GATES REEDER D 5
5 · TOMPKINS FINANCIAL CORP · Filed Jan 17, 2013
Insider Transaction Report
Form 5
GATES REEDER D
Director
Holdings
- 500
7% Convertible Trust Preferred - IRA
From: 2019-04-15Exp: 2039-03-31→ Common Stock (12,091.8 underlying) - 3,201(indirect: By Spouse)
Common Stock
- 122,816
Common Stock
- 5,536.8
Phantom Stock
→ Common Stock (5,536.8 underlying) - 500(indirect: By Spouse)
7% Convertible Trust Preferred - Spouse's IRA
From: 2019-04-15Exp: 2039-03-31→ Common Stock (12,091.8 underlying)
Footnotes (4)
- [F1]Includes shares acquired through reinvestment of quarterly cash dividends.
- [F2]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.
- [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]Shares acquired through deferral of retainer fees, meeting attendance, and reinvestment of quarterly cash dividends.