Scott L. Gruber - Nov 9, 2021 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
EVP, Pres. & CEO, VIST Bank
Signature
/s/ Scott L. Gruber
Stock symbol
TMP
Transactions as of
Nov 9, 2021
Transactions value $
$78,106
Form type
4
Date filed
11/12/2021, 02:50 PM
Previous filing
Nov 10, 2021
Next filing
Nov 15, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TMP Common Stock Tax liability -$10.8K -129 -0.93% $83.97 13.7K Nov 9, 2021 Direct
transaction TMP Common Stock Tax liability -$11.8K -140 -1.02% $83.97 13.6K Nov 9, 2021 Direct F1
transaction TMP Common Stock Tax liability -$12.8K -153 -1.13% $83.97 13.4K Nov 9, 2021 Direct F1
transaction TMP Common Stock Award $114K +1.36K +10.12% $83.97 14.8K Nov 9, 2021 Direct F2
transaction TMP Common Stock Options Exercise $15.4K +200 +1.35% $76.90 15K Nov 9, 2021 Direct
transaction TMP Common Stock Tax liability -$16K -191 -1.27% $83.97 14.8K Nov 9, 2021 Direct F3

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 -200 -100% $0.00* 0 Nov 9, 2021 Common Stock 200 $76.90 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
F2 Restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Restricted stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant.
F3 Shares withheld for option cost and taxes.
F4 Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a five-year vesting schedule, with 0% vesting in year one and 25% vesting in years two through five. 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.