Tompkins Financial EVP reports RSU tax share withholdings

Rhea-AI Filing Summary

Tompkins Financial (TMP) executive John M. McKenna filed a Form 4 reporting share withholdings to cover taxes on restricted stock vesting. On 11/09/2025, Code F entries withheld 159, 123, 66, and 150 shares at $66.68 per share. An earlier Code F on 11/21/2021 withheld 135 shares at $82.89. Following these transactions, he directly owns 14,651.915 shares. Indirect holdings include 2,298.4616 shares via a 401(k) ESOP and 132.6172 via a 401(k) ISOP.

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

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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^*

McKenna John M

(Last) (First) (Middle)

P.O. BOX 460

(Street)

ITHACA NY 14851

(City) (State) (Zip)

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, Pres. Tompkins Comm. Bank

3. Date of Earliest Transaction (Month/Day/Year)
11/21/2021

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

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 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	11/21/2021		F		135(1)	D	$82.89	12,597.915	D
Common Stock	11/09/2025		F		159(1)	D	$66.68	14,990.915	D
Common Stock	11/09/2025		F		123(1)	D	$66.68	14,867.915	D
Common Stock	11/09/2025		F		66(1)	D	$66.68	14,801.915	D
Common Stock	11/09/2025		F		150(1)	D	$66.68	14,651.915	D
Common Stock								2,298.4616	I	by 401(K) ESOP
Common Stock								132.6172	I	by 401(K) ISOP

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/ John M. McKenna	11/10/2025
	** 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.

FAQ

What did TMP report in this Form 4?

Share withholdings under Code F to pay taxes upon restricted stock vesting, including multiple entries on 11/09/2025 at $66.68 per share.

Who is the reporting person in TMP's Form 4?

EVP and President of Tompkins Community Bank, John M. McKenna.

How many shares were withheld on 11/09/2025 and at what price?

Withholdings of 159, 123, 66, and 150 shares at $66.68 per share.

What earlier transaction is disclosed?

A Code F withholding of 135 shares at $82.89 on 11/21/2021.

What are John M. McKenna’s direct holdings after the transactions?

14,651.915 shares directly.

What indirect holdings are reported?

2,298.4616 shares via a 401(k) ESOP and 132.6172 via a 401(k) ISOP.

What does transaction code F mean here?

It indicates shares were withheld to satisfy taxes due upon restricted stock vesting.