tmp-8k_052013.htm
 


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 20, 2013
 
 
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)
     
 
Date of Report (Date of earliest event reported) (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):

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o 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 20, 2013 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 2013 Annual Meeting of Shareholders (the “Annual Meeting”).   On March 22, 2013, the record date for the meeting, 14,447,017 shares of the Company's common stock were issued and outstanding, of which 12,076,194 were represented at the meeting in person or by proxy, and this amount represented a quorum.

Shareholders voted on the following matters:

(1)  
Shareholders elected eighteen (18) director nominees for terms expiring at the 2014 Annual Meeting;

(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, 2013;

Set forth below are the number of votes cast for or against each such matter as well as the number of abstentions and broker non-votes 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 2014 Annual Meeting.
 
    Number of     Broker     Broker  
Director    Shares Voted For     Shares Withheld Abstain      Non-Votes   
                   
John E. Alexander
    9,330,651       99,372       2,646,171  
Paul J. Battaglia
    9,353,906       76,117       2,646,171  
James J. Byrnes
    9,340,442       89,581       2,646,171  
Daniel J. Fessenden
    9,309,943       120,080       2,646,171  
James W. Fulmer
    9,342,830       87,193       2,646,171  
Reeder D. Gates
    9,322,999       107,024       2,646,171  
James R. Hardie
    9,359,554       70,469       2,646,171  
Carl E. Haynes
    9,351,450       78,573       2,646,171  
Susan A. Henry
    9,307,955       122,068       2,646,171  
Patricia A. Johnson
    9,315,087       114,936       2,646,171  
Frank C. Milewski
    9,360,728       69,295       2,646,171  
Sandra A. Parker
    9,314,929       115,094       2,646,171  
Thomas R. Rochon
    9,315,446       114,577       2,646,171  
Stephen S. Romaine
    9,307,316       122,707       2,646,171  
Michael H. Spain
    9,293,051       136,972       2,646,171  
William D. Spain, Jr.
    8,905,925       524,098       2,646,171  
Alfred J. Weber
    9,323,073       106,950       2,646,171  
Craig Yunker
    9,311,598       118,425       2,646,171  
 
 
 

 

Proposal No. 2 – Ratification of the Selection of KPMG LLP as Independent Auditors of the Company for 2013

The Audit Committee’s appointment of KPMG LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2013 was ratified by the following vote:
 
Number of   Number of     Number of     Broker  
Shares Voted For   Shares Against     Shares Abstain      Non-Votes   
                   
11,929,922
     96,107           50,165       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 24, 2013  
/S/ Stephen S. Romaine
    Stephen S. Romaine
    President and CEO