0001127602-19-014828.txt : 20190405 0001127602-19-014828.hdr.sgml : 20190405 20190405104219 ACCESSION NUMBER: 0001127602-19-014828 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190404 FILED AS OF DATE: 20190405 DATE AS OF CHANGE: 20190405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPAIN MICHAEL H CENTRAL INDEX KEY: 0001124188 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 19733795 MAIL ADDRESS: STREET 1: C/O TOMPKINS TRUSTCO INC STREET 2: P O BOX 460 CITY: ITHACA STATE: NY ZIP: 14851 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: 118 E SENECA STREET STREET 2: P.O. BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 BUSINESS PHONE: 607-274-2078 MAIL ADDRESS: STREET 1: 118 E. SENECA STREET STREET 2: PO BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 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 X0306 4 2019-04-04 0001005817 TOMPKINS FINANCIAL CORP TMP 0001124188 SPAIN MICHAEL H TOMPKINS FINANCIAL CORPORATION P O BOX 460 ITHACA NY 14851 1 Phantom Stock 2019-04-04 4 A 0 94.321 76.60 A Common Stock 94.321 7212.435 D 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. /s/ Michael H. Spain 2019-04-05