GREGORY J. HARTZ - 08 Feb 2021 Form 4 Insider Report for TOMPKINS FINANCIAL CORP (TMP)

Role
EVP, Pres.&CEO Tompkins Trust
Signature
/s/ Gregory J. Hartz
Issuer symbol
TMP
Transactions as of
08 Feb 2021
Transactions value $
-$27,855
Form type
4
Filing time
30 Aug 2021, 13:38:57 UTC
Next filing
08 Nov 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TMP Common Stock Gift -$5.45K -75 -0.3% $72.69 24.8K 08 Feb 2021 Direct F1
transaction TMP Common Stock Options Exercise $18.6K +459 +1.82% $40.60 25.7K 26 Aug 2021 Direct
transaction TMP Common Stock Tax liability -$25.1K -325 -1.27% $77.33 25.3K 26 Aug 2021 Direct F2
transaction TMP Common Stock Options Exercise $58.1K +1.18K +4.66% $49.22 26.5K 26 Aug 2021 Direct
transaction TMP Common Stock Tax liability -$70.9K -917 -3.46% $77.33 25.6K 26 Aug 2021 Direct F2
transaction TMP Common Stock Options Exercise $21.4K +380 +1.48% $56.29 26K 26 Aug 2021 Direct
transaction TMP Common Stock Tax liability -$24.5K -317 -1.22% $77.33 25.7K 26 Aug 2021 Direct F2
holding TMP Common Stock 19.3 08 Feb 2021 As Custodian FBO Andrew Chase UGMA/NY
holding TMP Common Stock 5.09K 08 Feb 2021 by 401(k)/ISOP
holding TMP Common Stock 3.18K 08 Feb 2021 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
transaction TMP Stock Appreciation Rights (SAR) Options Exercise $0 -459 -100% $0.00* 0 26 Aug 2021 Common Stock 459 $40.60 Direct F3
transaction TMP Stock Appreciation Rights (SAR) Options Exercise $0 -1.18K -69.35% $0.00 522 26 Aug 2021 Common Stock 1.18K $49.22 Direct F3
transaction TMP Stock Appreciation Rights (SAR) Options Exercise $0 -380 -25.75% $0.00 1.1K 26 Aug 2021 Common Stock 380 $56.29 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Bona fide gift to Charitable Gift Account
F2 Shares withheld for Option cost and taxes
F3 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.