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TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan NameTOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number 003

TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Stock bonus
  • ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
  • Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
  • Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

TOMPKINS TRUST COMPANY has sponsored the creation of one or more 401k plans.

Company Name:TOMPKINS TRUST COMPANY
Employer identification number (EIN):150470650
NAIC Classification:522110
NAIC Description:Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032023-01-01
0032022-01-01
0032021-01-01
0032020-01-01
0032019-01-01
0032018-01-01
0032017-01-01CHRISTOPHER CHINICI CHRISTOPHER CHINICI2018-10-11
0032016-01-01CHINICI CHINICI2017-10-10
0032015-01-01CHRISTOPHER CHINICI, EA CHRISTOPHER CHINICI, EA2016-10-13
0032014-01-01CHRISTOPHER CHINICI, EA CHRISTOPHER CHINICI, EA2015-07-29
0032013-01-01CINDY CUTE
0032012-01-01CINDY CUTE CINDY CUTE2013-07-30
0032011-01-01CINDY CUTE
0032010-01-01CINDY CUTE CINDY CUTE2011-07-27
0032009-01-01CINDY CUTE CINDY CUTE2010-07-29

Plan Statistics for TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2023: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-011,180
Total number of active participants reported on line 7a of the Form 55002023-01-01865
Number of retired or separated participants receiving benefits2023-01-0142
Number of other retired or separated participants entitled to future benefits2023-01-01256
Total of all active and inactive participants2023-01-011,163
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-018
Total participants2023-01-011,171
Number of participants with account balances2023-01-011,077
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-0117
2022: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-011,156
Total number of active participants reported on line 7a of the Form 55002022-01-01900
Number of retired or separated participants receiving benefits2022-01-0130
Number of other retired or separated participants entitled to future benefits2022-01-01238
Total of all active and inactive participants2022-01-011,168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-015
Total participants2022-01-011,173
Number of participants with account balances2022-01-011,169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-017
2021: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-011,216
Total number of active participants reported on line 7a of the Form 55002021-01-01928
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01222
Total of all active and inactive participants2021-01-011,150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-012
Total participants2021-01-011,152
Number of participants with account balances2021-01-011,145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-018
2020: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-011,046
Total number of active participants reported on line 7a of the Form 55002020-01-01882
Number of retired or separated participants receiving benefits2020-01-012
Number of other retired or separated participants entitled to future benefits2020-01-01189
Total of all active and inactive participants2020-01-011,073
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-011,073
Number of participants with account balances2020-01-011,073
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,030
Total number of active participants reported on line 7a of the Form 55002019-01-01856
Number of retired or separated participants receiving benefits2019-01-011
Number of other retired or separated participants entitled to future benefits2019-01-01189
Total of all active and inactive participants2019-01-011,046
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-011,046
Number of participants with account balances2019-01-011,046
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-011,135
Total number of active participants reported on line 7a of the Form 55002018-01-01836
Number of retired or separated participants receiving benefits2018-01-012
Number of other retired or separated participants entitled to future benefits2018-01-01192
Total of all active and inactive participants2018-01-011,030
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-011,030
Number of participants with account balances2018-01-011,030
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01953
Total number of active participants reported on line 7a of the Form 55002017-01-01810
Number of retired or separated participants receiving benefits2017-01-012
Number of other retired or separated participants entitled to future benefits2017-01-01323
Total of all active and inactive participants2017-01-011,135
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-011,135
Number of participants with account balances2017-01-011,135
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-014
2016: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01951
Total number of active participants reported on line 7a of the Form 55002016-01-01805
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-01147
Total of all active and inactive participants2016-01-01953
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01953
Number of participants with account balances2016-01-01953
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01925
Total number of active participants reported on line 7a of the Form 55002015-01-01824
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01127
Total of all active and inactive participants2015-01-01951
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01951
Number of participants with account balances2015-01-01951
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01696
Total number of active participants reported on line 7a of the Form 55002014-01-01815
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01110
Total of all active and inactive participants2014-01-01925
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01925
Number of participants with account balances2014-01-01925
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0133
2013: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01707
Total number of active participants reported on line 7a of the Form 55002013-01-01598
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0198
Total of all active and inactive participants2013-01-01696
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01696
Number of participants with account balances2013-01-01696
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-017
2012: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01726
Total number of active participants reported on line 7a of the Form 55002012-01-01611
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0196
Total of all active and inactive participants2012-01-01707
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01707
Number of participants with account balances2012-01-01707
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0119
2011: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01677
Total number of active participants reported on line 7a of the Form 55002011-01-01648
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0178
Total of all active and inactive participants2011-01-01726
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01726
Number of participants with account balances2011-01-01726
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0110
2010: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01647
Total number of active participants reported on line 7a of the Form 55002010-01-01616
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0161
Total of all active and inactive participants2010-01-01677
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01677
Number of participants with account balances2010-01-01677
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-019
2009: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01660
Total number of active participants reported on line 7a of the Form 55002009-01-01567
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0180
Total of all active and inactive participants2009-01-01647
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01647
Number of participants with account balances2009-01-01647
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0112

Financial Data on TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2023 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2023 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2023-12-31$-10,220,766
Total unrealized appreciation/depreciation of assets2023-12-31$-10,220,766
Total transfer of assets from this plan2023-12-31$149,089
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$-9,382,004
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$3,243,703
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$3,243,453
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$0
Value of total assets at end of year2023-12-31$36,888,788
Value of total assets at beginning of year2023-12-31$49,663,584
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$250
Total interest from all sources2023-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$1,467,516
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$10,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$-12,625,707
Value of net assets at end of year (total assets less liabilities)2023-12-31$36,888,788
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$49,663,584
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$-628,754
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31Yes
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Assets. Invements in employer securities at end of year2023-12-31$36,888,788
Assets. Invements in employer securities at beginning of year2023-12-31$47,142,561
Employer contributions (assets) at beginning of year2023-12-31$2,521,023
Income. Dividends from common stock2023-12-31$1,467,516
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$3,243,453
Contract administrator fees2023-12-31$250
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31MENGEL, METZGER, BARR & CO.
Accountancy firm EIN2023-12-31161092347
2022 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2022-12-31$-3,423,543
Total unrealized appreciation/depreciation of assets2022-12-31$-3,423,543
Total transfer of assets from this plan2022-12-31$130,809
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$289,591
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$2,690,839
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$2,690,339
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$2,521,023
Value of total assets at end of year2022-12-31$49,663,584
Value of total assets at beginning of year2022-12-31$52,195,641
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$500
Total interest from all sources2022-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$1,392,387
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$10,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-2,401,248
Value of net assets at end of year (total assets less liabilities)2022-12-31$49,663,584
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$52,195,641
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-200,276
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31Yes
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Assets. Invements in employer securities at end of year2022-12-31$47,142,561
Assets. Invements in employer securities at beginning of year2022-12-31$49,245,015
Contributions received in cash from employer2022-12-31$2,521,023
Employer contributions (assets) at end of year2022-12-31$2,521,023
Employer contributions (assets) at beginning of year2022-12-31$2,950,626
Income. Dividends from common stock2022-12-31$1,392,387
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$2,690,339
Contract administrator fees2022-12-31$500
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31MENGEL, METZGER, BARR & CO.
Accountancy firm EIN2022-12-31161092347
2021 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2021-12-31$6,993,615
Total unrealized appreciation/depreciation of assets2021-12-31$6,993,615
Total transfer of assets from this plan2021-12-31$277,896
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$11,838,069
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$4,821,776
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$4,733,302
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$2,950,626
Value of total assets at end of year2021-12-31$52,195,641
Value of total assets at beginning of year2021-12-31$45,457,244
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$88,474
Total interest from all sources2021-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$1,338,710
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$10,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Other income not declared elsewhere2021-12-31$555,118
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Income. Non cash contributions2021-12-31$2,950,626
Value of net income/loss2021-12-31$7,016,293
Value of net assets at end of year (total assets less liabilities)2021-12-31$52,195,641
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$45,457,244
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31Yes
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Assets. Invements in employer securities at end of year2021-12-31$49,245,015
Assets. Invements in employer securities at beginning of year2021-12-31$43,352,680
Employer contributions (assets) at end of year2021-12-31$2,950,626
Employer contributions (assets) at beginning of year2021-12-31$2,104,564
Income. Dividends from common stock2021-12-31$1,338,710
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$4,733,302
Contract administrator fees2021-12-31$88,474
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31MENGEL, METZGER, BARR & CO.
Accountancy firm EIN2021-12-31161092347
2020 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$-13,943,760
Total unrealized appreciation/depreciation of assets2020-12-31$-13,943,760
Total transfer of assets from this plan2020-12-31$184,118
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$-9,564,366
Total loss/gain on sale of assets2020-12-31$978,248
Total of all expenses incurred2020-12-31$2,566,203
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$2,492,652
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$2,103,562
Value of total assets at end of year2020-12-31$45,457,244
Value of total assets at beginning of year2020-12-31$57,771,931
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$73,551
Total interest from all sources2020-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$1,297,584
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$1,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$782,328
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Administrative expenses (other) incurred2020-12-31$73,551
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$-12,130,569
Value of net assets at end of year (total assets less liabilities)2020-12-31$45,457,244
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$57,771,931
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31Yes
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Assets. Invements in employer securities at end of year2020-12-31$43,352,680
Assets. Invements in employer securities at beginning of year2020-12-31$55,517,256
Contributions received in cash from employer2020-12-31$2,103,562
Employer contributions (assets) at end of year2020-12-31$2,104,564
Employer contributions (assets) at beginning of year2020-12-31$2,254,675
Income. Dividends from common stock2020-12-31$1,297,584
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$2,492,652
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Aggregate proceeds on sale of assets2020-12-31$2,768,209
Aggregate carrying amount (costs) on sale of assets2020-12-31$1,789,961
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31MENGEL, METZGER, BARR & CO. LLP
Accountancy firm EIN2020-12-31161092347
2019 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$7,798,763
Total unrealized appreciation/depreciation of assets2019-12-31$7,798,763
Total transfer of assets from this plan2019-12-31$122,995
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$13,674,806
Total loss/gain on sale of assets2019-12-31$2,359,029
Total of all expenses incurred2019-12-31$4,720,695
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$4,660,349
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,254,675
Value of total assets at end of year2019-12-31$57,771,931
Value of total assets at beginning of year2019-12-31$48,940,815
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$60,346
Total interest from all sources2019-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$1,262,415
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$1,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$2,824,206
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Other income not declared elsewhere2019-12-31$-76
Administrative expenses (other) incurred2019-12-31$60,346
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$8,954,111
Value of net assets at end of year (total assets less liabilities)2019-12-31$57,771,931
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$48,940,815
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31Yes
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Assets. Invements in employer securities at end of year2019-12-31$55,517,256
Assets. Invements in employer securities at beginning of year2019-12-31$46,481,331
Contributions received in cash from employer2019-12-31$2,254,675
Employer contributions (assets) at end of year2019-12-31$2,254,675
Employer contributions (assets) at beginning of year2019-12-31$2,459,484
Income. Dividends from common stock2019-12-31$1,262,415
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$4,660,349
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$4,932,154
Aggregate carrying amount (costs) on sale of assets2019-12-31$2,573,125
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31MENGEL, METZGER, BARR & CO. LLP
Accountancy firm EIN2019-12-31161092347
2018 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-5,596,014
Total unrealized appreciation/depreciation of assets2018-12-31$-5,596,014
Total transfer of assets from this plan2018-12-31$183,911
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$-99,593
Total loss/gain on sale of assets2018-12-31$1,838,164
Total of all expenses incurred2018-12-31$3,443,196
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$3,443,196
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,451,414
Value of total assets at end of year2018-12-31$48,940,815
Value of total assets at beginning of year2018-12-31$52,667,515
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$0
Total interest from all sources2018-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$1,206,843
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$906,467
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Other income not declared elsewhere2018-12-31$0
Administrative expenses (other) incurred2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-3,542,789
Value of net assets at end of year (total assets less liabilities)2018-12-31$48,940,815
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$52,667,515
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31Yes
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Assets. Invements in employer securities at end of year2018-12-31$46,481,331
Assets. Invements in employer securities at beginning of year2018-12-31$49,586,593
Contributions received in cash from employer2018-12-31$2,451,414
Employer contributions (assets) at end of year2018-12-31$2,459,484
Employer contributions (assets) at beginning of year2018-12-31$3,080,922
Income. Dividends from common stock2018-12-31$1,206,843
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$3,443,196
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Aggregate proceeds on sale of assets2018-12-31$3,687,759
Aggregate carrying amount (costs) on sale of assets2018-12-31$1,849,595
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31MENGEL, METZGER, BARR & CO. LLP
Accountancy firm EIN2018-12-31161092347
2017 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$-9,502,658
Total unrealized appreciation/depreciation of assets2017-12-31$-9,502,658
Total transfer of assets from this plan2017-12-31$286,973
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$-3,775,190
Total loss/gain on sale of assets2017-12-31$1,537,518
Total of all expenses incurred2017-12-31$2,380,357
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$2,380,357
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$3,080,922
Value of total assets at end of year2017-12-31$52,667,515
Value of total assets at beginning of year2017-12-31$59,110,035
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$0
Total interest from all sources2017-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$1,109,028
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$163,927
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$-6,155,547
Value of net assets at end of year (total assets less liabilities)2017-12-31$52,667,515
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$59,110,035
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31Yes
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Assets. Invements in employer securities at end of year2017-12-31$49,586,593
Assets. Invements in employer securities at beginning of year2017-12-31$56,814,600
Contributions received in cash from employer2017-12-31$3,080,922
Employer contributions (assets) at end of year2017-12-31$3,080,922
Employer contributions (assets) at beginning of year2017-12-31$2,295,435
Income. Dividends from common stock2017-12-31$1,109,028
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$2,380,357
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$2,727,417
Aggregate carrying amount (costs) on sale of assets2017-12-31$1,189,899
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31MENGEL, METZGER, BARR & CO. LLP
Accountancy firm EIN2017-12-31161092347
2016 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$21,945,002
Total unrealized appreciation/depreciation of assets2016-12-31$21,945,002
Total transfer of assets from this plan2016-12-31$75,552
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$26,416,265
Total loss/gain on sale of assets2016-12-31$1,114,911
Total of all expenses incurred2016-12-31$2,303,734
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,302,618
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,295,435
Value of total assets at end of year2016-12-31$59,110,035
Value of total assets at beginning of year2016-12-31$35,073,056
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$1,116
Total interest from all sources2016-12-31$1
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$1,060,916
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$1,039,443
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Administrative expenses (other) incurred2016-12-31$1,116
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$24,112,531
Value of net assets at end of year (total assets less liabilities)2016-12-31$59,110,035
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$35,073,056
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Interest earned on other investments2016-12-31$1
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$142
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31Yes
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Assets. Invements in employer securities at end of year2016-12-31$56,814,600
Assets. Invements in employer securities at beginning of year2016-12-31$33,135,003
Contributions received in cash from employer2016-12-31$2,295,435
Employer contributions (assets) at end of year2016-12-31$2,295,435
Employer contributions (assets) at beginning of year2016-12-31$1,937,911
Income. Dividends from common stock2016-12-31$1,060,916
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,302,618
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$2,491,171
Aggregate carrying amount (costs) on sale of assets2016-12-31$1,376,260
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31MENGEL, METZGER, BARR & CO. LLP
Accountancy firm EIN2016-12-31161092347
2015 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-377,782
Total unrealized appreciation/depreciation of assets2015-12-31$-377,782
Total transfer of assets from this plan2015-12-31$207,109
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$3,459,561
Total loss/gain on sale of assets2015-12-31$893,620
Total of all expenses incurred2015-12-31$1,566,581
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,566,204
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,939,036
Value of total assets at end of year2015-12-31$35,073,056
Value of total assets at beginning of year2015-12-31$33,387,185
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$377
Total interest from all sources2015-12-31$3
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$1,005,151
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$842,064
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Other income not declared elsewhere2015-12-31$-467
Administrative expenses (other) incurred2015-12-31$377
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$1,892,980
Value of net assets at end of year (total assets less liabilities)2015-12-31$35,073,056
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$33,387,185
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Interest earned on other investments2015-12-31$3
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$142
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$139
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31Yes
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Assets. Invements in employer securities at end of year2015-12-31$33,135,003
Assets. Invements in employer securities at beginning of year2015-12-31$31,791,775
Contributions received in cash from employer2015-12-31$1,939,036
Employer contributions (assets) at end of year2015-12-31$1,937,911
Employer contributions (assets) at beginning of year2015-12-31$1,595,271
Income. Dividends from common stock2015-12-31$1,005,151
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,566,204
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$1,818,844
Aggregate carrying amount (costs) on sale of assets2015-12-31$925,224
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31MENGEL, METZGER, BARR & CO. LLP
Accountancy firm EIN2015-12-31161092347
2014 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$2,019,065
Total unrealized appreciation/depreciation of assets2014-12-31$2,019,065
Total transfer of assets from this plan2014-12-31$303,061
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$4,834,943
Total loss/gain on sale of assets2014-12-31$306,930
Total of all expenses incurred2014-12-31$748,855
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$748,855
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,593,723
Value of total assets at end of year2014-12-31$33,387,185
Value of total assets at beginning of year2014-12-31$29,604,158
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$0
Total interest from all sources2014-12-31$3
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$915,222
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$4,086,088
Value of net assets at end of year (total assets less liabilities)2014-12-31$33,387,185
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$29,604,158
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Interest earned on other investments2014-12-31$3
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$139
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$149
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31Yes
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Assets. Invements in employer securities at end of year2014-12-31$31,791,775
Assets. Invements in employer securities at beginning of year2014-12-31$28,075,622
Contributions received in cash from employer2014-12-31$1,593,723
Employer contributions (assets) at end of year2014-12-31$1,595,271
Employer contributions (assets) at beginning of year2014-12-31$1,528,387
Income. Dividends from common stock2014-12-31$915,222
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$748,855
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$1,071,808
Aggregate carrying amount (costs) on sale of assets2014-12-31$764,878
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31MENGEL, METZGER, BARR & CO LLP
Accountancy firm EIN2014-12-31161092347
2013 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$5,708,741
Total unrealized appreciation/depreciation of assets2013-12-31$5,708,741
Total transfer of assets from this plan2013-12-31$188,278
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$8,963,316
Total loss/gain on sale of assets2013-12-31$862,333
Total of all expenses incurred2013-12-31$2,297,167
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,297,167
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,531,176
Value of total assets at end of year2013-12-31$29,604,158
Value of total assets at beginning of year2013-12-31$23,126,287
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$0
Total interest from all sources2013-12-31$15
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$861,051
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$861,051
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Administrative expenses (other) incurred2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$6,666,149
Value of net assets at end of year (total assets less liabilities)2013-12-31$29,604,158
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$23,126,287
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Interest earned on other investments2013-12-31$15
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$149
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$2,189
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31Yes
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Assets. Invements in employer securities at end of year2013-12-31$28,075,622
Assets. Invements in employer securities at beginning of year2013-12-31$22,411,195
Contributions received in cash from employer2013-12-31$1,531,176
Employer contributions (assets) at end of year2013-12-31$1,528,387
Employer contributions (assets) at beginning of year2013-12-31$712,903
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,297,167
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$2,517,285
Aggregate carrying amount (costs) on sale of assets2013-12-31$1,654,952
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31MENGEL, METZGER, BARR AND CO LLP
Accountancy firm EIN2013-12-31161092347
2012 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets2012-12-31$187,664
Total unrealized appreciation/depreciation of assets2012-12-31$187,664
Total transfer of assets from this plan2012-12-31$227,713
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$2,140,390
Total loss/gain on sale of assets2012-12-31$419,489
Total of all expenses incurred2012-12-31$1,049,875
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,049,875
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$712,066
Value of total assets at end of year2012-12-31$23,126,287
Value of total assets at beginning of year2012-12-31$22,263,485
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$0
Total interest from all sources2012-12-31$58
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$821,113
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,090,515
Value of net assets at end of year (total assets less liabilities)2012-12-31$23,126,287
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$22,263,485
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Interest earned on other investments2012-12-31$58
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$2,189
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$2,183
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31Yes
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Assets. Invements in employer securities at end of year2012-12-31$22,411,195
Assets. Invements in employer securities at beginning of year2012-12-31$21,223,266
Contributions received in cash from employer2012-12-31$712,066
Employer contributions (assets) at end of year2012-12-31$712,903
Employer contributions (assets) at beginning of year2012-12-31$1,038,036
Income. Dividends from common stock2012-12-31$821,113
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,049,875
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$1,310,377
Aggregate carrying amount (costs) on sale of assets2012-12-31$890,888
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31MENGEL, METZGER, BARR, AND CO LLP
Accountancy firm EIN2012-12-31161092347
2011 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-588,428
Total unrealized appreciation/depreciation of assets2011-12-31$-588,428
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$1,361,922
Total loss/gain on sale of assets2011-12-31$154,047
Total of all expenses incurred2011-12-31$676,740
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$676,740
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,038,497
Value of total assets at end of year2011-12-31$22,263,485
Value of total assets at beginning of year2011-12-31$21,578,303
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$0
Total interest from all sources2011-12-31$63
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$757,743
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$685,182
Value of net assets at end of year (total assets less liabilities)2011-12-31$22,263,485
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$21,578,303
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Interest earned on other investments2011-12-31$63
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$2,183
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$2,120
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$21,223,266
Assets. Invements in employer securities at beginning of year2011-12-31$20,524,631
Contributions received in cash from employer2011-12-31$1,038,497
Employer contributions (assets) at end of year2011-12-31$1,038,036
Employer contributions (assets) at beginning of year2011-12-31$1,051,552
Income. Dividends from common stock2011-12-31$757,743
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$676,740
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$766,143
Aggregate carrying amount (costs) on sale of assets2011-12-31$612,096
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31MENGEL, METZGER, BARR, AND CO LLP
Accountancy firm EIN2011-12-31161092347
2010 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$-429,084
Total unrealized appreciation/depreciation of assets2010-12-31$-429,084
Total transfer of assets from this plan2010-12-31$166,555
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$2,959,586
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$908,769
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$908,748
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,052,373
Value of total assets at end of year2010-12-31$21,578,303
Value of total assets at beginning of year2010-12-31$19,694,041
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$21
Total interest from all sources2010-12-31$72
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$2,336,178
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Other income not declared elsewhere2010-12-31$47
Administrative expenses (other) incurred2010-12-31$21
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,050,817
Value of net assets at end of year (total assets less liabilities)2010-12-31$21,578,303
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$19,694,041
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Interest earned on other investments2010-12-31$72
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$2,120
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$2,048
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$20,524,631
Assets. Invements in employer securities at beginning of year2010-12-31$18,412,725
Contributions received in cash from employer2010-12-31$1,052,373
Employer contributions (assets) at end of year2010-12-31$1,051,552
Employer contributions (assets) at beginning of year2010-12-31$1,279,268
Income. Dividends from common stock2010-12-31$2,336,178
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$908,748
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31MENGEL, METZGER, BARR AND CO LLP
Accountancy firm EIN2010-12-31161092347
2009 : TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN

2023: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement - TrustYes
2022: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: TOMPKINS FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered1073
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered1046
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered1030
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered1135
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered951
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered925
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered696
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered707
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered726
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041326
Policy instance 1
Insurance contract or identification number041326
Number of Individuals Covered677
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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