HARTZ GREGORY J 4
4 · TOMPKINS FINANCIAL CORP · Filed Aug 30, 2021
Insider Transaction Report
Form 4
HARTZ GREGORY J
EVP, Pres.&CEO Tompkins Trust
Transactions
- Exercise/Conversion
Stock Appreciation Rights (SAR)
2021-08-26−380→ 1,096 totalExercise: $56.29Exp: 2025-11-04→ Common Stock (380 underlying) - Tax Payment
Common Stock
2021-08-26$77.33/sh−917$70,912→ 25,598.024 total - Exercise/Conversion
Common Stock
2021-08-26$56.29/sh+380$21,390→ 25,978.024 total - Exercise/Conversion
Stock Appreciation Rights (SAR)
2021-08-26−1,181→ 522 totalExercise: $49.22Exp: 2024-11-21→ Common Stock (1,181 underlying) - Gift
Common Stock
2021-02-08$72.69/sh−75$5,452→ 24,773.704 total - Exercise/Conversion
Common Stock
2021-08-26$49.22/sh+1,181$58,129→ 26,515.024 total - Tax Payment
Common Stock
2021-08-26$77.33/sh−317$24,514→ 25,661.024 total - Exercise/Conversion
Stock Appreciation Rights (SAR)
2021-08-26−459→ 0 totalExercise: $40.60Exp: 2023-05-03→ Common Stock (459 underlying) - Tax Payment
Common Stock
2021-08-26$77.33/sh−325$25,132→ 25,334.024 total - Exercise/Conversion
Common Stock
2021-08-26$40.60/sh+459$18,635→ 25,659.024 total
Holdings
- 19.271(indirect: As Custodian FBO Andrew Chase UGMA/NY)
Common Stock
- 5,092.06(indirect: By 401(k))
Common Stock
- 3,181.327(indirect: by ESOP)
Common Stock
Footnotes (3)
- [F1]Bona fide gift to Charitable Gift Account
- [F2]Shares withheld for Option cost and taxes
- [F3]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.