8-K 1 d119786d8k.htm 8-K 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 10, 2016



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 10, 2016, Uwharrie Capital Corp (the “Registrant”) held its Annual Meeting of Shareholders (the “Annual Meeting”). There were two 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 proposal was 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 21, 2016.

The voting results were as follows:

Proposal 1: Proposal to elect nine 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


Frank A. (Alex) Rankin, III

     3,059,393         26,584         1,092,917   

Two-Year Terms


James O. Campbell

     3,042,669         43,308         1,092,917   

Samuel M. Leder

     3,040,544         45,433         1,092,917   

Three-Year Terms


Raymond R. Cranford, Jr.

     3,059,503         26,474         1,092,917   

Thomas M. Hearne, Jr,

     3,051,332         33,673         1,092,917   

Harvey H. Leavitt, III

     3,054,645         30,838         1,092,917   

Cynthia L. Mynatt

     3,021,117         64,860         1,092,917   

James E. Nance

     3,068,377         17,600         1,092,917   

S. Todd Swaringen

     3,040,920         44,563         1,092,917   

Proposal 2: Proposal to ratify the appointment of Dixon Hughes Goodman LLP as the Company’s independent registered public accounting firm for 2016.








Broker Non-Votes


   4,122    8,185    —  


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 12, 2016