SEC Form 4 · accession 0001127602-15-014795
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David S Boyce
Officer — EVP, Pres. & CEO Tompkins Ins.
Period of report
Apr 17, 2015
Accepted (ET)
Apr 20, 2015 · 11:32 am EDT
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 | Apr 17, 2015 | M | 1,650 | $37.28 | A | 18,127 | D | |
| Common StockF1 | Apr 17, 2015 | F | 1,134 | $54.29 | D | 16,993 | D | |
| Common StockF2 | Apr 17, 2015 | F | 127 | $54.29 | D | 16,866 | D | |
| Common StockF3 | holding | — | — | — | 468 | I | by 401(k)/ISOP | |
| Common StockF3 | holding | — | — | — | 1,720 | 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)F4 | $37.2727 | Apr 17, 2015 | M | 1,650 | D | — | Nov 29, 2017 | Common Stock | 1,650 | 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.