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Alexander John E – ‘4’ for 1/8/20 re: Tompkins Financial Corp.

On:  Friday, 1/10/20, at 10:27am ET   ·   For:  1/8/20   ·   Accession #:  1127602-20-1380   ·   File #:  1-12709

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/10/20  Alexander John E                  4                      1:5K   Tompkins Financial Corp.          Restricted Stock Sy… Inc

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- form4.xml/3.6                        




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  1/8/20
Issuer:
Issuer CIK:  1005817
Issuer Name:  TOMPKINS FINANCIAL CORP
Issuer Trading Symbol:  TMP
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1074514
Owner Name:  ALEXANDER JOHN E
Reporting Owner Address:
Owner Street 1:  TOMPKINS FINANCIAL CORPORATION
Owner Street 2:  PO BOX 460
Owner City:  ITHACA
Owner State:  NY
Owner ZIP Code:  14851
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Phantom Stock
Conversion or Exercise Price:
Footnote ID:  F1
Transaction Date:
Value:  1/8/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  161.048
Transaction Price Per Share:
Value:  90.50
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Footnote ID:  F1
Expiration Date:
Footnote ID:  F1
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  161.048
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  17,211.349
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.
Owner Signature:
Signature Name:  /s/John E. Alexander
Signature Date:  1/10/20


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Filing Submission 0001127602-20-001380   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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