UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
__________________
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): May 16, 2016
__________________
REDWOOD TRUST, INC.
(Exact name of registrant as specified in its charter)
| Maryland | 001-13759 | 68-0329422 | ||
|
(State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
One Belvedere Place
Suite 300
Mill Valley, California 94941
(Address of principal executive offices and Zip Code)
(415) 389-7373
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
__________________
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 5.07. Submission of Matters to a Vote of Security Holders
Redwood Trust, Inc. (the “Company”) held its 2016 Annual Meeting of Stockholders on May 16, 2016 (the “Annual Meeting”). There were 77,073,352 shares of Company common stock entitled to vote at the Annual Meeting. There were three items voted upon at the Annual Meeting, with the voting results for each item set forth below.
Item 1. During the Annual Meeting, stockholders voted to elect Richard D. Baum, Mariann Byerwalter, Douglas B. Hansen, Debora D. Horvath, Marty Hughes, Greg H. Kubicek, Karen R. Pallotta, Jeffrey T. Pero, and Georganne C. Proctor as directors to serve on the Board of Directors until the annual meeting of stockholders in 2017 and until their successors are duly elected and qualify. The stockholders’ votes with respect to the election of directors were as follows:
| Nominee | For | Against | Abstain | Broker Non-Votes | ||||
| Richard D. Baum | 63,033,534 | 1,776,545 | 56,459 | 8,504,238 | ||||
| Douglas B. Hansen | 63,453,038 | 1,360,412 | 53,089 | 8,504,237 | ||||
| Mariann Byerwalter | 63,402,349 | 1,415,048 | 49,142 | 8,504,237 | ||||
| Debora D. Horvath | 64,404,778 | 402,432 | 59,329 | 8,504,238 | ||||
| Marty Hughes | 63,459,311 | 1,359,821 | 47,406 | 8,504,237 | ||||
| Greg H. Kubicek | 63,440,058 | 1,378,937 | 47,542 | 8,504,238 | ||||
| Karen R. Pallotta | 64,018,138 | 801,028 | 47,373 | 8,504,237 | ||||
| Jeffrey T. Pero | 64,018,722 | 800,164 | 47,652 | 8,504,237 | ||||
| Georganne C. Proctor | 64,023,478 | 795,637 | 47,423 | 8,504,237 | ||||
Item 2. During the Annual Meeting, stockholders voted to ratify the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm for 2016. The stockholders’ votes with respect to the ratification of Grant Thornton LLP as the Company’s independent registered public accounting firm were as follows:
| For | Against | Abstentions | Broker Non-Votes | |||
| 72,205,398 | 1,093,942 | 71,435 | — |
Item 3. During the Annual Meeting, stockholders voted on a non-binding advisory resolution to approve named executive officer compensation as disclosed in the annual proxy statement for the Annual Meeting. The stockholders’ votes with respect to approval of this advisory resolution were as follows:
| For | Against | Abstentions | Broker Non-Votes | |||
| 59,842,169 | 4,918,713 | 105,658 | 8,504,237 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| Date: May 17, 2016 | REDWOOD TRUST, INC. | |
|
| ||
| By: | /s/ Andrew P. Stone | |
| Name: Andrew P. Stone | ||
| Title: General Counsel, Executive Vice President, and Secretary | ||