SEC Form 4 · accession 0001127602-17-033141
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory J Hartz
Officer — EVP, Pres.&CEO Tompkins Trust
Period of report
Nov 17, 2017
Accepted (ET)
Nov 22, 2017 · 1:10 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 17, 2017 | G | 127 | $82.90 | D | 19,907 | D | |
| Common StockF2 | Nov 21, 2017 | F | 139 | $85.33 | D | 19,768 | D | |
| Common StockF3 | holding | — | — | — | 3,955 | I | by 401(k)/ISOP | |
| Common StockF3 | holding | — | — | — | 2,414 | I | by ESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Bona fide gift to Charitable Gift Account
- F2Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
- F3Includes shares acquired through profit sharing or 401K contributions.