SEC Form 4 · accession 0001127602-15-032231
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen S Romaine
Officer — President & CEO · Director
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 10:41 am 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 | Nov 19, 2015 | M | 4,114 | $38.54 | A | 27,237 | D | |
| Common StockF1 | Nov 19, 2015 | F | 2,670 | $59.40 | D | 24,567 | D | |
| Common StockF2 | Nov 19, 2015 | F | 735 | $59.40 | D | 23,832 | D | |
| Common Stock | Nov 19, 2015 | M | 7,986 | $38.54 | A | 31,818 | D | |
| Common StockF2 | Nov 19, 2015 | F | 1,066 | $59.40 | D | 30,752 | D | |
| Common StockF1 | Nov 19, 2015 | F | 5,182 | $59.40 | D | 25,570 | D | |
| Common Stock | holding | — | — | — | 7,036 | I | by 401(k)/ISOP | |
| Common Stock | holding | — | — | — | 3,383 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (Right to Buy)F3 | $38.5364 | Nov 19, 2015 | M | 4,114 | D | — | Jan 23, 2016 | Common Stock | 4,114 | 0 | D |
| Incentive Stock Option (Right to Buy)F3 | $38.5364 | Nov 19, 2015 | M | 7,986 | D | — | Jan 23, 2016 | Common Stock | 7,986 | 0 | D |
Explanation of responses
- F1Shares withheld for option cost.
- F2Shares withheld for taxes.
- F3The stock option becomes exercisable in six annual installments commencing two years after the date of grant.