Adamas Trust, Inc 8-K, filed Jun 30, 2020
Adamas Trust, Inc. (ADAM)
8-K
2020-06-30
For: 2020-06-29
View Original
Added on
April 05, 2026
About this 8-K
Adamas Trust, Inc filed this 8-K on June 30, 2020, reporting on events of June 29, 2020.
Items reported
- Item 5.07: Shareholder vote results
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): June 29, 2020
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
(Address and zip code of
principal executive offices)
Registrant’s telephone number, including area code: (212 ) 792-0107
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:
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (§230.405 of this chapter) or Rule 12b-2 under the Exchange Act (§240.12b-2 of this chapter).
Emerging Growth Company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Securities registered pursuant to Section 12(b) of the Act:
Title of Each Class | Trading Symbol(s) | Name of Each Exchange on Which Registered | |||
Stock Market | |||||
Stock Market | |||||
par value $0.01 per share, $25.00 Liquidation Preference | |||||
Stock Market | |||||
par value $0.01 per share, $25.00 Liquidation Preference | |||||
Stock Market | |||||
par value $0.01 per share, $25.00 Liquidation Preference | |||||
Stock Market | |||||
par value $0.01 per share, $25.00 Liquidation Preference | |||||
Item 5.07. Submission of Matters to a Vote of Security Holders.
2020 Annual Meeting of Stockholders
New York Mortgage Trust, Inc. (the “Company”) held its 2020 Annual Meeting of Stockholders (the “Annual Meeting”) on Monday, June 29, 2020. There were 311,575,950 shares of common stock of the Company present or represented by proxy at the Annual Meeting, constituting approximately 82.54% of the outstanding shares of common stock on April 24, 2020, the record date for the Annual Meeting.
The matters voted upon at the Annual Meeting and the final results of such voting are set forth below:
Proposal 1: To elect seven directors to the Company’s Board of Directors.
Name | For | Against | Abstain |
David R. Bock | 175,907,372 | 8,364,363 | 1,871,900 |
Michael B. Clement | 180,550,047 | 3,720,496 | 1,873,092 |
Alan L. Hainey | 175,459,612 | 8,780,133 | 1,903,890 |
Steven R. Mumma | 177,142,909 | 7,137,201 | 1,863,525 |
Steven G. Norcutt | 178,811,513 | 5,383,453 | 1,948,669 |
Lisa A. Pendergast | 178,133,172 | 6,192,554 | 1,817,909 |
Jason T. Serrano | 177,434,755 | 6,764,147 | 1,944,733 |
In addition, there were 125,432,315 broker non-votes associated with the election of the directors. All director nominees were duly elected at the Annual Meeting. Each of the individuals named in the above table will serve as a director until the 2021 Annual Meeting of Stockholders and until his or her successor is duly elected and qualified.
Proposal 2: To approve, on an advisory basis, the compensation of the Company’s named executive officers.
For | Against | Abstain | Broker Non-Votes |
174,669,716 | 8,570,019 | 2,903,900 | 125,432,315 |
At the Annual Meeting, stockholders approved, on an advisory basis, the compensation of the Company’s named executive officers. This advisory vote is commonly referred to as a “say-on-pay vote.”
Proposal 3: To ratify, confirm and approve the selection of Grant Thornton LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020.
For | Against | Abstain | Broker Non-Votes |
297,357,672 | 9,420,522 | 4,797,756 | N/A |
At the Annual Meeting, stockholders ratified the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
NEW YORK MORTGAGE TRUST, INC. | ||
(Registrant) | ||
Date: June 30, 2020 | By: | /s/ Steven R. Mumma |
Steven R. Mumma | ||
Chief Executive Officer | ||