ffwm-8k_20180829.htm

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): August 28, 2018

 

FIRST FOUNDATION INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware

 

001-36461

 

20-8639702

(State or other jurisdiction

of incorporation)

 

(Commission
File Number)

 

(IRS Employer

Identification Number)

 

18101 Von Karman Avenue, Suite 700

Irvine, California  92612

     (Address of Principal Executive Offices) (Zip Code)

 

(949) 202-4160

(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:

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 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

First Foundation Inc. (the “Company”) held its 2018 Annual Meeting of Stockholders on August 28, 2018 (the “Annual Meeting”). The Company’s stockholders voted on the proposals listed below, each of which was described in the Company’s proxy statement for the Annual Meeting.

Proposal No. 1Election of Directors

The Company’s stockholders elected the following ten individuals to serve as directors for the ensuing year and until their successors are elected and qualify to serve. There were no nominees other than those listed below. The voting results were as follows:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name

Votes For

 

Votes Withheld

 

Broker Non-Votes

James Brakke

27,749,066

 

263,199

 

10,442,804

Max Briggs

27,828,039

 

184,226

 

10,442,804

Martha Corbett

27,899,240

 

113,025

 

10,442,804

Warren Fix

27,702,143

 

310,122

 

10,442,804

John Hakopian

27,723,643

 

288,622

 

10,442,804

Scott F. Kavanaugh

27,787,143

 

225,122

 

10,442,804

Ulrich E. Keller, Jr.

27,797,643

 

214,622

 

10,442,804

David Lake

27,759,704

 

252,561

 

10,442,804

Mitchell M. Rosenberg

26,662,733

 

1,349,532

 

10,442,804

Jacob Sonenshine

27,725,615

 

286,650

 

10,442,804

 

 

 

 

 

 

 

Proposal No. 2Ratification of Appointment of Independent Registered Public Accountants

The Company’s stockholders ratified the appointment of Vavrinek, Trine, Day & Co., LLP as the Company’s independent registered public accounting firm for fiscal year 2018. The voting results were as follows:

 

 

 

 

 

 

 

 

 

 

 

 

Votes For

 

Votes Against

 

Abstain

 

Broker Non-Votes

37,982,799

 

135,647

 

336,623

 

Brokers were entitled to cast votes on this proposal without voting instructions from the beneficial owners of the shares. As a result, there were no broker non-votes with respect to this proposal.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

 

 

 

 

 

 


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.

 

 

 

 

 

 

 

 

 

 

 

 

FIRST FOUNDATION INC.

 

 

 

 

Date: August 29, 2018

 

 

 

By:

 

/s/ JOHN M. MICHEL

 

 

 

 

 

 

John M. Michel

Executive Vice President & Chief Financial Officer