SEC Form 4 · accession 0001127602-16-065343

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

Oct 25, 2016

Accepted (ET)

Oct 27, 2016 · 3:05 pm 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	Oct 25, 2016	M	1,650	$41.71	A	22,365	D
Common Stock^F1	Oct 25, 2016	F	1,185	$41.71	D	21,180	D
Common Stock	Oct 25, 2016	M	893	$37.00	A	22,073	D
Common Stock^F1	Oct 25, 2016	F	610	$37.00	D	21,463	D
Common Stock	Oct 25, 2016	M	519	$40.60	A	21,982	D
Common Stock^F1	Oct 25, 2016	F	369	$40.60	D	21,613	D
Common Stock	holding	—	—		—	554	I	by 401(k)/ISOP
Common Stock	holding	—	—		—	1,958	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)^F2	$41.7091	Oct 25, 2016	M	1,650	D	—	Sep 17, 2019	Common Stock	1,650	0	D
Stock Appreciation Rights (SAR)^F2	$37.00	Oct 25, 2016	M	893	D	—	Aug 19, 2021	Common Stock	893	1,680	D
Stock Appreciation Rights (SAR)^F2	$40.60	Oct 25, 2016	M	519	D	—	May 3, 2023	Common Stock	519	2,017	D

F1Deemed disposition of shares to issuer to satisfy option cost and taxes.
F2Stock 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.