Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FINANCIAL INSTITUTIONS INCFISI · Entity 1536 | Senior Vice President | February 27, 2018 | March 01, 2018 |
| TOMPKINS FINANCIAL CORPTMP · Entity 2728 | SVP Chief Bank Operations Off. | November 12, 2025 | November 14, 2025 |
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.
FINANCIAL INSTITUTIONS INC
Report date February 27, 2018 · Filed March 01, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2021-02-27 | Direct | 886 |
Reported balance
After 2018-02-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-02-27 · Grant · Acquired 886 · Balance 886 F2: Each restricted stock unit represents a contingent right to receive one share of FISI common stock. |
| Common StockSEC Table I · non-derivative | Direct | 2,785 |
Reported balance
Holding disclosure · report date 2018-02-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,785 |
| Common StockSEC Table I · non-derivative | IndirectHeld in 401K Plan | 1,528 |
Reported balance
Holding disclosure · report date 2018-02-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,528 F1: Includes 3 shares acquired under the FISI 401(k) plan since the date of the reporting person's last ownership report. |
| Common StockSEC Table I · non-derivative | IndirectOwned by spouse | 80 |
Reported balance
Holding disclosure · report date 2018-02-27 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 80 |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 3 shares acquired under the FISI 401(k) plan since the date of the reporting person's last ownership report.
F2: Each restricted stock unit represents a contingent right to receive one share of FISI common stock.
TOMPKINS FINANCIAL CORP
Report date November 12, 2025 · Filed November 14, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,599 |
Reported balance
After 2025-11-12 transaction · row 1
1 source rowRow 1 · 2025-11-12 · Grant · Acquired 685 · Balance 3,599 F1: 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. |
| Common StockSEC Table I · non-derivative | Indirectby 401(k) | 1,207.6827 |
Reported balance
Holding disclosure · report date 2025-11-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,207.6827 |
| Common StockSEC Table I · non-derivative | Indirectby ESOP | 413.6008 |
Reported balance
Holding disclosure · report date 2025-11-12 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 413.6008 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
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 12, 2025 Filed Nov 14, 2025 18:58 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 685 | $67.79 | $46,436.15 |
DisclosureSEC source: 0001005817-25-000097 · form4.xml · nonDerivative · entry 1 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,599 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, 2025 Filed Nov 12, 2025 14:46 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 105 | $66.68 | $7,001.40 |
DisclosureSEC source: 0001005817-25-000078 · form4.xml · nonDerivative · entry 4 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,914 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2025 Filed Nov 12, 2025 14:46 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 43 | $66.68 | $2,867.24 |
DisclosureSEC source: 0001005817-25-000078 · form4.xml · nonDerivative · entry 3 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,019 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2025 Filed Nov 12, 2025 14:46 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 38 | $66.68 | $2,533.84 |
DisclosureSEC source: 0001005817-25-000078 · form4.xml · nonDerivative · entry 2 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,062 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2025 Filed Nov 12, 2025 14:46 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 48 | $66.68 | $3,200.64 |
DisclosureSEC source: 0001005817-25-000078 · form4.xml · nonDerivative · entry 1 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,100 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 12, 2024 Filed Nov 13, 2024 19:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 33 | $74.62 | $2,462.46 |
DisclosureSEC source: 0001127602-24-027193 · form4.xml · nonDerivative · entry 2 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,148 F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 12, 2024 Filed Nov 13, 2024 19:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 605 | $74.62 | $45,145.10 |
DisclosureSEC source: 0001127602-24-027193 · form4.xml · nonDerivative · entry 1 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,181 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, 2024 Filed Nov 12, 2024 22:13 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 43 | $73.70 | $3,169.10 |
DisclosureSEC source: 0001127602-24-027060 · form4.xml · nonDerivative · entry 3 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,576 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2024 Filed Nov 12, 2024 22:13 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 37 | $73.70 | $2,726.90 |
DisclosureSEC source: 0001127602-24-027060 · form4.xml · nonDerivative · entry 2 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,619 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2024 Filed Nov 12, 2024 22:13 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 48 | $73.70 | $3,537.60 |
DisclosureSEC source: 0001127602-24-027060 · form4.xml · nonDerivative · entry 1 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,656 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 12, 2023 Filed Nov 14, 2023 15:30 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 33 | $50.90 | $1,679.70 |
DisclosureSEC source: 0001127602-23-027314 · form4.xml · nonDerivative · entry 2 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,704 F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2023 Filed Nov 13, 2023 18:45 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 38 | $51.02 | $1,938.76 |
DisclosureSEC source: 0001127602-23-027197 · form4.xml · nonDerivative · entry 2 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,737 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2023 Filed Nov 13, 2023 18:45 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 48 | $51.02 | $2,448.96 |
DisclosureSEC source: 0001127602-23-027197 · form4.xml · nonDerivative · entry 1 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,775 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2023 Filed Nov 14, 2023 15:30 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 1,160 | $51.02 | $59,183.20 |
DisclosureSEC source: 0001127602-23-027314 · form4.xml · nonDerivative · entry 1 Guarino Charles J · CIK 0001665561 · SVP Chief Bank Operations Off. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,823 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 |
| February 27, 2018 Filed Mar 1, 2018 20:51 UTC | FINANCIAL INSTITUTIONS INC FISI · Entity 1536 | GrantRestricted Stock Unit · Derivative | 886 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-014920 · doc4.xml · derivative · entry 4 Guarino Charles J · CIK 0001665561 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 886 Underlying: Common Stock · 886 shares Expires 2021-02-27 F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of FISI common stock. Read SEC document |
| February 05, 2018 Filed Feb 9, 2018 21:26 UTC | FINANCIAL INSTITUTIONS INC FISI · Entity 1536 | OtherCommon Stock | 730 | $30.80 | $22,484.00 |
DisclosureSEC source: 0001209191-18-008818 · doc4.xml · nonDerivative · entry 1 Guarino Charles J · CIK 0001665561 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Indirect · Held in 401K Plan Disclosed balance after: 1,525 F1 · balance_after: Includes 24 shares acquired under the FISI 401(k) plan since the date of the reporting person's last ownership report. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 21:00 UTC | FINANCIAL INSTITUTIONS INC FISI · Entity 1536 | GrantRestricted Stock Unit · Derivative | 717 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-013726 · doc4.xml · derivative · entry 4 Guarino Charles J · CIK 0001665561 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 717 Underlying: Common Stock · 717 shares Expires 2020-02-22 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of FISI common stock. Read SEC document |
| February 18, 2017 Filed Feb 22, 2017 22:09 UTC | FINANCIAL INSTITUTIONS INC FISI · Entity 1536 | Tax withholdingCommon Stock | 338 | $34.35 | $11,610.30 |
DisclosureSEC source: 0001209191-17-013388 · doc4.xml · nonDerivative · entry 1 Guarino Charles J · CIK 0001665561 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,785 Read SEC document |
| January 25, 2017 Filed Jan 26, 2017 22:11 UTC | FINANCIAL INSTITUTIONS INC FISI · Entity 1536 | GrantRestricted Stock Unit · Derivative | 572 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-005751 · doc4.xml · derivative · entry 4 Guarino Charles J · CIK 0001665561 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 572 Underlying: Common Stock · 572 shares Expires 2019-02-24 F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of FISI common stock. 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.