5//SEC Filing
GATES REEDER D 5
Accession 0001127602-12-005715
CIK 0001005817other
Filed
Feb 13, 7:00 PM ET
Accepted
Feb 14, 11:46 AM ET
Size
11.8 KB
Accession
0001127602-12-005715
Insider Transaction Report
Form 5
GATES REEDER D
Director
Transactions
- Small Acquisition
Common Stock
2011-12-31+362→ 122,413 total - Small Acquisition
Phantom Stock
2011-12-31+183→ 5,333 total→ Common Stock (183 underlying)
Holdings
- 3,201(indirect: By Spouse)
Common Stock
- 500
7% Convertible Trust Preferred - IRA
From: 2019-04-15Exp: 2039-03-31→ Common Stock (12,091.8 underlying) - 500(indirect: By Spouse)
7% Convertible Trust Preferred - Spouse's IRA
From: 2019-04-15Exp: 2039-03-31→ Common Stock (12,091.8 underlying)
Footnotes (5)
- [F1]Shares acquired through reinvestment of quarterly cash dividends.
- [F2]Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.
- [F3]The Trust Preferred Securities were issued by Tompkins Capital Trust I, all of the common securities of which are owned by Tompkins Financial Corporation (TMP). The Trust Preferred Securities are convertible, at any time on or after April 15, 2019, into TMP Common Stock at a price of $41.35 per share or, if higher, the average of the closing prices of TMP Common Stock on the trading days in the calendar quarter preceding the date of conversion. The amount set out in Item #7 above uses the $41.35 conversion price.
- [F4]Includes 110,587 shares of TMP stock held in the reporting person's IRA that were previously reported as "Common Stock - IRA".
- [F5]Includes 5,150 shares of phantom stock held in the rabbi trust referenced above that were previously reported as "Common Stock Drip" shares in Table I in the reporting person's Form 5 filed on February 15, 2011. The reporting person intends to report all such shares of phantom stock in Table II in future reports.
Documents
Issuer
TOMPKINS FINANCIAL CORP
CIK 0001005817
Entity typeother
IncorporatedNY
Related Parties
1- filerCIK 0001074523
Filing Metadata
- Form type
- 5
- Filed
- Feb 13, 7:00 PM ET
- Accepted
- Feb 14, 11:46 AM ET
- Size
- 11.8 KB