SEC Form 4 · accession 0001127602-17-031847
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 9, 2017
Accepted (ET)
Nov 13, 2017 · 1:51 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, 2017 | A | 4,625 | $79.50 | A | 40,469 | D | |
| Common Stock | holding | — | — | — | 8,342 | I | by 401(k)/ISOP | |
| Common Stock | holding | — | — | — | 3,826 | I | by ESOP |
Table II — derivative securities
No Table II lines on this filing.
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.