TOMPKINS FINANCIAL CORP

Regulatory Filings • Oct 27, 2017

8-K 1 tmp-8k_102717.htm CURRENT REPORT

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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) October 27, 2017

Tompkins Financial Corporation

(Exact name of registrant as specified in its 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 (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 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. ☐

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Item 2.02

Results of Operations and Financial Condition

On October 27, 2017, the Company issued a press release announcing its earnings for the calendar quarter ended September 30, 2017. A copy of the press release is attached to this Report on Form 8-K as Exhibit 99.1 and is incorporated herein by reference.

Item 8.01

Other Events

On October 27, 2017, the Company issued a press release announcing that its Board of Directors approved payment of a regular quarterly cash dividend of $0.47 per share, payable on November 15, 2017, to common shareholders of record on November 7, 2017. A copy of the press release is attached to this Report on Form 8-K as Exhibit 99.2 and is incorporated herein by reference.

Item 9.01

Financial Statements and Exhibits

(a)

Not applicable.

(b)

Not applicable.

(c)

Not applicable.

(d)

Exhibits.

Exhibit No.	Description
99.1	Press
Release of Tompkins Financial Corporation dated October 27, 2017
99.2	Press
Release of Tompkins Financial Corporation dated October 27, 2017

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.

| /s/
Stephen S. Romaine |
| --- |
| Stephen
S. Romaine President and CEO |

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INDEX TO EXHIBITS

| Exhibit NUMBER | EXHIBIT
Description |
| --- | --- |
| 99.1 | Press Release of Tompkins Financial Corporation dated October 27, 2017 |
| 99.2 | Press Release of Tompkins Financial Corporation dated October 27, 2017 |

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