SEC Form 4 · accession 0001127602-15-031134

TOMPKINS FINANCIAL CORP · TMP

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

Reporting owner

Officer — EVP, Pres.&CEO Tompkins Trust

Period of report

Nov 10, 2015

Accepted (ET)

Nov 12, 2015 · 2:57 pm 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	Nov 10, 2015	M	892	$37.00	A	16,261	D
Common Stock^F1	Nov 10, 2015	F	142	$54.31	D	16,119	D
Common Stock^F2	Nov 10, 2015	D	576	$57.31	D	15,543	D
Common Stock	Nov 10, 2015	M	1,870	$41.71	A	17,413	D
Common Stock^F1	Nov 10, 2015	F	228	$57.31	D	17,185	D
Common Stock^F2	Nov 10, 2015	D	1,361	$57.31	D	15,824	D
Common Stock	Nov 10, 2015	M	519	$40.60	A	16,343	D
Common Stock^F1	Nov 10, 2015	F	68	$57.31	D	16,275	D
Common Stock^F2	Nov 10, 2015	D	368	$57.31	D	15,907	D
Common Stock	holding	—	—		—	3,401	I	by 401(k)/ISOP
Common Stock	holding	—	—		—	2,003	I	by ESOP
Common Stock	holding	—	—		—	55	I	By Son

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Rights (SAR)^F3	$37.00	Nov 10, 2015	M	892	D	—	Aug 19, 2021	Common Stock	892	2,573	D
Stock Appreciation Rights (SAR)^F3	$41.7091	Nov 10, 2015	M	1,870	D	—	Sep 17, 2019	Common Stock	1,870	1,650	D
Stock Appreciation Rights (SAR)^F3	$40.60	Nov 10, 2015	M	519	D	—	May 3, 2023	Common Stock	519	2,536	D

F1Shares withheld for taxes.
F2Deemed disposition of shares to satisfy the exercise price.
F3Stock 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.