Filing Details
- Accession Number:
- 0001127602-17-003772
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-03 09:21:59
- Reporting Period:
- 2017-02-01
- Filing Date:
- 2017-02-03
- Accepted Time:
- 2017-02-03 09:21:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1005817 | Tompkins Financial Corp | TMP | State Commercial Banks (6022) | 161482357 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1384977 | Jr J Gerald Klein | Tompkins Financial Corporation P.o. Box 460 Ithaca NY 14851 | Evp Pres&Ceo Mahopac Bank | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-02-01 | 1,438 | $37.27 | 20,352 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-01 | 606 | $88.60 | 19,746 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2017-02-01 | 9,563 | $37.27 | 29,309 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-01 | 6,437 | $88.60 | 22,872 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-02-01 | 2,000 | $89.22 | 20,872 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (Right to Buy) | Disposition | 2017-02-01 | 1,438 | $0.00 | 1,438 | $37.27 |
| Common Stock | Non-qualified Stock Option (Right to Buy) | Disposition | 2017-02-01 | 9,563 | $0.00 | 9,563 | $37.27 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-11-29 | No | 4 | M | Direct | |
| 0 | 2017-11-29 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,132 | Indirect | by 401K/ISOP |
| Common Stock | 3,175 | Indirect | by ESOP |
Footnotes
- Shares swapped to pay for option shares exercised.
- Shares withheld for option cost and taxes.
- The stock option becomes exercisable in six annual installments commencing two years after the date of grant.
Billionaire Hedge Funds
