0001127602-17-033109.txt : 20171122 0001127602-17-033109.hdr.sgml : 20171122 20171122090346 ACCESSION NUMBER: 0001127602-17-033109 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171121 FILED AS OF DATE: 20171122 DATE AS OF CHANGE: 20171122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROMAINE STEPHEN S CENTRAL INDEX KEY: 0001201525 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 171218460 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: 607-274-2078 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 X0306 4 2017-11-21 0001005817 TOMPKINS FINANCIAL CORP TMP 0001201525 ROMAINE STEPHEN S TOMPKINS FINANCIAL CORPORATION P.O. BOX 460 ITHACA NY 14851 1 1 President & CEO Common Stock 2017-11-21 4 F 0 440 85.33 D 40231.956 D Common Stock 8390.15 I by 401(k)/ISOP Common Stock 3848.21 I by ESOP Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Includes shares acquired through profit sharing or 401K contributions. /s/ Stephen S. Romaine 2017-11-22