Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-20-026805
Date:2020-10-09
Issuer: TOMPKINS FINANCIAL CORP (TMP)
Original Submission Date:

Reporting Person:

ALEXANDER JOHN E
TOMPKINS FINANCIAL CORPORATION
PO BOX 460 ITHACA, NY 14851

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
PHANTOM STOCK 0.0 2020-10-09 deemed execution date A 166 (a) common stock 166 $0.00 18,236 direct
PHANTOM STOCK 0.0 2020-10-09 deemed execution date A 82 (a) common stock 82 $0.00 18,318 direct
Footnotes
IDfootnote
f1 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.
f2 includes shares acquired through reinvestment of quarterly dividends.
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