Statement of Changes in Beneficial Ownership (4)
December 03 2019 - 8:44AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
GRUBER SCOTT L |
2. Issuer Name and Ticker or Trading Symbol
TOMPKINS FINANCIAL CORP
[
TMP
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Pres. & CEO, VIST Bank |
|
(Last)
(First)
(Middle)
C/O, TOMPKINS FINANCIAL CORPORATION |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/29/2019 |
|
(Street)
ITHACA, NY 14851
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 11/29/2019 | | M | | 591 | A | $49.22 | 12777.182 | D | |
| Common Stock | 11/29/2019 | | F | | 414 | D | $86.75 | 12363.182 | D | |
| Common Stock | 11/29/2019 | | M | | 380 | A | $56.29 | 12743.182 | D | |
| Common Stock | 11/29/2019 | | F | | 288 | D | $86.75 | 12455.182 | D | |
| Common Stock | | | | | | | | 761.111 | I | by 401(K) ESOP |
| Common Stock | | | | | | | | 3972.907 | I | by 401(k)/ISOP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Appreciation Rights (SAR) | $49.22 | 11/29/2019 | | M | | | 591 | (1) | 11/21/2024 | Common Stock | 591 | $0 | 1112 | D | |
| Stock Appreciation Rights (SAR) | $56.29 | 11/29/2019 | | M | | | 380 | (1) | 11/4/2025 | Common Stock | 380 | $0 | 1096 | D | |
| Explanation of Responses: |
| (1) | Stock 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. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
GRUBER SCOTT L
C/O
TOMPKINS FINANCIAL CORPORATION
ITHACA, NY 14851 |
|
| EVP, Pres. & CEO, VIST Bank |
|
Signatures
|
| /s/ Scott L. Gruber | | 12/3/2019 |
| **Signature of Reporting Person | Date |
Tompkins Financial (AMEX:TMP)
Historical Stock Chart
From Jun 2024 to Jul 2024
Tompkins Financial (AMEX:TMP)
Historical Stock Chart
From Jul 2023 to Jul 2024
