Francis M. Fetsko - 25 May 2021 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role: EVP, COO, CFO & Treasurer
Signature: /s/ Francis M. Fetsko
Issuer symbol: TMP
Transactions as of: 25 May 2021
Net transactions value: -$55,959
Form type: 4
Filing time: 27 May 2021, 16:59:05 UTC
Next filing: 28 May 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	TMP	Common Stock	Options Exercise	$18,635	+459	+2%	$40.60	23,510	25 May 2021	Direct
transaction	TMP	Common Stock	Tax liability	$27,880	-342	-1.5%	$81.52	23,168	25 May 2021	Direct	F1
transaction	TMP	Common Stock	Options Exercise	$145,347	+2,953	+13%	$49.22	26,121	25 May 2021	Direct
transaction	TMP	Common Stock	Tax liability	$192,061	-2,356	-9%	$81.52	23,765	25 May 2021	Direct	F1
holding	TMP	Common Stock						4,455	25 May 2021	by 401K/ISOP
holding	TMP	Common Stock						5,204	25 May 2021	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	-459	-100%	$0.000000^*	0	25 May 2021	Common Stock	459	$40.60	Direct	F2
transaction	TMP	Stock Appreciation Rights (SAR)	Options Exercise	$0	-2,953	-85%	$0.000000	522	25 May 2021	Common Stock	2,953	$49.22	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents a deemed disposition of shares to the issuer to satisfy the exercise price of the SARs.
F2	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.