Tompkins executive files Form 3 with no trades

Tompkins Financial Corp executive Phillip M. Quintana filed an initial ownership report without listing any trades or holdings.

Rhea-AI Filing Summary

Tompkins Financial Corp executive Phillip M. Quintana filed an initial ownership report without listing any trades or holdings. The Form 3 data identifies him as an officer with the title "EVP & TCB President" and shows no reported purchases, sales, gifts, or derivative positions in the provided excerpt.

Key Figures

Buy transactions: 0 shares Sell transactions: 0 shares Derivative exercises: 0 shares +3 more

6 metrics

Buy transactions 0 shares buyShares in transactionSummary

Sell transactions 0 shares sellShares in transactionSummary

Derivative exercises 0 shares exerciseShares in transactionSummary

Net buy/sell shares 0 shares netBuySellShares in transactionSummary

Net buy/sell direction neutral netBuySellDirection in transactionSummary

Holding entries reported 0 entries holdingEntries in transactionSummary

Key Terms

Form 3, reporting person, EVP & TCB President, transactionSummary

4 terms

Form 3 regulatory

"INSIDER FILING DATA (Form 3)"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

reporting person regulatory

""reportingPersons": [ { "name": "Quintana Phillip M" } ]"

EVP & TCB President financial

""officer_title": "EVP & TCB President""

transactionSummary regulatory

""transactionSummary": { "buyCount": 0, "sellCount": 0 }"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Phillip M. Quintana’s Form 3 for TMP show?

The Form 3 for Phillip M. Quintana at Tompkins Financial Corp identifies him as an officer but shows no reported transactions. The provided data lists zero buys, zero sells, and no derivative positions, indicating no trades or holdings are disclosed in this excerpt.

Does the TMP Form 3 for Phillip M. Quintana report any stock purchases or sales?

No, this Form 3 excerpt for Tompkins Financial Corp reports zero purchases and zero sales by officer Phillip M. Quintana. The transaction summary fields, including buyShares, sellShares, and exerciseShares, are all shown as 0 in the data provided.

What is Phillip M. Quintana’s role at Tompkins Financial Corp (TMP)?

Phillip M. Quintana is identified as an officer of Tompkins Financial Corp with the title "EVP & TCB President." The Form 3 data flags him as an officer and not a director or ten percent owner in the provided fields.

Does the TMP Form 3 include any derivative securities for Phillip M. Quintana?

No, the Form 3 excerpt shows an empty derivativeSummary and a derivativeTransactionCount of 0. This indicates no options, warrants, or other derivative securities are reported for Phillip M. Quintana in the provided data fields.

What does the transaction summary in this TMP Form 3 indicate overall?

The transaction summary for Tompkins Financial Corp shows all counts and share amounts as 0, including buyCount, sellCount, exerciseCount, giftCount, and taxWithholdingCount. The netBuySellDirection is listed as "neutral" with netBuySellShares of 0 in this excerpt.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/28/2026 - 04:38 PM EDT Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Quintana Phillip M

(Last) (First) (Middle)

118 E. SENECA ST.

PO BOX 480

(Street)

ITHACA NEW YORK 14851

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
04/27/2026

3. Issuer Name and Ticker or Trading Symbol
TOMPKINS FINANCIAL CORP [ TMP ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP & TCB President

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	/s/ Phillip M. Quintana	04/28/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)