SEC Form 4 · accession 0001127602-16-049887

TOMPKINS FINANCIAL CORP · TMP

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

Reporting owner

Officer — EVP, Pres. & CEO Tompkins Ins.

Period of report

Apr 22, 2016

Accepted (ET)

Apr 26, 2016 · 10:23 am EDT

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	Apr 22, 2016	M	519	$40.60	A	20,642	D
Common Stock^F1	Apr 22, 2016	F	82	$67.45	D	20,560	D
Common Stock^F2	Apr 22, 2016	F	313	$67.45	D	20,247	D
Common Stock	Apr 22, 2016	M	2,677	$37.00	A	22,924	D
Common Stock^F1	Apr 22, 2016	F	477	$67.45	D	22,447	D
Common Stock^F2	Apr 22, 2016	F	1,469	$67.45	D	20,978	D
Common Stock	holding	—	—		—	522	I	by 401(k)/ISOP
Common Stock	holding	—	—		—	1,926	I	by ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Rights (SAR)^F3	$40.60	Apr 22, 2016	M	519	D	—	May 3, 2023	Common Stock	519	2,536	D
Stock Appreciation Rights (SAR)^F3	$37.00	Apr 22, 2016	M	2,677	D	—	Aug 19, 2021	Common Stock	2,677	2,573	D

F1Shares withheld for taxes.
F2Deemed disposition of shares to issuer to satisfy 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.