Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TOMPKINS FINANCIAL CORPTMP · Entity 2728 | Director · President & CEO | July 28, 2026 | July 30, 2026 |
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 July 28, 2026 · Filed July 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 70,090.697 |
Ending reported balance
After 2026-07-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-07-28 · Exercise / conversion · Acquired 1,734 · Balance 71,620.697 Row 2 · 2026-07-28 · Tax withholding · Disposed 1,530 · Balance 70,090.697 F1: Shares withheld for option cost and taxes. |
| Stock Appreciation Rights (SAR)SEC Table II · derivative / convertible security · Conversion / exercise price $76.90 · Expires 2026-11-09 | Direct | 0 |
Reported balance
After 2026-07-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-07-28 · Exercise / conversion · Disposed 1,734 · Balance 0 F3: 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. |
| Common StockSEC Table I · non-derivative | Indirectby 401(k)/ISOP | 11,370.6856 |
Reported balance
Holding disclosure · report date 2026-07-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 11,370.6856 |
| Common StockSEC Table I · non-derivative | Indirectby ESOP | 6,057.1854 |
Reported balance
Holding disclosure · report date 2026-07-28 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 6,057.1854 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 452 |
Reported balance
Holding disclosure · report date 2026-07-28 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 452 F2: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deem an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld for option cost and taxes.
F2: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deem an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
F3: 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 |
|---|---|---|---|---|---|---|
| May 26, 2021 Filed May 28, 2021 16:52 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 10,500 | $37.00 | $388,500.00 |
DisclosureSEC source: 0001127602-21-018295 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,673.697 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 24, 2020 15:03 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 433 | $65.92 | $28,543.36 |
DisclosureSEC source: 0001127602-20-029897 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,173.697 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 13:31 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,548 | $63.44 | $98,205.12 |
DisclosureSEC source: 0001127602-20-028688 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,606.697 F3 · 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 13:31 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 3,390 | $63.44 | $215,061.60 |
DisclosureSEC source: 0001127602-20-028688 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,154.697 F2 · shares: Performance-based restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Performance shares will be earned pursuant to achievement of a specified performance goal over a three-year period. If the performance goal is not attained, all 3,390 shares will be forfeited. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 13:31 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 3,390 | $63.44 | $215,061.60 |
DisclosureSEC source: 0001127602-20-028688 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,764.697 F1 · shares: Time-based 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 04, 2020 Filed Nov 6, 2020 14:26 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 262 | $55.26 | $14,478.12 |
DisclosureSEC source: 0001127602-20-028313 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,374.697 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 4, 2020 18:49 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 432 | $68.19 | $29,458.08 |
DisclosureSEC source: 0001127602-20-015150 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,636.697 F1 · shares: Deemed disposition of shares to the Issuer upon vesting of restricted stock. Read SEC document |
| November 21, 2019 Filed Nov 22, 2019 18:25 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 425 | $86.54 | $36,779.50 |
DisclosureSEC source: 0001127602-19-033537 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,068.697 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 16:06 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 2,410 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-032698 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,493.697 F2 · shares: Time-based 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 12, 2019 Filed Nov 14, 2019 16:06 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 2,410 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-032698 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,083.697 F1 · shares: Performance-based restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Performance shares will be earned pursuant to achievement of a specified performance goal over a three-year period. If the performance goal is not attained, all 2,410 shares will be forfeited. Read SEC document |
| November 09, 2019 Filed Nov 13, 2019 14:08 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 887 | $88.83 | $78,792.21 |
DisclosureSEC source: 0001127602-19-032584 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,673.697 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 18:52 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 257 | $88.95 | $22,860.15 |
DisclosureSEC source: 0001127602-19-032008 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,560.697 F1 · kind: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| May 03, 2019 Filed May 6, 2019 17:46 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 489 | $83.73 | $40,943.97 |
DisclosureSEC source: 0001127602-19-017398 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,817.697 F1 · shares: Vested restricted shares withheld for taxes. Read SEC document |
| May 01, 2019 Filed May 2, 2019 20:15 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 22,000 | $0.00 Strike: $41.71 | $0.00 |
DisclosureSEC source: 0001127602-19-016935 · form4.xml · derivative · entry 5 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,000 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 |
| May 01, 2019 Filed May 2, 2019 20:15 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 16,580 | $80.65 | $1,337,177.00 |
DisclosureSEC source: 0001127602-19-016935 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,306.697 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| May 01, 2019 Filed May 2, 2019 20:15 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 22,000 | $41.71 | $917,620.00 |
DisclosureSEC source: 0001127602-19-016935 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,886.697 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 15:36 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 419 | $79.12 | $33,151.28 |
DisclosureSEC source: 0001127602-18-034238 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,602.694 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends. Read SEC document |
| November 09, 2018 Filed Nov 14, 2018 14:08 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 316 | $75.43 | $23,835.88 |
DisclosureSEC source: 0001127602-18-032952 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,766.744 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 14:08 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 5,130 | $75.43 | $386,955.90 |
DisclosureSEC source: 0001127602-18-032952 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,082.744 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 14:07 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 254 | $75.97 | $19,296.38 |
DisclosureSEC source: 0001127602-18-032185 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,952.744 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 14:26 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 240 | $86.59 | $20,781.60 |
DisclosureSEC source: 0001127602-18-025860 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,206.744 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 4, 2018 17:39 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 483 | $77.97 | $37,659.51 |
DisclosureSEC source: 0001127602-18-016335 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,985.627 F1 · shares: Vested restricted shares withheld for taxes. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 14:03 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 440 | $85.33 | $37,545.20 |
DisclosureSEC source: 0001127602-17-033109 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,231.956 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 18:51 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 4,625 | $79.50 | $367,687.50 |
DisclosureSEC source: 0001127602-17-031847 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,469.052 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 18:12 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 266 | $85.20 | $22,663.20 |
DisclosureSEC source: 0001127602-17-031442 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,844.052 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 2, 2017 18:47 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative | 16,444 | $0.00 Strike: $37.27 | $0.00 |
DisclosureSEC source: 0001127602-17-030923 · form4.xml · derivative · entry 8 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,444 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. F2 · derivative.exercise_date: The stock option becomes exercisable in six annual installments commencing two years after the date of grant. Read SEC document |
| November 01, 2017 Filed Nov 2, 2017 18:47 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionIncentive Stock Option (Right to Buy) · Derivative | 57 | $0.00 Strike: $37.27 | $0.00 |
DisclosureSEC source: 0001127602-17-030923 · form4.xml · derivative · entry 7 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 57 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. F2 · derivative.exercise_date: The stock option becomes exercisable in six annual installments commencing two years after the date of grant. Read SEC document |
| November 01, 2017 Filed Nov 2, 2017 18:47 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 11,900 | $85.00 | $1,011,500.00 |
DisclosureSEC source: 0001127602-17-030923 · form4.xml · nonDerivative · entry 4 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,110.052 Read SEC document |
| November 01, 2017 Filed Nov 2, 2017 18:47 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 16,444 | $37.28 | $613,032.32 |
DisclosureSEC source: 0001127602-17-030923 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,010.052 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 01, 2017 Filed Nov 2, 2017 18:47 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 35 | $85.00 | $2,975.00 |
DisclosureSEC source: 0001127602-17-030923 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,566.052 Read SEC document |
| November 01, 2017 Filed Nov 2, 2017 18:47 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 57 | $37.28 | $2,124.96 |
DisclosureSEC source: 0001127602-17-030923 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,601.052 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 |
| August 19, 2017 Filed Aug 22, 2017 15:12 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 286 | $74.18 | $21,215.48 |
DisclosureSEC source: 0001127602-17-026154 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,544.052 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 13:06 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 509 | $84.22 | $42,867.98 |
DisclosureSEC source: 0001127602-17-016962 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,469.707 F1 · shares: Shares withheld for taxes. Read SEC document |
| November 21, 2016 Filed Nov 22, 2016 20:35 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 441 | $84.76 | $37,379.16 |
DisclosureSEC source: 0001127602-16-068075 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,816.167 F1 · shares: Shares withheld for taxes. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 16:09 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantStock Appreciation Rights (SAR) · Derivative | 1,734 | $0.00 Strike: $76.90 | $0.00 |
DisclosureSEC source: 0001127602-16-066844 · form4.xml · derivative · entry 4 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,734 Underlying: Common Stock · 1,734 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 16:09 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 2,610 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-066844 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,090.422 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 281 shares withheld on 8/19/2013; 281 shares withheld on 8/19/2014; 499 shares withheld on 5/3/2015; 286 shares withheld on 8/19/15; 509 shares withheld on 5/3/2016 and 288 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 |
| November 02, 2016 Filed Nov 3, 2016 13:48 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionNon-qualified Stock Option (Right to Buy) · Derivative | 11,696 | $0.00 Strike: $39.55 | $0.00 |
DisclosureSEC source: 0001127602-16-065946 · form4.xml · derivative · entry 8 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,696 shares Expires 2017-01-18 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: The stock option becomes exercisable in six annual installments commencing two years after the date of grant. Read SEC document |
| November 02, 2016 Filed Nov 3, 2016 13:48 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionIncentive Stock Option (Right to Buy) · Derivative | 4,805 | $0.00 Strike: $39.55 | $0.00 |
DisclosureSEC source: 0001127602-16-065946 · form4.xml · derivative · entry 7 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,805 shares Expires 2017-01-18 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: The stock option becomes exercisable in six annual installments commencing two years after the date of grant. Read SEC document |
| November 02, 2016 Filed Nov 3, 2016 13:48 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 9,033 | $73.80 | $666,635.40 |
DisclosureSEC source: 0001127602-16-065946 · form4.xml · nonDerivative · entry 4 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,480.422 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| November 02, 2016 Filed Nov 3, 2016 13:48 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 11,696 | $39.56 | $462,693.76 |
DisclosureSEC source: 0001127602-16-065946 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,513.422 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 02, 2016 Filed Nov 3, 2016 13:48 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 3,325 | $73.80 | $245,385.00 |
DisclosureSEC source: 0001127602-16-065946 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,817.422 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| November 02, 2016 Filed Nov 3, 2016 13:48 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 4,805 | $39.56 | $190,085.80 |
DisclosureSEC source: 0001127602-16-065946 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,142.422 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.