Tompkins Financial: Fontaine uses 99 shares for taxes

Available on EDGAR 11/13/2026 - 02:32 PM EST Accepted by SEC EDGAR 11/13/2026 - 02:31 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Tompkins Financial Corp. (TMP) reported that EVP, General Counsel & CRO Alyssa H. Fontaine had 99 common shares deemed disposed to the issuer on November 12, 2026, to pay taxes upon vesting of restricted stock. After the transaction, she directly held 10,307 shares; a same-date record lists 1,071 shares held indirectly through a 401K/ESOP.

Insider Trade Summary

Tax Withholding: 99 shares

Tax Withholding 1 txn

Insider Fontaine Alyssa H

Role EVP, General Counsel & CRO

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	99	$100.14	$10K
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 10,306.788 shares (Direct); Common Stock — 1,071.2615 shares (Indirect, 401K/ESOP)

Holdings Before and After: Common Stock, 10,405.788 to 10,306.788 shares (Direct)

Footnotes (1)

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

Key Figures

Shares deemed disposed: 99 shares Reported price per share: $100.14 per share Direct common-stock holdings: 10,307 shares +1 more

4 metrics

Shares deemed disposed 99 shares To pay taxes upon vesting of restricted stock on November 12, 2026.

Reported price per share $100.14 per share For the tax-related disposition on November 12, 2026.

Direct common-stock holdings 10,307 shares Reported following the transaction on November 12, 2026.

Indirect common-stock holdings 1,071 shares Held through a 401K/ESOP; listed on November 12, 2026.

Key Terms

restricted stock, vesting, 401K/ESOP

3 terms

restricted stock technical

"vesting of restricted stock"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

vesting technical

"taxes upon vesting"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

401K/ESOP financial

"held indirectly through a 401K/ESOP"

FAQ

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

How many TMP shares did Alyssa H. Fontaine report for tax withholding?

Alyssa H. Fontaine had 99 shares deemed disposed to Tompkins Financial Corp. on November 12, 2026, to pay taxes upon vesting of restricted stock. The transaction was reported at $100.14 per share.

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

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Fontaine Alyssa H

(Last) (First) (Middle)

P.O. BOX 460

(Street)

ITHACA NEW YORK 14851

(City) (State) (Zip)

UNITED STATES

(Country)

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

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP, General Counsel & CRO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/12/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	11/12/2026		F		99(1)	D	$100.14	10,306.788	D
Common Stock								1,071.2615	I	401K/ESOP

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

	Alyssa H. Fontaine	11/13/2026
	** 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 4 (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 4: SEC 1474 (03-26)