cmo-8k_20200512.htm
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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:  May 12, 2020

(Date of Earliest Event Reported)

CAPSTEAD MORTGAGE CORPORATION

(Exact Name of Registrant as Specified in its Charter)

 

Maryland

001-08896

75-2027937

(State of Incorporation)

(Commission File No.)

(I.R.S. Employer

Identification No.)

 

8401 North Central Expressway

Suite 800

Dallas, Texas

 

75225

(Address of Principal Executive Offices)

 

(Zip Code)

 

Registrant’s Telephone Number, Including Area Code: (214) 874-2323

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 230.14a-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 Symbols

Name of each exchange on which  

   registered

Common Stock ($0.01 par value)

CMO

New York Stock Exchange

7.50% Series E Cumulative Redeemable    

   Preferred Stock ($0.10 par value)

CMOPRE

New York Stock Exchange

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. 


ITEM 5.07.  SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS

 

The annual meeting of stockholders was held on May 12, 2020.  As of March 18, 2020, the record date for the annual meeting, there were 96,394,713 shares outstanding and entitled to vote.  At the annual meeting 86,053,933 shares, or approximately 89.27% of the eligible voting shares, were represented either in person or by proxy.

 

At the meeting, the stockholders voted on the following items:

 

1.

Proposal (1) to elect seven nominees to our board of directors to hold office until the next annual meeting of stockholders and until their successors are elected and qualified.  The following nominees were elected to the board (constituting the entire board), with the voting results for each nominee as shown:

 

 

 

 

Withhold/

Broker

Name

      For      

Against

 Abstain  

   Non-votes   

 

 

 

 

 

Jack Biegler

71,793,676

2,412,772

169,820

11,677,665

Michelle P. Goolsby

72,886,106

1,301,328

188,834

11,677,665

Gary Keiser

71,619,577

2,559,331

197,360

11,677,665

Christopher W. Mahowald

53,250,595

20,924,972

200,701

11,677,665

Michael G. O’Neil

52,317,546

21,886,957

171,765

11,677,665

Phillip A. Reinsch

73,269,624

937,503

169,141

11,677,665

Mark S. Whiting

69,198,489

5,005,756

172,023

11,677,665

 

 

 

 

 

2.

Proposal (2) to approve on an advisory (non-binding) basis our 2019 executive compensation.  This proposal was approved by the votes indicated below:

 

 

 

 

Broker

For

Against

Withhold/Abstain

   Non-votes   

 

 

 

 

72,394,956

1,745,445

235,867

11,677,665

 

 

 

 

 

3.

Proposal (3) to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020.  This proposal was approved by the votes indicated below:

 

 

 

 

Broker

For

Against

Withhold/Abstain

   Non-votes   

 

 

 

 

84,110,546

1,643,432

299,955

 

 

 

 



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 hereunto duly authorized.

 

CAPSTEAD MORTGAGE CORPORATION

 

 

 

 

 

 

 

May 12, 2020

By:

 

/s/ Lance J. Phillips

 

 

 

Lance J. Phillips

 

 

 

Senior Vice President, Chief Financial Officer

 

 

 

and Secretary

 

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May 12, 2020
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Entity Registrant Name CAPSTEAD MORTGAGE CORPORATION
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Entity Emerging Growth Company false
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Entity Address, Address Line One 8401 North Central Expressway
Entity Address, Address Line Two Suite 800
Entity Address, City or Town Dallas
Entity Address, State or Province TX
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