0001127602-19-017656.txt : 20190508 0001127602-19-017656.hdr.sgml : 20190508 20190508080727 ACCESSION NUMBER: 0001127602-19-017656 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190506 FILED AS OF DATE: 20190508 DATE AS OF CHANGE: 20190508 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRUBER SCOTT L CENTRAL INDEX KEY: 0001481104 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 19805258 MAIL ADDRESS: STREET 1: 1240 BROADCASTING RD. CITY: WYOMISSING STATE: PA ZIP: 19610 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 2019-05-06 0001005817 TOMPKINS FINANCIAL CORP TMP 0001481104 GRUBER SCOTT L C/O TOMPKINS FINANCIAL CORPORATION ITHACA NY 14851 1 EVP, Pres. & CEO, VIST Bank Common Stock 2019-05-06 4 M 0 519 40.60 A 11621.182 D Common Stock 2019-05-06 4 F 0 334 83.28 D 11287.182 D Common Stock 752.02 I by 401(K) ESOP Common Stock 3679.701 I by 401(k)/ISOP Stock Appreciation Rights (SAR) 40.60 2019-05-06 4 M 0 519 0 D 2023-05-03 Common Stock 519 459 D 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. /s/ Scott L. Gruber 2019-05-07