SEC Form 4 · accession 0001127602-16-059454
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
Aug 2, 2016
Accepted (ET)
Aug 4, 2016 · 11:27 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 | Aug 2, 2016 | S | 650 | $71.59 | D | 17,824 | D | |
| Common Stock | Aug 2, 2016 | M | 308 | $39.56 | A | 18,132 | D | |
| Common StockF1 | Aug 2, 2016 | F | 172 | $71.25 | D | 17,960 | D | |
| Common Stock | holding | — | — | — | 1,091 | I | by 401K/ISOP | |
| Common Stock | holding | — | — | — | 3,137 | 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)F2 | $39.5545 | Aug 2, 2016 | M | 308 | D | — | Jan 18, 2017 | Common Stock | 308 | 0 | D |
Explanation of responses
- F1Shares withheld for option cost
- F2The stock option becomes exercisable in six annual installments commencing two years after the date of grant.