SEC Form 4 · accession 0001127602-15-004483
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory J Hartz
Officer — EVP, Pres.&CEO Tompkins Trust
Period of report
Feb 5, 2015
Accepted (ET)
Feb 5, 2015 · 2:46 pm 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 Stock | Feb 5, 2015 | M | 280 | $37.28 | A | 13,845 | D | |
| Common StockF1 | Feb 5, 2015 | F | 199 | $52.58 | D | 13,646 | D | |
| Common StockF2 | Feb 5, 2015 | F | 41 | $52.58 | D | 13,605 | D | |
| Common Stock | Feb 5, 2015 | M | 1,370 | $37.28 | A | 14,975 | D | |
| Common StockF1 | Feb 5, 2015 | F | 972 | $52.58 | D | 14,003 | D | |
| Common StockF2 | Feb 5, 2015 | F | 136 | $52.58 | D | 13,867 | D | |
| Common StockF3 | holding | — | — | — | 3,183 | I | by 401(k)/ISOP | |
| Common Stock | holding | — | — | — | 1,813 | I | by ESOP | |
| Common Stock | holding | — | — | — | 54 | I | By Son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (Right to Buy)F4 | $37.2727 | Feb 5, 2015 | M | 280 | D | — | Nov 29, 2017 | Common Stock | 280 | 0 | D |
| Incentive Stock Option (Right to Buy)F4 | $37.2727 | Feb 5, 2015 | M | 1,370 | D | — | Nov 29, 2017 | Common Stock | 1,370 | 0 | D |
Explanation of responses
- F1Shares withheld for Option cost
- F2Shares withheld for taxes.
- F3Includes shares acquired through profit sharing and reinvestment of quarterly cash dividends.
- F4The stock option becomes exercisable in six annual installments commencing two years after the date of grant.