SEC Form 4 · accession 0001127602-16-065946
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 2, 2016
Accepted (ET)
Nov 3, 2016 · 9:48 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 | Nov 2, 2016 | M | 4,805 | $39.56 | A | 30,142 | D | |
| Common StockF1 | Nov 2, 2016 | F | 3,325 | $73.80 | D | 26,817 | D | |
| Common Stock | Nov 2, 2016 | M | 11,696 | $39.56 | A | 38,513 | D | |
| Common StockF1 | Nov 2, 2016 | F | 9,033 | $73.80 | D | 29,480 | D | |
| Common Stock | holding | — | — | — | 7,745 | I | by 401(k)/ISOP | |
| Common Stock | holding | — | — | — | 3,615 | 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)F2 | $39.5545 | Nov 2, 2016 | M | 4,805 | D | — | Jan 18, 2017 | Common Stock | 4,805 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F2 | $39.5545 | Nov 2, 2016 | M | 11,696 | D | — | Jan 18, 2017 | Common Stock | 11,696 | 0 | D |
Explanation of responses
- F1Shares withheld for option cost and taxes.
- F2The stock option becomes exercisable in six annual installments commencing two years after the date of grant.