0001569994-19-000030.txt : 20190521 0001569994-19-000030.hdr.sgml : 20190521 20190521160638 ACCESSION NUMBER: 0001569994-19-000030 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190521 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20190521 DATE AS OF CHANGE: 20190521 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Waterstone Financial, Inc. CENTRAL INDEX KEY: 0001569994 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36271 FILM NUMBER: 19842415 BUSINESS ADDRESS: STREET 1: 11200 WEST PLANK COURT CITY: WAUWATOSA STATE: WI ZIP: 53226 BUSINESS PHONE: (414) 761-1000 MAIL ADDRESS: STREET 1: 11200 WEST PLANK COURT CITY: WAUWATOSA STATE: WI ZIP: 53226 8-K 1 form8k.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):  May 21, 2019
WATERSTONE FINANCIAL, INC.
(Exact name of Registrant as specified in its charter)

Maryland
(State or Other Jurisdiction
of Incorporation)
001-36271
(Commission File Number)
90-1026709
(I.R.S. Employer Identification No.)

11200 W. Plank Ct, Wauwatosa, Wisconsin 53226
(Address of principal executive offices)

(414) 761-1000
Registrant's telephone number, including area code

Not Applicable
(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 and 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.


Waterstone Financial, Inc. (the "Company") held its 2019 Annual Meeting of Shareholders on May 21, 2019. The shareholders (i) elected three members of the Company's Board of Directors to serve until 2022; (ii) approved, in an advisory vote, the compensation of the Company's named executive officers; and (iii) ratified the selection of RSM US LLP as Waterstone Financial, Inc.'s independent registered public accounting firm. There were 28,004,135 outstanding shares eligible to vote as of March 27, 2019, the record date for the 2019 Annual Meeting.  The results of the matters submitted to a vote at the Annual Meeting of Shareholders were as follows:

(1) Election of the below named nominees to the Board of Directors of Waterstone Financial, Inc.:
 
Nominee
Number of Votes For
Number of Votes Withheld
 
Ellen S. Bartel
20,132,895
 579,173

Thomas E. Dalum
20,017,368
694,710
 
Kristine A. Rappé
 20,352,665  361,106

 
(2)  An advisory, non-binding resolution with respect to our executive compensation.
 
Number of Votes For
Number of Votes Against
Abstain
18,698,742
1,251,347
761,989

 
(3) Ratification of the selection of RSM US LLP as the Company's auditors for the year ending December 31, 2019.
 
Number of Votes For
Number of Votes Against
Abstain
25,739,918
232,696
25,734

 




 



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.
 
 
 
 
 
 
Waterstone Financial, Inc.
 
Date: May 21, 2019
/s/ William F. Bruss
 
Name: William F. Bruss
 
Title: COO, General Counsel and Secretary