Thomas R. Rochon - Oct 8, 2021 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
Director
Signature
/s/Thomas R. Rochon
Stock symbol
TMP
Transactions as of
Oct 8, 2021
Transactions value $
$20,067
Form type
4
Date filed
10/13/2021, 12:21 PM
Previous filing
Jul 12, 2021
Next filing
Jan 28, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TMP Common Stock Award $10K +121 +17.33% $83.04 818 Oct 8, 2021 Direct F1
holding TMP Common Stock 7.01 Oct 8, 2021 NY UGMA for Son
holding TMP Common Stock 6.91 Oct 8, 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 +121 +0.75% $83.04 16.2K Oct 8, 2021 Common Stock 121 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.