0001127602-24-002689.txt : 20240131 0001127602-24-002689.hdr.sgml : 20240131 20240131105407 ACCESSION NUMBER: 0001127602-24-002689 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240129 FILED AS OF DATE: 20240131 DATE AS OF CHANGE: 20240131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rochon Thomas R. CENTRAL INDEX KEY: 0001463129 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 24581169 MAIL ADDRESS: STREET 1: C/O TOMPKINS FINANCIAL CORPORATION 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] ORGANIZATION NAME: 02 Finance 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 X0508 4 2024-01-29 0001005817 TOMPKINS FINANCIAL CORP TMP 0001463129 Rochon Thomas R. C/O TOMPKINS FINANCIAL CORPORATION P.O. BOX 460 ITHACA NY 14851 1 0 Common Stock 2024-01-29 4 M 0 385.842 0 A 6421.845 D Common Stock 2024-01-30 4 M 0 2323.168 0 A 8745.013 D Common Stock 7.605 I NY UGMA for Son Common Stock 7.497 I NY UGMA for Son 2 Phantom Stock 2024-01-29 4 M 0 385.842 0 D Common Stock 385.842 15868.218 D Phantom Stock 2024-01-30 4 M 0 2323.168 0 D Common Stock 2323.168 13545.05 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. Adjustment to reclassify rabbi trust holding. /s/Thomas R. Rochon 2024-01-31