SEC Form 4 · accession 0001127602-15-005958
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald J Klein Jr.
Officer — EVP Pres&CEO Mahopac Bank
Period of report
Feb 12, 2015
Accepted (ET)
Feb 13, 2015 · 2:37 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 12, 2015 | M | 7,260 | $38.54 | A | 20,830 | D | |
| Common StockF1 | Feb 12, 2015 | F | 5,413 | $51.69 | D | 15,417 | D | |
| Common StockF2 | holding | — | — | — | 879 | I | by 401K/ISOP | |
| Common Stock | holding | — | — | — | 2,709 | I | by ESOP |
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)F3 | $38.5364 | Feb 12, 2015 | M | 7,260 | D | — | Jan 23, 2016 | Common Stock | 7,260 | 0 | D |
Explanation of responses
- F1Shares swapped to pay for option shares exercised.
- F2Includes shares acquired through profit sharing or 401K contributions.
- F3The stock option becomes exercisable in six annual installments commencing two years after the date of grant.