Nancy E. Catarisano - Oct 3, 2023 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role: Director
Signature: /s/ Nancy E. Catarisano
Stock symbol: TMP
Transactions as of: Oct 3, 2023
Transactions value $: $21,575
Form type: 4
Date filed: 10/5/2023, 08:58 AM
Previous filing: Jul 7, 2023
Next filing: Jan 3, 2024

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	$13.1K	+263	+14.99%	$49.92	2.02K	Oct 3, 2023	Common Stock	263		Direct	F1
transaction	TMP	Phantom Stock	Award	$8.43K	+169	+8.35%	$49.92	2.19K	Oct 3, 2023	Common Stock	169		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.

Content

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.