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TOMPKINS FINANCIAL CORP — Director's Dealing 2021
Apr 9, 2021
32217_dirs_2021-04-09_65bfebad-5884-4a99-ab94-f6d66e5791eb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2019-11-12
Reporting Person: SPAIN MICHAEL H (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-11-12 | Common Stock | J | 22 | — | Disposed | 42049 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-04-07 | Phantom Stock | $ | A | 92.788 | Acquired | Common Stock (92.788) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 133513 | Direct |
Footnotes
F1: Reflects a disposition on November 12, 2019 of 22 shares held in trust by the reporting person for Christina Bass Spain. Without the reporting person's knowledge, the disposition was executed by the designated account manager for account administration purposes.
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.