Current Report Filing (8-k)

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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, 2023

 

UWHARRIE CAPITAL CORP

(Exact name of Registrant as Specified in Its Charter)

 

 

North Carolina	000-22062	56-1814206
(State or Other Jurisdiction of Incorporation)	(Commission File Number)	(IRS Employer Identification No.)
132 North First Street Albemarle, North Carolina		28001
(Address of Principal Executive Offices)		(Zip Code)

Registrant’s Telephone Number, Including Area Code: 704-983-6181

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 (see General Instructions A.2. below):

☐	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))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class		Trading Symbol(s)		Name of each exchange on which registered
None

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 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. ☐

 

 

 

 

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Item 5.07 Submission of Matters to a Vote of Security Holders.

 

On May 16, 2023, Uwharrie Capital Corp (the “Registrant”) held its Annual Meeting of Shareholders (the “Annual Meeting”). There were three proposals submitted to shareholders at the Annual Meeting. In the case of Proposal 1, all of the Board of Directors’ nominees were approved and elected to serve on the Registrant’s Board of Directors. The other proposals were also approved by the shareholders entitled to vote at the Annual Meeting. The proposals below are described in greater detail in the Registrant’s definitive proxy statement for the Annual Meeting, as filed with the Securities and Exchange Commission on April 6, 2023.

 

The voting results were as follows:

 

Proposal 1: Proposal to elect six members of the Board of Directors, for the terms of office indicated or until their respective successors are duly elected and qualified.

 

Directors Elected		Votes For		Votes Withheld		Broker Non-Votes
Three-Year Terms
Merlin Amirtharaj		3,261,350		40,262		1,121,812
Mary N. Klauder		3,238,788		62,824		1,121,812
Matthew D. McAulay		3,236,293		65,319		1,121,812
Wesley A. Morgan		3,270,648		30,964		1,121,812
Frank A. Rankin, III		3,231,189		70,423		1,121,812
Two-Year Term
Aaron D. Bates		3,241,296		60,316		1,121,812

 

Proposal 2: Proposal to ratify a non-binding shareholder resolution regarding executive compensation.

 

For		Against		Abstain		Broker Non-Votes
3,133,301		78,658		89,653		1,121,812

 

Proposal 3: Proposal to ratify the appointment of Forvis, LLP as the Company’s independent registered public accounting firm for 2023.

 

For		Against		Abstain		Broker Non-Votes
4,396,156		8,731		18,537		--

 

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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.

 

		UWHARRIE CAPITAL CORP
Date: May 18, 2023		By:	/s/ Heather H. Almond
			Heather H. Almond
			Principal Financial Officer