SEC Form 4 · accession 0001127602-17-030923
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 1, 2017
Accepted (ET)
Nov 2, 2017 · 2:47 pm 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 1, 2017 | M | 57 | $37.28 | A | 31,601 | D | |
| Common Stock | Nov 1, 2017 | F | 35 | $85.00 | D | 31,566 | D | |
| Common Stock | Nov 1, 2017 | M | 16,444 | $37.28 | A | 48,010 | D | |
| Common Stock | Nov 1, 2017 | F | 11,900 | $85.00 | D | 36,110 | D | |
| Common StockF1 | holding | — | — | — | 8,342 | I | by 401(k)/ISOP | |
| Common StockF1 | holding | — | — | — | 3,826 | 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 | $37.2727 | Nov 1, 2017 | M | 57 | D | — | Nov 29, 2017 | Common Stock | 57 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F2 | $37.2727 | Nov 1, 2017 | M | 16,444 | D | — | Nov 29, 2017 | Common Stock | 16,444 | 0 | D |
Explanation of responses
- F1Includes shares acquired through profit sharing or 401K contributions.
- F2The stock option becomes exercisable in six annual installments commencing two years after the date of grant.