SPAIN JR WILLIAM D 5
5 · TOMPKINS FINANCIAL CORP · Filed Feb 15, 2012
Insider Transaction Report
Form 5
SPAIN JR WILLIAM D
Director
Transactions
- Small Acquisition
Phantom Stock
2011-12-31+80→ 2,345 total→ Common Stock (80 underlying)
Holdings
- 45,186
Common Stock
- 84,140(indirect: By Partnership)
Common Stock
Footnotes (4)
- [F1]Adjustment to reclassify rabbi trust holding.
- [F2]Shares acquired through reinvestment of quarterly cash dividends.
- [F3]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.
- [F4]Includes 2,265 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 14, 2011. The reporting person intends to report all such shares of phantom stock in Table II in future reports.