Tompkins Financial (TMP) director takes equity grant of 130 shares in lieu of cash

Rhea-AI Filing Summary

Fessenden Daniel J. reported acquisition or exercise transactions in this Form 4 filing.

Tompkins Financial Corp director Daniel J. Fessenden increased his holdings through a share award. He received 130 shares of common stock at an indicated value of $95.92 per share, taken in lieu of a cash retainer under the company’s director retainer plan, bringing his direct ownership to 1,847.51 shares.

Insights

Corporate governance analyst

Director accepted routine equity compensation instead of cash, modestly increasing alignment with shareholders.

Director Daniel J. Fessenden received 130 shares of Tompkins Financial Corp common stock as a grant under the director retainer plan, valued at $95.92 per share. This represents compensation rather than an open-market purchase.

The filing states the shares were elected in lieu of cash retainer fees under the Second Amended and Restated Retainer Plan for Eligible Directors. Such equity-based compensation is a standard governance practice, modestly tying director pay to stock performance.

Following this grant, Fessenden directly holds 1,847.51 shares. With no derivative positions reported and no sales or dispositions, this Form 4 reflects a routine, non-discretionary compensation event rather than a trading signal for 2026-07-01.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Fessenden Daniel J.

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	130	$95.92	$12K

Holdings After Transaction: Common Stock — 1,847.51 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Shares granted: 130 shares Grant value per share: $95.92 per share Shares owned after grant: 1,847.51 shares +2 more

5 metrics

Shares granted 130 shares Common stock grant under director retainer plan

Grant value per share $95.92 per share Value applied to stock retainer election

Shares owned after grant 1,847.51 shares Direct common stock ownership after transaction

Transaction date 2026-07-01 Date of reported stock grant

Transaction code A Grant, award, or other acquisition of common stock

Key Terms

Form 4, Grant, award, or other acquisition, Second Amended and Restated Retainer Plan, in lieu of cash retainer fees

4 terms

Form 4 regulatory

"latest TOMPKINS FINANCIAL CORP (TMP) Form 4"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Grant, award, or other acquisition regulatory

"transaction code description states Grant, award, or other acquisition"

Second Amended and Restated Retainer Plan financial

"pursuant to the Second Amended and Restated Retainer Plan for Eligible Directors"

in lieu of cash retainer fees financial

"elected to be received by the reporting person in lieu of cash retainer fees"

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/02/2026 - 02:04 PM Accepted by SEC EDGAR 07/02/2026 - 02:04 PM Learn about SEC filing dates

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^*

Fessenden Daniel J.

(Last) (First) (Middle)

C/O TOMPKINS FINANCIAL CORPORATION

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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/01/2026

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	07/01/2026		A		130(1)	A	$95.92	1,847.51	D

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. Represents shares of common stock elected to be received by the reporting person in lieu of cash retainer fees pursuant to the Second Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries.

	/s/Daniel J. Fessenden	07/02/2026
	** 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)

FAQ

What transaction did Daniel J. Fessenden report in the latest TOMPKINS FINANCIAL CORP (TMP) Form 4?

Daniel J. Fessenden reported receiving 130 shares of Tompkins Financial common stock. The shares were granted as compensation under the director retainer plan, not purchased on the open market, and represent an equity award in lieu of part of his cash retainer fees.

At what value were the 130 Tompkins Financial (TMP) shares granted to director Daniel J. Fessenden?

The 130 common shares granted to Daniel J. Fessenden were valued at $95.92 per share. This value is used for compensation reporting under the director retainer plan and reflects the share value applied to his elected stock-in-lieu-of-cash retainer fees.

How many Tompkins Financial (TMP) shares does Daniel J. Fessenden own after this Form 4 transaction?

After the reported grant, Daniel J. Fessenden directly owns 1,847.51 shares of Tompkins Financial common stock. This total includes the newly awarded 130 shares received as compensation in lieu of cash under the company’s Second Amended and Restated Retainer Plan.

Was the Tompkins Financial (TMP) Form 4 transaction an open-market buy or a compensation grant?

The Form 4 transaction was a compensation grant, not an open-market purchase. Fessenden elected to receive 130 common shares in lieu of cash director fees under Tompkins Financial’s retainer plan, so no discretionary market buying or selling occurred in this filing.

What plan governed Daniel J. Fessenden’s stock award reported for Tompkins Financial (TMP)?

The award was made under the Second Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its wholly-owned subsidiaries. This plan allows directors to receive common stock in place of cash retainer payments, aligning part of compensation with share performance.

Does the latest Tompkins Financial (TMP) Form 4 indicate any stock sales or dispositions by Daniel J. Fessenden?

The Form 4 does not show any stock sales or dispositions by Fessenden. It reports only an acquisition of 130 common shares as a grant under the director retainer plan, increasing his direct holdings to 1,847.51 shares without any concurrent selling activity.