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 4, 2015

 

Tompkins Financial Corporation
(Exact Name of Registrant as specified in Charter)

 

New York 1-12709 16-1482357
  (State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)

 

The Commons, PO Box 460, Ithaca, New York 14851
(Address of Principal Executive Offices) (Zip Code)

 

Registrant’s telephone number, including area code (607) 273-3210

 

 

(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):

 

☐ 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 (17CFR 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 (17CFR 240.13e-4(c))

 

 
 

 

Section 5 – Corporate Governance and Management

 

Item 5.07    Submission of Matters to a Vote of Security Holders

 

On Monday, May 4, 2015 at 5:30 p.m., at the Country Club of Ithaca, 189 Pleasant Grove Road, Ithaca, New York, Tompkins Financial Corporation (the “Company”) held its 2015 Annual Meeting of Shareholders (the “Annual Meeting”). On March 6, 2015, the record date for the meeting, 14,932,525 shares of the Company's common stock were issued and outstanding, of which 12,049,980 were represented at the Annual Meeting in person or by proxy, and this amount represented a quorum.

 

Shareholders voted on the following matters:

 

(1)Shareholders elected fourteen (14) director nominees for terms expiring at the 2016 Annual Meeting; and

 

(2)Shareholders ratified the selection of the independent registered public accounting firm, KPMG LLP, as the Company’s independent auditor for the fiscal year ending December 31, 2015.

 

Set forth below are the shareholder voting results with respect to each such matter:

 

Proposal No. 1 – Election of Directors

 

The individuals named below were elected at the Annual Meeting as members of the Board of Directors, to serve for a term of one year expiring at the 2016 Annual Meeting.

 

Director  

Number of
Shares Voted For

   Shares
Withheld/Abstaining		  

Broker
Non-Votes

             
John E. Alexander   9,101,652   270,036   2,678,292
             
Paul J. Battaglia   9,247,341   124,347   2,678,292
             
Daniel J. Fessenden   9,265,294   106,394   2,678,292
             
James W. Fulmer               9,238,424    133,264   2,678,292
             
Carl E. Haynes   9,246,605   125,083   2,678,292
             
Susan A. Henry   9,254,617   117,071   2,678,292
             
Patricia A. Johnson          9,270,358   101,330     2,678,292
             
Frank C. Milewski             9,256,749   114,939   2,678,292
             
Sandra A. Parker   9,135,092   236,596   2,678,292
             
Thomas R. Rochon             9,139,114   232,574   2,678,292
             
Stephen S. Romaine         9,259,767   111,922   2,678,292
             
Michael H. Spain               9,235,098   136,590   2,678,292
             
Alfred J. Weber   9,254,714   116,974   2,678,292
             
Craig Yunker   9,085,699   285,990   2,678,292

 

Proposal No. 2 – Ratification of the Selection of KPMG LLP as Independent Auditors of the Company for 2015

 

 

The Audit Committee’s appointment of KPMG LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2015 was ratified by the following vote:

 

Number of

Shares Voted For

  

Number of

Shares Against

  

Number of

Shares Abstaining

  

Broker

Non-Votes

             
11,923,756   90,979   35,245   0

 
 

 

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.

 

  TOMPKINS FINANCIAL CORPORATION
   
     
Date:  May 7, 2015 By: /S/ Stephen S. Romaine
           Stephen S. Romaine
          President and CEO