Form 4 for TMP TOMPKINS FINANCIAL CORP
Accepted 2022-11-17 00:00:00 ET · period of report 2022-11-15 · accession 0001127602-22-025879 · 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 | 2022-11-17 | 2022-11-15 | TMP | ROMAINE STEPHEN S | Pres, CEO, Dir | F - Tax | $84.49 | -14.9K | 64.1K | -19% | -$1.26M |
| DM | 2022-11-17 | 2022-11-15 | TMP | ROMAINE STEPHEN S | Pres, CEO, Dir | M - OptEx | $48.15 | +18.6K | 68.9K | +37% | +$897.4K |
| DM | 2022-11-17 | 2022-11-15 | TMP | ROMAINE STEPHEN S | Pres, CEO, Dir | M - OptEx | $0.00 | -18.6K | 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 | 2022-11-15 | F | D | 4,079 | $84.49 | 64,849.70 | D | — | — | (F2) Shares withheld for option cost and taxes. |
| 2 | Common | Common Stock | 2022-11-15 | F | D | 4,744 | $84.49 | 62,620.70 | D | — | — | (F1) Shares withheld for option cost and taxes. |
| 3 | Common | Common Stock | 2022-11-15 | M | A | 7,530 | $49.22 | 70,150.70 | D | — | — | |
| 4 | Common | Common Stock | 2022-11-15 | F | D | 6,057 | $84.49 | 64,093.70 | D | — | — | (F1) Shares withheld for option cost and taxes. |
| 5 | Common | Common Stock | 2022-11-15 | M | A | 6,270 | $40.60 | 67,364.70 | D | — | — | |
| 6 | Common | Common Stock | 2022-11-15 | M | A | 4,835 | $56.29 | 68,928.70 | D | — | — | |
| 7 | Derivative | Stock Appreciation Rights (SAR) | 2022-11-15 | M | D | 7,530 | $0.00 | 0 | D | $49.22 · — to 2024-11-21 | 7,530 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. |
| 8 | Derivative | Stock Appreciation Rights (SAR) | 2022-11-15 | M | D | 4,835 | $0.00 | 0 | D | $56.29 · — to 2025-11-04 | 4,835 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) | 2022-11-15 | M | D | 6,270 | $0.00 | 0 | D | $40.60 · — to 2023-05-03 | 6,270 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. |