SEC Form 4 · accession 0001127602-18-032946
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott L Gruber
Officer — EVP, Pres. & CEO, VIST Bank
Period of report
Nov 9, 2018
Accepted (ET)
Nov 14, 2018 · 8:55 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 | Nov 9, 2018 | A | 1,435 | $75.43 | A | 10,009 | D | |
| Common StockF2 | Nov 9, 2018 | F | 83 | $75.43 | D | 9,926 | D | |
| Common Stock | holding | — | — | — | 604 | I | by 401(K) ESOP | |
| Common Stock | holding | — | — | — | 3,436 | I | by 401(k)/ISOP |
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.
- F2Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.