Form 4 for TMP TOMPKINS FINANCIAL CORP
Accepted 2021-11-12 00:00:00 ET · period of report 2021-11-09 · accession 0001127602-21-028950 · 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 | 2021-11-12 | 2021-11-09 | TMP | GRUBER SCOTT L | EVP, Pres, CEO, VIST Bank | F - Tax | $83.97 | -613 | 13.4K | -4% | -$51.5K |
| D | 2021-11-12 | 2021-11-09 | TMP | GRUBER SCOTT L | EVP, Pres, CEO, VIST Bank | A - Grant | $83.97 | +1,360 | 14.8K | +10% | +$114.2K |
| D | 2021-11-12 | 2021-11-09 | TMP | GRUBER SCOTT L | EVP, Pres, CEO, VIST Bank | M - OptEx | $76.90 | +200 | 15.0K | +1% | +$15.4K |
| D | 2021-11-12 | 2021-11-09 | TMP | GRUBER SCOTT L | EVP, Pres, CEO, VIST Bank | M - OptEx | $0.00 | -200 | 0 | -100% | $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 | 2021-11-09 | F | D | 129 | $83.97 | 13,735.18 | D | — | — | |
| 2 | Common | Common Stock | 2021-11-09 | F | D | 140 | $83.97 | 13,595.18 | 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 | F | D | 191 | $83.97 | 14,811.18 | D | — | — | (F3) Shares withheld for option cost and taxes. |
| 4 | Common | Common Stock | 2021-11-09 | A | A | 1,360 | $83.97 | 14,802.18 | D | — | — | (F2) 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. |
| 5 | Common | Common Stock | 2021-11-09 | M | A | 200 | $76.90 | 15,002.18 | D | — | — | |
| 6 | Common | Common Stock | 2021-11-09 | F | D | 153 | $83.97 | 13,442.18 | D | — | — | (F1) Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. |
| 7 | Derivative | Stock Appreciation Rights (SAR) | 2021-11-09 | M | D | 200 | $0.00 | 0 | D | $76.90 · — to 2026-11-09 | 200 Common Stock | (F4) Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a five-year vesting schedule, with 0% vesting in year one and 25% vesting in years two through five. 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. |