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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Tompkins Financial Corporation | AMEX:TMP | AMEX | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
3.20 | 5.88% | 57.58 | 57.72 | 54.69 | 54.69 | 93,617 | 22:30:00 |
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
[ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0362 Expires: January 31, 2014 Estimated average burden hours per response... 1.0 |
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Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person * KLEIN GERALD J JR | 2. Issuer Name and Ticker or Trading Symbol TOMPKINS FINANCIAL CORP [TMP] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__ X __ Officer (give title below) _____ Other (specify below) EVP Pres&CEO Mahopac Natl Bank |
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership
(Instr. 4) |
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Amount | (A) or (D) | Price | ||||||||
Common Stock | 12/31/2011 | L | 384 | A | $ 0 (1) | 8358 (5) (6) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4) |
11. Nature of Indirect Beneficial Ownership
(Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||||
Incentive Stock Option (Right to Buy) | $ 29.3 | (2) | 9/30/2012 | Common Stock | 7321 | 7321 | D | ||||||||
Incentive Stock Option (Right to Buy) | $ 35.7636 | (2) | 5/3/2014 | Common Stock | 5262 | 5262 | D | ||||||||
Incentive Stock Option (Right to Buy) | $ 38.5364 | (3) | 1/23/2016 | Common Stock | 7260 | 7260 | D | ||||||||
Incentive Stock Option (Right to Buy) | $ 39.5545 | (3) | 1/18/2017 | Common Stock | 7942 | 7942 | D | ||||||||
Incentive Stock Option (Right to Buy) | $ 37.2727 | (3) | 11/29/2017 | Common Stock | 1438 | 1438 | D | ||||||||
Non-qualified Stock Option (Right to Buy) | $ 35.7636 | (2) | 5/3/2014 | Common Stock | 1927 | 1927 | D | ||||||||
Non-qualified Stock Option (Right to Buy) | $ 39.5545 | (3) | 1/18/2017 | Common Stock | 308 | 308 | D | ||||||||
Non-qualified Stock Option (Right to Buy) | $ 37.2727 | (3) | 11/29/2017 | Common Stock | 9563 | 9563 | D | ||||||||
Stock Appreciation Rights (SAR) | $ 41.7091 | (4) | 9/17/2019 | Common Stock | 11000 | 11000 | D | ||||||||
Stock Appreciation Rights (SAR) | $ 37 | (4) | 8/19/2021 | Common Stock | 5250 | 5250 | D |
Explanation of Responses: | |
( 1) | Shares acquired through profit sharing, 401K contributions and reinvestment of quarterly cash dividends. |
( 2) | The stock option becomes exercisable in four annual installments commencing two years after the date of grant. |
( 3) | The stock option becomes exercisable in six annual installments commencing two years after the date of grant. |
( 4) | Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a seven year vesting schedule with 0% vesting in year one, 17% vesting in years two through six, and 15% vesting in year seven. When exercised, the SARs will be settled in Common Stock of the Company. The grant will expire ten years from the date of the grant. |
( 5) | Includes 1,650 shares of Restricted Stock granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. Restricted Stock grants have a seven year vesting schedule with 0% vesting in year one, 17% vesting in years two through six, and 15% vesting in year seven. The grant will expire ten years from the date of the grant. |
( 6) | Includes 2,435 shares of TMP stock held in the reporting person's 401K/ESOP, 2,051 of which were previously reported as "Common Stock - 401K/ESOP" shares in Table I in the reporting person's Form 5 filed on February 15, 2011. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
KLEIN GERALD J JR
TOMPKINS FINANCIAL CORPORATION P.O. BOX 460 ITHACA, NY 14851 |
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EVP Pres&CEO Mahopac Natl Bank |
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Signatures
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/s/ Gerald J. Klein, Jr. | 2/15/2012 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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