Gregory J. Hartz - 10 Jul 2023 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
EVP, Pres.&CEO Tompkins Trust
Signature
/s/ Gregory J. Hartz
Issuer symbol
TMP
Transactions as of
10 Jul 2023
Net transactions value
$0
Form type
4
Filing time
10 Jul 2023, 11:41:55 UTC
Previous filing
02 Dec 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding TMP Common Stock 23,967 10 Jul 2023 Direct
holding TMP Common Stock 22 10 Jul 2023 As Custodian FBO Andrew Chase UGMA/NY
holding TMP Common Stock 5,577 10 Jul 2023 by 401(k)/ISOP
holding TMP Common Stock 3,707 10 Jul 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
holding TMP Stock Appreciation Rights (SAR) 522 10 Jul 2023 Common Stock 522 $49.22 Direct F1
holding TMP Stock Appreciation Rights (SAR) 716 10 Jul 2023 Common Stock 716 $56.29 Direct F1
holding TMP Stock Appreciation Rights (SAR) 601 10 Jul 2023 Common Stock 601 $76.90 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Gregory J. Hartz is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 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.
F2 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.

Remarks:

Mr. Hartz retired from the company effective July 10, 2023, and is no longer an insider.