# EDGAR Filing Document

**Accession Number:** 0001005817
**File Stem:** 0001387131-23-001702
**Filing Date:** 2023-2
**Character Count:** 9499
**Document Hash:** 7aca452d2fc797ab61bdb11204ec2d8e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001387131-23-001702.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0001387131-23-001702

**CONFORMED SUBMISSION TYPE**: SC 13G/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230210

**DATE AS OF CHANGE**: 20230210

**GROUP MEMBERS**: TOMPKINS COMMUNITY BANK

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** TOMPKINS FINANCIAL CORP
- **CENTRAL INDEX KEY:** 0001005817
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **IRS NUMBER:** 161482357
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-46801
- **FILM NUMBER:** 23609659

**BUSINESS ADDRESS:**
- **STREET 1:** 118 E SENECA STREET
- **STREET 2:** P.O. BOX 460
- **CITY:** ITHACA
- **STATE:** NY
- **ZIP:** 14850
- **BUSINESS PHONE:** 607-274-2078

**MAIL ADDRESS:**
- **STREET 1:** 118 E. SENECA STREET
- **STREET 2:** PO BOX 460
- **CITY:** ITHACA
- **STATE:** NY
- **ZIP:** 14850

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TOMPKINS TRUSTCO INC
- **DATE OF NAME CHANGE:** 19990512

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TOMPKINS COUNTY TRUSTCO INC
- **DATE OF NAME CHANGE:** 19960117
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** TOMPKINS FINANCIAL CORP
- **CENTRAL INDEX KEY:** 0001005817
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **IRS NUMBER:** 161482357
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A

**BUSINESS ADDRESS:**
- **STREET 1:** 118 E SENECA STREET
- **STREET 2:** P.O. BOX 460
- **CITY:** ITHACA
- **STATE:** NY
- **ZIP:** 14850
- **BUSINESS PHONE:** 607-274-2078

**MAIL ADDRESS:**
- **STREET 1:** 118 E. SENECA STREET
- **STREET 2:** PO BOX 460
- **CITY:** ITHACA
- **STATE:** NY
- **ZIP:** 14850

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TOMPKINS TRUSTCO INC
- **DATE OF NAME CHANGE:** 19990512

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TOMPKINS COUNTY TRUSTCO INC
- **DATE OF NAME CHANGE:** 19960117

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**SCHEDULE 13G**

**Under the Securities Exchange Act of 1934**

**(Amendment No. 21\*)**

<u>TOMPKINS FINANCIAL CORPORATION</u>

(Name of Issuer)

<u>Common Stock</u>

(Title of Class of Securities)

<u>890110 10 9</u>

(CUSIP Number)

____________<u>December 31, 2022</u>___________

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☒ Rule 13d-1(b)

☐ Rule 13d-1(c)

☐ Rule 13d-1(d)

\* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that Section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

CUSIP No. 890110 10 9 13G <u>Page 2 of 5 Pages </u>

---

| | | | |
|:---|:---|:---|:---|
| &nbsp;&nbsp;1. | &nbsp;&nbsp; NAME OF REPORTING PERSON<br> I.R.S IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)<br>Tompkins Community Bank EIN: 15-0470650 | &nbsp;&nbsp; NAME OF REPORTING PERSON<br> I.R.S IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)<br>Tompkins Community Bank EIN: 15-0470650 | &nbsp;&nbsp; NAME OF REPORTING PERSON<br> I.R.S IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)<br>Tompkins Community Bank EIN: 15-0470650 |
| &nbsp;&nbsp;2. | &nbsp;&nbsp; CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP\*<br> (a)  (b)  | &nbsp;&nbsp; CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP\*<br> (a)  (b)  | &nbsp;&nbsp; CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP\*<br> (a)  (b)  |
| &nbsp;&nbsp;3. | &nbsp;&nbsp;SEC USE ONLY | &nbsp;&nbsp;SEC USE ONLY | &nbsp;&nbsp;SEC USE ONLY |
| &nbsp;&nbsp;4. | &nbsp;&nbsp; CITIZENSHIP OR PLACE OF ORGANIZATION<br> United States | &nbsp;&nbsp; CITIZENSHIP OR PLACE OF ORGANIZATION<br> United States | &nbsp;&nbsp; CITIZENSHIP OR PLACE OF ORGANIZATION<br> United States |
| &nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY | &nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY | &nbsp;&nbsp;5. | &nbsp;&nbsp; SOLE VOTING POWER<br> 0 |
| &nbsp;&nbsp;OWNED<br> BY EACH | &nbsp;&nbsp;OWNED<br> BY EACH | &nbsp;&nbsp;6. | &nbsp;&nbsp; SHARED VOTING POWER<br> 1,184,570 |
| &nbsp;&nbsp;REPORTING<br> PERSON | &nbsp;&nbsp;REPORTING<br> PERSON | &nbsp;&nbsp;7. | &nbsp;&nbsp; SOLE DISPOSITIVE POWER<br> 0 |
| &nbsp;&nbsp;WITH | &nbsp;&nbsp;WITH | &nbsp;&nbsp;8. | &nbsp;&nbsp; SHARED DISPOSITIVE POWER<br> 1,184,570 |
| &nbsp;&nbsp;9. | &nbsp;&nbsp;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,184,570 | &nbsp;&nbsp;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,184,570 | &nbsp;&nbsp;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,184,570 |
| &nbsp;&nbsp;10. | &nbsp;&nbsp; CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)  <br> EXCLUDES CERTAIN SHARES\* | &nbsp;&nbsp; CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)  <br> EXCLUDES CERTAIN SHARES\* | &nbsp;&nbsp; CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)  <br> EXCLUDES CERTAIN SHARES\* |
| &nbsp;&nbsp;11. | &nbsp;&nbsp; PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)<br> 8.16% | &nbsp;&nbsp; PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)<br> 8.16% | &nbsp;&nbsp; PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)<br> 8.16% |
| &nbsp;&nbsp;12. | &nbsp;&nbsp; TYPE OF REPORTING PERSON\*<br> BK | &nbsp;&nbsp; TYPE OF REPORTING PERSON\*<br> BK | &nbsp;&nbsp; TYPE OF REPORTING PERSON\*<br> BK |

---

\* SEE INSTRUCTIONS

Page 3 of 5 Pages

Item 1(a). <u>Name of Issuer</u>:

Tompkins Financial Corporation

Item 1(b). <u>Address of Issuer's Principal Executive Offices</u>:

118 E. Seneca Street, P.O. Box 460

Ithaca, NY 14850

Item 2(a). <u>Name of Person Filing</u>:

Tompkins Community Bank

Item 2(b). <u>Address of Principal Business Office, or, if None, Residence</u>:

Tompkins Community Bank

P.O. Box 460

Ithaca, NY 14851

Item 2(c). <u>Citizenship</u>:

United States

Item 2(d). <u>Title of Class of Securities</u>:

Common Stock, par value $0.10 par value

Item 2(e). <u>CUSIP Number</u>:

890110 10 9

Item 3. <u>If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a</u>:

⌧ Bank as defined in Section 3(a)(6) of the Act.

---

| | |
|:---|:---|
| Item 4(a). | <u>Amount Beneficially Owned</u>: |

---

1,184,570

---

| | |
|:---|:---|
| Item 4(b). | <u>Percent of Class</u>: |

---

8.16%

Page 4 of 5 Pages

Item 4(c). <u>Number of shares as to which such person has</u>:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i) <u>Sole power to vote or to direct the vote</u>:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(ii) <u>Shared power to vote or to direct the vote</u>:

1,184,570

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(iii) <u>Sole power to dispose or to direct the disposition of</u>:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(iv) <u>Shared power to dispose or to direct the disposition of</u>:

1,184,570

### Item 5. <u>Ownership of Five Percent or Less of a Class</u>:
Not applicable.

### Item 6. <u>Ownership of More than Five Percent on Behalf of Another Person</u>:
Not applicable.

Item 7. <u>Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company</u>:

Not applicable.

Item 8. <u>Identification and Classification of Members of the Group</u>:

Not applicable.

Item 9. <u>Notice of Dissolution of Group</u>:

Not applicable.

Page 5 of 5 Pages

Item 10. <u>Certification</u>:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect, other than activities solely in connection with a nomination under Section 240.14a-11.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date February 10, 2023

<u>/s/ Francis M. Fetsko</u> 

Signature

<u>Francis M. Fetsko, EVP, CFO & COO</u>

Name/Title