TOMPKINS FINANCIAL CORP — Director's Dealing 2023

Nov 14, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2023-11-09

Reporting Person: Anderson Johanna B (Officer: EVP, Pres., TCB CNY)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-11-09	Common Stock	A	1160	$51.02	Acquired	1270.556	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Phantom Stock	$		Common Stock (1269.069)	1269.069	Direct

Footnotes

F1: 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.

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.