David M. DeMilia - Jan 11, 2023 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
EVP, Pres & CEO Mahopac Bank
Signature
/s/ David M. DeMilia
Stock symbol
TMP
Transactions as of
Jan 11, 2023
Transactions value $
-$837
Form type
4
Date filed
5/1/2023, 11:22 AM
Previous filing
Feb 2, 2023
Next filing
Nov 13, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TMP Common Stock Small acquisition under Rule 16a-6 $100 +1.32 +0.03% $75.76 4.13K Jan 11, 2023 Direct F1
transaction TMP Common Stock Small acquisition under Rule 16a-6 $100.00 +1.3 +0.03% $77.13 4.13K Feb 13, 2023 Direct F1
transaction TMP Common Stock Small acquisition under Rule 16a-6 $100 +1.43 +0.03% $69.99 4.14K Mar 13, 2023 Direct F1
transaction TMP Common Stock Small acquisition under Rule 16a-6 $100 +1.55 +0.04% $64.40 4.14K Apr 11, 2023 Direct F1
transaction TMP Common Stock Options Exercise $6.09K +150 +3.62% $40.60 4.29K Apr 28, 2023 Direct
transaction TMP Common Stock Tax liability -$7.33K -125 -2.91% $58.62 4.17K Apr 28, 2023 Direct F2
holding TMP Common Stock 152 Jan 11, 2023 By 401(k)
holding TMP Common Stock 1.64K Jan 11, 2023 By ESOP

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction TMP Stock Appreciation Rights (SAR) Options Exercise $0 -150 -100% $0.00* 0 Apr 28, 2023 Common Stock 150 $40.60 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Optional cash purchase through Tompkins Financial Dividend Reinvestment and Stock Puchase and Sale Plan.
F2 Shares withheld for Option cost and taxes
F3 Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a seven year vesting schedule with 0% vesting in year one, 17% vesting in years two through six, and 15% vesting in year seven. When exercised, the SARs will be settled in Common Stock of the Company. The grant will expire ten years from the date of the grant.