TOMPKINS FINANCIAL CORP — Director's Dealing 2021

Nov 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2021-11-09

Reporting Person: GRUBER SCOTT L (EVP, Pres. & CEO, VIST Bank)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-09	Common Stock	F	129	$83.97	Disposed	13735.182	Direct
2021-11-09	Common Stock	F	140	$83.97	Disposed	13595.182	Direct
2021-11-09	Common Stock	F	153	$83.97	Disposed	13442.182	Direct
2021-11-09	Common Stock	A	1360	$83.97	Acquired	14802.182	Direct
2021-11-09	Common Stock	M	200	$76.90	Acquired	15002.182	Direct
2021-11-09	Common Stock	F	191	$83.97	Disposed	14811.182	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-09	Stock Appreciation Rights (SAR)	$76.90	M	200	Disposed	2026-11-09	Common Stock (200)	Direct

Footnotes

F1: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

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.

F3: Shares withheld for option cost and taxes.

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.