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Tompkins (TMP) EVP awarded 730 shares; 264 withheld for taxes

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(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Tompkins Financial Corp executive John M. McKenna, EVP and President of Tompkins Community Bank, reported compensation- and tax-related changes in his common stock holdings. On May 18, 2026, he received a grant of 730 common shares at $0.00 per share, described as a grant, award, or other acquisition.

On the same date, 264 common shares were disposed of in a tax-withholding transaction at $84.18 per share, with a footnote stating these shares were withheld for taxes. After these transactions, he directly held 16,746.915 common shares. Indirectly, he also held 135.0365 shares by a 401(K) ISOP and 2,433.2255 shares by a 401(K) ESOP. These entries reflect equity compensation vesting and related tax withholding rather than open-market buying or selling.

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Insider McKenna John M
Role EVP, Pres. Tompkins Comm. Bank
Type Security Shares Price Value
Grant/Award Common Stock 730 $0.00 --
Tax Withholding Common Stock 264 $84.18 $22K
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 16,746.915 shares (Direct, null); Common Stock — 2,433.226 shares (Indirect, by 401(K) ESOP)
Footnotes (1)
  1. Each performance-based stock unit (PSU) represents the right to receive one share of Intel common stock. The number of shares of Intel common stock acquired upon vesting of the PSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year performance period beginning with the first day of the first fiscal year immediately following the grant date and ending on the last day of the third fiscal year. Each performance-based stock unit (PSU) represents the right to receive, following vesting, one share of Tompkins common stock. The number of shares of common stock acquired upon vesting of the PSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year performance period beginning with the first day of the fiscal year of the grant date and ending on the last day of the fiscal year of the third anniversary of the grant date. Shares withheld for taxes.
Stock grant 730 shares Common Stock grant coded A on May 18, 2026
Tax-withheld shares 264 shares Shares withheld for taxes at $84.18 per share
Tax withholding price $84.18/share Price applied to 264 shares withheld for taxes
Direct holdings after transactions 16,746.915 shares Direct common stock owned after May 18, 2026 updates
Indirect 401(K) ISOP holdings 135.0365 shares Indirect ownership via 401(K) ISOP
Indirect 401(K) ESOP holdings 2,433.2255 shares Indirect ownership via 401(K) ESOP
Tax-withholding share count summary 264 shares transactionSummary taxWithholdingShares
performance-based stock unit (PSU) financial
"Each performance-based stock unit (PSU) represents the right to receive, following vesting, one share of Tompkins common stock."
tax-withholding disposition financial
"transaction_action: tax-withholding disposition for 264 common shares at $84.18."
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
401(K) ISOP financial
"Indirect ownership of 135.0365 common shares is listed as by 401(K) ISOP."
401(K) ESOP financial
"Indirect ownership of 2,433.2255 common shares is listed as by 401(K) ESOP."
grant, award, or other acquisition financial
"The 730-share transaction is described as a Grant, award, or other acquisition."
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
McKenna John M
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
EVP, Pres. Tompkins Comm. Bank
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/18/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock05/18/2026A730(1)(2)A$016,746.915D
Common Stock05/18/2026F264(3)D$84.1816,482.915D
Common Stock2,433.2255Iby 401(K) ESOP
Common Stock135.0365Iby 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Each performance-based stock unit (PSU) represents the right to receive one share of Intel common stock. The number of shares of Intel common stock acquired upon vesting of the PSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year performance period beginning with the first day of the first fiscal year immediately following the grant date and ending on the last day of the third fiscal year.
2. Each performance-based stock unit (PSU) represents the right to receive, following vesting, one share of Tompkins common stock. The number of shares of common stock acquired upon vesting of the PSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year performance period beginning with the first day of the fiscal year of the grant date and ending on the last day of the fiscal year of the third anniversary of the grant date.
3. Shares withheld for taxes.
/s/ John M. McKenna05/19/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Tompkins Financial (TMP) report for John M. McKenna?

John M. McKenna reported a stock grant and tax withholding. He received 730 Tompkins common shares as a grant and had 264 shares withheld for taxes at $84.18 per share, updating his direct and indirect ownership totals.

How many Tompkins Financial (TMP) shares were granted to John M. McKenna?

He was granted 730 common shares. The filing describes this as a grant, award, or other acquisition at $0.00 per share, increasing his direct holdings before accounting for shares withheld to satisfy tax obligations.

Why were 264 Tompkins Financial (TMP) shares disposed of in this Form 4?

264 shares were withheld for taxes. The transaction is coded “F” and the footnote states “Shares withheld for taxes,” indicating the shares satisfied tax liability at $84.18 per share rather than representing an open-market sale.

What are John M. McKenna’s direct Tompkins Financial (TMP) share holdings after these transactions?

He directly holds 16,746.915 common shares. This figure reflects his position after receiving 730 shares as a grant and having 264 shares withheld for taxes, according to the updated post-transaction balance in the Form 4.

What indirect Tompkins Financial (TMP) holdings does John M. McKenna report?

He reports indirect holdings through two retirement plans. The filing lists 135.0365 shares held by a 401(K) ISOP and 2,433.2255 shares held by a 401(K) ESOP, both categorized as indirect ownership entries.

Does this Tompkins Financial (TMP) Form 4 show open-market buying or selling by John M. McKenna?

The filing shows compensation and tax-related entries, not open-market trades. It records a stock grant of 730 shares and 264 shares withheld for taxes, with no open-market purchase or sale transactions reported.