Alyssa H. Fontaine - 09 Nov 2023 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role: EVP, General Counsel & CRO
Signature: Alyssa H. Fontaine
Issuer symbol: TMP
Transactions as of: 09 Nov 2023
Net transactions value: -$25,663
Form type: 4
Filing time: 13 Nov 2023, 13:43:24 UTC
Previous filing: 15 Nov 2022
Next filing: 12 Nov 2024
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	TMP	Common Stock	Tax liability	$8,112	-159	-1.8%	$51.02	8,822	09 Nov 2023	Direct	F1
transaction	TMP	Common Stock	Tax liability	$9,898	-194	-2.2%	$51.02	8,628	09 Nov 2023	Direct	F1
transaction	TMP	Common Stock	Tax liability	$7,653	-150	-1.7%	$51.02	8,478	09 Nov 2023	Direct	F1
holding	TMP	Common Stock						772	09 Nov 2023	401K/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)						802	09 Nov 2023	Common Stock	802	$76.90	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
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.