SEC Form 4 · accession 0001127602-16-044488
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
Mar 1, 2016
Accepted (ET)
Mar 2, 2016 · 3:02 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 | Mar 1, 2016 | M | 6,007 | $39.56 | A | 22,727 | D | |
| Common StockF1 | Mar 1, 2016 | F | 4,088 | $58.12 | D | 18,639 | D | |
| Common StockF2 | holding | — | — | — | 1,022 | I | by 401K/ISOP | |
| Common StockF2 | holding | — | — | — | 2,962 | 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 | Mar 1, 2016 | M | 6,007 | D | — | Jan 18, 2017 | Common Stock | 6,007 | 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.