Tompkins Financial Corp Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows in 2025. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2025-11-03: Reporting owner McKenna John M; Form 4; Security Stock Appreciation Rights (SAR); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2025-11-03: Reporting owner Kershaw David; Form 4; Security Stock Appreciation Rights (SAR); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2025-11-03: Reporting owner Torcello Diane D; Form 4; Security Stock Appreciation Rights (SAR); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2025-11-03 | McKenna John M Officer (EVP, Pres. Tompkins Comm. Bank) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,235 0 owned after | $56.29 exercise price | $64.88 | 2025-11-05 |
| 2025-11-03 | Kershaw David Officer (SVP, PAO) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −705 0 owned after | $56.29 exercise price | $64.88 | 2025-11-04 |
| 2025-11-03 | Torcello Diane D Officer (EVP & President, Tompkins WNY) | 4 | Stock Appreciation Rights (SAR) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −690 0 owned after | $56.29 exercise price | $64.88 | 2025-11-04 |
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