0001387131-23-005951.txt : 20230503 0001387131-23-005951.hdr.sgml : 20230503 20230503090905 ACCESSION NUMBER: 0001387131-23-005951 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 14 CONFORMED PERIOD OF REPORT: 20230428 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20230503 DATE AS OF CHANGE: 20230503 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TOMPKINS FINANCIAL CORP CENTRAL INDEX KEY: 0001005817 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 161482357 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 23881935 BUSINESS ADDRESS: STREET 1: 118 E SENECA STREET STREET 2: P.O. BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 BUSINESS PHONE: 607-274-2078 MAIL ADDRESS: STREET 1: 118 E. SENECA STREET STREET 2: PO BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 FORMER COMPANY: FORMER CONFORMED NAME: TOMPKINS TRUSTCO INC DATE OF NAME CHANGE: 19990512 FORMER COMPANY: FORMER CONFORMED NAME: TOMPKINS COUNTY TRUSTCO INC DATE OF NAME CHANGE: 19960117 8-K 1 tmp-8k_042823.htm CURRENT REPORT
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Likely bn 

 

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)  April 28, 2023

 

   
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.)
     
P.O. Box 460, Ithaca New York   14851
(Address of Principal executive offices)   (Zip Code)

 

Registrant’s telephone number, including area code  (888) 503-5753

 

(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 5.02   Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

On April 28, 2023, Francis M. Fetsko, Executive Vice President, Chief Financial Officer and Chief Operating Officer of Tompkins Financial Corporation (the “Company”) and Chief Financial Officer of Tompkins Community Bank (the “Bank”) announced his decision to retire as an officer of the Company and the Bank in the fall of 2023, after over 25 years of service.

 

Item 7.01   Regulation FD Disclosure.

 

On May 3, 2023, the Company issued a press release to announce Mr. Fetsko’s planned retirement in the fall of 2023. A copy of the press release is included in this Report on Form 8-K as Exhibit 99.1 and is incorporated herein by reference.

 

Item 9.01   Financial Statements and Exhibits

 

  (d) Exhibits.

 

EXHIBIT INDEX

 

Exhibit No. Description
99.1 Press Release of Tompkins Financial Corporation dated May 3, 2023
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: May 3, 2023 /s/ Stephen S. Romaine
  Stephen S. Romaine
  President and CEO

 

 

 
EX-99.1 2 ex99-1.htm PRESS RELEASE
 

Tompkins Financial Corporation 8-K

Exhibit 99.1

 

 

 

 

 

NEWS RELEASE

 

 

For Immediate Release:

May 3, 2023

 

For More Information, Contact:

Susan Valenti

Director of Marketing

svalenti@tompkinsfinancial.com

 

 

 

TOMPKINS FINANCIAL CORP. ANNOUNCES CHIEF FINANCIAL AND
CHIEF OPERATING OFFICER FRANCIS M. FETSKO TO RETIRE

 

ITHACA, NY (May 3, 2023) – The Board of Directors of Tompkins Financial Corp. today announced that Francis M. Fetsko has communicated his plans to retire as chief financial officer and chief operating officer of Tompkins Financial Corp. in the fall of 2023, after twenty-seven years of service to the company. While Fetsko will step back from his current role in the fall, he has agreed to remain with the company in a part-time capacity, as director of strategy development, through the end of 2024. The company will undertake a succession planning process to identify the best candidate to fill Fetsko’s role upon his retirement, which may include both internal and external candidates.

 

Fetsko joined Tompkins Financial in 1996 and has served as chief financial officer since 2000, assuming the additional role of chief operating officer in 2012 overseeing company-wide operations and technology. He is an executive vice president of the bank holding company, Tompkins Financial Corp., and a member of its senior leadership team.

 

 
 

 

 

In keeping with the values of the company and his personal commitment to community service, Fetsko sits on a number of civic and nonprofit boards. The Ithaca resident is chair of the advisory board for the Kania School of Management at the University of Scranton, a board member of Ithaca-based Racker, an organization dedicated to supporting people with disabilities, and is past president of the YMCA of Ithaca and Tompkins County.

 

“Frank’s exceptional leadership and business acumen through times of economic change have been instrumental to our continued success as a high performing company,” said Tompkins Financial Corp. chair Thomas Rochon. “I would like to thank him personally, and on behalf of the board, for his contributions to Tompkins Financial Corp. which leave us well-positioned for the future.”

 

Steve Romaine, president & CEO, of Tompkins Financial Corp. added, “Frank has led with integrity, vision and a deep sense of caring over his almost three decades with Tompkins. He has been a supportive colleague and mentor to his many team members, always willing to lend his expertise, wisdom and strategic perspective to enrich those around him and Tompkins as a whole. I am grateful for the value and continuity that Frank will bring to our company in his part-time transitional role as director of strategy development. I wish him well in his retirement as he spends time with family and friends and enjoys his many varied interests.”

 

“I have enjoyed a wonderful career at Tompkins and am pleased to have the opportunity to serve the company in a new capacity upon stepping down from my current role. I am grateful, not only for the opportunity to serve the company, but for the many colleagues and friends I have made along the way. I have been truly fortunate to spend so much of my life at a place that shares my personal values and commitment to the community” Fetsko said.

 

 
 

 

 

ABOUT TOMPKINS FINANCIAL CORPORATION

Tompkins Financial Corporation is a banking and financial services company serving the Central, Western, and Hudson Valley regions of New York and the Southeastern region of Pennsylvania. Headquartered in Ithaca, NY, Tompkins Financial Corporation is parent to Tompkins Community Bank, Tompkins Insurance Agencies, Inc., and offers wealth management services through Tompkins Financial Advisors. For more information on Tompkins Financial Corporation, visit www.tompkinsfinancial.com.

 

# # #

 

 

Editor’s note: Attached is a photo of Francis M. Fetsko

 

 

 

 

 

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Cover
Apr. 28, 2023
Cover [Abstract]  
Document Type 8-K
Amendment Flag false
Document Period End Date Apr. 28, 2023
Entity File Number 1-12709
Entity Registrant Name Tompkins Financial Corporation
Entity Central Index Key 0001005817
Entity Tax Identification Number 16-1482357
Entity Incorporation, State or Country Code NY
Entity Address, Address Line One P.O. Box 460
Entity Address, City or Town Ithaca
Entity Address, State or Province NY
Entity Address, Postal Zip Code 14851
City Area Code 888
Local Phone Number 503-5753
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Title of 12(b) Security Common Stock, $0.10 par value
Trading Symbol TMP
Security Exchange Name NYSEAMER
Entity Emerging Growth Company false
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