ROMAINE STEPHEN S 4
4 · TOMPKINS FINANCIAL CORP · Filed Nov 17, 2022
Insider Transaction Report
Form 4
ROMAINE STEPHEN S
DirectorPresident & CEO
Transactions
- Exercise/Conversion
Stock Appreciation Rights (SAR)
2022-11-15−4,835→ 0 totalExercise: $56.29Exp: 2025-11-04→ Common Stock (4,835 underlying) - Exercise/Conversion
Common Stock
2022-11-15$40.60/sh+6,270$254,562→ 67,364.697 total - Exercise/Conversion
Common Stock
2022-11-15$49.22/sh+7,530$370,627→ 70,150.697 total - Tax Payment
Common Stock
2022-11-15$84.49/sh−6,057$511,756→ 64,093.697 total - Tax Payment
Common Stock
2022-11-15$84.49/sh−4,744$400,821→ 62,620.697 total - Tax Payment
Common Stock
2022-11-15$84.49/sh−4,079$344,635→ 64,849.697 total - Exercise/Conversion
Stock Appreciation Rights (SAR)
2022-11-15−7,530→ 0 totalExercise: $49.22Exp: 2024-11-21→ Common Stock (7,530 underlying) - Exercise/Conversion
Common Stock
2022-11-15$56.29/sh+4,835$272,162→ 68,928.697 total - Exercise/Conversion
Stock Appreciation Rights (SAR)
2022-11-15−6,270→ 0 totalExercise: $40.60Exp: 2023-05-03→ Common Stock (6,270 underlying)
Holdings
- 9,962.272(indirect: By 401(k))
Common Stock
- 5,055.334(indirect: by ESOP)
Common Stock
Footnotes (3)
- [F1]Shares withheld for option cost and taxes.
- [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.