Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TOMPKINS FINANCIAL CORPTMP · Entity 2728 | EVP, Pres & CEO, VIST Bank | November 21, 2021 | November 23, 2021 |
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.
TOMPKINS FINANCIAL CORP
Report date November 21, 2021 · Filed November 23, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,651.182 |
Ending reported balance
After 2021-11-22 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2021-11-21 · Tax withholding · Disposed 150 · Balance 14,528.182 F1: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Row 2 · 2021-11-22 · Tax withholding · Disposed 399 · Balance 14,129.182 F2: Shares withheld for option cost and taxes. Row 3 · 2021-11-22 · Exercise / conversion · Acquired 522 · Balance 14,651.182 |
| Stock Appreciation Rights (SAR)SEC Table II · derivative / convertible security · Conversion / exercise price $49.22 · Expires 2024-11-21 | Direct | 0 |
Reported balance
After 2021-11-22 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-11-22 · Exercise / conversion · Disposed 522 · Balance 0 F3: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(K) ESOP | 1,020.441 |
Reported balance
Holding disclosure · report date 2021-11-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,020.441 |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) ISOP | 4,292.91 |
Reported balance
Holding disclosure · report date 2021-11-21 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 4,292.91 |
Filing footnotes · ownership attribution and instrument terms
F1: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
F2: Shares withheld for option cost and taxes.
F3: 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.
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 |
|---|---|---|---|---|---|---|
| May 01, 2019 Filed May 3, 2019 12:32 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 759 | $0.00 Strike: $56.29 | $0.00 |
DisclosureSEC source: 0001127602-19-017157 · form4.xml · derivative · entry 5 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,476 Underlying: Common Stock · 759 shares Expires 2025-11-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: 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. Read SEC document |
| May 01, 2019 Filed May 3, 2019 12:32 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 600 | $80.65 | $48,390.00 |
DisclosureSEC source: 0001127602-19-017157 · form4.xml · nonDerivative · entry 2 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,236.182 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| May 01, 2019 Filed May 3, 2019 12:32 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 759 | $56.29 | $42,724.11 |
DisclosureSEC source: 0001127602-19-017157 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,836.182 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 19:16 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 1,772 | $0.00 Strike: $49.22 | $0.00 |
DisclosureSEC source: 0001127602-19-007438 · form4.xml · derivative · entry 8 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,703 Underlying: Common Stock · 1,772 shares Expires 2024-11-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 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. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 19:16 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 2,077 | $0.00 Strike: $40.60 | $0.00 |
DisclosureSEC source: 0001127602-19-007438 · form4.xml · derivative · entry 7 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 978 Underlying: Common Stock · 2,077 shares Expires 2023-05-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 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. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 19:16 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,267 | $81.13 | $102,791.71 |
DisclosureSEC source: 0001127602-19-007438 · form4.xml · nonDerivative · entry 4 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,077.182 Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 19:16 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 1,772 | $49.22 | $87,217.84 |
DisclosureSEC source: 0001127602-19-007438 · form4.xml · nonDerivative · entry 3 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,344.182 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 19:16 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,321 | $81.13 | $107,172.73 |
DisclosureSEC source: 0001127602-19-007438 · form4.xml · nonDerivative · entry 2 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,572.182 Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 19:16 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 2,077 | $40.60 | $84,326.20 |
DisclosureSEC source: 0001127602-19-007438 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,893.182 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 15:56 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 110 | $79.12 | $8,703.20 |
DisclosureSEC source: 0001127602-18-034249 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,816.182 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2018 Filed Nov 14, 2018 13:55 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 83 | $75.43 | $6,260.69 |
DisclosureSEC source: 0001127602-18-032946 · form4.xml · nonDerivative · entry 2 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,926.182 F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2018 Filed Nov 14, 2018 13:55 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,435 | $75.43 | $108,242.05 |
DisclosureSEC source: 0001127602-18-032946 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,009.182 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. Read SEC document |
| November 04, 2018 Filed Nov 6, 2018 13:55 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 67 | $75.97 | $5,089.99 |
DisclosureSEC source: 0001127602-18-032181 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,574.182 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| May 03, 2018 Filed May 7, 2018 15:07 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 134 | $77.97 | $10,447.98 |
DisclosureSEC source: 0001127602-18-016451 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,641.182 F1 · shares: Vested restricted shares withheld for taxes. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 18:00 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 122 | $85.33 | $10,410.26 |
DisclosureSEC source: 0001127602-17-033136 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,775.182 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2017 Filed Nov 13, 2017 13:13 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,320 | $79.50 | $104,940.00 |
DisclosureSEC source: 0001127602-17-031803 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,897.182 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. Read SEC document |
| November 04, 2017 Filed Nov 7, 2017 19:25 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 74 | $85.20 | $6,304.80 |
DisclosureSEC source: 0001127602-17-031454 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,577.182 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| May 03, 2017 Filed May 5, 2017 13:07 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 148 | $84.22 | $12,464.56 |
DisclosureSEC source: 0001127602-17-016964 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,651.172 F1 · shares: Shares withheld for taxes. Read SEC document |
| November 21, 2016 Filed Nov 22, 2016 20:12 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 122 | $84.76 | $10,340.72 |
DisclosureSEC source: 0001127602-16-068064 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,799.172 F1 · shares: Shares withheld for taxes. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 15:17 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantStock Appreciation Rights (SAR) · Derivative | 802 | $0.00 Strike: $76.90 | $0.00 |
DisclosureSEC source: 0001127602-16-066826 · form4.xml · derivative · entry 4 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 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 15:17 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,207 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-066826 · form4.xml · nonDerivative · entry 1 GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,921.172 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 129 shares withheld on 5/3/2015, and 173 shares withheld on 5/3/2016, 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.