4//SEC Filing
HARDIE JAMES R 4
Accession 0001127602-12-003882
CIK 0001005817other
Filed
Feb 2, 7:00 PM ET
Accepted
Feb 3, 1:05 PM ET
Size
12.7 KB
Accession
0001127602-12-003882
Insider Transaction Report
Form 4
HARDIE JAMES R
Director
Transactions
- Gift
Common Stock
2012-02-01$40.53/sh−500$20,265→ 70,108 total - Gift
Common Stock
2012-02-01$40.53/sh−500$20,265→ 69,647 total - Small Acquisition
Phantom Stock
2012-02-01+50→ 1,450 total→ Common Stock (50 underlying) - Small Acquisition
Common Stock
2012-02-01+39→ 70,147 total
Holdings
- 750
7% Convertible Trust Preferred
From: 2019-04-15Exp: 2039-03-31→ Common Stock (18,137.7 underlying)
Footnotes (7)
- [F1]Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.
- [F2]Shares acquired through reinvestment of quarterly cash dividends.
- [F3]Bona fide gift to daughter.
- [F4]Bona fide gift to son.
- [F5]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.
- [F6]Includes 1.400 shares of phantom stock held in the rabbi trust referenced above that were previously reported as "Common Stock Drip" shares in Table I in the reporting person's Form 5 filed on February 9, 2011. The reporting person intends to report all such shares of phantom stock in Table II in future reports.
- [F7]Includes 608 shares of TMP stock held in the reporting person's 401K/ESOP that were previously reported as "Common Stock - 401K/ESOP" shares in Table I in the reporting person's Form 5 filed on February 9, 2011.
Documents
Issuer
TOMPKINS FINANCIAL CORP
CIK 0001005817
Entity typeother
Related Parties
1- filerCIK 0001133273
Filing Metadata
- Form type
- 4
- Filed
- Feb 2, 7:00 PM ET
- Accepted
- Feb 3, 1:05 PM ET
- Size
- 12.7 KB