SEC Form 4 · accession 0001127602-16-066879
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian A Howard
Officer — EVP, Pres. Tompkins Fin. Adv.
Period of report
Nov 9, 2016
Accepted (ET)
Nov 14, 2016 · 2:08 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 StockF1 | Nov 9, 2016 | A | 1,207 | $0.00 | A | 1,207 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (SAR)F2 | $76.90 | Nov 9, 2016 | A | 802 | A | — | Nov 9, 2026 | Common Stock | 802 | 802 | D |
Explanation of responses
- F1Restricted Stock was granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. Restricted Stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant.
- F2Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a five-year vesting schedule, with 0% vesting in year one and 25% vesting in years two through five. When exercised, the SARs will be settled in Common Stock of the Company. The grant will expire ten years from the date of the grant.