Key facts
- This page summarizes Scott L. Gruber's Form 4 filing for TOMPKINS FINANCIAL CORP (TMP).
- 4 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 23 Nov 2021, 14:01.
Scott L. Gruber - 21 Nov 2021 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)
- Reporting relationship
- EVP, Pres & CEO, VIST Bank
- Issuer ticker
- TMP
- Reported as of
- 21 Nov 2021
- Net transaction value
- -$20,077
- SEC form
- 4
- Accepted by SEC
- 23 Nov 2021, 14:01:31 UTC
- Prior SEC filing
- 15 Nov 2021
- Source filing
- View source filing
- Reporting owner signature
- /s/ Scott L. Gruber
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Scott L. Gruber filed Form 4 for TOMPKINS FINANCIAL CORP (TMP) on 23 Nov 2021.
Change
- Previous filing in this sequence was filed on 15 Nov 2021.
- Current net transaction value: -$20,077.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
TMP
transaction
Common Stock
Tax liability
- Transaction value
- $12,434
- Shares
- -150
- Change %
- -1%
- Price
- $82.89
- Shares after
- 14,528
- Date
- 21 Nov 2021
- Ownership
- Direct
- Footnotes
- F1
TMP
transaction
Common Stock
Tax liability
- Transaction value
- $33,336
- Shares
- -399
- Change %
- -2.7%
- Price
- $83.55
- Shares after
- 14,129
- Date
- 22 Nov 2021
- Ownership
- Direct
- Footnotes
- F2
TMP
transaction
Common Stock
Options Exercise
- Transaction value
- $25,693
- Shares
- +522
- Change %
- +3.7%
- Price
- $49.22
- Shares after
- 14,651
- Date
- 22 Nov 2021
- Ownership
- Direct
TMP
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 1,020
- Date
- 21 Nov 2021
- Ownership
- By 401(K) ESOP
TMP
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 4,293
- Date
- 21 Nov 2021
- Ownership
- By 401(k) ISOP
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
TMP
transaction
Derivative
Stock Appreciation Rights (SAR)
Options Exercise
- Transaction value
- $0
- Shares
- -522
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 22 Nov 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 522
- Exercise price
- $49.22
- Footnotes
- F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
Footnote F2
Shares withheld for option cost and taxes.
Footnote F3
Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a seven year vesting schedule with 0% vesting in year one, 17% vesting in years two through six, and 15% vesting in year seven. When exercised, the SARs will be settled in Common Stock of the Company. The grant will expire ten years from the date of the grant.