Current Report Filing (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):

May 27, 2021

_______________________

(Exact name of registrant as specified in its charter)

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California	0-10661	94-2792841
(State or other jurisdiction of incorporation or organization)	(Commission File No.)	(I.R.S. Employer Identification No.)


63 Constitution Drive	Chico,	California	95973
(Address of principal executive offices)			(Zip Code)

Registrant’s telephone number, including area code: (530) 898-0300

_____________________

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):


☐			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))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading
Symbol(s)

Name of each exchange
on which registered

Common Stock, no par value

TCBK

Nasdaq

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 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

TriCo Bancshares (the “Company”) held its annual meeting of shareholders on May 27, 2021 (the “2021 Annual Meeting”). As of the record date for the annual meeting, there were 29,727,122 shares of common stock outstanding entitled to vote on all proposals presented at the annual meeting. At the annual meeting, the Company’s shareholders (i) elected all 12 nominees to the Company’s Board of Directors, (ii) approved the compensation of the Company’s executive officers on an advisory (nonbinding) basis, and (iii) ratified the selection of Moss Adams, LLP as the Company’s principal independent auditor for 2021. The following are the voting results of each matter submitted to the Company’s shareholders at the annual meeting (if fractional share – eliminated).

1.Election of the following 12 nominees to the Company’s Board of Directors:


Nominee	For	Withheld	Abstained/Broker Non-Votes
Donald J. Amaral	21,984,940	1,032,899	3,199,159
L. Gage Chrysler III	22,497,467	520,372	3,199,159
Craig S. Compton	21,857,021	1,160,817	3,199,159
Kirsten E. Garen	22,877,664	140,174	3,199,159
Cory W. Giese	22,871,380	146,458	3,199,159
John S. A. Hasbrook	21,039,237	1,978,601	3,199,159
Margaret L. Kane	22,668,733	349,105	3,199,159
Michael W. Koehnen	22,499,724	518,114	3,199,159
Martin A. Mariani	22,293,018	724,820	3,199,159
Thomas C. McGraw	22,576,974	440,865	3,199,159
Richard P. Smith	22,462,765	555,073	3,199,159
Kimberley H. Vogel	22,847,589	170,249	3,199,159

2. Advisory (nonbinding) resolution to approve the compensation of the Company’s executives:


			Votes
For			22,174,066
Against			554,474
Abstain			289,298
Broker Non-Votes			3,199,159

3. Ratification of Moss Adams LLP as the Company’s independent public accountants for the 2021 fiscal year:


			Votes
For			26,112,175
Against			60,580
Abstain			44,242
Broker Non-Votes			N/A

Item 8.01 Other Events.

Election of Chairman of the Board

Following the 2021 Annual Meeting, the Board of Directors of the Company (“Board”) unanimously elected Richard P. Smith, President and Chief Executive Officer of the Company as Chairman of the Board. The Board also unanimously elected Cory W. Giese as Lead Independent Director of the Company.

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.


			TRICO BANCSHARES

Date: June 3, 2021			/s/ Peter G. Wiese
			Peter G. Wiese, Executive Vice President and Chief Financial Officer
			(Principal Financial and Accounting Officer)