Tompkins Financial Corp Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-11-22: 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.
- 2021-11-09: 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.
- 2021-11-09: 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.
- 2021-11-05: Reporting owner FETSKO FRANCIS M; 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 |
|---|---|---|---|---|---|---|---|---|
| 2021-11-22 | 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 | −522 0 owned after | $49.22 exercise price | $83.55 | 2021-11-23 |
| 2021-11-09 | 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 | −200 0 owned after | $76.90 exercise price | $83.97 | 2021-11-12 |
| 2021-11-09 | 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 | −380 336 owned after | $56.29 exercise price | $83.97 | 2021-11-10 |
| 2021-11-05 | FETSKO FRANCIS M Officer (EVP, COO, CFO & Treasurer) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,899 336 owned after | $56.29 exercise price | $84.73 | 2021-11-08 |
| 2021-08-26 | 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 | −459 0 owned after | $40.60 exercise price | $77.33 | 2021-08-30 |
| 2021-08-26 | 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 | −1,181 522 owned after | $49.22 exercise price | $77.33 | 2021-08-30 |
| 2021-08-26 | 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 1,096 owned after | $56.29 exercise price | $77.33 | 2021-08-30 |
| 2021-06-15 | McKenna John M Officer (EVP, Tompkins Bank of Castile) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −416 0 owned after | $37.00 exercise price | $83.33 | 2021-06-17 |
| 2021-06-09 holding as of filing | DeMilia David M Officer (EVP, Pres & CEO Mahopac Bank) | 3 | Stock Appreciation Rights (SAR) Derivative · Direct | Holding | $40.60 exercise price | 2021-06-09 | ||
| 2021-06-09 holding as of filing | DeMilia David M Officer (EVP, Pres & CEO Mahopac Bank) | 3 | Stock Appreciation Rights (SAR) Derivative · Direct | Holding | $49.22 exercise price | 2021-06-09 | ||
| 2021-06-09 holding as of filing | DeMilia David M Officer (EVP, Pres & CEO Mahopac Bank) | 3 | Stock Appreciation Rights (SAR) Derivative · Direct | Holding | $56.29 exercise price | 2021-06-09 | ||
| 2021-06-09 holding as of filing | DeMilia David M Officer (EVP, Pres & CEO Mahopac Bank) | 3 | Stock Appreciation Rights (SAR) Derivative · Direct | Holding | $76.90 exercise price | 2021-06-09 | ||
| 2021-05-26 | 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 | −10,500 0 owned after | $37.00 exercise price | $80.02 | 2021-05-28 |
| 2021-05-25 | FETSKO FRANCIS M Officer (EVP, COO, CFO & Treasurer) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −459 0 owned after | $40.60 exercise price | $78.50 | 2021-05-27 |
| 2021-05-25 | FETSKO FRANCIS M Officer (EVP, COO, CFO & Treasurer) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,953 522 owned after | $49.22 exercise price | $78.50 | 2021-05-27 |
| 2021-03-12 | 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 | −459 0 owned after | $40.60 exercise price | $92.36 | 2021-03-15 |
| 2021-03-12 | 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 | −590 522 owned after | $49.22 exercise price | $92.36 | 2021-03-15 |
| 2021-03-12 | 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 | −380 716 owned after | $56.29 exercise price | $92.36 | 2021-03-15 |
| 2021-03-12 | 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 | −201 200 owned after | $76.90 exercise price | $92.36 | 2021-03-15 |
| 2021-03-09 | 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 | −3,055 0 owned after | $40.60 exercise price | $88.10 | 2021-03-11 |
| 2021-02-26 | 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 | −459 0 owned after | $40.60 exercise price | $77.33 | 2021-03-02 |
| 2021-02-26 | 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 | −590 522 owned after | $49.22 exercise price | $77.33 | 2021-03-02 |
| 2021-02-26 | 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 | −380 716 owned after | $56.29 exercise price | $77.33 | 2021-03-02 |
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