Tompkins Financial CFO uses 109 shares to pay taxes

Available on EDGAR 11/13/2026 - 03:30 PM EST Accepted by SEC EDGAR 11/13/2026 - 03:30 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Tompkins Financial Corp. (TMP) EVP, CFO & Treasurer Matthew D. Tomazin reported that 109 shares were deemed disposed of to the issuer on November 12, 2026, to pay taxes upon vesting of restricted stock. The reported price was $100.14 per share. After the transaction, he reported 5,445 shares held directly, plus 912 shares through a 401(k) and 462 through an ESOP. No Rule 10b5-1 plan is reported.

Insider Trade Summary

Tax Withholding: 109 shares

Tax Withholding 1 txn

Insider Tomazin Matthew D

Role EVP, CFO & Treasurer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	109	$100.14	$11K
Holding	Common Stock	--	--	--
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 5,444.689 shares (Direct); Common Stock — 912.4733 shares (Indirect, by 401(k)); Common Stock — 461.8689 shares (Indirect, By ESOP)

Holdings Before and After: Common Stock, 5,553.689 to 5,444.689 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 for tax liability: 109 shares Reported price per share: $100.14 per share Direct shares after transaction: 5,445 shares +2 more

5 metrics

Shares deemed disposed for tax liability 109 shares On November 12, 2026, upon vesting of restricted stock

Reported price per share $100.14 per share For the November 12, 2026 disposition

Direct shares after transaction 5,445 shares Reported following the November 12, 2026 transaction

401(k) shares 912 shares Indirect holding reported on November 12, 2026

ESOP shares 462 shares Indirect holding reported on November 12, 2026

Key Terms

restricted stock, tax liability, 401(k), ESOP

4 terms

restricted stock financial

"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.

tax liability financial

"to pay taxes upon vesting"

401(k) financial

"shares through a 401(k)"

A 401(k) is a type of retirement savings plan offered by employers that allows workers to set aside a portion of their paycheck before taxes are taken out. The money saved in a 401(k) can grow over time through investments, helping individuals build funds for their future retirement. It matters to investors because it provides a tax-advantaged way to save and invest for long-term financial security.

ESOP financial

"shares through an ESOP"

An Employee Stock Ownership Plan (ESOP) is a program that gives employees ownership shares in their company, often as part of their benefits package. It acts like a company-sponsored savings plan, allowing workers to have a stake in the company's success, which can boost motivation and loyalty. For investors, ESOPs can influence company decisions and stock value, making them an important aspect of corporate ownership and governance.

FAQ

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

How many TMP shares did Matthew D. Tomazin dispose of?

Tompkins Financial Corp. (TMP) EVP, CFO & Treasurer Matthew D. Tomazin reported 109 shares deemed disposed of to the issuer on November 12, 2026, to pay taxes upon vesting of restricted stock; the reported price was $100.14 per share.

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

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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^*

Tomazin Matthew D

(Last) (First) (Middle)

PO 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, CFO & Treasurer

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		109(1)	D	$100.14	5,444.689	D
Common Stock								912.4733	I	by 401(k)
Common Stock								461.8689	I	By 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.

	/s/ Matthew D. Tomazin	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)