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Ownership Document
|
| Schema Version: X0508 |
| Document Type: 4 |
| Period of Report: 1/2/24 |
| Issuer: |
| Issuer CIK: 1005817 |
| Issuer Name: TOMPKINS FINANCIAL CORP |
| Issuer Trading Symbol: TMP |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1074514 |
| | Owner Name: ALEXANDER JOHN E |
| Reporting Owner Address: |
| | Owner Street 1: TOMPKINS FINANCIAL CORPORATION |
| | Owner Street 2: PO BOX 460 |
| | Owner City: ITHACA |
| | Owner State: NY |
| | Owner ZIP Code: 14851 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| Aff 10b5 One: 0 |
| Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Phantom Stock |
| | Conversion or Exercise Price: |
| | | Footnote ID: F1 |
| | Transaction Date: |
| | | Value: 1/2/24 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 230.842 |
| Footnote ID: F2 |
| | | Transaction Price Per Share: |
| Value: 59.2396 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Exercise Date: |
| | | Footnote ID: F1 |
| | Expiration Date: |
| | | Footnote ID: F1 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 230.842 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 23,783.042 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Phantom Stock |
| | Conversion or Exercise Price: |
| | | Footnote ID: F1 |
| | Transaction Date: |
| | | Value: 1/2/24 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 110.99 |
| Footnote ID: F2 |
| | | Transaction Price Per Share: |
| Value: 59.2396 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Exercise Date: |
| | | Footnote ID: F1 |
| | Expiration Date: |
| | | Footnote ID: F1 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 110.99 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 23,894.032 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: 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. |
| Footnote - 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. |
| Owner Signature: |
| Signature Name: /s/John E. Alexander |
| Signature Date: 1/3/24 |
