0001127602-20-000993.txt : 20200106 0001127602-20-000993.hdr.sgml : 20200106 20200106122338 ACCESSION NUMBER: 0001127602-20-000993 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200102 FILED AS OF DATE: 20200106 DATE AS OF CHANGE: 20200106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KLEIN GERALD J JR CENTRAL INDEX KEY: 0001384977 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 20508702 MAIL ADDRESS: STREET 1: C/O TOMPKINS TRUSTCO, INC. STREET 2: P.O. 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 2020-01-02 0001005817 TOMPKINS FINANCIAL CORP TMP 0001384977 KLEIN GERALD J JR TOMPKINS FINANCIAL CORPORATION P.O. BOX 460 ITHACA NY 14851 1 EVP Pres&CEO Mahopac Bank Common Stock 2020-01-02 4 M 0 3250 37.00 A 29427 D Common Stock 2020-01-02 4 F 0 2301 91.39 D 27126 D Common Stock 1467.7185 I by 401K/ISOP Common Stock 3842.812 I by ESOP Stock Appreciation Rights (SAR) 37.00 2020-01-02 4 M 0 3250 0 D 2021-08-19 Common Stock 3250 0 D 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. /s/ Gerald J. Klein, Jr. 2020-01-06