David Kershaw - 01 Oct 2023 Form 3 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
SVP, PAO
Signature
/s/ David. K. Kershaw
Issuer symbol
TMP
Transactions as of
01 Oct 2023
Net transactions value
$0
Form type
3
Filing time
10 Oct 2023, 09:04:42 UTC
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
holding TMP Common Stock 1,222 01 Oct 2023 by 401(k)
holding TMP Common Stock 3,125 01 Oct 2023 Direct
holding TMP Common Stock 2,417 01 Oct 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) 01 Oct 2023 Common Stock 1,255 $49.22 Direct F1
holding TMP Stock Appreciation Rights (SAR) 01 Oct 2023 Common Stock 705 $56.29 Direct F1
holding TMP Stock Appreciation Rights (SAR) 01 Oct 2023 Common Stock 260 $76.90 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

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.