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