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<div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="D2020Q1Q1ER" name="dei:AmendmentFlag" id="Fact-A8E96FD306045D5FBB275B604AB826D2-wk-Fact-A8E96FD306045D5FBB275B604AB826D2" format="ixt:booleanfalse">false</ix:nonNumeric><ix:nonNumeric contextRef="D2020Q1Q1ER" name="dei:EntityCentralIndexKey" id="Fact-710C9A0D8E2F5D148D3CB263A8643DC9-wk-Fact-710C9A0D8E2F5D148D3CB263A8643DC9">0001005817</ix:nonNumeric></ix:hidden><ix:references><link:schemaRef xlink:href="tmp-20200131.xsd" xlink:type="simple"></link:schemaRef></ix:references><ix:resources><xbrli:context id="D2020Q1Q1ER">
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style="text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">Registrant&#8217;s telephone number, including area code</span></div></td><td style="vertical-align:bottom;border-bottom:1px solid #000000;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:right;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><span><ix:nonNumeric id="d74539180e274-wk-Fact-498757BDD3BD5468B6B0219392D4C1E5" name="dei:CityAreaCode" contextRef="D2020Q1Q1ER">(607)</ix:nonNumeric></span></span></div></td><td style="vertical-align:bottom;border-bottom:1px solid #000000;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><span><ix:nonNumeric id="d74539180e279-wk-Fact-592070D5255554AD9DC30E244BF76702" name="dei:LocalPhoneNumber" 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format="ixt-sec:boolballotbox"><span style="font-family:Arial Unicode MS;">&#9744;</span></ix:nonNumeric></span><span style="font-family:inherit;font-size:10pt;"> Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17CFR 240.13e-4(c))</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">Securities registered pursuant to Section 12(b) of the Act:</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:center;font-size:10pt;"><div style="padding-left:0px;text-indent:0px;line-height:normal;padding-top:10px;"><table cellpadding="0" cellspacing="0" style="font-family:Times New Roman;font-size:10pt;margin-left:auto;margin-right:auto;width:100%;border-collapse:collapse;text-align:left;"><tr><td colspan="3"></td></tr><tr><td style="width:34%;"></td><td style="width:25%;"></td><td style="width:41%;"></td></tr><tr><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">Title of each class</span></div></td><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">Trading Symbol(s)</span></div></td><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">Name of each exchange on which registered</span></div></td></tr><tr><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><span><ix:nonNumeric id="d74539180e381-wk-Fact-CF894248FEB954DF98537408C72C0F12" name="dei:Security12bTitle" contextRef="D2020Q1Q1ER">Common Stock, $0.10 par value</ix:nonNumeric></span></span></div></td><td style="vertical-align:top;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="text-align:center;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><span><ix:nonNumeric id="d74539180e386-wk-Fact-A80F7A39FCAF5619BDA15C64D8EBBF4D" name="dei:TradingSymbol" contextRef="D2020Q1Q1ER">TMP</ix:nonNumeric></span></span></div></td><td 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style="line-height:120%;text-align:justify;text-indent:48px;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">On </span><span style="font-family:inherit;font-size:10pt;">January&#160;31, 2020</span><span style="font-family:inherit;font-size:10pt;">, Tompkins Financial Corporation, (the &#8220;Company&#8221;) issued a press release announcing its earnings for the calendar quarter and full year ended </span><span style="font-family:inherit;font-size:10pt;">December 31, 2019</span><span style="font-family:inherit;font-size:10pt;">.  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.</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;text-indent:48px;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;font-weight:bold;">Item 8.01    Other Events</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:18pt;"><span style="font-family:inherit;font-size:18pt;font-weight:bold;"></span><span style="font-family:inherit;font-size:10pt;">On </span><span style="font-family:inherit;font-size:10pt;">January&#160;31, 2020</span><span style="font-family:inherit;font-size:10pt;">, the Company issued a press release announcing that its Board of Directors approved payment of a regular quarterly cash dividend of $0.52 per share, payable on </span><span style="font-family:inherit;font-size:10pt;">February&#160;18, 2020</span><span style="font-family:inherit;font-size:10pt;">, to common shareholders of record on </span><span style="font-family:inherit;font-size:10pt;">February&#160;10, 2020</span><span style="font-family:inherit;font-size:10pt;">.  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.</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">On January 31, 2020, the Company also announced that its Board of Directors has authorized the repurchase of up to 400,000 shares of the Company's outstanding common stock.  This program replaces the Company's existing 400,000 share repurchase program announced on July 20, 2018.  A copy of the press release is attached to this Report on Form 8-K as Exhibit 99.3 and is incorporated herein by reference.</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">The shares may be repurchased from time to time in open market transactions at prevailing market prices, in privately negotiated transactions, or by other means in accordance with federal securities laws.  The actual timing, number and value of shares repurchased under the program will be determined by management at its discretion and will depend on a number of factors, including the market price of the Company's stock and general market and economic conditions, and applicable legal requirements. The information contained in this report, including Exhibits 99.1, 99.2, and 99.3, shall not be deemed "filed" with the SEC nor incorporated by reference in any registration statement filed by the Company under the Securities Act of 1933, as amended.</span></div><div style="line-height:120%;text-align:left;text-indent:48px;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;font-weight:bold;">&#160;&#160;&#160;&#160;</span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;font-weight:bold;">Item 9.01   Financial Statements and Exhibits</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">(a)  &#160;&#160;&#160;&#160;Not applicable.</span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">(b)  &#160;&#160;&#160;&#160;Not applicable.</span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">(c)&#160;&#160;&#160;&#160;Not applicable.</span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">(d)  &#160;&#160;&#160;&#160;Exhibits.</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;font-weight:bold;text-decoration:underline;">EXHIBIT INDEX</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;font-weight:bold;text-decoration:underline;">Exhibit No.</span><span style="font-family:inherit;font-size:10pt;font-weight:bold;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</span><span style="font-family:inherit;font-size:10pt;font-weight:bold;text-decoration:underline;">Description</span></div><div style="line-height:120%;text-align:left;text-indent:24px;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;font-weight:bold;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</span></div><table cellpadding="0" cellspacing="0" style="font-family:Times New Roman; font-size:10pt;"><tr><td style="width:24px;"></td><td></td></tr><tr><td style="vertical-align:top"><div style="line-height:120%;font-size:10pt;padding-left:24px;"><a style="text-decoration:underline;color:#0000FF;-sec-extract:exhibit;" href="q42019pressrelease.htm"><span style="font-family:inherit;font-size:10pt;">99.1</span></a></div></td><td style="vertical-align:top;padding-left:108px;"><div style="line-height:120%;text-align:left;font-size:10pt;text-indent:-108px;"><span style="font-family:inherit;font-size:10pt;">Press Release of Tompkins Financial Corporation dated </span><span style="font-family:inherit;font-size:10pt;">January&#160;31, 2020</span><span style="font-family:inherit;font-size:10pt;"> </span></div></td></tr></table><table cellpadding="0" cellspacing="0" style="font-family:Times New Roman; font-size:10pt;"><tr><td style="width:24px;"></td><td></td></tr><tr><td style="vertical-align:top"><div style="line-height:120%;font-size:10pt;padding-left:24px;"><a style="text-decoration:underline;color:#0000FF;-sec-extract:exhibit;" href="q1div2020pressrelease.htm"><span style="font-family:inherit;font-size:10pt;">99.2</span></a></div></td><td style="vertical-align:top;padding-left:108px;"><div style="line-height:120%;text-align:left;font-size:10pt;text-indent:-108px;"><span style="font-family:inherit;font-size:10pt;">Press Release of Tompkins Financial Corporation dated </span><span style="font-family:inherit;font-size:10pt;">January&#160;31, 2020</span></div></td></tr></table><table cellpadding="0" cellspacing="0" style="font-family:Times New Roman; font-size:10pt;"><tr><td style="width:24px;"></td><td></td></tr><tr><td style="vertical-align:top"><div style="line-height:120%;font-size:10pt;padding-left:24px;"><a style="text-decoration:underline;color:#0000FF;-sec-extract:exhibit;" href="q42019stockrepurchasep.htm"><span style="font-family:inherit;font-size:10pt;">99.3</span></a></div></td><td style="vertical-align:top;padding-left:108px;"><div style="line-height:120%;font-size:10pt;text-indent:-108px;"><span style="font-family:inherit;font-size:10pt;">Press Release of Tompkins Financial Corporation dated January 31, 2020 </span></div></td></tr></table><table cellpadding="0" cellspacing="0" style="font-family:Times New Roman; font-size:10pt;"><tr><td style="width:24px;"></td><td></td></tr><tr><td style="vertical-align:top"><div style="line-height:120%;font-size:10pt;padding-left:24px;"><span style="font-family:inherit;font-size:10pt;">104</span></div></td><td style="vertical-align:top;padding-left:108px;"><div style="line-height:120%;text-align:left;font-size:10pt;text-indent:-108px;"><span style="font-family:inherit;font-size:10pt;">Cover Page Interactive Data File (embedded within the Inline XBRL document)</span></div></td></tr></table><div style="line-height:120%;text-align:center;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:center;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:center;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;font-weight:bold;text-decoration:underline;">SIGNATURE</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;text-indent:24px;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">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.</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;text-indent:340px;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"></span><span style="font-family:inherit;font-size:10pt;font-weight:bold;">TOMPKINS FINANCIAL CORPORATION</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">Date: </span><span style="font-family:inherit;font-size:10pt;">January&#160;31, 2020</span><span style="font-family:inherit;font-size:10pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;       </span><span style="font-family:inherit;font-size:10pt;text-decoration:underline;"> /S/ Stephen S. Romaine&#160;&#160;&#160;&#160;    </span></div><div style="line-height:120%;text-align:left;text-indent:340px;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">        Stephen S. Romaine</span></div><div style="line-height:120%;text-align:left;text-indent:340px;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;">        President and CEO</span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div style="line-height:120%;text-align:left;-sec-extract:summary;font-size:10pt;"><span style="font-family:inherit;font-size:10pt;"><br/></span></div><div><br/></div>	</div></body>
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Document
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)
January 31, 2020
Tompkins Financial Corp
oration
(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.)
118 E. Seneca Street,
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))
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, $0.10 par value
TMP
NYSE American, LLC
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 2.02    Results of Operations and Financial Condition
On
January 31, 2020
, Tompkins Financial Corporation, (the "Company") issued a press release announcing its earnings for the calendar quarter and full year ended
December 31, 2019
.  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
January 31, 2020
, the Company issued a press release announcing that its Board of Directors approved payment of a regular quarterly cash dividend of $0.52 per share, payable on
February 18, 2020
, to common shareholders of record on
February 10, 2020
.  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.
On January 31, 2020, the Company also announced that its Board of Directors has authorized the repurchase of up to 400,000 shares of the Company's outstanding common stock.  This program replaces the Company's existing 400,000 share repurchase program announced on July 20, 2018.  A copy of the press release is attached to this Report on Form 8-K as Exhibit 99.3 and is incorporated herein by reference.
The shares may be repurchased from time to time in open market transactions at prevailing market prices, in privately negotiated transactions, or by other means in accordance with federal securities laws.  The actual timing, number and value of shares repurchased under the program will be determined by management at its discretion and will depend on a number of factors, including the market price of the Company's stock and general market and economic conditions, and applicable legal requirements. The information contained in this report, including Exhibits 99.1, 99.2, and 99.3, shall not be deemed "filed" with the SEC nor incorporated by reference in any registration statement filed by the Company under the Securities Act of 1933, as amended.
Item 9.01   Financial Statements and Exhibits
(a)      Not applicable.
(b)      Not applicable.
(c)    Not applicable.
(d)      Exhibits.
EXHIBIT INDEX
Exhibit No.
Description
99.1
Press Release of Tompkins Financial Corporation dated
January 31, 2020
99.2
Press Release of Tompkins Financial Corporation dated
January 31, 2020
99.3
Press Release of Tompkins Financial Corporation dated January 31, 2020
104
Cover Page Interactive Data File (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.
TOMPKINS FINANCIAL CORPORATION
Date:
January 31, 2020
/S/ Stephen S. Romaine
Stephen S. Romaine
President and CEO