Amended Statement of Ownership (sc 13g/a)
February 11 2020 - 10:47AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13G
Information
to be included in statements filed pursuant to Rules 13d-1(b)
and
(c) and amendments thereto filed pursuant to Rule 13d-2(b)
(Amendment
No. 19*)
TOMPKINS
FINANCIAL CORPORATION
(Name
of Issuer)
Common
Stock
(Title
of Class of Securities)
890110
10 9
(CUSIP
Number)
Date
of Event Which Requires Filing of this Statement: December 31, 2019
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
☒
Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ Rule 13d-1(d)
* The
remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior
cover page.
The
information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section
18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that Section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
CUSIP
No.
890110
10 9
|
13G/A
|
Page
2 of 5 Pages
|
1.
|
NAME
OF REPORTING PERSON
I.R.S
IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Tompkins
Trust Company EIN: 15-0470650
|
2.
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐(b) ☐
|
3.
|
SEC
USE ONLY
|
4.
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
United
States
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE
VOTING POWER
0
|
|
|
6.
|
SHARED
VOTING POWER
1,354,927
|
|
|
7.
|
SOLE
DISPOSITIVE POWER
0
|
|
|
8.
|
SHARED
DISPOSITIVE POWER
1,354,927
|
9.
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,354,927
|
10.
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) ☐
EXCLUDES
CERTAIN SHARES*
|
11.
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.05%
|
12.
|
TYPE
OF REPORTING PERSON*
BK
|
*
SEE INSTRUCTIONS
Page
3 of 5 Pages
|
Item
1(a).
|
Name
of Issuer:
|
Tompkins
Financial Corporation
|
Item
1(b).
|
Address
of Issuer's Principal Executive Offices:
|
118
E. Seneca Street, P.O. Box 460
Ithaca,
NY 14850
|
Item
2(a).
|
Name
of Person Filing:
|
Tompkins
Trust Company
|
Item
2(b).
|
Address
of Principal Business Office, or, if None, Residence:
|
Tompkins
Trust Company
P.O.
Box 460
Ithaca,
NY 14851
United
States
|
Item
2(d).
|
Title
of Class of Securities:
|
Common
Stock, par value $0.10 par value
890110
10 9
|
Item
3.
|
If
this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person
filing is a:
|
☒
Bank as defined in Section 3(a)(6) of the Act.
|
Item
4(a).
|
Amount
Beneficially Owned:
|
1,354,927
|
Item
4(b).
|
Percent
of Class:
|
9.05%
Page
4 of 5 Pages
|
Item
4(c).
|
Number
of shares as to which such person has:
|
(i)
Sole
power to vote or to direct the vote:
0
(ii)
Shared
power to vote or to direct the vote:
1,354,927
(iii)
Sole
power to dispose or to direct the disposition of:
0
(iv)
Shared
power to dispose or to direct the disposition of:
1,354,927
|
Item
5.
|
Ownership
of Five Percent or Less of a Class:
|
Not
applicable.
|
Item
6.
|
Ownership
of More than Five Percent on Behalf of Another Person:
|
Not
applicable.
|
Item
7.
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by
the Parent Holding Company:
|
Not
applicable.
|
Item
8.
|
Identification
and Classification of Members of the Group:
|
Not
applicable.
|
Item
9.
|
Notice
of Dissolution of Group:
|
Not
applicable.
Page
5 of 5 Pages
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held
in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant
in any transaction having such purpose or effect, other than activities solely in connection with a nomination under Section 240.14a-11.
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
|
02/10/2020
|
|
|
Date
|
|
|
|
/S/ Francis M. Fetsko
|
|
|
Signature
|
|
|
|
Francis M. Fetsko, EVP, CFO & COO
|
|
|
Name/Title
|
Tompkins Financial (AMEX:TMP)
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