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4//SEC Filing

HARTZ GREGORY J 4

Accession 0001127602-21-024500

CIK 0001005817other

View on SEC.gov Company Profile

Filed

Aug 29, 8:00 PM ET

Accepted

Aug 30, 1:38 PM ET

Size

22.1 KB

Accession

0001127602-21-024500

Insider Transaction Report

Form 4

Period: 2021-02-08

TOMPKINS FINANCIAL CORPTMP

HARTZ GREGORY J

EVP, Pres.&CEO Tompkins Trust

Transactions

Exercise/Conversion
Stock Appreciation Rights (SAR)
2021-08-26−380→ 1,096 total
Exercise: $56.29Exp: 2025-11-04→ Common Stock (380 underlying)
Tax Payment
Common Stock
2021-08-26$77.33/sh−917$70,912→ 25,598.024 total
Exercise/Conversion
Common Stock
2021-08-26$56.29/sh+380$21,390→ 25,978.024 total
Exercise/Conversion
Stock Appreciation Rights (SAR)
2021-08-26−1,181→ 522 total
Exercise: $49.22Exp: 2024-11-21→ Common Stock (1,181 underlying)
Gift
Common Stock
2021-02-08$72.69/sh−75$5,452→ 24,773.704 total
Exercise/Conversion
Common Stock
2021-08-26$49.22/sh+1,181$58,129→ 26,515.024 total
Tax Payment
Common Stock
2021-08-26$77.33/sh−317$24,514→ 25,661.024 total
Exercise/Conversion
Stock Appreciation Rights (SAR)
2021-08-26−459→ 0 total
Exercise: $40.60Exp: 2023-05-03→ Common Stock (459 underlying)
Tax Payment
Common Stock
2021-08-26$77.33/sh−325$25,132→ 25,334.024 total
Exercise/Conversion
Common Stock
2021-08-26$40.60/sh+459$18,635→ 25,659.024 total

Holdings

Common Stock
(indirect: As Custodian FBO Andrew Chase UGMA/NY)
19.271
Common Stock
(indirect: By 401(k))
5,092.06
Common Stock
(indirect: by ESOP)
3,181.327

Footnotes (3)

[F1]Bona fide gift to Charitable Gift Account
[F2]Shares withheld for Option cost and taxes
[F3]Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a seven year vesting schedule with 0% vesting in year one, 17% vesting in years two through six, and 15% vesting in year seven. When exercised, the SARs will be settled in Common Stock of the Company. The grant will expire ten years from the date of the grant.

Documents

1 file

4
form4.xmlPrimary
PRIMARY DOCUMENT

Issuer

TOMPKINS FINANCIAL CORP

CIK 0001005817

Entity typeother

Related Parties

1

filerCIK 0001384976

Filing Metadata

Form type: 4
Filed: Aug 29, 8:00 PM ET
Accepted: Aug 30, 1:38 PM ET
Size: 22.1 KB

View on SEC.gov