SEC Form 4 · accession 0001127602-15-015696
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
Apr 30, 2015
Accepted (ET)
May 1, 2015 · 8:07 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 30, 2015 | M | 1,935 | $39.56 | A | 17,352 | D | |
| Common StockF1 | Apr 30, 2015 | F | 1,428 | $53.57 | D | 15,924 | D | |
| Common StockF2 | holding | — | — | — | 945 | I | by 401K/ISOP | |
| Common StockF2 | holding | — | — | — | 2,870 | 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 | $39.5545 | Apr 30, 2015 | M | 1,935 | D | — | Jan 18, 2017 | Common Stock | 1,935 | 6,007 | D |
Explanation of responses
- F1Shares swapped to pay for option shares exercised.
- F2Includes shares acquired through profit sharing and reinvestment of quarterly cash dividends.
- F3The stock option becomes exercisable in six annual installments commencing two years after the date of grant.