401k Plan data: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN plan

TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN
Plan identification number	002

TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
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.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

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 INVESTMENT AND STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 CHRISTOPHER CHINICI CHRISTOPHER CHINICI 2018-10-11
002 2016-01-01 CHINICI CHINICI 2017-10-10
002 2015-01-01 CHRISTOPHER CHINICI, EA CHRISTOPHER CHINICI, EA 2016-10-13
002 2014-01-01 CHRISTOPHER CHINICI, EA CHRISTOPHER CHINICI, EA 2015-07-29
002 2013-01-01 CINDY CUTE
002 2012-01-01 CINDY CUTE CINDY CUTE 2013-07-30
002 2011-01-01 CINDY CUTE
002 2009-01-01 CINDY CUTE CINDY CUTE 2010-07-29

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01
002	2021-01-01
002	2020-01-01
002	2019-01-01
002	2018-01-01
002	2017-01-01	CHRISTOPHER CHINICI	CHRISTOPHER CHINICI	2018-10-11
002	2016-01-01	CHINICI	CHINICI	2017-10-10
002	2015-01-01	CHRISTOPHER CHINICI, EA	CHRISTOPHER CHINICI, EA	2016-10-13
002	2014-01-01	CHRISTOPHER CHINICI, EA	CHRISTOPHER CHINICI, EA	2015-07-29
002	2013-01-01	CINDY CUTE
002	2012-01-01	CINDY CUTE	CINDY CUTE	2013-07-30
002	2011-01-01	CINDY CUTE
002	2009-01-01	CINDY CUTE	CINDY CUTE	2010-07-29

Plan Statistics for TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN

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

Measure Date Value
2022: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 1,483
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 1,044
Number of retired or separated participants receiving benefits 2022-01-01 6
Number of other retired or separated participants entitled to future benefits 2022-01-01 321
Total of all active and inactive participants 2022-01-01 1,371
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 3
Total participants 2022-01-01 1,374
Number of participants with account balances 2022-01-01 1,331
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 58
2021: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 1,416
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 1,072
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 393
Total of all active and inactive participants 2021-01-01 1,465
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 1
Total participants 2021-01-01 1,466
Number of participants with account balances 2021-01-01 1,414
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 41
2020: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 1,369
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 1,051
Number of retired or separated participants receiving benefits 2020-01-01 11
Number of other retired or separated participants entitled to future benefits 2020-01-01 312
Total of all active and inactive participants 2020-01-01 1,374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 1,374
Number of participants with account balances 2020-01-01 1,364
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 11
2019: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 1,348
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 1,055
Number of retired or separated participants receiving benefits 2019-01-01 11
Number of other retired or separated participants entitled to future benefits 2019-01-01 297
Total of all active and inactive participants 2019-01-01 1,363
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 1,363
Number of participants with account balances 2019-01-01 1,363
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 10
2018: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 1,335
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 1,050
Number of retired or separated participants receiving benefits 2018-01-01 13
Number of other retired or separated participants entitled to future benefits 2018-01-01 285
Total of all active and inactive participants 2018-01-01 1,348
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 1,348
Number of participants with account balances 2018-01-01 1,348
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 12
2017: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 1,291
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 1,039
Number of retired or separated participants receiving benefits 2017-01-01 12
Number of other retired or separated participants entitled to future benefits 2017-01-01 284
Total of all active and inactive participants 2017-01-01 1,335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 1,335
Number of participants with account balances 2017-01-01 1,335
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 9
2016: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 1,253
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 1,021
Number of retired or separated participants receiving benefits 2016-01-01 9
Number of other retired or separated participants entitled to future benefits 2016-01-01 261
Total of all active and inactive participants 2016-01-01 1,291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 1,291
Number of participants with account balances 2016-01-01 1,291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 11
2015: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 1,222
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 1,009
Number of retired or separated participants receiving benefits 2015-01-01 7
Number of other retired or separated participants entitled to future benefits 2015-01-01 237
Total of all active and inactive participants 2015-01-01 1,253
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 1,253
Number of participants with account balances 2015-01-01 1,253
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 9
2014: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 1,209
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1,005
Number of retired or separated participants receiving benefits 2014-01-01 4
Number of other retired or separated participants entitled to future benefits 2014-01-01 213
Total of all active and inactive participants 2014-01-01 1,222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 1,222
Number of participants with account balances 2014-01-01 1,222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 10
2013: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,251
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 1,048
Number of retired or separated participants receiving benefits 2013-01-01 3
Number of other retired or separated participants entitled to future benefits 2013-01-01 221
Total of all active and inactive participants 2013-01-01 1,272
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 1,272
Number of participants with account balances 2013-01-01 1,209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 819
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,048
Number of retired or separated participants receiving benefits 2012-01-01 3
Number of other retired or separated participants entitled to future benefits 2012-01-01 193
Total of all active and inactive participants 2012-01-01 1,244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 1,244
Number of participants with account balances 2012-01-01 1,133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3
2011: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 804
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 693
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 117
Total of all active and inactive participants 2011-01-01 811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 811
Number of participants with account balances 2011-01-01 811
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 802
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 688
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 123
Total of all active and inactive participants 2009-01-01 811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 811
Number of participants with account balances 2009-01-01 811
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2022: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	1,483
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	1,044
Number of retired or separated participants receiving benefits	2022-01-01	6
Number of other retired or separated participants entitled to future benefits	2022-01-01	321
Total of all active and inactive participants	2022-01-01	1,371
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	3
Total participants	2022-01-01	1,374
Number of participants with account balances	2022-01-01	1,331
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	58
2021: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	1,416
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	1,072
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	393
Total of all active and inactive participants	2021-01-01	1,465
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	1
Total participants	2021-01-01	1,466
Number of participants with account balances	2021-01-01	1,414
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	41
2020: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	1,369
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	1,051
Number of retired or separated participants receiving benefits	2020-01-01	11
Number of other retired or separated participants entitled to future benefits	2020-01-01	312
Total of all active and inactive participants	2020-01-01	1,374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	1,374
Number of participants with account balances	2020-01-01	1,364
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	11
2019: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	1,348
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	1,055
Number of retired or separated participants receiving benefits	2019-01-01	11
Number of other retired or separated participants entitled to future benefits	2019-01-01	297
Total of all active and inactive participants	2019-01-01	1,363
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	1,363
Number of participants with account balances	2019-01-01	1,363
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	10
2018: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	1,335
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	1,050
Number of retired or separated participants receiving benefits	2018-01-01	13
Number of other retired or separated participants entitled to future benefits	2018-01-01	285
Total of all active and inactive participants	2018-01-01	1,348
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	1,348
Number of participants with account balances	2018-01-01	1,348
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	12
2017: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	1,291
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	1,039
Number of retired or separated participants receiving benefits	2017-01-01	12
Number of other retired or separated participants entitled to future benefits	2017-01-01	284
Total of all active and inactive participants	2017-01-01	1,335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	1,335
Number of participants with account balances	2017-01-01	1,335
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	9
2016: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	1,253
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	1,021
Number of retired or separated participants receiving benefits	2016-01-01	9
Number of other retired or separated participants entitled to future benefits	2016-01-01	261
Total of all active and inactive participants	2016-01-01	1,291
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	1,291
Number of participants with account balances	2016-01-01	1,291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	11
2015: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	1,222
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	1,009
Number of retired or separated participants receiving benefits	2015-01-01	7
Number of other retired or separated participants entitled to future benefits	2015-01-01	237
Total of all active and inactive participants	2015-01-01	1,253
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	1,253
Number of participants with account balances	2015-01-01	1,253
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	9
2014: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	1,209
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1,005
Number of retired or separated participants receiving benefits	2014-01-01	4
Number of other retired or separated participants entitled to future benefits	2014-01-01	213
Total of all active and inactive participants	2014-01-01	1,222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	1,222
Number of participants with account balances	2014-01-01	1,222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	10
2013: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,251
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	1,048
Number of retired or separated participants receiving benefits	2013-01-01	3
Number of other retired or separated participants entitled to future benefits	2013-01-01	221
Total of all active and inactive participants	2013-01-01	1,272
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	1,272
Number of participants with account balances	2013-01-01	1,209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	819
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,048
Number of retired or separated participants receiving benefits	2012-01-01	3
Number of other retired or separated participants entitled to future benefits	2012-01-01	193
Total of all active and inactive participants	2012-01-01	1,244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	1,244
Number of participants with account balances	2012-01-01	1,133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3
2011: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	804
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	693
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	117
Total of all active and inactive participants	2011-01-01	811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	811
Number of participants with account balances	2011-01-01	811
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	802
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	688
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	123
Total of all active and inactive participants	2009-01-01	811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	811
Number of participants with account balances	2009-01-01	811
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN

Measure	Date	Value
2022 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2022-12-31	$-911,975
Total unrealized appreciation/depreciation of assets	2022-12-31	$-911,975
Total transfer of assets to this plan	2022-12-31	$130,809
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-13,465,609
Total loss/gain on sale of assets	2022-12-31	$-276,429
Total of all expenses incurred	2022-12-31	$19,010,331
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$18,839,720
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$16,835,790
Value of total assets at end of year	2022-12-31	$186,857,720
Value of total assets at beginning of year	2022-12-31	$219,202,851
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$170,611
Total interest from all sources	2022-12-31	$130,246
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$3,391,062
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$2,971,022
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$7,375,777
Participant contributions at end of year	2022-12-31	$2,661,699
Participant contributions at beginning of year	2022-12-31	$2,906,760
Participant contributions at end of year	2022-12-31	$230,809
Participant contributions at beginning of year	2022-12-31	$750,025
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$2,196,335
Other income not declared elsewhere	2022-12-31	$1,778
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-32,475,940
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$186,857,720
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$219,202,851
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$161,737,827
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$194,286,496
Interest on participant loans	2022-12-31	$130,246
Value of interest in common/collective trusts at end of year	2022-12-31	$5,018,013
Value of interest in common/collective trusts at beginning of year	2022-12-31	$1,064,651
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-32,521,008
Net investment gain or loss from common/collective trusts	2022-12-31	$-115,073
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Assets. Invements in employer securities at end of year	2022-12-31	$12,936,303
Assets. Invements in employer securities at beginning of year	2022-12-31	$15,906,523
Contributions received in cash from employer	2022-12-31	$7,263,678
Employer contributions (assets) at end of year	2022-12-31	$4,273,069
Employer contributions (assets) at beginning of year	2022-12-31	$4,288,396
Income. Dividends from common stock	2022-12-31	$420,040
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$18,839,720
Contract administrator fees	2022-12-31	$170,611
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Aggregate proceeds on sale of assets	2022-12-31	$2,983,064
Aggregate carrying amount (costs) on sale of assets	2022-12-31	$3,259,493
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	MENGEL, METZGER, BARR & CO.
Accountancy firm EIN	2022-12-31	161092347
2021 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2021-12-31	$-2,949,425
Total unrealized appreciation/depreciation of assets	2021-12-31	$-2,949,425
Total transfer of assets to this plan	2021-12-31	$29,320,300
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$40,713,695
Total loss/gain on sale of assets	2021-12-31	$5,364,399
Total of all expenses incurred	2021-12-31	$10,528,182
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$10,283,561
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$16,791,432
Value of total assets at end of year	2021-12-31	$219,202,851
Value of total assets at beginning of year	2021-12-31	$159,697,038
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$244,621
Total interest from all sources	2021-12-31	$555,711
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$3,560,621
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$3,153,008
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$8,311,712
Participant contributions at end of year	2021-12-31	$2,906,760
Participant contributions at beginning of year	2021-12-31	$2,741,668
Participant contributions at end of year	2021-12-31	$750,025
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$1,192,832
Other income not declared elsewhere	2021-12-31	$-3,955
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$30,185,513
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$219,202,851
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$159,697,038
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$194,286,496
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$59,442,211
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$59,346,636
Interest on participant loans	2021-12-31	$139,774
Interest earned on other investments	2021-12-31	$415,937
Value of interest in common/collective trusts at end of year	2021-12-31	$1,064,651
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$25,156,435
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$9,498,727
Net investment gain/loss from pooled separate accounts	2021-12-31	$7,883,159
Net investment gain or loss from common/collective trusts	2021-12-31	$13,026
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Assets. Invements in employer securities at end of year	2021-12-31	$15,906,523
Assets. Invements in employer securities at beginning of year	2021-12-31	$13,010,088
Contributions received in cash from employer	2021-12-31	$7,286,888
Employer contributions (assets) at end of year	2021-12-31	$4,288,396
Income. Dividends from common stock	2021-12-31	$407,613
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$10,283,561
Contract administrator fees	2021-12-31	$244,621
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	2021-12-31	Yes
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Aggregate proceeds on sale of assets	2021-12-31	$5,364,399
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	MENGEL, METZGER, BARR & CO.
Accountancy firm EIN	2021-12-31	161092347
2020 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2020-12-31	$-3,801,905
Total unrealized appreciation/depreciation of assets	2020-12-31	$-3,801,905
Total transfer of assets to this plan	2020-12-31	$184,118
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$23,789,383
Total loss/gain on sale of assets	2020-12-31	$136,049
Total of all expenses incurred	2020-12-31	$8,710,380
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$8,511,546
Value of total corrective distributions	2020-12-31	$10,037
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$10,657,455
Value of total assets at end of year	2020-12-31	$159,697,038
Value of total assets at beginning of year	2020-12-31	$144,433,917
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$188,797
Total interest from all sources	2020-12-31	$602,272
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$1,255,295
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	$876,340
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$1,000,000
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	$117,474
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$7,212,313
Participant contributions at end of year	2020-12-31	$2,741,668
Participant contributions at beginning of year	2020-12-31	$2,676,508
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$524,962
Administrative expenses (other) incurred	2020-12-31	$188,797
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	$15,079,003
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$159,697,038
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$144,433,917
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	$59,442,211
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$50,094,147
Value of interest in pooled separate accounts at end of year	2020-12-31	$59,346,636
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$54,783,880
Interest on participant loans	2020-12-31	$151,624
Interest earned on other investments	2020-12-31	$450,648
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$25,156,435
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$20,666,090
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$6,954,640
Net investment gain/loss from pooled separate accounts	2020-12-31	$7,985,577
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	$13,010,088
Assets. Invements in employer securities at beginning of year	2020-12-31	$16,213,292
Contributions received in cash from employer	2020-12-31	$2,920,180
Income. Dividends from common stock	2020-12-31	$378,955
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$8,511,546
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	$686,088
Aggregate carrying amount (costs) on sale of assets	2020-12-31	$550,039
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	MENGEL, METZGER, BARR & CO.
Accountancy firm EIN	2020-12-31	161092347
2019 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$2,147,067
Total unrealized appreciation/depreciation of assets	2019-12-31	$2,147,067
Total transfer of assets to this plan	2019-12-31	$122,995
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$36,386,729
Total loss/gain on sale of assets	2019-12-31	$883,182
Total of all expenses incurred	2019-12-31	$12,702,022
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$12,552,142
Value of total corrective distributions	2019-12-31	$1,371
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$10,694,522
Value of total assets at end of year	2019-12-31	$144,433,917
Value of total assets at beginning of year	2019-12-31	$120,626,215
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$148,509
Total interest from all sources	2019-12-31	$581,314
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,273,382
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	$906,723
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
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	$268,785
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$6,839,606
Participant contributions at end of year	2019-12-31	$2,676,508
Participant contributions at beginning of year	2019-12-31	$2,829,267
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$1,091,035
Administrative expenses (other) incurred	2019-12-31	$148,509
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	$23,684,707
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$144,433,917
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$120,626,215
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	$50,094,147
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	$54,783,880
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$84,111,824
Interest on participant loans	2019-12-31	$148,774
Interest earned on other investments	2019-12-31	$432,540
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$20,666,090
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$19,064,754
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$5,936,494
Net investment gain/loss from pooled separate accounts	2019-12-31	$14,870,768
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	$16,213,292
Assets. Invements in employer securities at beginning of year	2019-12-31	$14,620,370
Contributions received in cash from employer	2019-12-31	$2,763,881
Income. Dividends from common stock	2019-12-31	$366,659
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$12,552,142
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	$2,510,196
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$1,627,014
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 & CO.
Accountancy firm EIN	2019-12-31	161092347
2018 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$-2,107,535
Total unrealized appreciation/depreciation of assets	2018-12-31	$-2,107,535
Total transfer of assets to this plan	2018-12-31	$183,911
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$2,018,799
Total loss/gain on sale of assets	2018-12-31	$918,924
Total of all expenses incurred	2018-12-31	$11,642,461
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$11,629,571
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$10,330,577
Value of total assets at end of year	2018-12-31	$120,626,215
Value of total assets at beginning of year	2018-12-31	$130,065,966
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$12,890
Total interest from all sources	2018-12-31	$495,913
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$377,698
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	$1,000,000
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
Contributions received from participants	2018-12-31	$6,439,413
Participant contributions at end of year	2018-12-31	$2,829,267
Participant contributions at beginning of year	2018-12-31	$2,720,730
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$1,247,916
Administrative expenses (other) incurred	2018-12-31	$12,890
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	$-9,623,662
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$120,626,215
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$130,065,966
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	$84,111,824
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$91,943,872
Interest on participant loans	2018-12-31	$135,568
Interest earned on other investments	2018-12-31	$360,345
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$19,064,754
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$18,965,743
Net investment gain/loss from pooled separate accounts	2018-12-31	$-7,996,778
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	$14,620,370
Assets. Invements in employer securities at beginning of year	2018-12-31	$16,435,621
Contributions received in cash from employer	2018-12-31	$2,643,248
Income. Dividends from common stock	2018-12-31	$377,698
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$11,629,571
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	$2,014,993
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$1,096,069
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	MENGEL, METZGER, BARR & CO.
Accountancy firm EIN	2018-12-31	161092347
2017 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$-3,556,719
Total unrealized appreciation/depreciation of assets	2017-12-31	$-3,556,719
Total transfer of assets to this plan	2017-12-31	$286,973
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$22,322,184
Total loss/gain on sale of assets	2017-12-31	$871,601
Total of all expenses incurred	2017-12-31	$5,844,049
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$5,832,045
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$9,344,908
Value of total assets at end of year	2017-12-31	$130,065,966
Value of total assets at beginning of year	2017-12-31	$113,300,858
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$12,004
Total interest from all sources	2017-12-31	$427,648
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$369,321
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$369,321
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
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	$175,441
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$6,206,799
Participant contributions at end of year	2017-12-31	$2,720,730
Participant contributions at beginning of year	2017-12-31	$2,367,556
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$639,780
Administrative expenses (other) incurred	2017-12-31	$12,004
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	$16,478,135
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$130,065,966
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$113,300,858
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	$91,943,872
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$74,299,524
Interest on participant loans	2017-12-31	$108,841
Interest earned on other investments	2017-12-31	$318,807
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$18,965,743
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$16,957,366
Net investment gain/loss from pooled separate accounts	2017-12-31	$14,865,425
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	$16,435,621
Assets. Invements in employer securities at beginning of year	2017-12-31	$19,676,412
Contributions received in cash from employer	2017-12-31	$2,498,329
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$5,832,045
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	$1,761,146
Aggregate carrying amount (costs) on sale of assets	2017-12-31	$889,545
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	MENGEL, METZGER, BARR & CO.
Accountancy firm EIN	2017-12-31	161092347
2016 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$7,457,818
Total unrealized appreciation/depreciation of assets	2016-12-31	$7,457,818
Total transfer of assets to this plan	2016-12-31	$75,552
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$22,951,383
Total loss/gain on sale of assets	2016-12-31	$855,576
Total of all expenses incurred	2016-12-31	$7,063,622
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$7,045,610
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$8,725,826
Value of total assets at end of year	2016-12-31	$113,300,858
Value of total assets at beginning of year	2016-12-31	$97,337,545
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$18,012
Total interest from all sources	2016-12-31	$382,333
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$382,230
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	$1,000,000
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	$784,175
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$5,792,456
Participant contributions at end of year	2016-12-31	$2,367,556
Participant contributions at beginning of year	2016-12-31	$2,174,542
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$528,708
Other income not declared elsewhere	2016-12-31	$-197
Administrative expenses (other) incurred	2016-12-31	$18,012
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	$15,887,761
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$113,300,858
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$97,337,545
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	$74,299,524
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$68,187,860
Interest on participant loans	2016-12-31	$95,710
Interest earned on other investments	2016-12-31	$286,623
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$16,957,366
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$15,086,275
Net investment gain/loss from pooled separate accounts	2016-12-31	$5,147,797
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	$19,676,412
Assets. Invements in employer securities at beginning of year	2016-12-31	$11,888,868
Contributions received in cash from employer	2016-12-31	$2,404,662
Income. Dividends from common stock	2016-12-31	$382,230
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$7,045,610
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	$1,716,102
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$860,526
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	MENGEL, METZGER, BARR & CO LLP
Accountancy firm EIN	2016-12-31	161092347
2015 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$-66,602
Total unrealized appreciation/depreciation of assets	2015-12-31	$-66,602
Total transfer of assets to this plan	2015-12-31	$207,109
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$9,665,451
Total loss/gain on sale of assets	2015-12-31	$261,462
Total of all expenses incurred	2015-12-31	$5,339,252
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$5,333,597
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$8,211,513
Value of total assets at end of year	2015-12-31	$97,337,545
Value of total assets at beginning of year	2015-12-31	$92,804,237
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$5,655
Total interest from all sources	2015-12-31	$372,279
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$356,315
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	$1,000,000
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
Contributions received from participants	2015-12-31	$5,483,191
Participant contributions at end of year	2015-12-31	$2,174,542
Participant contributions at beginning of year	2015-12-31	$2,122,718
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$453,795
Other income not declared elsewhere	2015-12-31	$-1,873
Administrative expenses (other) incurred	2015-12-31	$5,655
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	$4,326,199
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$97,337,545
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$92,804,237
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	$68,187,860
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$65,180,516
Interest on participant loans	2015-12-31	$89,064
Interest earned on other investments	2015-12-31	$283,215
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$15,086,275
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$13,954,136
Net investment gain/loss from pooled separate accounts	2015-12-31	$532,357
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	$11,888,868
Assets. Invements in employer securities at beginning of year	2015-12-31	$11,546,867
Contributions received in cash from employer	2015-12-31	$2,274,527
Income. Dividends from common stock	2015-12-31	$356,315
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$5,333,597
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
Aggregate proceeds on sale of assets	2015-12-31	$875,091
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$613,629
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 & CO LLP
Accountancy firm EIN	2015-12-31	161092347
2014 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$608,653
Total unrealized appreciation/depreciation of assets	2014-12-31	$608,653
Total transfer of assets to this plan	2014-12-31	$303,061
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$12,980,465
Total loss/gain on sale of assets	2014-12-31	$215,345
Total of all expenses incurred	2014-12-31	$6,700,972
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$6,684,795
Expenses. Certain deemed distributions of participant loans	2014-12-31	$942
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$7,932,638
Value of total assets at end of year	2014-12-31	$92,804,237
Value of total assets at beginning of year	2014-12-31	$86,221,683
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$15,235
Total interest from all sources	2014-12-31	$356,242
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$398,640
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	$58,444
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
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
Contributions received from participants	2014-12-31	$5,073,669
Participant contributions at end of year	2014-12-31	$2,122,718
Participant contributions at beginning of year	2014-12-31	$1,839,597
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$524,071
Administrative expenses (other) incurred	2014-12-31	$15,235
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	$6,279,493
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$92,804,237
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$86,221,683
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	$23,198,736
Value of interest in pooled separate accounts at end of year	2014-12-31	$65,180,516
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$37,218,752
Interest on participant loans	2014-12-31	$82,397
Interest earned on other investments	2014-12-31	$273,845
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$13,954,136
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$13,413,435
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$1,316,393
Net investment gain/loss from pooled separate accounts	2014-12-31	$2,152,554
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	$11,546,867
Assets. Invements in employer securities at beginning of year	2014-12-31	$10,551,163
Contributions received in cash from employer	2014-12-31	$2,334,898
Income. Dividends from common stock	2014-12-31	$340,196
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$6,684,795
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	$1,083,408
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$868,063
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	MENGEL, METZGER, BARR & CO LLP
Accountancy firm EIN	2014-12-31	161092347
2013 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$2,257,804
Total unrealized appreciation/depreciation of assets	2013-12-31	$2,257,804
Total transfer of assets to this plan	2013-12-31	$188,278
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$21,615,553
Total loss/gain on sale of assets	2013-12-31	$137,206
Total of all expenses incurred	2013-12-31	$4,898,285
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$4,888,010
Expenses. Certain deemed distributions of participant loans	2013-12-31	$3,733
Value of total corrective distributions	2013-12-31	$443
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$7,579,851
Value of total assets at end of year	2013-12-31	$86,221,683
Value of total assets at beginning of year	2013-12-31	$69,316,137
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$6,099
Total interest from all sources	2013-12-31	$365,159
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$532,314
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	$221,872
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
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
Contributions received from participants	2013-12-31	$4,710,393
Participant contributions at end of year	2013-12-31	$1,839,597
Participant contributions at beginning of year	2013-12-31	$1,822,792
Participant contributions at beginning of year	2013-12-31	$146,843
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$599,544
Other income not declared elsewhere	2013-12-31	$247
Administrative expenses (other) incurred	2013-12-31	$6,099
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	$16,717,268
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$86,221,683
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$69,316,137
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	$23,198,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$17,992,514
Value of interest in pooled separate accounts at end of year	2013-12-31	$37,218,752
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$29,698,143
Interest on participant loans	2013-12-31	$84,107
Interest earned on other investments	2013-12-31	$281,052
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$13,413,435
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$11,919,560
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$4,281,538
Net investment gain/loss from pooled separate accounts	2013-12-31	$6,461,434
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	$10,551,163
Assets. Invements in employer securities at beginning of year	2013-12-31	$7,736,285
Contributions received in cash from employer	2013-12-31	$2,269,914
Income. Dividends from common stock	2013-12-31	$310,442
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$4,888,010
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	$697,565
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$560,359
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	MENGEL, METZGER, BARR & CO LLP
Accountancy firm EIN	2013-12-31	161092347
2012 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-12-31	$97,855
Total unrealized appreciation/depreciation of assets	2012-12-31	$97,855
Total transfer of assets to this plan	2012-12-31	$17,040,398
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	$11,430,214
Total loss/gain on sale of assets	2012-12-31	$75,558
Total of all expenses incurred	2012-12-31	$3,379,648
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,361,931
Expenses. Certain deemed distributions of participant loans	2012-12-31	$13,841
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$6,209,965
Value of total assets at end of year	2012-12-31	$69,316,137
Value of total assets at beginning of year	2012-12-31	$44,225,173
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$3,876
Total interest from all sources	2012-12-31	$294,695
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$533,956
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	$288,801
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
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
Contributions received from participants	2012-12-31	$3,977,414
Participant contributions at end of year	2012-12-31	$1,822,792
Participant contributions at beginning of year	2012-12-31	$1,328,382
Participant contributions at end of year	2012-12-31	$146,843
Participant contributions at beginning of year	2012-12-31	$93,124
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$557,876
Administrative expenses (other) incurred	2012-12-31	$3,876
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	$8,050,566
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$69,316,137
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$44,225,173
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	$17,992,514
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$12,879,604
Value of interest in pooled separate accounts at end of year	2012-12-31	$29,698,143
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$16,611,766
Interest on participant loans	2012-12-31	$63,674
Interest earned on other investments	2012-12-31	$231,021
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$11,919,560
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$7,203,756
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,094,777
Net investment gain/loss from pooled separate accounts	2012-12-31	$2,123,408
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
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	$7,736,285
Assets. Invements in employer securities at beginning of year	2012-12-31	$6,108,541
Contributions received in cash from employer	2012-12-31	$1,674,675
Income. Dividends from common stock	2012-12-31	$245,155
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,361,931
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
Aggregate proceeds on sale of assets	2012-12-31	$705,842
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$630,284
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	MENGEL, METZGER, BARR & CO LLP
Accountancy firm EIN	2012-12-31	161092347
2011 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-124,766
Total unrealized appreciation/depreciation of assets	2011-12-31	$-124,766
Total transfer of assets to this plan	2011-12-31	$83,134
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	$3,615,168
Total loss/gain on sale of assets	2011-12-31	$4,008
Total of all expenses incurred	2011-12-31	$2,750,624
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,747,897
Expenses. Certain deemed distributions of participant loans	2011-12-31	$-530
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$4,873,876
Value of total assets at end of year	2011-12-31	$44,225,173
Value of total assets at beginning of year	2011-12-31	$43,277,495
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$3,257
Total interest from all sources	2011-12-31	$264,678
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$435,478
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	$215,948
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
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
Contributions received from participants	2011-12-31	$3,437,701
Participant contributions at end of year	2011-12-31	$1,328,382
Participant contributions at beginning of year	2011-12-31	$1,224,004
Participant contributions at end of year	2011-12-31	$93,124
Participant contributions at beginning of year	2011-12-31	$87,118
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$143,806
Administrative expenses (other) incurred	2011-12-31	$3,257
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	$864,544
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$44,225,173
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$43,277,495
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	$12,879,604
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$11,479,378
Value of interest in pooled separate accounts at end of year	2011-12-31	$16,611,766
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$17,158,495
Interest on participant loans	2011-12-31	$59,051
Interest earned on other investments	2011-12-31	$205,627
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$7,203,756
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$7,383,660
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,545,863
Net investment gain/loss from pooled separate accounts	2011-12-31	$-292,243
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	$6,108,541
Assets. Invements in employer securities at beginning of year	2011-12-31	$5,944,840
Contributions received in cash from employer	2011-12-31	$1,292,369
Income. Dividends from common stock	2011-12-31	$219,530
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,747,897
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
Aggregate proceeds on sale of assets	2011-12-31	$624,796
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$620,788
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	MENGEL, METZGER, BARR & CO LLP
Accountancy firm EIN	2011-12-31	161092347
2010 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$-197,368
Total unrealized appreciation/depreciation of assets	2010-12-31	$-197,368
Total transfer of assets to this plan	2010-12-31	$649,423
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$8,973,352
Total loss/gain on sale of assets	2010-12-31	$73,622
Total of all expenses incurred	2010-12-31	$2,380,024
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,374,672
Expenses. Certain deemed distributions of participant loans	2010-12-31	$2,424
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$4,869,393
Value of total assets at end of year	2010-12-31	$43,277,495
Value of total assets at beginning of year	2010-12-31	$36,034,744
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$2,928
Total interest from all sources	2010-12-31	$284,206
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$797,318
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$125,887
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$3,195,778
Participant contributions at end of year	2010-12-31	$1,224,004
Participant contributions at beginning of year	2010-12-31	$1,147,290
Participant contributions at end of year	2010-12-31	$87,118
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$299,703
Administrative expenses (other) incurred	2010-12-31	$2,928
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$6,593,328
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$43,277,495
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$36,034,744
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$11,479,378
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$9,352,228
Value of interest in pooled separate accounts at end of year	2010-12-31	$17,158,495
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$14,053,664
Interest on participant loans	2010-12-31	$57,037
Interest earned on other investments	2010-12-31	$227,169
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$7,383,660
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$6,206,560
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$958,599
Net investment gain/loss from pooled separate accounts	2010-12-31	$2,187,582
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$5,944,840
Assets. Invements in employer securities at beginning of year	2010-12-31	$5,275,002
Contributions received in cash from employer	2010-12-31	$1,373,912
Income. Dividends from common stock	2010-12-31	$671,431
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,374,672
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$553,659
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$480,037
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	MENGEL, METZGER, BARR & CO LLP
Accountancy firm EIN	2010-12-31	161092347
2009 : TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN

2022: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
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 INVESTMENT AND STOCK OWNERSHIP 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 INVESTMENT AND STOCK OWNERSHIP 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 INVESTMENT AND STOCK OWNERSHIP 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 INVESTMENT AND STOCK OWNERSHIP 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 INVESTMENT AND STOCK OWNERSHIP 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 INVESTMENT AND STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: TOMPKINS FINANCIAL CORPORATION INVESTMENT AND STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	0
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-01
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	1374
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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	1363
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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	1348
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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	1335
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

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

Policy contract number

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	1253
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
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?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	1222
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
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?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	1272
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
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?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	1244
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
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?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	811
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
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?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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

041327

Policy instance

Insurance contract or identification number	041327
Number of Individuals Covered	804
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
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?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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

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