TMP

SEC source: 0001127602-19-032009 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,846

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

SEC source: 0001127602-19-032007 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,832.258

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

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-19-032008 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,560.697

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

SEC source: 0001127602-19-032006 · 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: 601

Underlying: Common Stock · 201 shares

Expires 2026-11-09

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 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.

SEC source: 0001127602-19-032006 · 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: 1,476

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.

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: 0001127602-19-032006 · 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: 459

Underlying: Common Stock · 519 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.

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: 0001127602-19-032006 · 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: 22,112.535

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

SEC source: 0001127602-19-032006 · 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: 22,195.535

SEC source: 0001127602-19-032006 · 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: 22,381.535

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: 0001127602-19-032006 · 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: 22,180.535

SEC source: 0001127602-19-032006 · 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: 22,480.535

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: 0001127602-19-032006 · 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: 22,100.535

SEC source: 0001127602-19-032006 · 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: 22,457.535

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: 0001127602-19-031840 · form4.xml · nonDerivative · entry 2

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: 15.611

F3 · shares: Purchase of shares as gift for grandchild for whom reporting person is Custodian.

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-20-004788 · form5.xml · nonDerivative · entry 1

FULMER JAMES W · CIK 0001102634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,393.03

F1 · shares: Bona fide gift to charitable gift fund.

SEC source: 0001127602-19-030127 · form4.xml · derivative · entry 1

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,950.564

Underlying: Common Stock · 178.129 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 · 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: 0001127602-19-030108 · form4.xml · derivative · entry 1

Fessenden Daniel J. · CIK 0001463126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,875.126

Underlying: Common Stock · 83.19 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 · 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: 0001127602-19-030184 · form4.xml · derivative · entry 1

Rochon Thomas R. · CIK 0001463129 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,540.678

Underlying: Common Stock · 367.689 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 · 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: 0001127602-19-030176 · form4.xml · derivative · entry 1

Tegan Jennifer R · CIK 0001781908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,201.812

Underlying: Common Stock · 189.877 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 · 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.

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-19-030177 · form4.xml · derivative · entry 1

WEBER ALFRED J · CIK 0001225242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,517.166

Underlying: Common Stock · 104.782 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 · 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.

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-19-030175 · form4.xml · derivative · entry 1

SPAIN MICHAEL H · CIK 0001124188 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,486.34

Underlying: Common Stock · 91.763 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 · 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: 0001127602-19-030174 · form4.xml · derivative · entry 1

BATTAGLIA PAUL J. · CIK 0001491721 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,977.881

Underlying: Common Stock · 261.954 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 · 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: 0001127602-19-031840 · 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: 21,802.699

F1 · shares: Bona fide gift to Charitable Gift Account

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-19-024083 · form4.xml · derivative · entry 1

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,664.634

Underlying: Common Stock · 170.743 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 · 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: 0001127602-19-024065 · form4.xml · derivative · entry 1

Fessenden Daniel J. · CIK 0001463126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,767.564

Underlying: Common Stock · 79.741 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 · 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: 0001127602-19-024064 · form4.xml · derivative · entry 1

Rochon Thomas R. · CIK 0001463129 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,088.324

Underlying: Common Stock · 352.443 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 · 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: 0001127602-19-024203 · form4.xml · derivative · entry 1

BATTAGLIA PAUL J. · CIK 0001491721 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,653.48

Underlying: Common Stock · 251.093 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 · 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: 0001127602-19-024213 · form4.xml · derivative · entry 2

Tegan Jennifer R · CIK 0001781908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,005.431

Underlying: Common Stock · 155.606 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 · 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: 0001127602-19-024213 · form4.xml · derivative · entry 1

Tegan Jennifer R · CIK 0001781908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 849.825

Underlying: Common Stock · 72.132 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 · 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: 0001127602-19-024201 · form4.xml · derivative · entry 1

SPAIN MICHAEL H · CIK 0001124188 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,347.05

Underlying: Common Stock · 87.959 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 · 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: 0001127602-19-024202 · form4.xml · derivative · entry 1

WEBER ALFRED J · CIK 0001225242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,390.451

Underlying: Common Stock · 100.437 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 · 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: 0001127602-19-024050 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,250

Underlying: Common Stock · 2,000 shares

Expires 2021-08-19

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: 0001127602-19-024050 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,430

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

SEC source: 0001127602-19-024050 · 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: 26,763

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: 0001127602-19-017656 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 459

Underlying: Common Stock · 519 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.

F1 · 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: 0001127602-19-017656 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,287.182

SEC source: 0001127602-19-017656 · 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: 11,621.182

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: 0001127602-19-017395 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,929

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-19-017391 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,074

F2 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-19-017398 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,817.697

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-19-017396 · 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: 24,763

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-19-017390 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,762.587

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-19-017389 · 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: 9,874.915

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-19-017385 · 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: 11,102.182

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-19-017384 · 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: 21,792.925

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-19-016935 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,000 shares

Expires 2019-09-17

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: 0001127602-19-016935 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,306.697

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

SEC source: 0001127602-19-016935 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,886.697

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: 0001127602-19-017157 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,476

Underlying: Common Stock · 759 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: 0001127602-19-017157 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,236.182

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