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