Gregory J. Hartz - Feb 8, 2021 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
EVP, Pres.&CEO Tompkins Trust
Signature
/s/ Gregory J. Hartz
Stock symbol
TMP
Transactions as of
Feb 8, 2021
Transactions value $
-$27,855
Form type
4
Date filed
8/30/2021, 01:38 PM
Next filing
Nov 8, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TMP Common Stock Gift -$5.45K -75 -0.3% $72.69 24.8K Feb 8, 2021 Direct F1
transaction TMP Common Stock Options Exercise $18.6K +459 +1.82% $40.60 25.7K Aug 26, 2021 Direct
transaction TMP Common Stock Tax liability -$25.1K -325 -1.27% $77.33 25.3K Aug 26, 2021 Direct F2
transaction TMP Common Stock Options Exercise $58.1K +1.18K +4.66% $49.22 26.5K Aug 26, 2021 Direct
transaction TMP Common Stock Tax liability -$70.9K -917 -3.46% $77.33 25.6K Aug 26, 2021 Direct F2
transaction TMP Common Stock Options Exercise $21.4K +380 +1.48% $56.29 26K Aug 26, 2021 Direct
transaction TMP Common Stock Tax liability -$24.5K -317 -1.22% $77.33 25.7K Aug 26, 2021 Direct F2
holding TMP Common Stock 19.3 Feb 8, 2021 As Custodian FBO Andrew Chase UGMA/NY
holding TMP Common Stock 5.09K Feb 8, 2021 by 401(k)/ISOP
holding TMP Common Stock 3.18K Feb 8, 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% $0.00* 0 Aug 26, 2021 Common Stock 459 $40.60 Direct F3
transaction TMP Stock Appreciation Rights (SAR) Options Exercise $0 -1.18K -69.35% $0.00 522 Aug 26, 2021 Common Stock 1.18K $49.22 Direct F3
transaction TMP Stock Appreciation Rights (SAR) Options Exercise $0 -380 -25.75% $0.00 1.1K Aug 26, 2021 Common Stock 380 $56.29 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Bona fide gift to Charitable Gift Account
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.