TMP

SEC source: 0001127602-21-028944 · form4.xml · nonDerivative · entry 4

Howard Brian A · CIK 0001681102 · EVP, Pres. Tompkins Fin. Adv.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,559.993

F2 · shares: Restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Restricted stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant.

SEC source: 0001127602-21-028944 · form4.xml · nonDerivative · entry 3

Howard Brian A · CIK 0001681102 · EVP, Pres. Tompkins Fin. Adv.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,199.993

F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028944 · form4.xml · nonDerivative · entry 2

Howard Brian A · CIK 0001681102 · EVP, Pres. Tompkins Fin. Adv.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,336.993

SEC source: 0001127602-21-028944 · form4.xml · nonDerivative · entry 1

Howard Brian A · CIK 0001681102 · EVP, Pres. Tompkins Fin. Adv.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,462.993

F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028941 · form4.xml · nonDerivative · entry 4

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,549.024

F2 · shares: Restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Restricted stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant.

SEC source: 0001127602-21-028941 · form4.xml · nonDerivative · entry 3

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,189.024

F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028941 · form4.xml · nonDerivative · entry 2

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,326.024

F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028941 · form4.xml · nonDerivative · entry 1

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,452.024

F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028940 · form4.xml · nonDerivative · entry 4

McKenna John M · CIK 0001615770 · EVP, Tompkins Bank of Castile

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,852.915

F2 · shares: Restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Restricted stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant.

SEC source: 0001127602-21-028940 · form4.xml · nonDerivative · entry 3

McKenna John M · CIK 0001615770 · EVP, Tompkins Bank of Castile

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,492.915

F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028940 · form4.xml · nonDerivative · entry 2

McKenna John M · CIK 0001615770 · EVP, Tompkins Bank of Castile

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,629.915

F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028940 · form4.xml · nonDerivative · entry 1

McKenna John M · CIK 0001615770 · EVP, Tompkins Bank of Castile

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,755.915

F1 · shares: Deemed disposition of shares to the issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028779 · form4.xml · nonDerivative · entry 1

GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,484.182

F1 · shares: Shares withheld for option cost and taxes.

SEC source: 0001127602-21-028554 · form4.xml · derivative · entry 4

FETSKO FRANCIS M · CIK 0001131014 · EVP, COO, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336

Underlying: Common Stock · 1,899 shares

Expires 2025-11-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 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.

SEC source: 0001127602-21-028554 · form4.xml · nonDerivative · entry 3

FETSKO FRANCIS M · CIK 0001131014 · EVP, COO, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,658

SEC source: 0001127602-21-028554 · form4.xml · nonDerivative · entry 2

FETSKO FRANCIS M · CIK 0001131014 · EVP, COO, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,272

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-21-028633 · form4.xml · nonDerivative · entry 6

DeMilia David M · CIK 0001866122 · EVP, Pres & CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,372.528

F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028632 · form4.xml · nonDerivative · entry 1

ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,894.697

F1 · shares: Deemed disposition of shares to the Issuer upon vesting of restricted stock.

SEC source: 0001127602-21-028591 · form4.xml · nonDerivative · entry 1

KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,296

SEC source: 0001127602-21-028557 · form4.xml · nonDerivative · entry 1

VALENTI SUSAN M. · CIK 0001548384 · EVP, Corporate Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,203.822

SEC source: 0001127602-21-028573 · form4.xml · nonDerivative · entry 1

McKenna John M · CIK 0001615770 · EVP, Tompkins Bank of Castile

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,871.915

F1 · shares: Deemed disposition of shares to the Issuer to satisfy option cost and taxes.

SEC source: 0001127602-21-028556 · form4.xml · nonDerivative · entry 1

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,118

F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028555 · form4.xml · nonDerivative · entry 1

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,568.024

F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028554 · form4.xml · nonDerivative · entry 1

FETSKO FRANCIS M · CIK 0001131014 · EVP, COO, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,373

F1 · shares: Deemed disposition of shares to Issuer to satisfy option cost and taxes.

SEC source: 0001127602-21-028537 · form4.xml · nonDerivative · entry 1

GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,791.182

F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

SEC source: 0001127602-21-028633 · form4.xml · nonDerivative · entry 5

DeMilia David M · CIK 0001866122 · EVP, Pres & CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,401.528

F1 · shares: Optional cash purchase through Tompkins Financial Dividend Reinvestment and Stock Puchase and Sale Plan.

SEC source: 0001127602-21-027000 · form4.xml · derivative · entry 2

Tegan Jennifer R · CIK 0001781908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,005.427

Underlying: Common Stock · 74.059 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001127602-21-027000 · form4.xml · derivative · entry 1

Tegan Jennifer R · CIK 0001781908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,931.368

Underlying: Common Stock · 103.262 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001127602-21-026998 · form4.xml · derivative · entry 1

Fessenden Daniel J. · CIK 0001463126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,110.119

Underlying: Common Stock · 138.485 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001127602-21-026994 · form4.xml · derivative · entry 1

WEBER ALFRED J · CIK 0001225242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,692.128

Underlying: Common Stock · 103.262 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · kind: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001127602-21-026993 · form4.xml · derivative · entry 1

SPAIN MICHAEL H · CIK 0001124188 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,773.055

Underlying: Common Stock · 90.316 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001127602-21-026992 · form4.xml · derivative · entry 2

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,592.184

Underlying: Common Stock · 57.802 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F2 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001127602-21-026992 · form4.xml · derivative · entry 1

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,534.382

Underlying: Common Stock · 117.712 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001127602-21-027006 · form4.xml · derivative · entry 4

Rochon Thomas R. · CIK 0001463129 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,246.46

Underlying: Common Stock · 120.823 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · kind: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001127602-21-027006 · form4.xml · nonDerivative · entry 1

Rochon Thomas R. · CIK 0001463129 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 817.8807

F1 · shares: 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.

SEC source: 0001127602-22-025081 · form4.xml · nonDerivative · entry 1

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Indirect · As Custodian FBO Andrew Chase UGMA/NY

Disclosed balance after: 20.563

F1 · shares: Optional cash purchase through Tompkins Financial Dividend Reinvestment and Stock Puchase and Sale Plan.

SEC source: 0001127602-21-028633 · form4.xml · nonDerivative · entry 4

DeMilia David M · CIK 0001866122 · EVP, Pres & CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,400.318

F1 · shares: Optional cash purchase through Tompkins Financial Dividend Reinvestment and Stock Puchase and Sale Plan.

SEC source: 0001127602-21-024500 · form4.xml · derivative · entry 13

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,096

Underlying: Common Stock · 380 shares

Expires 2025-11-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

SEC source: 0001127602-21-024500 · form4.xml · derivative · entry 12

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522

Underlying: Common Stock · 1,181 shares

Expires 2024-11-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

SEC source: 0001127602-21-024500 · form4.xml · derivative · entry 11

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 459 shares

Expires 2023-05-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

SEC source: 0001127602-21-024500 · form4.xml · nonDerivative · entry 7

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,661.024

F2 · shares: Shares withheld for Option cost and taxes

SEC source: 0001127602-21-024500 · form4.xml · nonDerivative · entry 6

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,978.024

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-21-024500 · form4.xml · nonDerivative · entry 5

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,598.024

F2 · shares: Shares withheld for Option cost and taxes

SEC source: 0001127602-21-024500 · form4.xml · nonDerivative · entry 4

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,515.024

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-21-024500 · form4.xml · nonDerivative · entry 3

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,334.024

F2 · shares: Shares withheld for Option cost and taxes

SEC source: 0001127602-21-024500 · form4.xml · nonDerivative · entry 2

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,659.024

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-21-023845 · form4.xml · nonDerivative · entry 1

MILEWSKI FRANK C · CIK 0001225238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,041.015

SEC source: 0001127602-21-028633 · form4.xml · nonDerivative · entry 3

DeMilia David M · CIK 0001866122 · EVP, Pres & CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,395.264

F1 · shares: Optional cash purchase through Tompkins Financial Dividend Reinvestment and Stock Puchase and Sale Plan.

SEC source: 0001127602-21-023502 · form4.xml · nonDerivative · entry 1

Rahilly Ita M · CIK 0001811767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,111.89

SEC source: 0001127602-21-029749 · form4.xml · nonDerivative · entry 1

ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · by 401(k)/ISOP

Disclosed balance after: 9,686.807

F1 · shares: Includes shares acquired through profit sharing and reinvestment of quarterly cash dividends.