Current Report Filing (8-k)
21 5월 2016 - 12:35AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington
,
D.C.
20549
FORM 8-K
CURRENT REPORT
P
ursuant
to Section 13 or 15(d) of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): May 17, 2016
The Charles Schwab Corporation
(Exact name of registrant as specified in its charter)
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Commission File Number: 1-9700
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Delaware
(State or other jurisdiction
of incorporation)
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94-3025021
(I.R.S. Employer
Identification No.)
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211 Main Street,
San Francisco
,
CA
94105
(Address of principal executive offices, including zip code)
(415) 667-7000
(Registrant’s telephone number, including area code)
N/A
(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
:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 5.07
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Submission of Matters to a Vote of Security Holders
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(a)
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The Annual Meeting of Stockholders of The Charles Schwab Corporation (“CSC”) was held on May 17, 2016.
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(b)
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All nominees for directors were elected, and each nominee received more “for” votes than “against” votes cast for his or her election. The proposals for ratification of the selection of Deloitte & Touche LLP as CSC’s independent auditors and the advisory vote on executive compensation were approved. The stockholder proposal
requesting disclosure of lobbying policy, procedures and oversight; lobbying expenditures; and participation in organizations engaged in lobbying
was not approved. T
he s
tockholder
proposal requesting annual disclosure of EEO-1 data
was not approved. The final voting results were as follows:
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For
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Against
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Abstain
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Broker Non-Vote
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1
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Election of Directors
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(a)
John K. Adams, Jr.
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1,081,415,855
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11,078,429
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1,386,617
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52,815,118
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(b)
Stephen A. Ellis
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1,082,057,364
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10,916,413
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907,124
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52,815,118
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(c)
Arun Sarin
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1,080,857,262
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11,713,539
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1,310,100
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52,815,118
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(d)
Charles R. Schwab
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1,049,025,624
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44,127,466
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727,811
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52,815,118
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(e)
Paula A. Sneed
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1,044,815,708
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48,169,882
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895,311
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52,815,118
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2
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Ratification of
the selection of Deloitte & Touche LLP as independent auditors
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1,135,307,027
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10,624,090
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764,902
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0
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3
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Advisory approval of Named Executive Officer compensation
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1,060,800,657
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28,049,341
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5,029,230
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52,816,791
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4
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Stockholder proposal
requesting disclosure of lobbying policy, procedures and oversight; lobbying expenditures; and participation in organizations engaged in lobbying
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262,580,783
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682,647,213
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148,652,105
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52,815,918
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5
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Stockholder proposal
requesting annual disclosure of EEO-1 data
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222,251,885
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692,049,282
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179,578,061
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52,816,791
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Signature(s)
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its beha
lf by the undersigned
hereunto duly authorized.
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THE CHARLES SCHWAB CORPORATION
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Date: May
20
, 2016
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By:
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/s/ Joseph R. Martinetto
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Joseph R. Martinetto
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Senior Executive Vice President and
Chief Financial Officer
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Schwab (Charles) Corp. Prfd C (NYSE:SCHWPC)
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