Scott L. Gruber - 09 Nov 2021 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
EVP, Pres. & CEO, VIST Bank
Signature
/s/ Scott L. Gruber
Issuer symbol
TMP
Transactions as of
09 Nov 2021
Net transactions value
+$78,106
Form type
4
Filing time
12 Nov 2021, 14:50:33 UTC
Previous filing
10 Nov 2021
Next filing
15 Nov 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 Tax liability $10,832 -129 -0.93% $83.97 13,735 09 Nov 2021 Direct
transaction TMP Common Stock Tax liability $11,756 -140 -1% $83.97 13,595 09 Nov 2021 Direct F1
transaction TMP Common Stock Tax liability $12,847 -153 -1.1% $83.97 13,442 09 Nov 2021 Direct F1
transaction TMP Common Stock Award $114,199 +1,360 +10% $83.97 14,802 09 Nov 2021 Direct F2
transaction TMP Common Stock Options Exercise $15,380 +200 +1.4% $76.90 15,002 09 Nov 2021 Direct
transaction TMP Common Stock Tax liability $16,038 -191 -1.3% $83.97 14,811 09 Nov 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% $0.000000* 0 09 Nov 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.