UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported):
(Exact Name of Registrant as Specified in its Charter)
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(State or Other Jurisdiction | (Commission File Number) | (I.R.S. Employer Identification Number) |
(Address of Principal Executive Offices) (Zip Code)
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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:
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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)) | ||
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Title of each class | Trading Symbol | Name of the exchange on which registered |
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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.
The annual meeting of stockholders of Interactive Brokers Group, Inc. (the "Company") was held on April 22, 2021.
The stockholders voted on proposals to elect directors to the Company's Board of Directors (the "Board"), to approve, on an advisory non-binding basis, executive compensation, and to ratify the appointment of Deloitte & Touche LLP as independent auditor.
All nominees for election to the Board were elected for a one-year term expiring at the annual meeting of stockholders in the following year. Each director will hold office until his successor has been elected and qualified or until the director's earlier resignation or removal.
The number of votes cast for or against and the number of abstentions with respect to each proposal is set forth below. The Company's independent inspector of election reported the vote of the stockholders as follows:
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Election of Directors (Percentages shown are of the votes cast) |
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| Broker |
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| For |
| Against |
| Abstain |
| Non-Vote |
Thomas Peterffy |
| 358,598,476 |
| 28,298,424 |
| 21,513 |
| 21,351,590 |
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| 92.68% |
| 7.31% |
| 0.01% |
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Earl H. Nemser |
| 363,740,355 |
| 23,154,077 |
| 23,981 |
| 21,351,590 |
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| 94.01% |
| 5.98% |
| 0.01% |
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Milan Galik |
| 364,437,011 |
| 22,459,281 |
| 22,121 |
| 21,351,590 |
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| 94.19% |
| 5.80% |
| 0.01% |
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Paul J. Brody |
| 374,293,099 |
| 12,596,058 |
| 29,256 |
| 21,351,590 |
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| 96.73% |
| 3.26% |
| 0.01% |
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Lawrence E. Harris |
| 385,243,175 |
| 1,643,458 |
| 31,780 |
| 21,351,590 |
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| 99.57% |
| 0.42% |
| 0.01% |
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Gary Katz |
| 386,394,910 |
| 492,791 |
| 30,712 |
| 21,351,590 |
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| 99.86% |
| 0.13% |
| 0.01% |
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John M. Damgard |
| 380,737,579 |
| 6,150,152 |
| 30,682 |
| 21,351,590 |
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| 98.40% |
| 1.59% |
| 0.01% |
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Philip Uhde |
| 386,383,423 |
| 506,029 |
| 28,961 |
| 21,351,590 |
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| 99.86% |
| 0.13% |
| 0.01% |
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William Peterffy |
| 374,645,514 |
| 12,243,201 |
| 29,698 |
| 21,351,590 |
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| 96.83% |
| 3.16% |
| 0.01% |
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Nicole Yuen |
| 386,571,775 |
| 324,564 |
| 22,074 |
| 21,351,590 |
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| 99.91% |
| 0.08% |
| 0.01% |
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Stockholders approved, on an advisory non-binding basis, executive compensation levels, by a vote of 358,417,114 for; 28,433,525 against; 67,774 abstentions; and 21,351,590 broker non-votes.
Stockholders approved the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021, by a vote of 407,314,302 for; 930,201 against; and 25,500 abstentions.
Item. 9.01 Financial Statements and Exhibits.
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Exhibit No. |
| Description |
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104 |
| Cover Page Interactive Data File (the cover page XBRL tags are embedded within the Inline XBRL Document). |
***
SIGNATURE
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.
Dated: April 23, 2021
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| INTERACTIVE BROKERS GROUP, INC. | |
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| By: | /s/ Paul J. Brody |
| Name: | Paul J. Brody |
| Title: | Chief Financial Officer, Treasurer |