Thomas R. Rochon - 15 Jan 2025 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role: Director
Signature: /s/Thomas R. Rochon
Issuer symbol: TMP
Transactions as of: 15 Jan 2025
Net transactions value: $0
Form type: 4
Filing time: 16 Jan 2025, 13:31:24 UTC
Previous filing: 07 Oct 2024
Next filing: 15 May 2025
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		+2,826	+27%		13,350	15 Jan 2025	Direct	F1, F2

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		-2,826	-20%		11,304	15 Jan 2025	Common Stock	2,826		Direct	F1, F2

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

Explanation of Responses:

Id	Content
F1	Includes change in beneficial ownership of 2,826.097 shares from indirect to direct, as a result of distribution pursuant to the Director's Deferred Stock Retainer Agreement.
F2	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

Includes change in beneficial ownership of 2,826.097 shares from indirect to direct, as a result of distribution pursuant to the Director's Deferred Stock Retainer Agreement.

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.