David Kershaw - Oct 1, 2023 Form 3 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
SVP, PAO
Signature
/s/ David. K. Kershaw
Stock symbol
TMP
Transactions as of
Oct 1, 2023
Transactions value $
$0
Form type
3
Date filed
10/10/2023, 09:04 AM
Next filing
Nov 13, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding TMP Common Stock 1.22K Oct 1, 2023 by 401(k)
holding TMP Common Stock 3.12K Oct 1, 2023 Direct
holding TMP Common Stock 2.42K Oct 1, 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) Oct 1, 2023 Common Stock 1.26K $49.22 Direct F1
holding TMP Stock Appreciation Rights (SAR) Oct 1, 2023 Common Stock 705 $56.29 Direct F1
holding TMP Stock Appreciation Rights (SAR) Oct 1, 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.