SEC Form 4 · accession 0001127602-18-001664
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan A Henry
Director
Period of report
Jan 10, 2018
Accepted (ET)
Jan 12, 2018 · 8:38 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 | Jan 10, 2018 | M | 517 | $0.00 | A | 1,778 | D | |
| Common StockF1 | Jan 10, 2018 | M | 377 | $0.00 | A | 2,156 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2 | — | Jan 10, 2018 | M | 517 | D | — | — | Common Stock | 517 | 5,800 | D |
| Phantom StockF1,F2 | — | Jan 10, 2018 | M | 377 | D | — | — | Common Stock | 377 | 5,423 | D |
Explanation of responses
- F1Reflects the conversion of shares from a derivative security to a non-derivative security as a result of a distribution pursuant to the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation.
- F2Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.