Form 4 for TMP TOMPKINS FINANCIAL CORP
Accepted 2021-08-30 00:00:00 ET · period of report 2021-02-08 · accession 0001127602-21-024500 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-30 | 2021-08-26 | TMP | HARTZ GREGORY J | EVP, Pres, CEO Tompkins Trust | M - OptEx | $48.59 | +2,020 | 26.0K | +8% | +$98.2K |
| D | 2021-08-30 | 2021-02-08 | TMP | HARTZ GREGORY J | EVP, Pres, CEO Tompkins Trust | G - Gift | $72.69 | -75 | 24.8K | -0.3% | -$5,452 |
| DM | 2021-08-30 | 2021-08-26 | TMP | HARTZ GREGORY J | EVP, Pres, CEO Tompkins Trust | F - Tax | $77.33 | -1,559 | 25.3K | -6% | -$120.6K |
| DM | 2021-08-30 | 2021-08-26 | TMP | HARTZ GREGORY J | EVP, Pres, CEO Tompkins Trust | M - OptEx | $0.00 | -2,020 | 1,096 | -65% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-26 | M | A | 459 | $40.60 | 25,659.02 | D | — | — | |
| 2 | Common | Common Stock | 2021-02-08 | G | D | 75 | $72.69 | 24,773.70 | D | — | — | (F1) Bona fide gift to Charitable Gift Account |
| 3 | Common | Common Stock | 2021-08-26 | M | A | 1,181 | $49.22 | 26,515.02 | D | — | — | |
| 4 | Common | Common Stock | 2021-08-26 | F | D | 917 | $77.33 | 25,598.02 | D | — | — | (F2) Shares withheld for Option cost and taxes |
| 5 | Common | Common Stock | 2021-08-26 | M | A | 380 | $56.29 | 25,978.02 | D | — | — | |
| 6 | Common | Common Stock | 2021-08-26 | F | D | 317 | $77.33 | 25,661.02 | D | — | — | (F2) Shares withheld for Option cost and taxes |
| 7 | Common | Common Stock | 2021-08-26 | F | D | 325 | $77.33 | 25,334.02 | D | — | — | (F2) Shares withheld for Option cost and taxes |
| 8 | Derivative | Stock Appreciation Rights (SAR) | 2021-08-26 | M | D | 1,181 | $0.00 | 522 | D | $49.22 · — to 2024-11-21 | 1,181 Common Stock | (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. |
| 9 | Derivative | Stock Appreciation Rights (SAR) | 2021-08-26 | M | D | 459 | $0.00 | 0 | D | $40.60 · — to 2023-05-03 | 459 Common Stock | (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. |
| 10 | Derivative | Stock Appreciation Rights (SAR) | 2021-08-26 | M | D | 380 | $0.00 | 1,096 | D | $56.29 · — to 2025-11-04 | 380 Common Stock | (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. |