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TOMPKINS FINANCIAL CORP — Director's Dealing 2017
Feb 6, 2017
32217_dirs_2017-02-06_ba374cf1-1ac9-4305-aa3e-e7168f6cc258.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2016-12-31
Reporting Person: BATTAGLIA PAUL J. (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4209.801 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock | $ | Common Stock (6561.763) | 6561.763 | Direct |
Footnotes
F1: Includes shares acquired through reinvestment of quarterly dividends.
F2: Each 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.