SEC Form 4 · accession 0001127602-15-028716
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J. Battaglia
Director
Period of report
Oct 2, 2015
Accepted (ET)
Oct 6, 2015 · 1:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001005817
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1 | — | Oct 2, 2015 | A | 73 | A | — | — | Common Stock | 73 | 5,163 | D |
| Phantom StockF2,F1 | — | Oct 2, 2015 | A | 206 | A | — | — | Common Stock | 206 | 5,369 | D |
Explanation of responses
- F1Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.
- F2Includes shares acquired through quarterly reinvestment of dividends.