SEC Form 4 · accession 0001005817-26-000109
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen S Romaine
Officer — President & CEO · Director
Period of report
Jul 28, 2026
Accepted (ET)
Jul 30, 2026 · 9:18 am EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001005817
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 28, 2026 | M | 1,734 | $76.90 | A | 71,621 | D | |
| Common StockF1 | Jul 28, 2026 | F | 1,530 | $101.25 | D | 70,091 | D | |
| Common Stock | holding | — | — | — | 11,371 | I | by 401(k)/ISOP | |
| Common Stock | holding | — | — | — | 6,057 | I | by ESOP | |
| Common StockF2 | holding | — | — | — | 452 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights (SAR)F3 | $76.90 | Jul 28, 2026 | M | 1,734 | D | — | Nov 9, 2026 | Common Stock | 1,734 | 0 | D |
Explanation of responses
- F1Shares withheld for option cost and taxes.
- F2The reporting person disclaims beneficial ownership of these securities, and this report shall not be deem an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F3Stock 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.