SEC Form 4 · accession 0001127602-15-004450
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James W Fulmer
Director
Period of report
Jan 1, 2015
Accepted (ET)
Feb 5, 2015 · 10:18 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001005817
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 1, 2015 | D | 3,949 | $0.00 | D | 60,244 | D | |
| Common Stock | Feb 3, 2015 | M | 1,650 | $37.28 | A | 61,894 | D | |
| Common StockF2 | Feb 3, 2015 | F | 1,177 | $52.29 | D | 60,717 | D | |
| Common StockF3 | Feb 3, 2015 | F | 120 | $52.29 | D | 60,597 | D | |
| Common Stock | holding | — | — | — | 10,479 | I | by ESOP | |
| Common Stock | holding | — | — | — | 28,155 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F4,F5 | $37.2727 | Feb 3, 2015 | M | 1,650 | D | — | Nov 29, 2017 | Common Stock | 1,650 | 0 | D |
Explanation of responses
- F1Reflects a disposition to the issuer of restricted stock per the issuer's Award Agreement upon the retirement of reporting person.
- F2Shares withheld for option cost
- F3Shares withheld for taxes.
- F4The option becomes exercisable in six annual installments commencing two years after the date of grant.
- F5The stock option becomes exercisable in six annual installments commencing two years after the date of grant.