0001127602-23-027181.txt : 20231113 0001127602-23-027181.hdr.sgml : 20231113 20231113132358 ACCESSION NUMBER: 0001127602-23-027181 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231109 FILED AS OF DATE: 20231113 DATE AS OF CHANGE: 20231113 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: 231397350 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 X0508 4 2023-11-09 0001005817 TOMPKINS FINANCIAL CORP TMP 0001201525 ROMAINE STEPHEN S TOMPKINS FINANCIAL CORPORATION P.O. BOX 460 ITHACA NY 14851 1 1 President & CEO 0 Common Stock 2023-11-09 4 A 0 4940 51.02 A 68558.697 D Common Stock 2023-11-09 4 F 0 655 51.02 D 67903.697 D Common Stock 2023-11-09 4 F 0 433 51.02 D 67470.697 D Common Stock 2023-11-09 4 F 0 370 51.02 D 67100.697 D Common Stock 10296.27 I by 401(k)/ISOP Common Stock 5377.7379 I by ESOP 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. Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. /s/ Stephen S. Romaine 2023-11-10