8-K 1 d729664d8k.htm FORM 8-K Form 8-K





Washington, D.C. 20549







Pursuant to Section 13 or 15(d)

of The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) May 13, 2014



Uwharrie Capital Corp

(Exact name of registrant as specified in its charter)




North Carolina   000-22062   56-1814206

(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer

Identification No.)


132 North First Street, Albemarle, NC   28001
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (704) 982-4415


(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.

On May 13, 2014, Uwharrie Capital Corp (the “Registrant”) held its Annual Meeting of Shareholders (the “Annual Meeting”). There were five 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 15, 2014.

The voting results were as follows:

Proposal 1: Proposal to elect eighteen 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  

One-Year Terms


W. Stephen Aldridge, III

     3,380,085         64,715         963,954   

Bill C. Burnside

     3,373,589         71,211         963,954   

W. Kenneth Huntley

     3,369,840         74,960         963,954   

Joseph R. Kluttz, Jr.

     3,353,553         91,247         963,954   

Lee Roy Lookabill, Jr.

     3,357,645         87,155         963,954   

Edward B. Tyson

     3,356,645         88,155         963,954   

Two-Year Terms


Raymond R. Cranford, Jr.

     3,367,369         77,431         963,954   

Thomas M. Hearne, Jr.

     3,366,329         78,471         963,954   

Charles D. Horne

     3,378,355         66,445         963,954   

Cynthia L. Mynatt

     3,350,369         94,431         963,954   

James E. Nance

     3,254,725         190,075         963,954   

S. Todd Swaringen

     3,381,699         63,101         963,954   

Three-Year Terms


Joe S. Brooks

     3,381,699         63,101         963,954   

Ronald T. Burleson

     3,380,085         64,715         963,954   

Charles F. (“Tad”) Geschickter, III

     3,350,417         94,383         963,954   

W. Chester Lowder

     3,381,699         63,101         963,954   

Barry S. Moose

     3,361,070         83,730         963,954   

Dusty W. West

     3,381,511         63,289         963,954   

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








Broker Non-Votes

3,047,354   256,681   140,765   963,954

Proposal 3: Proposal to ratify a non-binding shareholder resolution regarding the frequency of future advisory votes on executive compensation.



  Two-Years   Three-Years   Abstain   Broker Non-Votes
937,973   233,194   1,968,373   305,260   963,954

Proposal 4: Proposal to ratify the appointment of Dixon Hughes Goodman, LLP as the Company’s independent registered public accounting firm for 2014.








Broker Non-Votes

4,377,318   9,195   22,241   —  


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.



/s/ R. David Beaver, III

  R. David Beaver, III
  Chief Financial Officer

Dated: May 19, 2014