SEC Form 4 · accession 0001127602-15-007253

TOMPKINS FINANCIAL CORP · TMP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, Human Resources

Period of report

Feb 19, 2015

Accepted (ET)

Feb 20, 2015 · 10:07 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001005817

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Feb 19, 2015	M	1,300	$37.28	A	10,085	D
Common Stock^F1	Feb 19, 2015	F	915	$53.02	D	9,170	D
Common Stock^F2	Feb 19, 2015	F	97	$53.02	D	9,073	D
Common Stock	Feb 19, 2015	M	1,196	$41.71	A	10,269	D
Common Stock^F2	Feb 19, 2015	F	103	$53.02	D	10,166	D
Common Stock^F3	Feb 19, 2015	F	941	$53.02	D	9,225	D
Common Stock	holding	—	—		—	1,507	I	401(k)/ISOP
Common Stock	holding	—	—		—	1,331	I	By 401(K)/ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Incentive Stock Option (Right to Buy)^F4	$37.28	Feb 19, 2015	M	1,300	D	—	Nov 29, 2017	Common Stock	1,300	0	D
Stock Appreciation Rights (SAR)^F5	$41.71	Feb 19, 2015	M	1,196	D	—	Sep 17, 2019	Common Stock	1,196	564	D

F1Shares withheld for Option Cost.
F2Shares withheld for taxes.
F3Deemed disposition of shares to the issuer to satisfy exercise price.
F4The stock option becomes exercisable in six annual installments commencing two years after the date of grant.
F5Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a seven year vesting schedule with 0% vesting in year one, 17% vesting in years two through six, and 15% vesting in year seven. When exercised, the SARs will be settled in Common Stock of the Company. The grant will expire ten years from the date of the grant.