SEC Form 4 · accession 0001127602-18-024006
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
May 29, 2018
Accepted (ET)
Jul 30, 2018 · 3:34 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 StockF1 | May 29, 2018 | G | 118 | $84.24 | D | 19,719 | D | |
| Common Stock | Jul 27, 2018 | M | 519 | $40.60 | A | 20,238 | D | |
| Common StockF2 | Jul 27, 2018 | F | 354 | $87.23 | D | 19,884 | D | |
| Common Stock | Jul 27, 2018 | M | 591 | $49.22 | A | 20,475 | D | |
| Common StockF2 | Jul 27, 2018 | F | 438 | $87.23 | D | 20,037 | D | |
| Common Stock | Jul 27, 2018 | M | 379 | $56.29 | A | 20,416 | D | |
| Common StockF2,F3 | Jul 27, 2018 | F | 299 | $87.23 | D | 20,117 | D | |
| Common StockF4 | holding | — | — | — | 4,117 | I | by 401(k)/ISOP | |
| Common StockF4 | holding | — | — | — | 2,615 | 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)F5 | $40.60 | Jul 27, 2018 | M | 519 | D | — | May 3, 2023 | Common Stock | 519 | 978 | D |
| Stock Appreciation Rights (SAR)F5 | $49.22 | Jul 27, 2018 | M | 591 | D | — | Nov 21, 2024 | Common Stock | 591 | 2,294 | D |
| Stock Appreciation Rights (SAR)F5 | $56.29 | Jul 27, 2018 | M | 379 | D | — | Nov 4, 2025 | Common Stock | 379 | 1,856 | D |
Explanation of responses
- F1Bona fide gift to Charitable Gift Account
- F2Shares withheld for Option cost and taxes
- F3Includes shares acquired through reinvestment of quarterly dividends.
- F4Includes shares acquired through profit sharing or 401K contributions.
- F5Stock 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.