0001127602-23-025695.txt : 20231010
0001127602-23-025695.hdr.sgml : 20231010
20231010090442
ACCESSION NUMBER: 0001127602-23-025695
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231001
FILED AS OF DATE: 20231010
DATE AS OF CHANGE: 20231010
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kershaw David
CENTRAL INDEX KEY: 0001993586
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-12709
FILM NUMBER: 231315963
MAIL ADDRESS:
STREET 1: PO 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
3
1
form3.xml
PRIMARY DOCUMENT
X0206
3
2023-10-01
0
0001005817
TOMPKINS FINANCIAL CORP
TMP
0001993586
Kershaw David
PO BOX 460
ITHACA
NY
14851
1
SVP, PAO
Common Stock
1221.6878
I
by 401(k)
Common Stock
3124.8
D
Common Stock
2416.6487
I
by ESOP
Stock Appreciation Rights (SAR)
49.22
2024-11-21
Common Stock
1255
D
Stock Appreciation Rights (SAR)
56.29
2025-11-04
Common Stock
705
D
Stock Appreciation Rights (SAR)
76.90
2026-11-09
Common Stock
260
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.
Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a five-year vesting schedule, with 0% vesting in year one and 25% vesting in years two through five. 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/ David. K. Kershaw
2023-10-10