Key facts
- This page summarizes Gregory J. Hartz's Form 4 filing for TOMPKINS FINANCIAL CORP (TMP).
- 0 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 10 Jul 2023, 11:41.
Gregory J. Hartz - 10 Jul 2023 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)
- Reporting relationship
- EVP, Pres.&CEO Tompkins Trust
- Issuer ticker
- TMP
- Reported as of
- 10 Jul 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 10 Jul 2023, 11:41:55 UTC
- Prior SEC filing
- 02 Dec 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Gregory J. Hartz
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Gregory J. Hartz filed Form 4 for TOMPKINS FINANCIAL CORP (TMP) on 10 Jul 2023.
Change
- Previous filing in this sequence was filed on 02 Dec 2022.
- Current net transaction value: $0.
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
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 23,967
- Date
- 10 Jul 2023
- Ownership
- Direct
TMP
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 22
- Date
- 10 Jul 2023
- Ownership
- As Custodian FBO Andrew Chase UGMA/NY
TMP
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 5,577
- Date
- 10 Jul 2023
- Ownership
- by 401(k)/ISOP
TMP
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 3,707
- Date
- 10 Jul 2023
- Ownership
- by ESOP
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
TMP
holding
Derivative
Stock Appreciation Rights (SAR)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 522
- Date
- 10 Jul 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 522
- Exercise price
- $49.22
- Footnotes
- F1
TMP
holding
Derivative
Stock Appreciation Rights (SAR)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 716
- Date
- 10 Jul 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 716
- Exercise price
- $56.29
- Footnotes
- F1
TMP
holding
Derivative
Stock Appreciation Rights (SAR)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 601
- Date
- 10 Jul 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 601
- Exercise price
- $76.90
- Footnotes
- F2
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
Gregory J. Hartz is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 2 footnotes
Footnote F1
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.
Footnote F2
Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a five-year vesting schedule, with 0% vesting in year one and 25% vesting in years two through five. 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.
SEC remarks
Mr. Hartz retired from the company effective July 10, 2023, and is no longer an insider.