GRUBER SCOTT L 4

4 · TOMPKINS FINANCIAL CORP · Filed Nov 12, 2021

Form 4

Period: 2021-11-09

EVP, Pres. & COO, VIST Bank

Transactions

Tax Payment
Common Stock
2021-11-09$83.97/sh−129$10,832→ 13,735.182 total
Tax Payment
Common Stock
2021-11-09$83.97/sh−140$11,756→ 13,595.182 total
Tax Payment
Common Stock
2021-11-09$83.97/sh−153$12,847→ 13,442.182 total
Award
Common Stock
2021-11-09$83.97/sh+1,360$114,199→ 14,802.182 total
Exercise/Conversion
Common Stock
2021-11-09$76.90/sh+200$15,380→ 15,002.182 total
Tax Payment
Common Stock
2021-11-09$83.97/sh−191$16,038→ 14,811.182 total
Exercise/Conversion
Stock Appreciation Rights (SAR)
2021-11-09−200→ 0 total
Exercise: $76.90Exp: 2026-11-09→ Common Stock (200 underlying)

Footnotes (4)

[F1]Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.
[F2]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.
[F3]Shares withheld for option cost and taxes.
[F4]Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a five-year vesting schedule, with 0% vesting in year one and 25% vesting in years two through five. 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.

Documents

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