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 November 04, 2021 · Filed November 08, 2021
Section 16 reporting ended · disclosed 2021-11-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 25,296 |
Reported balance
After 2021-11-04 transaction · row 1
1 source rowRow 1 · 2021-11-04 · Sale · Disposed 998 · Balance 25,296 |
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 04, 2021 Filed Nov 8, 2021 21:19 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | SaleCommon Stock | 998 | $82.09 | $81,925.82 |
DisclosureSEC source: 0001127602-21-028591 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,296 Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 13:55 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 3,055 | $0.00 Strike: $40.60 | $0.00 |
DisclosureSEC source: 0001127602-21-010179 · form4.xml · derivative · entry 5 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,055 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. 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 |
| March 09, 2021 Filed Mar 11, 2021 13:55 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 2,096 | $88.10 | $184,657.60 |
DisclosureSEC source: 0001127602-21-010179 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,027 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 13:55 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 3,055 | $40.60 | $124,033.00 |
DisclosureSEC source: 0001127602-21-010179 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,123 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, 2020 Filed Nov 23, 2020 19:34 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 157 | $65.92 | $10,349.44 |
DisclosureSEC source: 0001127602-20-029818 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,068 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 14:25 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,755 | $63.44 | $111,337.20 |
DisclosureSEC source: 0001127602-20-028701 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,225 F2 · shares: Restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive 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 09, 2020 Filed Nov 12, 2020 14:25 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 391 | $63.44 | $24,805.04 |
DisclosureSEC source: 0001127602-20-028701 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,470 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 04, 2020 Filed Nov 6, 2020 15:09 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 96 | $55.26 | $5,304.96 |
DisclosureSEC source: 0001127602-20-028319 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,861 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| May 03, 2020 Filed May 5, 2020 16:35 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 169 | $68.19 | $11,524.11 |
DisclosureSEC source: 0001127602-20-015368 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,957 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 17:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 3,250 | $0.00 Strike: $37.00 | $0.00 |
DisclosureSEC source: 0001127602-20-000993 · form4.xml · derivative · entry 5 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,250 shares Expires 2021-08-19 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 |
| January 02, 2020 Filed Jan 6, 2020 17:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 2,301 | $91.39 | $210,288.39 |
DisclosureSEC source: 0001127602-20-000993 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,126 Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 17:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 3,250 | $37.00 | $120,250.00 |
DisclosureSEC source: 0001127602-20-000993 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,427 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, 2019 Filed Nov 22, 2019 20:02 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 158 | $86.54 | $13,673.32 |
DisclosureSEC source: 0001127602-19-033543 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,177 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 12, 2019 Filed Nov 14, 2019 14:59 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-032684 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,335 F1 · shares: Restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive 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 09, 2019 Filed Nov 13, 2019 13:14 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 249 | $88.83 | $22,118.67 |
DisclosureSEC source: 0001127602-19-032582 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,085 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 18:54 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 96 | $88.95 | $8,539.20 |
DisclosureSEC source: 0001127602-19-032011 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,334 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| July 02, 2019 Filed Jul 5, 2019 17:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 2,000 | $0.00 Strike: $37.00 | $0.00 |
DisclosureSEC source: 0001127602-19-024050 · form4.xml · derivative · entry 5 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,250 Underlying: Common Stock · 2,000 shares Expires 2021-08-19 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 |
| July 02, 2019 Filed Jul 5, 2019 17:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,333 | $80.64 | $107,493.12 |
DisclosureSEC source: 0001127602-19-024050 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,430 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| July 02, 2019 Filed Jul 5, 2019 17:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 2,000 | $37.00 | $74,000.00 |
DisclosureSEC source: 0001127602-19-024050 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,763 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 |
| May 03, 2019 Filed May 6, 2019 17:37 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 192 | $83.73 | $16,076.16 |
DisclosureSEC source: 0001127602-19-017396 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,763 F1 · shares: Vested restricted shares withheld for taxes. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 16:26 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 157 | $79.12 | $12,421.84 |
DisclosureSEC source: 0001127602-18-034269 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,955 Read SEC document |
| November 09, 2018 Filed Nov 14, 2018 14:02 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 119 | $75.43 | $8,976.17 |
DisclosureSEC source: 0001127602-18-032949 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,112 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 14:02 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,435 | $75.43 | $108,242.05 |
DisclosureSEC source: 0001127602-18-032949 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,231 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 13:57 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 96 | $75.97 | $7,293.12 |
DisclosureSEC source: 0001127602-18-032183 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,796 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| August 19, 2018 Filed Aug 21, 2018 14:21 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 98 | $86.59 | $8,485.82 |
DisclosureSEC source: 0001127602-18-025859 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,892 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| August 17, 2018 Filed Aug 20, 2018 17:16 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | SaleCommon Stock | 750 | $86.51 | $64,882.50 |
DisclosureSEC source: 0001127602-18-025766 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,990 Read SEC document |
| August 16, 2018 Filed Aug 20, 2018 17:16 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GiftCommon Stock | 175 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-025766 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,740 F1 · price: Bona fide gift to charitable gift account Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 13:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 11,000 | $0.00 Strike: $41.71 | $0.00 |
DisclosureSEC source: 0001127602-18-023927 · form4.xml · derivative · entry 5 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,000 shares Expires 2019-09-17 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. F3 · 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 |
| July 25, 2018 Filed Jul 27, 2018 13:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 7,522 | $87.71 | $659,754.62 |
DisclosureSEC source: 0001127602-18-023927 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,915 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| July 25, 2018 Filed Jul 27, 2018 13:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 11,000 | $41.71 | $458,810.00 |
DisclosureSEC source: 0001127602-18-023927 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,437 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 |
| May 03, 2018 Filed May 7, 2018 14:27 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 153 | $77.97 | $11,929.41 |
DisclosureSEC source: 0001127602-18-016446 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,437 F1 · shares: Vested restricted shares withheld for taxes. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 19:07 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 138 | $85.33 | $11,775.54 |
DisclosureSEC source: 0001127602-17-033150 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,590 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 13:08 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,320 | $79.50 | $104,940.00 |
DisclosureSEC source: 0001127602-17-031801 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,728 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 16:08 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 84 | $85.20 | $7,156.80 |
DisclosureSEC source: 0001127602-17-031425 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,408 F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 01, 2017 Filed Nov 7, 2017 16:08 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GiftCommon Stock | 115 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-031425 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,492 Read SEC document |
| August 19, 2017 Filed Aug 22, 2017 12:29 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 97 | $74.18 | $7,195.46 |
DisclosureSEC source: 0001127602-17-026138 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,607 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 13:39 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 167 | $84.22 | $14,064.74 |
DisclosureSEC source: 0001127602-17-016975 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,705 F1 · shares: Shares withheld for taxes. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 14:21 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative | 9,563 | $0.00 Strike: $37.27 | $0.00 |
DisclosureSEC source: 0001127602-17-003772 · form4.xml · derivative · entry 9 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,563 shares Expires 2017-11-29 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. F3 · derivative.exercise_date: The stock option becomes exercisable in six annual installments commencing two years after the date of grant. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 14:21 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionIncentive Stock Option (Right to Buy) · Derivative | 1,438 | $0.00 Strike: $37.27 | $0.00 |
DisclosureSEC source: 0001127602-17-003772 · form4.xml · derivative · entry 8 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,438 shares Expires 2017-11-29 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. F3 · derivative.exercise_date: The stock option becomes exercisable in six annual installments commencing two years after the date of grant. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 14:21 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | SaleCommon Stock | 2,000 | $89.22 | $178,440.00 |
DisclosureSEC source: 0001127602-17-003772 · form4.xml · nonDerivative · entry 5 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,872 Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 14:21 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 6,437 | $88.60 | $570,318.20 |
DisclosureSEC source: 0001127602-17-003772 · form4.xml · nonDerivative · entry 4 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,872 F2 · shares: Shares withheld for option cost and taxes. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 14:21 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 9,563 | $37.27 | $356,413.01 |
DisclosureSEC source: 0001127602-17-003772 · form4.xml · nonDerivative · entry 3 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,309 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 01, 2017 Filed Feb 3, 2017 14:21 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 606 | $88.60 | $53,691.60 |
DisclosureSEC source: 0001127602-17-003772 · form4.xml · nonDerivative · entry 2 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,746 F1 · shares: Shares swapped to pay for option shares exercised. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 14:21 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 1,438 | $37.27 | $53,594.26 |
DisclosureSEC source: 0001127602-17-003772 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,352 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, 2016 Filed Nov 22, 2016 19:04 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 156 | $84.76 | $13,222.56 |
DisclosureSEC source: 0001127602-16-068036 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,914 F1 · shares: Shares withheld for taxes. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 19:13 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantStock Appreciation Rights (SAR) · Derivative | 802 | $0.00 Strike: $76.90 | $0.00 |
DisclosureSEC source: 0001127602-16-066880 · form4.xml · derivative · entry 4 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac 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 19:13 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,207 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-066880 · form4.xml · nonDerivative · entry 1 KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,070 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 75 shares withheld on 8/19/2013; 75 shares withheld on 8/19/2014; 129 shares withheld on 5/3/2015; 165 shares withheld on 5/3/2016 and 97 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.