0001127602-23-025695.txt : 20231010 0001127602-23-025695.hdr.sgml : 20231010 20231010090442 ACCESSION NUMBER: 0001127602-23-025695 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231001 FILED AS OF DATE: 20231010 DATE AS OF CHANGE: 20231010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kershaw David CENTRAL INDEX KEY: 0001993586 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12709 FILM NUMBER: 231315963 MAIL ADDRESS: STREET 1: PO 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 3 1 form3.xml PRIMARY DOCUMENT X0206 3 2023-10-01 0 0001005817 TOMPKINS FINANCIAL CORP TMP 0001993586 Kershaw David PO BOX 460 ITHACA NY 14851 1 SVP, PAO Common Stock 1221.6878 I by 401(k) Common Stock 3124.8 D Common Stock 2416.6487 I by ESOP Stock Appreciation Rights (SAR) 49.22 2024-11-21 Common Stock 1255 D Stock Appreciation Rights (SAR) 56.29 2025-11-04 Common Stock 705 D Stock Appreciation Rights (SAR) 76.90 2026-11-09 Common Stock 260 D 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. Stock 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. /s/ David. K. Kershaw 2023-10-10