Form 4 for TMP TOMPKINS FINANCIAL CORP

Accepted 2021-11-12 00:00:00 ET · period of report 2021-11-09 · accession 0001127602-21-028948 · 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
M	2021-11-12	2021-11-09	TMP	ROMAINE STEPHEN S	Pres, CEO, Dir	A - Grant	$83.97	+5,790	58.1K	+11%	+$486.2K
M	2021-11-12	2021-11-09	TMP	ROMAINE STEPHEN S	Pres, CEO, Dir	F - Tax	$83.97	-1,644	55.9K	-3%	-$138.0K

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-11-09	A	A	2,895	$83.97	61,040.70	D	—	—	(F3) Restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Restricted stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant.
2	Common	Common Stock	2021-11-09	F	D	682	$83.97	55,250.70	D	—	—	(F1) Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
3	Common	Common Stock	2021-11-09	A	A	2,895	$83.97	58,145.70	D	—	—	(F2) Performance-based restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Performance shares will be earned pursuant to achievement of a specified performance goal over a three-year period. If the performance goal is not attained, all 2,895 shares will be forfeited.
4	Common	Common Stock	2021-11-09	F	D	347	$83.97	56,547.70	D	—	—	(F1) Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
5	Common	Common Stock	2021-11-09	F	D	615	$83.97	55,932.70	D	—	—	(F1) Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.