4//SEC Filing
HARDIE JAMES R 4
Accession 0001127602-13-004479
CIK 0001005817other
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 2:32 PM ET
Size
13.2 KB
Accession
0001127602-13-004479
Insider Transaction Report
Form 4
HARDIE JAMES R
Director
Transactions
- Gift
Common Stock
2013-02-04$40.85/sh−750$30,638→ 68,289 total - Gift
Common Stock
2013-02-04$40.85/sh−750$30,638→ 67,539 total
Holdings
- 687(indirect: by ESOP)
Common Stock
- 750
7% Convertible Trust Preferred
From: 2019-04-15Exp: 2039-03-31→ Common Stock (18,137.7 underlying) - 1,505
Phantom Stock
→ Common Stock (1,505 underlying)
Footnotes (5)
- [F1]Bona fide gift to son.
- [F2]Includes adjustment to update holdings to reflect previous incorrect allocation of 39 shares.
- [F3]Bona fide gift to daughter.
- [F4]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.
- [F5]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.
Issuer
TOMPKINS FINANCIAL CORP
CIK 0001005817
Entity typeother
Related Parties
1- filerCIK 0001133273
Filing Metadata
- Form type
- 4
- Filed
- Feb 5, 7:00 PM ET
- Accepted
- Feb 6, 2:32 PM ET
- Size
- 13.2 KB