0001127602-19-032715.txt : 20191114 0001127602-19-032715.hdr.sgml : 20191114 20191114121446 ACCESSION NUMBER: 0001127602-19-032715 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191112 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FETSKO FRANCIS M CENTRAL INDEX KEY: 0001131014 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 191218138 MAIL ADDRESS: STREET 1: C/O TOMKINS TRUSTCO, INC. STREET 2: PO BOX #460 CITY: ITHACA STATE: NY ZIP: 14851 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: 118 E SENECA STREET STREET 2: P.O. BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 BUSINESS PHONE: 607-274-2078 MAIL ADDRESS: STREET 1: 118 E. SENECA STREET STREET 2: PO BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 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 2019-11-12 0001005817 TOMPKINS FINANCIAL CORP TMP 0001131014 FETSKO FRANCIS M TOMPKINS FINANCIAL CORPORATION PO BOX #460 ITHACA NY 14851 1 EVP, COO, CFO & Treasurer Common Stock 2019-11-12 4 A 0 1250 0 A 15880 D Common Stock 2019-11-12 4 A 0 2240 0 A 18120 D Common Stock 4240.473 I by 401K/ISOP Common Stock 4776.256 I by ESOP Time-based restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Restricted stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant. Performance-based restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Performance shares will be earned pursuant to achievement of a specified performance goal over a three-year performance period, followed by a three-year vesting period with the shares vesting 20% on 11/12/24, 30% on 11/12/25, and 50% on 11/12/26, so long as the reporting person's continuous service with the Issuer continues through these dates. If the performance goal is not attained, all 2,420 shares will be forfeited; and if the reporting person's continuous service terminates prior to full vesting, any unvested shares will be forfeited. /s/ Francis M. Fetsko 2019-11-14