Tompkins Financial Corp Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-11-29: Reporting owner GRUBER SCOTT L; Form 4; Security Stock Appreciation Rights (SAR); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-11-29: Reporting owner GRUBER SCOTT L; Form 4; Security Stock Appreciation Rights (SAR); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-11-26: Reporting owner BOYCE DAVID S; Form 4; Security Stock Appreciation Rights (SAR); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-11-26: Reporting owner BOYCE DAVID S; Form 4; Security Stock Appreciation Rights (SAR); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-11-29 | GRUBER SCOTT L Officer (EVP, Pres. & CEO, VIST Bank) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −591 1,112 owned after | $49.22 exercise price | $86.75 | 2019-12-03 |
| 2019-11-29 | GRUBER SCOTT L Officer (EVP, Pres. & CEO, VIST Bank) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −380 1,096 owned after | $56.29 exercise price | $86.75 | 2019-12-03 |
| 2019-11-26 | BOYCE DAVID S Officer (EVP, Pres. & CEO Tompkins Ins.) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −519 459 owned after | $40.60 exercise price | $87.39 | 2019-11-29 |
| 2019-11-26 | BOYCE DAVID S Officer (EVP, Pres. & CEO Tompkins Ins.) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −591 1,112 owned after | $49.22 exercise price | $87.39 | 2019-11-29 |
| 2019-11-26 | BOYCE DAVID S Officer (EVP, Pres. & CEO Tompkins Ins.) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −380 1,096 owned after | $56.29 exercise price | $87.39 | 2019-11-29 |
| 2019-11-04 | HARTZ GREGORY J Officer (EVP, Pres.&CEO Tompkins Trust) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −519 459 owned after | $40.60 exercise price | $88.95 | 2019-11-06 |
| 2019-11-04 | HARTZ GREGORY J Officer (EVP, Pres.&CEO Tompkins Trust) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −380 1,476 owned after | $56.29 exercise price | $88.95 | 2019-11-06 |
| 2019-11-04 | HARTZ GREGORY J Officer (EVP, Pres.&CEO Tompkins Trust) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −201 601 owned after | $76.90 exercise price | $88.95 | 2019-11-06 |
| 2019-07-02 | KLEIN GERALD J JR Officer (EVP Pres&CEO Mahopac Bank) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 3,250 owned after | $37.00 exercise price | $80.64 | 2019-07-05 |
| 2019-05-06 | GRUBER SCOTT L Officer (EVP, Pres. & CEO, VIST Bank) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −519 459 owned after | $40.60 exercise price | $83.28 | 2019-05-08 |
| 2019-05-01 | GRUBER SCOTT L Officer (EVP, Pres. & CEO, VIST Bank) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −759 1,476 owned after | $56.29 exercise price | $80.65 | 2019-05-03 |
| 2019-05-01 | ROMAINE STEPHEN S Director, Officer (President & CEO) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,000 0 owned after | $41.71 exercise price | $80.65 | 2019-05-02 |
| 2019-03-06 | HARTZ GREGORY J Officer (EVP, Pres.&CEO Tompkins Trust) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −788 0 owned after | $37.00 exercise price | $75.86 | 2019-03-08 |
| 2019-03-06 | HARTZ GREGORY J Officer (EVP, Pres.&CEO Tompkins Trust) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −591 1,703 owned after | $49.22 exercise price | $75.86 | 2019-03-08 |
| 2019-02-20 | GRUBER SCOTT L Officer (EVP, Pres. & CEO, VIST Bank) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,077 978 owned after | $40.60 exercise price | $81.13 | 2019-02-21 |
| 2019-02-20 | GRUBER SCOTT L Officer (EVP, Pres. & CEO, VIST Bank) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,772 1,703 owned after | $49.22 exercise price | $81.13 | 2019-02-21 |
| 2019-02-15 | BOYCE DAVID S Officer (EVP, Pres. & CEO Tompkins Ins.) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −788 0 owned after | $37.00 exercise price | $78.74 | 2019-02-20 |
| 2019-02-15 | BOYCE DAVID S Officer (EVP, Pres. & CEO Tompkins Ins.) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −591 1,703 owned after | $49.22 exercise price | $78.74 | 2019-02-20 |
| 2019-02-15 | BOYCE DAVID S Officer (EVP, Pres. & CEO Tompkins Ins.) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −759 1,476 owned after | $56.29 exercise price | $78.74 | 2019-02-20 |
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