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 16, 2016

__________________

 

REDWOOD TRUST, INC.

(Exact name of registrant as specified in its charter)

 

Maryland		001-13759		68-0329422
(State or other jurisdiction of incorporation)		(Commission File Number)		(I.R.S. Employer Identification No.)

 

One Belvedere Place

Suite 300

Mill Valley, California 94941

(Address of principal executive offices and Zip Code)

 

(415) 389-7373

(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 (see General Instruction A.2. below):

 

o	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o	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

 

Redwood Trust, Inc. (the “Company”) held its 2016 Annual Meeting of Stockholders on May 16, 2016 (the “Annual Meeting”). There were 77,073,352 shares of Company common stock entitled to vote at the Annual Meeting.  There were three items voted upon at the Annual Meeting, with the voting results for each item set forth below.

 

Item 1.  During the Annual Meeting, stockholders voted to elect Richard D. Baum, Mariann Byerwalter, Douglas B. Hansen, Debora D. Horvath, Marty Hughes, Greg H. Kubicek, Karen R. Pallotta, Jeffrey T. Pero, and Georganne C. Proctor as directors to serve on the Board of Directors until the annual meeting of stockholders in 2017 and until their successors are duly elected and qualify.  The stockholders’ votes with respect to the election of directors were as follows:

 

Nominee		For		Against		Abstain		Broker Non-Votes
Richard D. Baum		63,033,534		1,776,545		56,459		8,504,238
Douglas B. Hansen		63,453,038		1,360,412		53,089		8,504,237
Mariann Byerwalter		63,402,349		1,415,048		49,142		8,504,237
Debora D. Horvath		64,404,778		402,432		59,329		8,504,238
Marty Hughes		63,459,311		1,359,821		47,406		8,504,237
Greg H. Kubicek		63,440,058		1,378,937		47,542		8,504,238
Karen R. Pallotta		64,018,138		801,028		47,373		8,504,237
Jeffrey T. Pero		64,018,722		800,164		47,652		8,504,237
Georganne C. Proctor		64,023,478		795,637		47,423		8,504,237

Item 2.  During the Annual Meeting, stockholders voted to ratify the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm for 2016. The stockholders’ votes with respect to the ratification of Grant Thornton LLP as the Company’s independent registered public accounting firm were as follows:

 

For		Against		Abstentions		Broker Non-Votes
72,205,398		1,093,942		71,435		—

 

Item 3.  During the Annual Meeting, stockholders voted on a non-binding advisory resolution to approve named executive officer compensation as disclosed in the annual proxy statement for the Annual Meeting. The stockholders’ votes with respect to approval of this advisory resolution were as follows:

 

For		Against		Abstentions		Broker Non-Votes
59,842,169		4,918,713		105,658		8,504,237

   

 

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 thereunto duly authorized.

  

Date:  May 17, 2016	REDWOOD TRUST, INC.
	By:	/s/ Andrew P. Stone
		Name:  Andrew P. Stone
		Title:    General Counsel, Executive Vice President, and Secretary