Thomas R. Rochon - 29 Jan 2024 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
Director
Signature
/s/Thomas R. Rochon
Issuer symbol
TMP
Transactions as of
29 Jan 2024
Net transactions value
$0
Form type
4
Filing time
31 Jan 2024, 10:54:07 UTC
Previous filing
05 Jan 2024
Next filing
05 Apr 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 Options Exercise $0 +386 +6.4% $0.000000 6,422 29 Jan 2024 Direct F1, F2
transaction TMP Common Stock Options Exercise $0 +2,323 +36% $0.000000 8,745 30 Jan 2024 Direct F1, F2
holding TMP Common Stock 8 29 Jan 2024 NY UGMA for Son
holding TMP Common Stock 7 29 Jan 2024 NY UGMA for Son 2

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 Options Exercise $0 -386 -2.4% $0.000000 15,868 29 Jan 2024 Common Stock 386 Direct F1, F2
transaction TMP Phantom Stock Options Exercise $0 -2,323 -15% $0.000000 13,545 30 Jan 2024 Common Stock 2,323 Direct F1, F2
* 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.
F2 Adjustment to reclassify rabbi trust holding.