HARDIE JAMES R 5
5 · TOMPKINS FINANCIAL CORP · Filed Feb 9, 2011
Insider Transaction Report
Form 5
HARDIE JAMES R
Director
Transactions
- Small Acquisition
Common Stock Drip
2010-11-15+45.9→ 1,400 total(indirect: By Trust) - Small Acquisition
Common Stock - 401k/esop
2010-11-15+42.6→ 608 total
Holdings
- 750
7% Convertible Trust Preferred
From: 2019-04-15Exp: 2039-03-31→ Common Stock (18,137.7 underlying) - 71,000
Common Stock
Footnotes (3)
- [F1]Shares acquired through profit sharing and reinvestment of quarterly cash dividends.
- [F2]Shares acquired through deferral of retainer and/or meeting attendance fees, and reinvestment of quarterly cash dividends.
- [F3]The Trust Preferred Securities were issued by Tompkins Capital Trust I, all of the common securities of which are owned by Tompkins Financial Corporation (TMP). The Trust Preferred Securities are convertible, at any time on or after April 15, 2019, into TMP Common Stock at a price of $41.35 per share or, if higher, the average of the closing prices of TMP Common Stock on the trading days in the calendar quarter preceding the date of conversion. The amount set out in Item #7 above uses the $41.35 conversion price.