SEC Form 4 · accession 0001127602-17-003772
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
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 9:21 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 | Feb 1, 2017 | M | 1,438 | $37.27 | A | 20,352 | D | |
| Common StockF1 | Feb 1, 2017 | F | 606 | $88.60 | D | 19,746 | D | |
| Common Stock | Feb 1, 2017 | M | 9,563 | $37.27 | A | 29,309 | D | |
| Common StockF2 | Feb 1, 2017 | F | 6,437 | $88.60 | D | 22,872 | D | |
| Common Stock | Feb 1, 2017 | S | 2,000 | $89.22 | D | 20,872 | D | |
| Common Stock | holding | — | — | — | 1,132 | I | by 401K/ISOP | |
| Common Stock | holding | — | — | — | 3,175 | 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 | $37.2727 | Feb 1, 2017 | M | 1,438 | D | — | Nov 29, 2017 | Common Stock | 1,438 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F3 | $37.2727 | Feb 1, 2017 | M | 9,563 | D | — | Nov 29, 2017 | Common Stock | 9,563 | 0 | D |
Explanation of responses
- F1Shares swapped to pay for option shares exercised.
- F2Shares withheld for option cost and taxes.
- F3The stock option becomes exercisable in six annual installments commencing two years after the date of grant.