0001127602-09-011715.txt : 20111130 0001127602-09-011715.hdr.sgml : 20111130 20090518105949 ACCESSION NUMBER: 0001127602-09-011715 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090514 FILED AS OF DATE: 20090518 DATE AS OF CHANGE: 20090518 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARDIE JAMES R CENTRAL INDEX KEY: 0001133273 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 09835685 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TOMPKINS FINANCIAL CORP CENTRAL INDEX KEY: 0001005817 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 161482357 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: PO BOX 460 THE COMMONS CITY: ITHACA STATE: NY ZIP: 14851 BUSINESS PHONE: 6072733210 MAIL ADDRESS: STREET 1: THE COMMONS STREET 2: PO BOX 460 CITY: ITHACA STATE: NY ZIP: 14851 FORMER COMPANY: FORMER CONFORMED NAME: TOMPKINS TRUSTCO INC DATE OF NAME CHANGE: 19990512 FORMER COMPANY: FORMER CONFORMED NAME: TOMPKINS COUNTY TRUSTCO INC DATE OF NAME CHANGE: 19960117 4 1 form4.xml PRIMARY DOCUMENT X0303 4 2009-05-14 0001005817 TOMPKINS FINANCIAL CORP TMP 0001133273 HARDIE JAMES R TOMPKINS FINANCIAL CORPORATION P O BOX 460 ITHACA NY 14851 1 7% Convertible Trust Preferred 2009-05-14 4 P 0 250 1000.00 A 2019-04-15 2039-03-31 Common Stock 6045.9 750 D The Trust Preferred Securities were issued by Tompkins Capital Trust I, all of the common securities of which are owned by Tompkins Financial Corporation (TMP). The Trust Preferred Securities are convertible, at any time on or after April 15, 2019, into TMP Common Stock at a price of $41.35 per share or, if higher, the average of the closing prices of TMP Common Stock on the trading days in the calendar quarter preceding the date of conversion. The amount set out in Item #7 above uses the $41.35 conversion price. /s/ James R. Hardie 2009-05-18