Thomas R. Rochon - Jul 9, 2021 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role: Director
Signature: /s/Thomas R. Rochon
Stock symbol: TMP
Transactions as of: Jul 9, 2021
Transactions value $: $20,067
Form type: 4
Date filed: 7/12/2021, 04:03 PM
Next filing: Oct 13, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	TMP	Common Stock	Award	$10K	+132	+23.38%	$76.24	694	Jul 9, 2021	Direct	F1
holding	TMP	Common Stock						6.96	Jul 9, 2021	NY UGMA for Son
holding	TMP	Common Stock						6.86	Jul 9, 2021	NY UGMA for Son 2

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	Phantom Stock	Award	$10K	+132	+0.83%	$76.24	16K	Jul 9, 2021	Common Stock	132		Direct	F2

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

Explanation of Responses:

Id	Content
F1	Represents shares of common stock elected to be received by the reporting person in lieu of cash retainer fees pursuant to the Second Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries.
F2	Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

Content

Represents shares of common stock elected to be received by the reporting person in lieu of cash retainer fees pursuant to the Second Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries.

Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.