SEC Form 4 · accession 0001005817-26-000116
TOMPKINS FINANCIAL CORP · TMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Kershaw
Officer — SVP, PAO
Period of report
Aug 4, 2026
Accepted (ET)
Aug 5, 2026 · 1:51 pm 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 | Aug 4, 2026 | M | 260 | $76.90 | A | 5,077 | D | |
| Common StockF1 | Aug 4, 2026 | F | 220 | $101.54 | D | 4,857 | D | |
| Common Stock | holding | — | — | — | 1,335 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 2,719 | I | by ESOP |
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)F2 | $76.90 | Aug 4, 2026 | M | 260 | D | — | Nov 9, 2026 | Common Stock | 260 | 0 | D |
Explanation of responses
- F1Shares withheld for Option cost and taxes.
- F2Stock 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.