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TOMPKINS FINANCIAL CORP — Director's Dealing 2021
Feb 6, 2021
32217_dirs_2021-02-05_64b95cfd-fa9f-4086-8fba-577beeb0835f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2021-02-04
Reporting Person: YUNKER CRAIG (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-04 | Common Stock | M | 1939.032 | — | Acquired | 27921.931 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-04 | Phantom Stock | $ | M | 1939.032 | Disposed | Common Stock (1939.032) | Direct |
Footnotes
F1: Includes change in beneficial ownership of 1,939.032 shares from Indirect to Direct as a result of a distribution pursuant to the Directors' Deferred Stock Retainer Agreement.
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.