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
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Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Tompkins Financial Corporation (the “Company”) is the parent and sole shareholder of VIST Bank d/b/a Tompkins VIST Bank (“Tompkins VIST”). On December 1, 2021, Tompkins VIST announced that Scott L. Gruber will retire as President and CEO of Tompkins VIST during the second quarter of 2022. Ms. Ginger G. Kunkel has been appointed as the Chief Operating Officer of Tompkins VIST, and is expected to assume leadership of Tompkins VIST upon Mr. Gruber’s retirement. Mr. Gruber is a named executive officer in the Company’s definitive proxy statement on Schedule 14A filed on March 29, 2021.
Item 9.01 Financial Statements and Exhibits
| (d) | Exhibits. |
EXHIBIT INDEX
| Exhibit No. | Description | |
| 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: December 3, 2021 | /S/ Stephen S. Romaine |
| Stephen S. Romaine | |
| President and CEO |