STOCK TITAN

[Form 4] Tompkins Financial Corporation Insider Trading Activity

Filing Impact
(Low)
Filing Sentiment
(Neutral)
Form Type
4
Rhea-AI Filing Summary

Radware Ltd. (RDWR) has filed a Form 144 indicating the potential sale of 2,355 ordinary shares through broker Oppenheimer & Co. at an aggregate market value of $69,896.40. The proposed sales window opens on 03 July 2025 and the shares will trade on NASDAQ. The notice states that the seller acquired the stock via an Employee Stock Option Plan (605 shares) and two separate Restricted Stock Unit grants (total 5,000 shares) dated 2019-2020. With approximately 42.55 million shares outstanding, the filing represents well under 0.01% of total equity and does not change the public float. No prior sales were reported in the past three months, and the filer attests to possessing no undisclosed material adverse information.

Radware Ltd. (RDWR) ha depositato un modulo Form 144 che segnala la possibile vendita di 2.355 azioni ordinarie tramite il broker Oppenheimer & Co. per un valore di mercato complessivo di 69.896,40 $. La finestra temporale per la vendita proposta si apre il 03 luglio 2025 e le azioni saranno quotate al NASDAQ. L'avviso indica che il venditore ha acquisito le azioni attraverso un Piano di Stock Option per Dipendenti (605 azioni) e due distinti assegni di Restricted Stock Unit (totale 5.000 azioni) risalenti al periodo 2019-2020. Con circa 42,55 milioni di azioni in circolazione, il deposito rappresenta meno dello 0,01% del capitale totale e non modifica il flottante pubblico. Negli ultimi tre mesi non sono state segnalate vendite precedenti e il firmatario dichiara di non possedere informazioni materiali avverse non divulgate.

Radware Ltd. (RDWR) ha presentado un Formulario 144 indicando la posible venta de 2.355 acciones ordinarias a través del corredor Oppenheimer & Co. por un valor de mercado agregado de 69.896,40 $. La ventana propuesta para la venta se abre el 03 de julio de 2025 y las acciones cotizarán en NASDAQ. El aviso señala que el vendedor adquirió las acciones mediante un Plan de Opciones sobre Acciones para Empleados (605 acciones) y dos asignaciones separadas de Restricted Stock Units (total 5.000 acciones) fechadas entre 2019 y 2020. Con aproximadamente 42,55 millones de acciones en circulación, la presentación representa menos del 0,01% del capital total y no cambia el flotante público. No se reportaron ventas previas en los últimos tres meses y el declarante afirma no poseer información material adversa no divulgada.

Radware Ltd. (RDWR)는 Form 144를 제출했습니다 이는 중개인 Oppenheimer & Co.를 통해 2,355 보통주를 총 시장 가치 69,896.40달러에 판매할 가능성을 나타냅니다. 제안된 판매 기간은 2025년 7월 3일에 시작되며, 주식은 NASDAQ에서 거래됩니다. 통지서에 따르면 판매자는 직원 스톡 옵션 계획(605주)과 2019-2020년에 발행된 두 개의 별도 제한 주식 단위(RSU) 보조금(총 5,000주)을 통해 주식을 취득했습니다. 약 4,255만 주의 발행 주식을 감안할 때, 이번 제출은 전체 지분의 0.01% 미만에 해당하며 공개 유통 주식 수에는 변동이 없습니다. 지난 3개월간 이전 판매 보고는 없었으며, 제출자는 공개되지 않은 중대한 부정적 정보가 없음을 확인했습니다.

Radware Ltd. (RDWR) a déposé un formulaire 144 indiquant la vente potentielle de 2 355 actions ordinaires via le courtier Oppenheimer & Co. pour une valeur marchande totale de 69 896,40 $. La fenêtre de vente proposée s'ouvre le 3 juillet 2025 et les actions seront négociées sur le NASDAQ. L'avis précise que le vendeur a acquis les actions via un plan d'options d'achat d'actions pour employés (605 actions) et deux attributions distinctes de Restricted Stock Units (total 5 000 actions) datées de 2019-2020. Avec environ 42,55 millions d'actions en circulation, le dépôt représente bien moins de 0,01 % du capital total et ne modifie pas le flottant public. Aucune vente antérieure n'a été signalée au cours des trois derniers mois et le déclarant atteste ne pas détenir d'informations défavorables matérielles non divulguées.

Radware Ltd. (RDWR) hat ein Formular 144 eingereicht, das den möglichen Verkauf von 2.355 Stammaktien über den Broker Oppenheimer & Co. zu einem Gesamtmarktwert von 69.896,40 $ anzeigt. Das vorgeschlagene Verkaufsfenster beginnt am 03. Juli 2025 und die Aktien werden an der NASDAQ gehandelt. Die Mitteilung besagt, dass der Verkäufer die Aktien über einen Mitarbeiter-Aktienoptionsplan (605 Aktien) und zwei separate Restricted Stock Unit-Zuteilungen (insgesamt 5.000 Aktien) aus den Jahren 2019-2020 erworben hat. Bei etwa 42,55 Millionen ausstehenden Aktien stellt die Einreichung weniger als 0,01 % des Gesamtkapitals dar und ändert den Streubesitz nicht. In den letzten drei Monaten wurden keine vorherigen Verkäufe gemeldet, und der Einreicher bestätigt, keine nicht offengelegten wesentlichen negativen Informationen zu besitzen.

Positive
  • Sale volume is immaterial—2,355 shares represent less than 0.01% of Radware’s outstanding shares, limiting market impact.
Negative
  • Insider intent to sell can be perceived negatively, even if small, as it signals reduced insider exposure.

Insights

TL;DR: Minor insider sale (<0.01% float); immaterial to valuation, but signals routine liquidity.

Form 144s give advance notice of insider intent to sell restricted shares. Here the stake—2,355 shares worth roughly $70k—is negligible relative to Radware’s 42.5 million shares outstanding. The acquisition history (options and RSUs) suggests normal employee compensation rather than strategic divestment. Because no material adverse information is indicated and the volume is de minimis, I view the filing as neutral for investors.

TL;DR: Routine Rule 144 disclosure; governance posture unaffected.

The signer certifies compliance with Rule 10b5-1 safeguards and absence of undisclosed negative information. No aggregation issues or pattern of large disposals appear: no other sales in the past three months, and total planned sales remain far below reporting thresholds that might raise governance flags. Therefore, the filing has no significant governance impact.

Radware Ltd. (RDWR) ha depositato un modulo Form 144 che segnala la possibile vendita di 2.355 azioni ordinarie tramite il broker Oppenheimer & Co. per un valore di mercato complessivo di 69.896,40 $. La finestra temporale per la vendita proposta si apre il 03 luglio 2025 e le azioni saranno quotate al NASDAQ. L'avviso indica che il venditore ha acquisito le azioni attraverso un Piano di Stock Option per Dipendenti (605 azioni) e due distinti assegni di Restricted Stock Unit (totale 5.000 azioni) risalenti al periodo 2019-2020. Con circa 42,55 milioni di azioni in circolazione, il deposito rappresenta meno dello 0,01% del capitale totale e non modifica il flottante pubblico. Negli ultimi tre mesi non sono state segnalate vendite precedenti e il firmatario dichiara di non possedere informazioni materiali avverse non divulgate.

Radware Ltd. (RDWR) ha presentado un Formulario 144 indicando la posible venta de 2.355 acciones ordinarias a través del corredor Oppenheimer & Co. por un valor de mercado agregado de 69.896,40 $. La ventana propuesta para la venta se abre el 03 de julio de 2025 y las acciones cotizarán en NASDAQ. El aviso señala que el vendedor adquirió las acciones mediante un Plan de Opciones sobre Acciones para Empleados (605 acciones) y dos asignaciones separadas de Restricted Stock Units (total 5.000 acciones) fechadas entre 2019 y 2020. Con aproximadamente 42,55 millones de acciones en circulación, la presentación representa menos del 0,01% del capital total y no cambia el flotante público. No se reportaron ventas previas en los últimos tres meses y el declarante afirma no poseer información material adversa no divulgada.

Radware Ltd. (RDWR)는 Form 144를 제출했습니다 이는 중개인 Oppenheimer & Co.를 통해 2,355 보통주를 총 시장 가치 69,896.40달러에 판매할 가능성을 나타냅니다. 제안된 판매 기간은 2025년 7월 3일에 시작되며, 주식은 NASDAQ에서 거래됩니다. 통지서에 따르면 판매자는 직원 스톡 옵션 계획(605주)과 2019-2020년에 발행된 두 개의 별도 제한 주식 단위(RSU) 보조금(총 5,000주)을 통해 주식을 취득했습니다. 약 4,255만 주의 발행 주식을 감안할 때, 이번 제출은 전체 지분의 0.01% 미만에 해당하며 공개 유통 주식 수에는 변동이 없습니다. 지난 3개월간 이전 판매 보고는 없었으며, 제출자는 공개되지 않은 중대한 부정적 정보가 없음을 확인했습니다.

Radware Ltd. (RDWR) a déposé un formulaire 144 indiquant la vente potentielle de 2 355 actions ordinaires via le courtier Oppenheimer & Co. pour une valeur marchande totale de 69 896,40 $. La fenêtre de vente proposée s'ouvre le 3 juillet 2025 et les actions seront négociées sur le NASDAQ. L'avis précise que le vendeur a acquis les actions via un plan d'options d'achat d'actions pour employés (605 actions) et deux attributions distinctes de Restricted Stock Units (total 5 000 actions) datées de 2019-2020. Avec environ 42,55 millions d'actions en circulation, le dépôt représente bien moins de 0,01 % du capital total et ne modifie pas le flottant public. Aucune vente antérieure n'a été signalée au cours des trois derniers mois et le déclarant atteste ne pas détenir d'informations défavorables matérielles non divulguées.

Radware Ltd. (RDWR) hat ein Formular 144 eingereicht, das den möglichen Verkauf von 2.355 Stammaktien über den Broker Oppenheimer & Co. zu einem Gesamtmarktwert von 69.896,40 $ anzeigt. Das vorgeschlagene Verkaufsfenster beginnt am 03. Juli 2025 und die Aktien werden an der NASDAQ gehandelt. Die Mitteilung besagt, dass der Verkäufer die Aktien über einen Mitarbeiter-Aktienoptionsplan (605 Aktien) und zwei separate Restricted Stock Unit-Zuteilungen (insgesamt 5.000 Aktien) aus den Jahren 2019-2020 erworben hat. Bei etwa 42,55 Millionen ausstehenden Aktien stellt die Einreichung weniger als 0,01 % des Gesamtkapitals dar und ändert den Streubesitz nicht. In den letzten drei Monaten wurden keine vorherigen Verkäufe gemeldet, und der Einreicher bestätigt, keine nicht offengelegten wesentlichen negativen Informationen zu besitzen.

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 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)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
07/02/2025
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
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
Phantom Stock (1) 07/02/2025 A 592.758(1) (1) (1) Common Stock 592.758 $65.6456 10,640.267 D
Explanation of Responses:
1. Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.
/s/Daniel J. Fessenden 07/03/2025
** 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 Radware Ltd. (RDWR) file?

RDWR filed a Form 144, a notice of proposed insider sale under SEC Rule 144.

How many RDWR shares are being sold?

The filing covers 2,355 ordinary shares.

What is the value of the planned sale?

The aggregate market value is $69,896.40 based on the filer’s calculation.

When may the shares be sold?

The approximate sale date disclosed is 03 July 2025.

How significant is this sale relative to shares outstanding?

With about 42.55 million shares outstanding, the sale equals ~0.006% of total equity.

Which broker will execute the trade?

Oppenheimer & Co. Inc., 85 Broad St., New York, NY 10004, is listed as broker.
Tompkins Financl

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