0001127602-12-003882.txt : 20120203
0001127602-12-003882.hdr.sgml : 20120203
20120203130511
ACCESSION NUMBER: 0001127602-12-003882
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120201
FILED AS OF DATE: 20120203
DATE AS OF CHANGE: 20120203
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HARDIE JAMES R
CENTRAL INDEX KEY: 0001133273
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12709
FILM NUMBER: 12568955
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: TOMPKINS FINANCIAL CORP
CENTRAL INDEX KEY: 0001005817
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 161482357
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: PO BOX 460 THE COMMONS
CITY: ITHACA
STATE: NY
ZIP: 14851
BUSINESS PHONE: 6072733210
MAIL ADDRESS:
STREET 1: THE COMMONS
STREET 2: PO BOX 460
CITY: ITHACA
STATE: NY
ZIP: 14851
FORMER COMPANY:
FORMER CONFORMED NAME: TOMPKINS TRUSTCO INC
DATE OF NAME CHANGE: 19990512
FORMER COMPANY:
FORMER CONFORMED NAME: TOMPKINS COUNTY TRUSTCO INC
DATE OF NAME CHANGE: 19960117
4
1
form4.xml
PRIMARY DOCUMENT
X0304
4
2012-02-01
0001005817
TOMPKINS FINANCIAL CORP
TMP
0001133273
HARDIE JAMES R
TOMPKINS FINANCIAL CORPORATION
P O BOX 460
ITHACA
NY
14851
1
Common Stock
2012-02-01
5
G
0
E
500
40.53
D
70108
D
Common Stock
2012-02-01
5
L
0
E
39
A
70147
D
Common Stock
2012-02-01
5
G
0
E
500
40.53
D
69647
D
Phantom Stock
2012-02-01
5
L
0
E
50
A
Common Stock
50
1450
D
7% Convertible Trust Preferred
2019-04-15
2039-03-31
Common Stock
18137.7
750
D
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.
Shares acquired through reinvestment of quarterly cash dividends.
Bona fide gift to daughter.
Bona fide gift to son.
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.
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.
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.
/s/ James R. Hardie
2012-02-03