02
  
TO APPROVE THE APPOINTMENT OF ERNST & YOUNG (HELLAS) CERTIFIED AUDITORS ACCOUNTANTS S.A. AS THE COMPANY’S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012.
  
Management
  
For
  
For

 
 
PMC COMMERCIAL TRUST
             
       
Security
  
693434102
  
Meeting Type
  
ANNUAL
       
Ticker Symbol
  
PCC
  
Meeting Date
  
14-JUN-2013
       
 
                 
 
Item
 
  
 
Proposal
 
  
 
Type
 
  
 
Vote
 
  
 
For/Against
Management
 
         
01
  
DIRECTOR
1) NATHAN G. COHEN
2) MARTHA ROSEMORE MORROW
3) BARRY A. IMBER
4) IRVING MUNN
5) JAN F. SALIT
 
  
Management
  
For
  
For
                 
                 
02
  
TO CONSIDER AND APPROVE, BY AN ADVISORY VOTE, EXECUTIVE COMPENSATION.
  
Management
  
For
  
For
                 
03
  
TO CONSIDER AND RATIFY THE APPOINTMENT OF PRICEWATHERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF PMC COMMERCIAL FOR THE YEAR ENDING DECEMBER 31, 2013.
 
 
  
Management
  
For
  
For
 
 
 
ROYAL HOST INC
             
       
Security
  
78029TAA7
  
Meeting Type
  
SPECIAL
       
Ticker Symbol
  
RYL
  
Meeting Date
  
29-NOV-2012
       
 
                 
 
Item
 
  
 
Proposal
 
  
 
Type
 
  
 
Vote
 
  
 
For/Against
Management
 
         
01
  
THE EXTRAORDINARY RESOLUTION (THE “DEBENTURE RESOLUTION”) IN THE FORM ATTACHED AS APPENDIX “A” TO THE MANAGEMENT INFORMATION CIRCULAR DATED OCTOVER 11, 2012  (THE “CIRCULAR”) APPROVING CERTAIN AMENDMENTS TO THE TRUST INDENTURE DATED FEBRUARY 21, 2002, AS SUPPLEMENTED BY THE FIRST SUPPLEMENTAL INDENTURE DATED APRIL 20, 2004, THE SECOND SUPPLEMENTAL INDENTURE DATED OCTOBER 5, 2005, THE THIRD SUPPLEMENTAL INDENTURE DATED SEPTEMBER 12, 2006, THE FOURTH SUPPLEMENTAL INDENTURE DATED JUNE 26, 2007, THE FIFTH SUPPLEMENTAL INDENTURE DATED JANUARY 1, 2001 AND THE SIXTH SUPPLEMENTAL INDENTURE DATED DECEMBER 13, 2012 (THE “INDENTURE”) BETWEEN THE COMPANY AND COPUTERSHARE TRUST COMPANY OF CANADA (THE “DEBENTURE TRUSTEE”) GOVERNING THE DEBENTURES, AND THE AUTHORIZATION OF THE DEBENTURE TRUSTEE TO EXECUTE A SEVENTH SUPPLEMENTAL INDENTURE SUBSTANTIALLY IN THE FORM ATTTACHED AS APPENDIX “B” TO THE CIRCULAR, ALL AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR
  
Management
  
For
  
For

 
 
 

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 Aegis Funds
 
By (Signature
and Title)
/s/ Scott L. Barbee
 
Scott L. Barbee, President, The Aegis Funds
 
Date                        July 25, 2013