Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TOMPKINS FINANCIAL CORPTMP · Entity 2728 | Director · President & CEO | July 28, 2026 | July 30, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
TOMPKINS FINANCIAL CORP
Report date July 28, 2026 · Filed July 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 70,090.697 |
Ending reported balance
After 2026-07-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-07-28 · Exercise / conversion · Acquired 1,734 · Balance 71,620.697 Row 2 · 2026-07-28 · Tax withholding · Disposed 1,530 · Balance 70,090.697 F1: Shares withheld for option cost and taxes. |
| Stock Appreciation Rights (SAR)SEC Table II · derivative / convertible security · Conversion / exercise price $76.90 · Expires 2026-11-09 | Direct | 0 |
Reported balance
After 2026-07-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-07-28 · Exercise / conversion · Disposed 1,734 · Balance 0 F3: 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. |
| Common StockSEC Table I · non-derivative | Indirectby 401(k)/ISOP | 11,370.6856 |
Reported balance
Holding disclosure · report date 2026-07-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 11,370.6856 |
| Common StockSEC Table I · non-derivative | Indirectby ESOP | 6,057.1854 |
Reported balance
Holding disclosure · report date 2026-07-28 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 6,057.1854 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 452 |
Reported balance
Holding disclosure · report date 2026-07-28 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 452 F2: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deem an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld for option cost and taxes.
F2: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deem an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
F3: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 28, 2026 Filed Jul 30, 2026 13:18 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 1,734 | $0.00 Strike: $76.90 | $0.00 |
DisclosureSEC source: 0001005817-26-000109 · form4.xml · derivative · entry 6 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,734 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. Read SEC document |
| July 28, 2026 Filed Jul 30, 2026 13:18 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,530 | $101.25 | $154,912.50 |
DisclosureSEC source: 0001005817-26-000109 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,090.697 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| July 28, 2026 Filed Jul 30, 2026 13:18 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 1,734 | $76.90 | $133,344.60 |
DisclosureSEC source: 0001005817-26-000109 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,620.697 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. Read SEC document |
| May 18, 2026 Filed May 20, 2026 13:24 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,580 | $84.18 | $133,004.40 |
DisclosureSEC source: 0001005817-26-000058 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,886.697 F2 · shares: Shares withheld for taxes. Read SEC document |
| May 18, 2026 Filed May 20, 2026 13:24 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 3,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001005817-26-000058 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,466.697 F1 · shares: Each performance-based stock unit (PSU) represents the right to receive, following vesting, one share of Tompkins common stock. The number of shares of common stock acquired upon vesting of the PSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year performance period beginning with the first day of the fiscal year of the grant date and ending on the last day of the fiscal year of the third anniversary of the grant date. Read SEC document |
| November 12, 2025 Filed Nov 14, 2025 21:54 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 4,645 | $67.79 | $314,884.55 |
DisclosureSEC source: 0001005817-25-000104 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,371.697 F1 · 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. Read SEC document |
| November 09, 2025 Filed Nov 12, 2025 14:44 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 631 | $66.68 | $42,075.08 |
DisclosureSEC source: 0001005817-25-000077 · form4.xml · nonDerivative · entry 4 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,726.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2025 Filed Nov 12, 2025 14:44 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 396 | $66.68 | $26,405.28 |
DisclosureSEC source: 0001005817-25-000077 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,357.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2025 Filed Nov 12, 2025 14:44 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 370 | $66.68 | $24,671.60 |
DisclosureSEC source: 0001005817-25-000077 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,753.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2025 Filed Nov 12, 2025 14:44 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 433 | $66.68 | $28,872.44 |
DisclosureSEC source: 0001005817-25-000077 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,123.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| May 19, 2025 Filed May 21, 2025 13:22 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,478 | $64.14 | $94,798.92 |
DisclosureSEC source: 0001127602-25-015107 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,556.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 12, 2024 Filed Nov 13, 2024 19:03 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 308 | $74.62 | $22,982.96 |
DisclosureSEC source: 0001127602-24-027180 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,034.697 F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 12, 2024 Filed Nov 13, 2024 19:03 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 3,480 | $74.62 | $259,677.60 |
DisclosureSEC source: 0001127602-24-027180 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,342.697 F1 · 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. Read SEC document |
| November 09, 2024 Filed Nov 13, 2024 14:12 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 396 | $73.70 | $29,185.20 |
DisclosureSEC source: 0001127602-24-027140 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,862.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2024 Filed Nov 13, 2024 14:12 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 370 | $73.70 | $27,269.00 |
DisclosureSEC source: 0001127602-24-027140 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,258.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2024 Filed Nov 13, 2024 14:12 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 433 | $73.70 | $31,912.10 |
DisclosureSEC source: 0001127602-24-027140 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,628.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| May 21, 2024 Filed May 22, 2024 16:37 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,731 | $48.54 | $84,022.74 |
DisclosureSEC source: 0001127602-24-016216 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,061.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 12, 2023 Filed Nov 13, 2023 19:09 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 308 | $50.90 | $15,677.20 |
DisclosureSEC source: 0001127602-23-027200 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,792.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2023 Filed Nov 13, 2023 18:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 370 | $51.02 | $18,877.40 |
DisclosureSEC source: 0001127602-23-027181 · form4.xml · nonDerivative · entry 4 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,100.697 F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2023 Filed Nov 13, 2023 18:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 433 | $51.02 | $22,091.66 |
DisclosureSEC source: 0001127602-23-027181 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,470.697 F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2023 Filed Nov 13, 2023 18:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 655 | $51.02 | $33,418.10 |
DisclosureSEC source: 0001127602-23-027181 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,903.697 F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2023 Filed Nov 13, 2023 18:23 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 4,940 | $51.02 | $252,038.80 |
DisclosureSEC source: 0001127602-23-027181 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,558.697 F1 · 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. Read SEC document |
| May 01, 2023 Filed May 2, 2023 14:28 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 1,231 | $58.28 | $71,742.68 |
DisclosureSEC source: 0001127602-23-014012 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,618.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 4,835 | $0.00 Strike: $56.29 | $0.00 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · derivative · entry 11 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,835 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. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 7,530 | $0.00 Strike: $49.22 | $0.00 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · derivative · entry 10 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,530 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. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 6,270 | $0.00 Strike: $40.60 | $0.00 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · derivative · entry 9 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,270 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. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 4,079 | $84.49 | $344,634.71 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · nonDerivative · entry 6 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,849.697 F2 · shares: Shares withheld for option cost and taxes. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 4,835 | $56.29 | $272,162.15 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · nonDerivative · entry 5 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,928.697 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. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 6,057 | $84.49 | $511,755.93 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · nonDerivative · entry 4 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,093.697 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 7,530 | $49.22 | $370,626.60 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,150.697 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. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 4,744 | $84.49 | $400,820.56 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,620.697 F1 · shares: Shares withheld for option cost and taxes. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 14:40 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionCommon Stock | 6,270 | $40.60 | $254,562.00 |
DisclosureSEC source: 0001127602-22-025879 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,364.697 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. Read SEC document |
| November 12, 2022 Filed Nov 15, 2022 20:46 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 320 | $81.25 | $26,000.00 |
DisclosureSEC source: 0001127602-22-025614 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,094.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2022 Filed Nov 10, 2022 21:28 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 451 | $81.48 | $36,747.48 |
DisclosureSEC source: 0001127602-22-025298 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,319.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2022 Filed Nov 10, 2022 21:28 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 682 | $81.48 | $55,569.36 |
DisclosureSEC source: 0001127602-22-025298 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,770.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2022 Filed Nov 10, 2022 21:28 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 615 | $81.48 | $50,110.20 |
DisclosureSEC source: 0001127602-22-025298 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,452.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2022 Filed Nov 14, 2022 18:50 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 3,095 | $81.48 | $252,180.60 |
DisclosureSEC source: 0001127602-22-025416 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,414.697 F1 · 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. Read SEC document |
| November 04, 2022 Filed Nov 8, 2022 17:19 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 246 | $83.79 | $20,612.34 |
DisclosureSEC source: 0001127602-22-025083 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,067.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 21, 2021 Filed Nov 29, 2021 20:02 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 406 | $82.89 | $33,653.34 |
DisclosureSEC source: 0001127602-21-029749 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,313.697 F2 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 12, 2021 Filed Nov 15, 2021 22:10 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 321 | $83.89 | $26,928.69 |
DisclosureSEC source: 0001127602-21-029147 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,719.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2021 Filed Nov 12, 2021 20:29 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 2,895 | $83.97 | $243,093.15 |
DisclosureSEC source: 0001127602-21-028948 · form4.xml · nonDerivative · entry 5 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,040.697 F3 · 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. Read SEC document |
| November 09, 2021 Filed Nov 12, 2021 20:29 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | GrantCommon Stock | 2,895 | $83.97 | $243,093.15 |
DisclosureSEC source: 0001127602-21-028948 · form4.xml · nonDerivative · entry 4 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,145.697 F2 · shares: Performance-based restricted stock was granted pursuant to the Tompkins Financial Corporation 2019 Equity Incentive Plan. Performance shares will be earned pursuant to achievement of a specified performance goal over a three-year period. If the performance goal is not attained, all 2,895 shares will be forfeited. Read SEC document |
| November 09, 2021 Filed Nov 12, 2021 20:29 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 682 | $83.97 | $57,267.54 |
DisclosureSEC source: 0001127602-21-028948 · form4.xml · nonDerivative · entry 3 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,250.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2021 Filed Nov 12, 2021 20:29 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 615 | $83.97 | $51,641.55 |
DisclosureSEC source: 0001127602-21-028948 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,932.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 09, 2021 Filed Nov 12, 2021 20:29 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 347 | $83.97 | $29,137.59 |
DisclosureSEC source: 0001127602-21-028948 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,547.697 F1 · shares: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock. Read SEC document |
| November 04, 2021 Filed Nov 9, 2021 00:58 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 279 | $82.94 | $23,140.26 |
DisclosureSEC 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. Read SEC document |
| August 01, 2021 Filed Nov 29, 2021 20:02 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | OtherCommon Stock | 132.947 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 28, 2021 Filed Jun 1, 2021 16:47 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | SaleCommon Stock | 2,832 | $81.38 | $230,454.00 |
DisclosureSEC source: 0001127602-21-018408 · form4.xml · nonDerivative · entry 1 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,173.697 Read SEC document |
| May 26, 2021 Filed May 28, 2021 16:52 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Exercise / conversionStock Appreciation Rights (SAR) · Derivative | 10,500 | $0.00 Strike: $37.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018295 · 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 · 10,500 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. Read SEC document |
| May 26, 2021 Filed May 28, 2021 16:52 UTC | TOMPKINS FINANCIAL CORP TMP · Entity 2728 | Tax withholdingCommon Stock | 7,668 | $78.50 | $601,938.00 |
DisclosureSEC source: 0001127602-21-018295 · form4.xml · nonDerivative · entry 2 ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,005.697 F1 · shares: Shares withheld for taxes. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.