0001127602-23-001761.txt : 20230119 0001127602-23-001761.hdr.sgml : 20230119 20230119142557 ACCESSION NUMBER: 0001127602-23-001761 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230119 FILED AS OF DATE: 20230119 DATE AS OF CHANGE: 20230119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VALENTI SUSAN M. CENTRAL INDEX KEY: 0001548384 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 23537030 MAIL ADDRESS: STREET 1: C/O TOMPKINS FINANCIAL CORPORATION 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 2023-01-19 0001005817 TOMPKINS FINANCIAL CORP TMP 0001548384 VALENTI SUSAN M. C/O TOMPKINS FINANCIAL CORPORATION P O BOX 460 ITHACA NY 14851 1 EVP, Corporate Marketing Common Stock 2023-01-19 4 M 0 851 40.60 A 16484.662 D Common Stock 2023-01-19 4 F 0 2204 77.34 D 14280.662 D Common Stock 996.41 I 401(K) ESOP Common Stock 1626.78 I By 401(K)/ISOP Stock Appreciation Rights (SAR) 40.60 2023-01-19 4 M 0 851 0 D 2023-05-03 Common Stock 851 2204 D Shares withheld for Option cost and taxes 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. Susan M. Valenti 2023-01-19