KLEIN GERALD J JR 4
4 · TOMPKINS FINANCIAL CORP · Filed Mar 11, 2021
Insider Transaction Report
Form 4
KLEIN GERALD J JR
EVP Pres&CEO Mahopac Natl Bank
Transactions
- Exercise/Conversion
Common Stock
2021-03-09$40.60/sh+3,055$124,033→ 31,123 total - Tax Payment
Common Stock
2021-03-09$88.10/sh−2,096$184,658→ 29,027 total - Exercise/Conversion
Stock Appreciation Rights (SAR)
2021-03-09−3,055→ 0 totalExercise: $40.60Exp: 2023-05-03→ Common Stock (3,055 underlying)
Holdings
- 1,629.899(indirect: By 401(k))
Common Stock
- 4,109.24(indirect: by ESOP)
Common Stock
Footnotes (2)
- [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.