401k Plan data: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN plan

TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 401k Plan overview

Plan Name	TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN
Plan identification number	006

TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
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.

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 2015 DEFINED CONTRIBUTION RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
006 2021-01-01
006 2020-01-01
006 2019-01-01
006 2018-01-01
006 2017-01-01 CHRISTOPHER CHINICI CHRISTOPHER CHINICI 2018-10-11
006 2016-01-01 CHRISTOPHER CHINICI CHRISTOPHER CHINICI 2017-10-12
006 2015-08-01 CHRISTOPHER CHINICI CHRISTOPHER CHINICI 2016-10-13

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
006	2021-01-01
006	2020-01-01
006	2019-01-01
006	2018-01-01
006	2017-01-01	CHRISTOPHER CHINICI	CHRISTOPHER CHINICI	2018-10-11
006	2016-01-01	CHRISTOPHER CHINICI	CHRISTOPHER CHINICI	2017-10-12
006	2015-08-01	CHRISTOPHER CHINICI	CHRISTOPHER CHINICI	2016-10-13

Plan Statistics for TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN

401k plan membership statisitcs for TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN

Measure Date Value
2021: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 345
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 0
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 0
Total of all active and inactive participants 2021-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 0
Number of participants with account balances 2021-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 359
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 314
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 31
Total of all active and inactive participants 2020-01-01 345
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 345
Number of participants with account balances 2020-01-01 345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 379
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 333
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 26
Total of all active and inactive participants 2019-01-01 359
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 359
Number of participants with account balances 2019-01-01 359
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 398
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 350
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 29
Total of all active and inactive participants 2018-01-01 379
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 379
Number of participants with account balances 2018-01-01 379
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 419
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 387
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 11
Total of all active and inactive participants 2017-01-01 398
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 398
Number of participants with account balances 2017-01-01 398
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 439
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 408
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 11
Total of all active and inactive participants 2016-01-01 419
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 419
Number of participants with account balances 2016-01-01 419
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-08-01 439
Total number of active participants reported on line 7a of the Form 5500 2015-08-01 439
Number of retired or separated participants receiving benefits 2015-08-01 0
Number of other retired or separated participants entitled to future benefits 2015-08-01 0
Total of all active and inactive participants 2015-08-01 439
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-08-01 0
Total participants 2015-08-01 439
Number of participants with account balances 2015-08-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-08-01 0

Measure	Date	Value
2021: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	345
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	0
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	0
Total of all active and inactive participants	2021-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	0
Number of participants with account balances	2021-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	359
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	314
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	31
Total of all active and inactive participants	2020-01-01	345
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	345
Number of participants with account balances	2020-01-01	345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	379
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	333
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	26
Total of all active and inactive participants	2019-01-01	359
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	359
Number of participants with account balances	2019-01-01	359
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	398
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	350
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	29
Total of all active and inactive participants	2018-01-01	379
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	379
Number of participants with account balances	2018-01-01	379
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	419
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	387
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	11
Total of all active and inactive participants	2017-01-01	398
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	398
Number of participants with account balances	2017-01-01	398
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	439
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	408
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	11
Total of all active and inactive participants	2016-01-01	419
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	419
Number of participants with account balances	2016-01-01	419
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-08-01	439
Total number of active participants reported on line 7a of the Form 5500	2015-08-01	439
Number of retired or separated participants receiving benefits	2015-08-01	0
Number of other retired or separated participants entitled to future benefits	2015-08-01	0
Total of all active and inactive participants	2015-08-01	439
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-08-01	0
Total participants	2015-08-01	439
Number of participants with account balances	2015-08-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-08-01	0

Financial Data on TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN

Measure	Date	Value
2021 : TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2021-12-14	$989
Total unrealized appreciation/depreciation of assets	2021-12-14	$989
Total transfer of assets from this plan	2021-12-14	$14,723,388
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	$1,271,979
Total loss/gain on sale of assets	2021-12-14	$1,029
Total of all expenses incurred	2021-12-14	$744,983
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-14	$719,963
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-14	$1,481
Value of total assets at end of year	2021-12-14	$0
Value of total assets at beginning of year	2021-12-14	$14,196,392
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-14	$25,020
Total interest from all sources	2021-12-14	$50,456
Total dividends received (eg from common stock, registered investment company shares)	2021-12-14	$93,937
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	$93,155
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	$25,020
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	$526,996
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	$14,196,392
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	$4,967,167
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	$4,280,158
Interest earned on other investments	2021-12-14	$50,456
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	$2,630,616
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-14	$589,241
Net investment gain/loss from pooled separate accounts	2021-12-14	$534,846
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	$22,036
Contributions received in cash from employer	2021-12-14	$1,481
Employer contributions (assets) at end of year	2021-12-14	$0
Employer contributions (assets) at beginning of year	2021-12-14	$2,296,415
Income. Dividends from common stock	2021-12-14	$782
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-14	$719,963
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	$30,899
Aggregate carrying amount (costs) on sale of assets	2021-12-14	$29,870
Opinion of an independent qualified public accountant for this plan	2021-12-14	Unqualified
Accountancy firm name	2021-12-14	MENGEL METZGER BARR AND CO.
Accountancy firm EIN	2021-12-14	161092347
2020 : TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2020-12-31	$-4,574
Total unrealized appreciation/depreciation of assets	2020-12-31	$-4,574
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	$3,916,115
Total loss/gain on sale of assets	2020-12-31	$-580
Total of all expenses incurred	2020-12-31	$692,279
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$672,646
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$2,298,028
Value of total assets at end of year	2020-12-31	$14,196,392
Value of total assets at beginning of year	2020-12-31	$10,972,556
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$19,633
Total interest from all sources	2020-12-31	$43,852
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$82,220
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	$81,584
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
Administrative expenses (other) incurred	2020-12-31	$19,633
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	$3,223,836
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$14,196,392
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$10,972,556
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	$4,967,167
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$3,602,268
Value of interest in pooled separate accounts at end of year	2020-12-31	$4,280,158
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$3,169,044
Interest earned on other investments	2020-12-31	$43,852
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$2,630,616
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$1,832,952
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$766,115
Net investment gain/loss from pooled separate accounts	2020-12-31	$731,054
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	$22,036
Assets. Invements in employer securities at beginning of year	2020-12-31	$30,286
Contributions received in cash from employer	2020-12-31	$2,298,028
Employer contributions (assets) at end of year	2020-12-31	$2,296,415
Employer contributions (assets) at beginning of year	2020-12-31	$2,338,006
Income. Dividends from common stock	2020-12-31	$636
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$672,646
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	$11,985
Aggregate carrying amount (costs) on sale of assets	2020-12-31	$12,565
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	MENGEL METZGER BARR AND CO.
Accountancy firm EIN	2020-12-31	161092347
2019 : TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$4,973
Total unrealized appreciation/depreciation of assets	2019-12-31	$4,973
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	$3,613,319
Total loss/gain on sale of assets	2019-12-31	$41
Total of all expenses incurred	2019-12-31	$461,943
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$448,210
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$2,338,006
Value of total assets at end of year	2019-12-31	$10,972,556
Value of total assets at beginning of year	2019-12-31	$7,821,180
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$13,733
Total interest from all sources	2019-12-31	$35,860
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$75,759
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	$75,141
Was this plan covered by a fidelity bond	2019-12-31	Yes
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
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	$13,733
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	$3,151,376
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$10,972,556
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$7,821,180
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 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	$3,602,268
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	$3,169,044
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$4,277,848
Interest earned on other investments	2019-12-31	$35,860
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$1,832,952
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,173,816
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$369,235
Net investment gain/loss from pooled separate accounts	2019-12-31	$789,445
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
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	$30,286
Assets. Invements in employer securities at beginning of year	2019-12-31	$15,404
Contributions received in cash from employer	2019-12-31	$2,338,006
Employer contributions (assets) at end of year	2019-12-31	$2,338,006
Employer contributions (assets) at beginning of year	2019-12-31	$2,354,112
Income. Dividends from common stock	2019-12-31	$618
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$448,210
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
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	$1,047
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$1,006
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
Accountancy firm name	2019-12-31	MENGEL METZGER BARR AND CO.
Accountancy firm EIN	2019-12-31	161092347
2018 : TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$-1,176
Total unrealized appreciation/depreciation of assets	2018-12-31	$-1,176
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	$1,906,700
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$351,624
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$351,624
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,344,350
Value of total assets at end of year	2018-12-31	$7,821,180
Value of total assets at beginning of year	2018-12-31	$6,266,104
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$0
Total interest from all sources	2018-12-31	$21,350
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$344
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
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	$1,555,076
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$7,821,180
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$6,266,104
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	$4,277,848
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$3,032,358
Interest earned on other investments	2018-12-31	$21,350
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$1,173,816
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$763,476
Net investment gain/loss from pooled separate accounts	2018-12-31	$-458,168
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	$15,404
Assets. Invements in employer securities at beginning of year	2018-12-31	$8,098
Contributions received in cash from employer	2018-12-31	$2,344,350
Employer contributions (assets) at end of year	2018-12-31	$2,354,112
Employer contributions (assets) at beginning of year	2018-12-31	$2,462,172
Income. Dividends from common stock	2018-12-31	$344
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$351,624
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
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 AND CO.LLP
Accountancy firm EIN	2018-12-31	161092347
2017 : TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-12-31	$-333
Total unrealized appreciation/depreciation of assets	2017-12-31	$-333
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	$2,882,137
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$231,452
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$231,452
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,462,486
Value of total assets at end of year	2017-12-31	$6,266,104
Value of total assets at beginning of year	2017-12-31	$3,615,419
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$0
Total interest from all sources	2017-12-31	$10,299
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$138
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
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	$2,650,685
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$6,266,104
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$3,615,419
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	$3,032,358
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$912,991
Interest earned on other investments	2017-12-31	$10,299
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$763,476
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$217,997
Net investment gain/loss from pooled separate accounts	2017-12-31	$409,547
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	$8,098
Assets. Invements in employer securities at beginning of year	2017-12-31	$713
Contributions received in cash from employer	2017-12-31	$2,462,486
Employer contributions (assets) at end of year	2017-12-31	$2,462,172
Employer contributions (assets) at beginning of year	2017-12-31	$2,483,718
Income. Dividends from common stock	2017-12-31	$138
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$231,452
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
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 AND CO.LLP
Accountancy firm EIN	2017-12-31	161092347
2016 : TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$122
Total unrealized appreciation/depreciation of assets	2016-12-31	$122
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	$2,561,143
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$24,027
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$24,002
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,483,718
Value of total assets at end of year	2016-12-31	$3,615,419
Value of total assets at beginning of year	2016-12-31	$1,078,303
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$25
Total interest from all sources	2016-12-31	$2,752
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1
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	$25
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	$2,537,116
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$3,615,419
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$1,078,303
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	$912,991
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$0
Interest earned on other investments	2016-12-31	$2,752
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$217,997
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$0
Net investment gain/loss from pooled separate accounts	2016-12-31	$74,550
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	$713
Assets. Invements in employer securities at beginning of year	2016-12-31	$0
Contributions received in cash from employer	2016-12-31	$2,483,718
Employer contributions (assets) at end of year	2016-12-31	$2,483,718
Employer contributions (assets) at beginning of year	2016-12-31	$1,078,303
Income. Dividends from common stock	2016-12-31	$1
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$24,002
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
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 AND CO.LLP
Accountancy firm EIN	2016-12-31	161092347
2015 : TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
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	$1,078,303
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,078,303
Value of total assets at end of year	2015-12-31	$1,078,303
Value of total assets at beginning of year	2015-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$0
Total interest from all sources	2015-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
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
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	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	2015-12-31	No
Value of net income/loss	2015-12-31	$1,078,303
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$1,078,303
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$0
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
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
Contributions received in cash from employer	2015-12-31	$1,078,303
Employer contributions (assets) at end of year	2015-12-31	$1,078,303
Did the plan have assets held for investment	2015-12-31	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	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	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	MENGEL METZGER BARR AND CO.LLP
Accountancy firm EIN	2015-12-31	169109234

Form 5500 Responses for TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN

2021: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	Yes
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: TOMPKINS FINANCIAL CORPORATION 2015 DEFINED CONTRIBUTION RETIREMENT PLAN 2015 form 5500 responses
2015-08-01	Type of plan entity	Single employer plan
2015-08-01	First time form 5500 has been submitted	Yes
2015-08-01	Submission has been amended	No
2015-08-01	This submission is the final filing	No
2015-08-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-08-01	Plan is a collectively bargained plan	No
2015-08-01	Plan funding arrangement – Trust	Yes
2015-08-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

074365

Policy instance

Insurance contract or identification number	074365
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-14
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074365

Policy instance

Insurance contract or identification number	074365
Number of Individuals Covered	345
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074365

Policy instance

Insurance contract or identification number	074365
Number of Individuals Covered	359
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074365

Policy instance

Insurance contract or identification number	074365
Number of Individuals Covered	379
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

074365

Policy instance

Insurance contract or identification number	074365
Number of Individuals Covered	398
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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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Company Name:	TOMPKINS TRUST COMPANY
Employer identification number (EIN):	150470650
NAIC Classification:	522110
NAIC Description:	Commercial Banking