TOMPKINS TRUST COMPANY has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN
401k plan membership statisitcs for TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN
| Measure | Date | Value |
|---|
| 2021 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2021 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2021-12-14 | $694 |
| Total unrealized appreciation/depreciation of assets | 2021-12-14 | $694 |
| Total transfer of assets from this plan | 2021-12-14 | $14,319,016 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-14 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-14 | $0 |
| Total income from all sources (including contributions) | 2021-12-14 | $1,475,388 |
| Total loss/gain on sale of assets | 2021-12-14 | $13,110 |
| Total of all expenses incurred | 2021-12-14 | $968,207 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-14 | $927,556 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-14 | $0 |
| Value of total assets at end of year | 2021-12-14 | $0 |
| Value of total assets at beginning of year | 2021-12-14 | $13,811,835 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-14 | $40,651 |
| Total interest from all sources | 2021-12-14 | $35,276 |
| Total dividends received (eg from common stock, registered investment company shares) | 2021-12-14 | $99,441 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-12-14 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2021-12-14 | $95,235 |
| Was this plan covered by a fidelity bond | 2021-12-14 | Yes |
| Value of fidelity bond cover | 2021-12-14 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2021-12-14 | Yes |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2021-12-14 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2021-12-14 | No |
| Administrative expenses (other) incurred | 2021-12-14 | $40,651 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-14 | No |
| Value of net income/loss | 2021-12-14 | $507,181 |
| Value of net assets at end of year (total assets less liabilities) | 2021-12-14 | $0 |
| Value of net assets at beginning of year (total assets less liabilities) | 2021-12-14 | $13,811,835 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-14 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-14 | No |
| Were any leases to which the plan was party in default or uncollectible | 2021-12-14 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2021-12-14 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-12-14 | $5,331,382 |
| Value of interest in pooled separate accounts at end of year | 2021-12-14 | $0 |
| Value of interest in pooled separate accounts at beginning of year | 2021-12-14 | $4,514,843 |
| Interest earned on other investments | 2021-12-14 | $35,276 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2021-12-14 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2021-12-14 | $1,916,736 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-12-14 | $721,748 |
| Net investment gain/loss from pooled separate accounts | 2021-12-14 | $605,119 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-14 | No |
| Was there a failure to transmit to the plan any participant contributions | 2021-12-14 | No |
| Has the plan failed to provide any benefit when due under the plan | 2021-12-14 | No |
| Assets. Invements in employer securities at end of year | 2021-12-14 | $0 |
| Assets. Invements in employer securities at beginning of year | 2021-12-14 | $146,026 |
| Employer contributions (assets) at end of year | 2021-12-14 | $0 |
| Employer contributions (assets) at beginning of year | 2021-12-14 | $1,902,848 |
| Income. Dividends from common stock | 2021-12-14 | $4,206 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-14 | $927,556 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2021-12-14 | Yes |
| Did the plan have assets held for investment | 2021-12-14 | No |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-14 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-14 | Yes |
| Aggregate proceeds on sale of assets | 2021-12-14 | $189,414 |
| Aggregate carrying amount (costs) on sale of assets | 2021-12-14 | $176,304 |
| Opinion of an independent qualified public accountant for this plan | 2021-12-14 | Unqualified |
| Accountancy firm name | 2021-12-14 | MENGEL, METZGER, BARR & CO. LLP |
| Accountancy firm EIN | 2021-12-14 | 161092347 |
| 2020 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2020 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2020-12-31 | $-29,792 |
| Total unrealized appreciation/depreciation of assets | 2020-12-31 | $-29,792 |
| 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 | $3,493,076 |
| Total loss/gain on sale of assets | 2020-12-31 | $-315 |
| Total of all expenses incurred | 2020-12-31 | $450,221 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $418,725 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $1,904,719 |
| Value of total assets at end of year | 2020-12-31 | $13,811,835 |
| Value of total assets at beginning of year | 2020-12-31 | $10,768,980 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $31,496 |
| Total interest from all sources | 2020-12-31 | $32,073 |
| Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $87,587 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2020-12-31 | $83,745 |
| Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
| Value of fidelity bond cover | 2020-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2020-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
| Other income not declared elsewhere | 2020-12-31 | $0 |
| Administrative expenses (other) incurred | 2020-12-31 | $31,496 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
| Value of net income/loss | 2020-12-31 | $3,042,855 |
| Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $13,811,835 |
| Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $10,768,980 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2020-12-31 | $5,331,382 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-12-31 | $4,039,185 |
| Value of interest in pooled separate accounts at end of year | 2020-12-31 | $4,514,843 |
| Value of interest in pooled separate accounts at beginning of year | 2020-12-31 | $3,541,485 |
| Interest earned on other investments | 2020-12-31 | $32,073 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2020-12-31 | $1,916,736 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2020-12-31 | $1,401,042 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-12-31 | $767,887 |
| Net investment gain/loss from pooled separate accounts | 2020-12-31 | $730,917 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
| Assets. Invements in employer securities at end of year | 2020-12-31 | $146,026 |
| Assets. Invements in employer securities at beginning of year | 2020-12-31 | $140,868 |
| Contributions received in cash from employer | 2020-12-31 | $1,904,719 |
| Employer contributions (assets) at end of year | 2020-12-31 | $1,902,848 |
| Employer contributions (assets) at beginning of year | 2020-12-31 | $1,646,400 |
| Income. Dividends from common stock | 2020-12-31 | $3,842 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $418,725 |
| Did the plan have assets held for investment | 2020-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
| Aggregate proceeds on sale of assets | 2020-12-31 | $1,521 |
| Aggregate carrying amount (costs) on sale of assets | 2020-12-31 | $1,836 |
| Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Unqualified |
| Accountancy firm name | 2020-12-31 | MENGEL, METZGER, BARR & CO. LLP |
| Accountancy firm EIN | 2020-12-31 | 161092347 |
| 2019 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2019 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2019-12-31 | $25,640 |
| Unrealized appreciation/depreciation of other (non real estate) assets | 2019-12-31 | $25,640 |
| Total unrealized appreciation/depreciation of assets | 2019-12-31 | $25,640 |
| Total unrealized appreciation/depreciation of assets | 2019-12-31 | $25,640 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-12-31 | $0 |
| 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 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 | $3,241,028 |
| Total income from all sources (including contributions) | 2019-12-31 | $3,241,028 |
| Total loss/gain on sale of assets | 2019-12-31 | $3,351 |
| Total loss/gain on sale of assets | 2019-12-31 | $3,351 |
| Total of all expenses incurred | 2019-12-31 | $771,458 |
| Total of all expenses incurred | 2019-12-31 | $771,458 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $747,226 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $747,226 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $1,643,876 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $1,643,876 |
| Value of total assets at end of year | 2019-12-31 | $10,768,980 |
| Value of total assets at end of year | 2019-12-31 | $10,768,980 |
| Value of total assets at beginning of year | 2019-12-31 | $8,299,410 |
| Value of total assets at beginning of year | 2019-12-31 | $8,299,410 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $24,232 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $24,232 |
| Total interest from all sources | 2019-12-31 | $28,295 |
| Total interest from all sources | 2019-12-31 | $28,295 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $85,857 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $85,857 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $82,068 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $82,068 |
| Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
| Value of fidelity bond cover | 2019-12-31 | $10,000,000 |
| Value of fidelity bond cover | 2019-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
| If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2019-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2019-12-31 | No |
| Administrative expenses (other) incurred | 2019-12-31 | $24,232 |
| Administrative expenses (other) incurred | 2019-12-31 | $24,232 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Value of net income/loss | 2019-12-31 | $2,469,570 |
| Value of net income/loss | 2019-12-31 | $2,469,570 |
| Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $10,768,980 |
| Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $10,768,980 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $8,299,410 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $8,299,410 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $4,039,185 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $4,039,185 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $0 |
| Value of interest in pooled separate accounts at end of year | 2019-12-31 | $3,541,485 |
| Value of interest in pooled separate accounts at end of year | 2019-12-31 | $3,541,485 |
| Value of interest in pooled separate accounts at beginning of year | 2019-12-31 | $5,583,590 |
| Value of interest in pooled separate accounts at beginning of year | 2019-12-31 | $5,583,590 |
| Interest earned on other investments | 2019-12-31 | $28,295 |
| Interest earned on other investments | 2019-12-31 | $28,295 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2019-12-31 | $1,401,042 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2019-12-31 | $1,401,042 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2019-12-31 | $1,032,545 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2019-12-31 | $1,032,545 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $452,998 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $452,998 |
| Net investment gain/loss from pooled separate accounts | 2019-12-31 | $1,001,011 |
| Net investment gain/loss from pooled separate accounts | 2019-12-31 | $1,001,011 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-12-31 | No |
| Assets. Invements in employer securities at end of year | 2019-12-31 | $140,868 |
| Assets. Invements in employer securities at end of year | 2019-12-31 | $140,868 |
| Assets. Invements in employer securities at beginning of year | 2019-12-31 | $130,690 |
| Assets. Invements in employer securities at beginning of year | 2019-12-31 | $130,690 |
| Contributions received in cash from employer | 2019-12-31 | $1,643,876 |
| Contributions received in cash from employer | 2019-12-31 | $1,643,876 |
| Employer contributions (assets) at end of year | 2019-12-31 | $1,646,400 |
| Employer contributions (assets) at end of year | 2019-12-31 | $1,646,400 |
| Employer contributions (assets) at beginning of year | 2019-12-31 | $1,552,585 |
| Employer contributions (assets) at beginning of year | 2019-12-31 | $1,552,585 |
| Income. Dividends from common stock | 2019-12-31 | $3,789 |
| Income. Dividends from common stock | 2019-12-31 | $3,789 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $747,226 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $747,226 |
| Did the plan have assets held for investment | 2019-12-31 | Yes |
| Did the plan have assets held for investment | 2019-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-12-31 | No |
| Aggregate proceeds on sale of assets | 2019-12-31 | $64,770 |
| Aggregate proceeds on sale of assets | 2019-12-31 | $64,770 |
| Aggregate carrying amount (costs) on sale of assets | 2019-12-31 | $61,419 |
| Aggregate carrying amount (costs) on sale of assets | 2019-12-31 | $61,419 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Unqualified |
| Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Unqualified |
| Accountancy firm name | 2019-12-31 | MENGEL, METZGER, BARR & CO. LLP |
| Accountancy firm name | 2019-12-31 | MENGEL, METZGER, BARR & CO. LLP |
| Accountancy firm EIN | 2019-12-31 | 161092347 |
| Accountancy firm EIN | 2019-12-31 | 161092347 |
| 2018 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2018 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2018-12-31 | $-12,442 |
| Total unrealized appreciation/depreciation of assets | 2018-12-31 | $-12,442 |
| 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 | $946,826 |
| Total loss/gain on sale of assets | 2018-12-31 | $2,717 |
| Total of all expenses incurred | 2018-12-31 | $607,346 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $592,084 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $1,545,629 |
| Value of total assets at end of year | 2018-12-31 | $8,299,410 |
| Value of total assets at beginning of year | 2018-12-31 | $7,959,930 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $15,262 |
| Total interest from all sources | 2018-12-31 | $20,075 |
| Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $3,251 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-12-31 | No |
| Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
| Value of fidelity bond cover | 2018-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2018-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2018-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2018-12-31 | No |
| Administrative expenses (other) incurred | 2018-12-31 | $15,262 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
| Value of net income/loss | 2018-12-31 | $339,480 |
| Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $8,299,410 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $7,959,930 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2018-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2018-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2018-12-31 | $5,583,590 |
| Value of interest in pooled separate accounts at beginning of year | 2018-12-31 | $5,413,329 |
| Interest earned on other investments | 2018-12-31 | $20,075 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2018-12-31 | $1,032,545 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2018-12-31 | $968,985 |
| Net investment gain/loss from pooled separate accounts | 2018-12-31 | $-612,404 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2018-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2018-12-31 | No |
| Assets. Invements in employer securities at end of year | 2018-12-31 | $130,690 |
| Assets. Invements in employer securities at beginning of year | 2018-12-31 | $118,716 |
| Contributions received in cash from employer | 2018-12-31 | $1,545,629 |
| Employer contributions (assets) at end of year | 2018-12-31 | $1,552,585 |
| Employer contributions (assets) at beginning of year | 2018-12-31 | $1,458,900 |
| Income. Dividends from common stock | 2018-12-31 | $3,251 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $592,084 |
| Did the plan have assets held for investment | 2018-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-12-31 | No |
| Aggregate proceeds on sale of assets | 2018-12-31 | $10,709 |
| Aggregate carrying amount (costs) on sale of assets | 2018-12-31 | $7,992 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2018-12-31 | Disclaimer |
| Accountancy firm name | 2018-12-31 | MENGEL, METZGER, BARR & CO. LLP |
| Accountancy firm EIN | 2018-12-31 | 161092347 |
| 2017 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2017 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2017-12-31 | $-6,347 |
| Total unrealized appreciation/depreciation of assets | 2017-12-31 | $-6,347 |
| 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 | $2,344,840 |
| Total loss/gain on sale of assets | 2017-12-31 | $-104 |
| Total of all expenses incurred | 2017-12-31 | $309,389 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $283,939 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-12-31 | $1,460,770 |
| Value of total assets at end of year | 2017-12-31 | $7,959,930 |
| Value of total assets at beginning of year | 2017-12-31 | $5,924,479 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $25,450 |
| Total interest from all sources | 2017-12-31 | $16,065 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $1,580 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-12-31 | No |
| Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
| Value of fidelity bond cover | 2017-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2017-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2017-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | No |
| Administrative expenses (other) incurred | 2017-12-31 | $25,450 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Value of net income/loss | 2017-12-31 | $2,035,451 |
| Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $7,959,930 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $5,924,479 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2017-12-31 | $5,413,329 |
| Value of interest in pooled separate accounts at beginning of year | 2017-12-31 | $3,857,093 |
| Interest earned on other investments | 2017-12-31 | $16,065 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2017-12-31 | $968,985 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2017-12-31 | $726,820 |
| Net investment gain/loss from pooled separate accounts | 2017-12-31 | $872,876 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2017-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2017-12-31 | No |
| Assets. Invements in employer securities at end of year | 2017-12-31 | $118,716 |
| Assets. Invements in employer securities at beginning of year | 2017-12-31 | $54,997 |
| Contributions received in cash from employer | 2017-12-31 | $1,460,770 |
| Employer contributions (assets) at end of year | 2017-12-31 | $1,458,900 |
| Employer contributions (assets) at beginning of year | 2017-12-31 | $1,285,569 |
| Income. Dividends from common stock | 2017-12-31 | $1,580 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $283,939 |
| Did the plan have assets held for investment | 2017-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-12-31 | No |
| Aggregate proceeds on sale of assets | 2017-12-31 | $1,089 |
| Aggregate carrying amount (costs) on sale of assets | 2017-12-31 | $1,193 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2017-12-31 | Disclaimer |
| Accountancy firm name | 2017-12-31 | MENGEL, METZGER, BARR & CO. LLP |
| Accountancy firm EIN | 2017-12-31 | 161092347 |
| 2016 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2016 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2016-12-31 | $13,841 |
| Total unrealized appreciation/depreciation of assets | 2016-12-31 | $13,841 |
| 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 | $1,625,743 |
| Total loss/gain on sale of assets | 2016-12-31 | $24,868 |
| Total of all expenses incurred | 2016-12-31 | $406,007 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $387,057 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-12-31 | $1,285,569 |
| Value of total assets at end of year | 2016-12-31 | $5,924,479 |
| Value of total assets at beginning of year | 2016-12-31 | $4,704,743 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $18,950 |
| Total interest from all sources | 2016-12-31 | $11,930 |
| Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $1,996 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-12-31 | No |
| Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
| Value of fidelity bond cover | 2016-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2016-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2016-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | No |
| Administrative expenses (other) incurred | 2016-12-31 | $18,950 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Value of net income/loss | 2016-12-31 | $1,219,736 |
| Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $5,924,479 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $4,704,743 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2016-12-31 | $3,857,093 |
| Value of interest in pooled separate accounts at beginning of year | 2016-12-31 | $2,764,581 |
| Interest earned on other investments | 2016-12-31 | $11,930 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2016-12-31 | $726,820 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2016-12-31 | $528,993 |
| Net investment gain/loss from pooled separate accounts | 2016-12-31 | $287,539 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2016-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-12-31 | No |
| Assets. Invements in employer securities at end of year | 2016-12-31 | $54,997 |
| Assets. Invements in employer securities at beginning of year | 2016-12-31 | $50,946 |
| Contributions received in cash from employer | 2016-12-31 | $1,285,569 |
| Employer contributions (assets) at end of year | 2016-12-31 | $1,285,569 |
| Employer contributions (assets) at beginning of year | 2016-12-31 | $1,360,223 |
| Income. Dividends from common stock | 2016-12-31 | $1,996 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $387,057 |
| Did the plan have assets held for investment | 2016-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-12-31 | No |
| Aggregate proceeds on sale of assets | 2016-12-31 | $59,340 |
| Aggregate carrying amount (costs) on sale of assets | 2016-12-31 | $34,472 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2016-12-31 | Disclaimer |
| Accountancy firm name | 2016-12-31 | MENGEL, METZGER, BARR & CO. LLP |
| Accountancy firm EIN | 2016-12-31 | 161092347 |
| 2015 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2015 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2015-12-31 | $1,690 |
| Total unrealized appreciation/depreciation of assets | 2015-12-31 | $1,690 |
| 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 | $1,378,694 |
| Total loss/gain on sale of assets | 2015-12-31 | $0 |
| Total of all expenses incurred | 2015-12-31 | $136,669 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $117,345 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-12-31 | $1,360,223 |
| Value of total assets at end of year | 2015-12-31 | $4,704,743 |
| Value of total assets at beginning of year | 2015-12-31 | $3,462,718 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $19,324 |
| Total interest from all sources | 2015-12-31 | $9,368 |
| Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $1,364 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-12-31 | No |
| Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
| Value of fidelity bond cover | 2015-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2015-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
| Administrative expenses (other) incurred | 2015-12-31 | $19,324 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Value of net income/loss | 2015-12-31 | $1,242,025 |
| Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $4,704,743 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $3,462,718 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-12-31 | No |
| Value of interest in pooled separate accounts at end of year | 2015-12-31 | $2,764,581 |
| Value of interest in pooled separate accounts at beginning of year | 2015-12-31 | $1,803,371 |
| Interest earned on other investments | 2015-12-31 | $9,368 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2015-12-31 | $528,993 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2015-12-31 | $313,881 |
| Net investment gain/loss from pooled separate accounts | 2015-12-31 | $6,049 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2015-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-12-31 | No |
| Assets. Invements in employer securities at end of year | 2015-12-31 | $50,946 |
| Assets. Invements in employer securities at beginning of year | 2015-12-31 | $32,603 |
| Contributions received in cash from employer | 2015-12-31 | $1,360,223 |
| Employer contributions (assets) at end of year | 2015-12-31 | $1,360,223 |
| Employer contributions (assets) at beginning of year | 2015-12-31 | $1,312,863 |
| Income. Dividends from common stock | 2015-12-31 | $1,364 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $117,345 |
| Did the plan have assets held for investment | 2015-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Disclaimer |
| Accountancy firm name | 2015-12-31 | MENGEL, METZER, BARR AND CO |
| Accountancy firm EIN | 2015-12-31 | 161092347 |
| 2014 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2014 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2014-12-31 | $2,758 |
| Total unrealized appreciation/depreciation of assets | 2014-12-31 | $2,758 |
| 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 | $1,403,915 |
| Total loss/gain on sale of assets | 2014-12-31 | $76 |
| Total of all expenses incurred | 2014-12-31 | $133,429 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $120,432 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-12-31 | $1,312,863 |
| Value of total assets at end of year | 2014-12-31 | $3,462,718 |
| Value of total assets at beginning of year | 2014-12-31 | $2,192,232 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $12,997 |
| Total interest from all sources | 2014-12-31 | $5,836 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $2,486 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2014-12-31 | $1,604 |
| Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
| Value of fidelity bond cover | 2014-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2014-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
| Administrative expenses (other) incurred | 2014-12-31 | $12,997 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
| Value of net income/loss | 2014-12-31 | $1,270,486 |
| Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $3,462,718 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $2,192,232 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $512,754 |
| Value of interest in pooled separate accounts at end of year | 2014-12-31 | $1,803,371 |
| Value of interest in pooled separate accounts at beginning of year | 2014-12-31 | $586,628 |
| Interest earned on other investments | 2014-12-31 | $5,836 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2014-12-31 | $313,881 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2014-12-31 | $181,385 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $48,395 |
| Net investment gain/loss from pooled separate accounts | 2014-12-31 | $31,501 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2014-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-12-31 | No |
| Assets. Invements in employer securities at end of year | 2014-12-31 | $32,603 |
| Assets. Invements in employer securities at beginning of year | 2014-12-31 | $19,433 |
| Contributions received in cash from employer | 2014-12-31 | $1,312,863 |
| Employer contributions (assets) at end of year | 2014-12-31 | $1,312,863 |
| Employer contributions (assets) at beginning of year | 2014-12-31 | $892,032 |
| Income. Dividends from preferred stock | 2014-12-31 | $882 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $120,432 |
| Did the plan have assets held for investment | 2014-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
| Aggregate proceeds on sale of assets | 2014-12-31 | $1,163 |
| Aggregate carrying amount (costs) on sale of assets | 2014-12-31 | $1,087 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Disclaimer |
| Accountancy firm name | 2014-12-31 | MENGEL, METZER, BARR AND CO LLP |
| Accountancy firm EIN | 2014-12-31 | 169109234 |
| 2013 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2013 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2013-12-31 | $4,091 |
| Total unrealized appreciation/depreciation of assets | 2013-12-31 | $4,091 |
| 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 | $1,094,442 |
| Total loss/gain on sale of assets | 2013-12-31 | $72 |
| Total of all expenses incurred | 2013-12-31 | $84,992 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $75,929 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $892,032 |
| Value of total assets at end of year | 2013-12-31 | $2,192,232 |
| Value of total assets at beginning of year | 2013-12-31 | $1,182,782 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $9,063 |
| Total interest from all sources | 2013-12-31 | $3,480 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $5,362 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $4,847 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Administrative expenses (other) incurred | 2013-12-31 | $9,063 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Value of net income/loss | 2013-12-31 | $1,009,450 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $2,192,232 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $1,182,782 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $512,754 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $251,791 |
| Value of interest in pooled separate accounts at end of year | 2013-12-31 | $586,628 |
| Value of interest in pooled separate accounts at beginning of year | 2013-12-31 | $287,953 |
| Interest earned on other investments | 2013-12-31 | $3,480 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2013-12-31 | $181,385 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2013-12-31 | $102,525 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $87,898 |
| Net investment gain/loss from pooled separate accounts | 2013-12-31 | $101,507 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
| Assets. Invements in employer securities at end of year | 2013-12-31 | $19,433 |
| Assets. Invements in employer securities at beginning of year | 2013-12-31 | $8,128 |
| Contributions received in cash from employer | 2013-12-31 | $892,032 |
| Employer contributions (assets) at end of year | 2013-12-31 | $892,032 |
| Employer contributions (assets) at beginning of year | 2013-12-31 | $532,385 |
| Income. Dividends from common stock | 2013-12-31 | $515 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $75,929 |
| Did the plan have assets held for investment | 2013-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
| Aggregate proceeds on sale of assets | 2013-12-31 | $664 |
| Aggregate carrying amount (costs) on sale of assets | 2013-12-31 | $592 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Disclaimer |
| Accountancy firm name | 2013-12-31 | MENGEL, METZER, BARR AND CO LLP |
| Accountancy firm EIN | 2013-12-31 | 161092347 |
| 2012 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2012 401k financial data |
|---|
| Unrealized appreciation/depreciation of real estate assets | 2012-12-31 | $-30 |
| Total unrealized appreciation/depreciation of assets | 2012-12-31 | $-30 |
| 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 | $577,259 |
| Total loss/gain on sale of assets | 2012-12-31 | $0 |
| Total of all expenses incurred | 2012-12-31 | $102,781 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $95,824 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $532,385 |
| Value of total assets at end of year | 2012-12-31 | $1,182,782 |
| Value of total assets at beginning of year | 2012-12-31 | $708,304 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $6,957 |
| Total interest from all sources | 2012-12-31 | $2,365 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $4,423 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $4,181 |
| Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
| Value of fidelity bond cover | 2012-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
| Administrative expenses (other) incurred | 2012-12-31 | $6,957 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Value of net income/loss | 2012-12-31 | $474,478 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $1,182,782 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $708,304 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $251,791 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $88,803 |
| Value of interest in pooled separate accounts at end of year | 2012-12-31 | $287,953 |
| Value of interest in pooled separate accounts at beginning of year | 2012-12-31 | $101,374 |
| Interest earned on other investments | 2012-12-31 | $2,365 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2012-12-31 | $102,525 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2012-12-31 | $41,976 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $20,525 |
| Net investment gain/loss from pooled separate accounts | 2012-12-31 | $17,591 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
| Assets. Invements in employer securities at end of year | 2012-12-31 | $8,128 |
| Assets. Invements in employer securities at beginning of year | 2012-12-31 | $2,253 |
| Contributions received in cash from employer | 2012-12-31 | $532,385 |
| Employer contributions (assets) at end of year | 2012-12-31 | $532,385 |
| Employer contributions (assets) at beginning of year | 2012-12-31 | $473,898 |
| Income. Dividends from common stock | 2012-12-31 | $242 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $95,824 |
| Did the plan have assets held for investment | 2012-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Disclaimer |
| Accountancy firm name | 2012-12-31 | MENGEL, METZER, BARR AND CO LLP |
| Accountancy firm EIN | 2012-12-31 | 161092347 |
| 2011 : TOMPKINS FINANCIAL CORPORATION DEFINED CONTRIBUTION RETIREMENT PLAN 2011 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2011-12-31 | $-102 |
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $-102 |
| 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 | $452,982 |
| Total loss/gain on sale of assets | 2011-12-31 | $0 |
| Total of all expenses incurred | 2011-12-31 | $57,197 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $44,697 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $473,898 |
| Value of total assets at end of year | 2011-12-31 | $708,304 |
| Value of total assets at beginning of year | 2011-12-31 | $312,519 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $12,500 |
| Total interest from all sources | 2011-12-31 | $1,056 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $1,483 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2011-12-31 | $1,423 |
| Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
| Value of fidelity bond cover | 2011-12-31 | $10,000,000 |
| If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-12-31 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
| Administrative expenses (other) incurred | 2011-12-31 | $12,500 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
| Value of net income/loss | 2011-12-31 | $395,785 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $708,304 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $312,519 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $88,803 |
| Value of interest in pooled separate accounts at end of year | 2011-12-31 | $101,374 |
| Interest earned on other investments | 2011-12-31 | $1,056 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2011-12-31 | $41,976 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-14,969 |
| Net investment gain/loss from pooled separate accounts | 2011-12-31 | $-8,384 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
| Assets. Invements in employer securities at end of year | 2011-12-31 | $2,253 |
| Contributions received in cash from employer | 2011-12-31 | $473,898 |
| Employer contributions (assets) at end of year | 2011-12-31 | $473,898 |
| Employer contributions (assets) at beginning of year | 2011-12-31 | $312,519 |
| Income. Dividends from common stock | 2011-12-31 | $60 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $44,697 |
| Did the plan have assets held for investment | 2011-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Disclaimer |
| Accountancy firm name | 2011-12-31 | MENGEL,METZER,BARR AND CO LLP |
| Accountancy firm EIN | 2011-12-31 | 161092347 |
