ffwm-8k_20160830.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 30, 2016

 

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))

 


 

 

 

 

 

 

 


Item 5.07

     Submission of Matters to a Vote of Security Holders

First Foundation Inc. (the “Company”) held its 2016 Annual Meeting of Stockholders on August 30, 2016 (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 nine 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

Ulrich E. Keller, Jr., CFP

9,938,853

 

92,235

 

2,097,217

Scott F. Kavanaugh

9,939,085

 

92,003

 

2,097,217

James Brakke

9,906,555

 

124,533

 

2,097,217

Max Briggs, CFP

9,915,664

 

115,424

 

2,097,217

Warren D. Fix, CPA

9,934,584

 

96,504

 

2,097,217

John Hakopian

9,939,085

 

92,003

 

2,097,217

Gerald Larsen

9,903,535

 

127,553

 

2,097,217

Mitchell M. Rosenberg, Ph.D

8,724,468

 

1,306,620

 

2,097,217

Jacob Sonenshine, J.D., CFA

9,941,511

 

89,577

 

2,097,217

 

 

 

 

 

 

 

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 2016. The voting results were as follows:

 

 

 

 

 

 

 

 

 

 

 

 

Votes For

 

Votes Against

 

Abstain

 

Broker Non-Votes

12,100,301

 

27,338

 

666

 

-

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 31, 2016

 

 

 

By:

 

/s/ JOHN M. MICHEL

 

 

 

 

 

 

John M. Michel

Executive Vice President & Chief Financial Officer