TOMPKINS FINANCIAL CORP — Director's Dealing 2021

Nov 10, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2021-11-08

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-08	Common Stock	F	307	$84.98	Disposed	13484.182	Direct
2021-11-09	Common Stock	M	380	$56.29	Acquired	13864.182	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-09	Stock Appreciation Rights (SAR)	$56.29	M	380	Disposed	2025-11-04	Common Stock (380)	Direct

Footnotes

F1: Shares withheld for option cost and taxes.

F2: 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.