David M. DeMilia - 11 Jan 2023 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
EVP, Pres & CEO Mahopac Bank
Signature
/s/ David M. DeMilia
Issuer symbol
TMP
Transactions as of
11 Jan 2023
Net transactions value
-$837
Form type
4
Filing time
01 May 2023, 11:22:25 UTC
Previous filing
02 Feb 2023
Next filing
13 Nov 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TMP Common Stock Small acquisition under Rule 16a-6 $100 +1 +0.03% $75.76 4,127 11 Jan 2023 Direct F1
transaction TMP Common Stock Small acquisition under Rule 16a-6 $99.96 +1 +0.03% $77.13 4,128 13 Feb 2023 Direct F1
transaction TMP Common Stock Small acquisition under Rule 16a-6 $100 +1 +0.03% $69.99 4,140 13 Mar 2023 Direct F1
transaction TMP Common Stock Small acquisition under Rule 16a-6 $100 +2 +0.04% $64.40 4,141 11 Apr 2023 Direct F1
transaction TMP Common Stock Options Exercise $6,090 +150 +3.6% $40.60 4,291 28 Apr 2023 Direct
transaction TMP Common Stock Tax liability $7,328 -125 -2.9% $58.62 4,166 28 Apr 2023 Direct F2
holding TMP Common Stock 152 11 Jan 2023 By 401(k)
holding TMP Common Stock 1,641 11 Jan 2023 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 -150 -100% $0.000000* 0 28 Apr 2023 Common Stock 150 $40.60 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Optional cash purchase through Tompkins Financial Dividend Reinvestment and Stock Puchase and Sale Plan.
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.