0001127602-22-025168.txt : 20221109 0001127602-22-025168.hdr.sgml : 20221109 20221109135749 ACCESSION NUMBER: 0001127602-22-025168 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221108 FILED AS OF DATE: 20221109 DATE AS OF CHANGE: 20221109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McKenna John M CENTRAL INDEX KEY: 0001615770 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 221371726 MAIL ADDRESS: STREET 1: P.O. BOX 460 CITY: ITHACA STATE: NY ZIP: 14851 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TOMPKINS FINANCIAL CORP CENTRAL INDEX KEY: 0001005817 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 161482357 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 118 E SENECA STREET STREET 2: P.O. BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 BUSINESS PHONE: 607-274-2078 MAIL ADDRESS: STREET 1: 118 E. SENECA STREET STREET 2: PO BOX 460 CITY: ITHACA STATE: NY ZIP: 14850 FORMER COMPANY: FORMER CONFORMED NAME: TOMPKINS TRUSTCO INC DATE OF NAME CHANGE: 19990512 FORMER COMPANY: FORMER CONFORMED NAME: TOMPKINS COUNTY TRUSTCO INC DATE OF NAME CHANGE: 19960117 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2022-11-08 0001005817 TOMPKINS FINANCIAL CORP TMP 0001615770 McKenna John M P.O. BOX 460 ITHACA NY 14851 1 EVP, Tompkins Bank of Castile Common Stock 2022-11-08 4 M 0 723 40.60 A 13242.915 D Common Stock 2022-11-08 4 F 0 521 81.23 D 12721.915 D Common Stock 1802.2052 I by 401(K) ESOP Common Stock 118.1491 I by 401(K) ISOP Stock Appreciation Rights (SAR) 40.60 2022-11-08 4 M 0 723 0 D 2023-05-03 Common Stock 723 0 D Shares withheld for Option cost and taxes 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. /s/ John M. McKenna 2022-11-09