Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
TOMPKINS FINANCIAL CORP
Report date July 10, 2023 · Filed July 10, 2023
Section 16 reporting ended · disclosed 2023-07-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 23,966.608 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 23,966.608 |
| Common StockSEC Table I · non-derivative | IndirectAs Custodian FBO Andrew Chase UGMA/NY | 21.723 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 21.723 |
| Common StockSEC Table I · non-derivative | Indirectby 401(k)/ISOP | 5,576.91 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 5,576.91 |
| Common StockSEC Table I · non-derivative | Indirectby ESOP | 3,706.7947 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 3,706.7947 |
| Stock Appreciation Rights (SAR)SEC Table II · derivative / convertible security · Conversion / exercise price $49.22 · Expires 2024-11-21 | Direct | 522 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 522 F1: 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 (SAR)SEC Table II · derivative / convertible security · Conversion / exercise price $56.29 · Expires 2025-11-04 | Direct | 716 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 716 F1: 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 (SAR)SEC Table II · derivative / convertible security · Conversion / exercise price $76.90 · Expires 2026-11-09 | Direct | 601 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 601 F2: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 09, 2016 Filed Nov 14, 2016 15:28 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantStock Appreciation Rights (SAR) · Derivative | 802 | $0.00 Strike: $76.90 | $0.00 |
DisclosureSEC source: 0001127602-16-066836 · form4.xml · derivative · entry 4 HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 802 Underlying: Common Stock · 802 shares Expires 2026-11-09 F3 · derivative.exercise_date: 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. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 15:28 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,207 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-066836 · form4.xml · nonDerivative · entry 1 HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,279.477 F1 · shares: Restricted Stock was granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. Restricted Stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant. F2 · balance_after: The total reported in Column 5 reflects 95 shares withheld on 8/19/2013; 95 shares withheld on 8/19/2014; 159 shares withheld on 5/3/2015; 77 shares withheld on 8/19/15; 165 shares withheld on 5/3/2016 and 98 shares withheld on 8/19/16, in each case to satisfy the reporting person's tax withholding obligation related to the vesting of stock on those dates. Although the withholding of those shares was not reported on Forms 4, Forms 4 filed for the reporting person subsequent to such vesting dates reflected the withholding of such shares and therefore accurately reflected the reporting person's holdings in Column 5 on each such date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.