TOMPKINS FINANCIAL CORP — Director's Dealing 2021

Jul 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2021-07-09

Reporting Person: Rochon Thomas R. (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-09	Common Stock	A	131.601	$76.2403	Acquired	694.4737	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-09	Phantom Stock	$	A	131.601	Acquired		Common Stock (131.601)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	6.959	Indirect
Common Stock	6.861	Indirect

Footnotes

F1: Represents shares of common stock elected to be received by the reporting person in lieu of cash retainer fees pursuant to the Second Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries.

F2: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.