Michael H. Spain - 15 Jan 2026 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Reporting relationship: Director
Issuer ticker: TMP
Reported as of: 15 Jan 2026
Net transaction value: $0
SEC form: 4
Accepted by SEC: 16 Jan 2026, 08:08:29 UTC
Prior SEC filing: 16 Jan 2025
Source filing: View source filing
Reporting owner signature: /s/ Michael H. Spain

Key filing fact

Michael H. Spain filed Form 4 for TOMPKINS FINANCIAL CORP (TMP) on 16 Jan 2026.

Key facts

This page summarizes Michael H. Spain's Form 4 filing for TOMPKINS FINANCIAL CORP (TMP).
2 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 16 Jan 2026, 08:08.

Change

Previous filing in this sequence was filed on 16 Jan 2025.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001124188 Primary reporting owner

SPAIN MICHAEL H

Relationship: Director
Address: TOMPKINS FINANCIAL CORPORATION, P O BOX 460, ITHACA
Signature: /s/ Michael H. Spain
Signature date: 15 Jan 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

TMP transaction

Common Stock

Options Exercise

Transaction value: $0
Shares: +1,564
Change %: +1.1%
Price: $0.000000
Shares after: 139,415
Date: 15 Jan 2026
Ownership: Direct
Footnotes: F1, F2

TMP holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 1
Date: 15 Jan 2026
Ownership: By Partnership

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

TMP transaction Derivative

Phantom Stock

Options Exercise

Transaction value
Shares: -1,564
Change %: -25%
Price
Shares after: 4,692
Date: 15 Jan 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,564
Exercise price
Footnotes: F1, F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

Includes change in beneficial ownership of 1,563.8520 shares from indirect to direct, as a result of distribution pursuant to the Director's Deferred Stock Retainer Agreement

Footnote 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.