BATTAGLIA PAUL J. 4
4 · TOMPKINS FINANCIAL CORP · Filed Jan 30, 2023
Insider Transaction Report
Form 4
BATTAGLIA PAUL J.
Director
Transactions
- Exercise/Conversion
Common Stock
2023-01-27+1,763.369→ 5,260.479 total - Exercise/Conversion
Phantom Stock
2023-01-27−1,763.369→ 7,053.474 total→ Common Stock (1,763.369 underlying)
Holdings
- 4,927.214(indirect: By Spouse)
Common Stock
Footnotes (2)
- [F1]Includes change in beneficial ownership of 1763.369 shares from indirect to direct, as a result of distribution pursuant to the Director's Deferred Stock Retainer Agreement.
- [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.