8-K

 

 

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): April 25, 2019

 

 

CITIZENS FINANCIAL GROUP, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-36636   05-0412693

(State or other jurisdiction

of incorporation )

 

(Commission

File No.)

 

(IRS Employer

Identification No.)

 

One Citizens Plaza

Providence, RI

  02903
(Address of principal executive offices)   (Zip code)

Registrant’s telephone number, including area code: (401) 456-7000

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 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).

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.

 

(a)

Citizens Financial Group, Inc. (the “Company”) held its annual meeting of stockholders on April 25, 2019.

 

(b)

The stockholders elected all of the Company’s nominees for director for a one-year term expiring at the 2020 Annual Meeting of Stockholders; approved the advisory vote on executive compensation; and ratified the appointment of Deloitte & Touche LLP as the Company’s registered independent public accounting firm for 2019.

1. Election of Directors:

 

     Shares For      Shares
Against
     Shares
Abstain
     Non-Votes  

Mark Casady

     391,365,818        1,253,628        125,668        19,174,696  

Christine M. Cumming

     391,383,779        1,248,897        112,438        19,174,696  

William P. Hankowsky

     381,383,606        11,234,956        126,552        19,174,696  

Howard W. Hanna III

     387,156,080        5,468,941        120,093        19,174,696  

Leo I. Higdon

     390,239,731        2,376,175        129,208        19,174,696  

Edward J. Kelly III

     388,143,993        4,473,648        127,473        19,174,696  

Charles J. Koch

     378,421,272        14,199,147        124,695        19,174,696  

Terrance J. Lillis

     391,353,150        1,259,576        132,388        19,174,696  

Shivan S. Subramaniam

     367,424,011        25,197,066        124,037        19,174,696  

Bruce Van Saun

     374,026,218        15,970,504        2,748,392        19,174,696  

Wendy A. Watson

     391,368,831        1,258,688        117,595        19,174,696  

Marita Zuraitis

     391,379,694        1,242,005        123,415        19,174,696  

2. Advisory Vote on Executive Compensation

 

For

     370,465,131  

Against

     22,082,734  

Abstain

     197,249  

Non-Votes

     19,174,696  

3. Ratification of Deloitte & Touche LLP as Registered Independent Public Accounting Firm for 2019:

 

For

     404,012,624  

Against

     7,770,034  

Abstain

     137,152  

Non-Votes

     0  


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.

 

CITIZENS FINANCIAL GROUP, INC.
By:   /s/ Robin S. Elkowitz
  Robin S. Elkowitz
  Executive Vice President, Deputy General Counsel and Secretary

Date: April 26, 2019