0001127602-20-028688.txt : 20201112
0001127602-20-028688.hdr.sgml : 20201112
20201112083137
ACCESSION NUMBER: 0001127602-20-028688
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201109
FILED AS OF DATE: 20201112
DATE AS OF CHANGE: 20201112
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: 201303634
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
2020-11-09
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
2020-11-09
4
A
0
3390
63.44
A
55764.697
D
Common Stock
2020-11-09
4
A
0
3390
63.44
A
59154.697
D
Common Stock
2020-11-09
4
F
0
1548
63.44
D
57606.697
D
Common Stock
9473.56
I
by 401(k)/ISOP
Common Stock
4580.75
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 period. If the performance goal is not attained, all 3,390 shares will be forfeited.
Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
/s/ Stephen S. Romaine
2020-11-10