SEC Form 5 · accession 0001127602-17-004007
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis M Fetsko
Officer — EVP, COO, CFO & Treasurer
Period of report
Dec 31, 2016
Accepted (ET)
Feb 6, 2017 · 10:45 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 StockF1 | Nov 25, 2016 | G | 200 | $86.57 | D | 14,018 | D | |
| Common StockF2 | holding | — | — | — | 3,547 | I | by 401K/ISOP | |
| Common StockF2 | holding | — | — | — | 4,050 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (SAR)F3 | $37.00 | holding | — | — | — | — | Aug 19, 2021 | Common Stock | 2,573 | 2,573 | D |
| Stock Appreciation Rights (SAR)F3 | $40.60 | holding | — | — | — | — | May 3, 2023 | Common Stock | 3,055 | 3,055 | D |
| Stock Appreciation Rights (SAR)F3 | $49.22 | holding | — | — | — | — | Nov 21, 2024 | Common Stock | 3,475 | 3,475 | D |
| Stock Appreciation Rights (SAR)F3 | $56.29 | holding | — | — | — | — | Nov 4, 2025 | Common Stock | 2,235 | 2,235 | D |
| Stock Appreciation Rights (SAR)F4 | $76.90 | holding | — | — | — | — | Nov 9, 2026 | Common Stock | 802 | 802 | D |
Explanation of responses
- F1Bona fide gift to Charitable Gift Fund.
- F2Includes shares acquired through profit sharing or 401K contributions.
- F3Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a seven year vesting schedule with 0% vesting in year one, 17% vesting in years two through six, and 15% vesting in year seven. 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.
- F4Stock 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.