SEC Form 4 · accession 0001127602-19-010545
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
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 3:08 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 Stock | Mar 6, 2019 | M | 788 | $37.00 | A | 22,322 | D | |
| Common Stock | Mar 6, 2019 | F | 552 | $75.86 | D | 21,770 | D | |
| Common Stock | Mar 6, 2019 | M | 591 | $49.22 | A | 22,361 | D | |
| Common Stock | Mar 6, 2019 | F | 470 | $75.86 | D | 21,891 | D | |
| Common Stock | Mar 6, 2019 | M | 380 | $56.29 | A | 22,271 | D | |
| Common Stock | Mar 6, 2019 | F | 323 | $75.86 | D | 21,948 | D | |
| Common Stock | holding | — | — | — | 4,286 | I | by 401(k)/ISOP | |
| Common Stock | holding | — | — | — | 2,664 | 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)F1 | $37.00 | Mar 6, 2019 | M | 788 | D | — | Aug 19, 2021 | Common Stock | 788 | 0 | D |
| Stock Appreciation Rights (SAR)F1 | $49.22 | Mar 6, 2019 | M | 591 | D | — | Nov 21, 2024 | Common Stock | 591 | 1,703 | D |
Explanation of responses
- F1Stock 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.