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TOMPKINS FINANCIAL CORP — Director's Dealing 2011
Feb 7, 2011
32217_dirs_2011-02-07_0ee98a48-77a0-46c3-b7bd-4fac0cc31cf9.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2010-12-31
Reporting Person: FULMER JAMES W (Director, Vice Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-11-15 | Common Stock - 401k/esop | L | 682.4 | — | Acquired | 12657 | Direct |
| 2010-11-15 | Common Stock Drip | L | 14.7 | — | Acquired | 447 | Indirect |
| 2010-11-15 | Common Stock Drip | L | 0.9 | — | Acquired | 24 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 54922 | Direct |
| Common Stock | 25573 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $35.7636 | 2014-05-03 | Common Stock (11181) | 11181 | Direct |
| Incentive Stock Option (Right to Buy) | $38.5364 | 2016-01-23 | Common Stock (7986) | 7986 | Direct |
| Incentive Stock Option (Right to Buy) | $37.2727 | 2017-11-29 | Common Stock (4123) | 4123 | Direct |
| Non-qualified Stock Option (Right to Buy) | $35.7636 | 2014-05-03 | Common Stock (2130) | 2130 | Direct |
| Non-qualified Stock Option (Right to Buy) | $38.5364 | 2016-01-23 | Common Stock (4114) | 4114 | Direct |
| Non-qualified Stock Option (Right to Buy) | $37.2727 | 2017-11-29 | Common Stock (6878) | 6878 | Direct |
| Stock Appreciation Rights (SAR) | $41.7091 | 2019-09-17 | Common Stock (11000) | 11000 | Direct |
Footnotes
F1: Shares acquired through profit sharing and reinvestment of quarterly cash dividends.
F2: Shares acquired through reinvestment of quarterly cash dividends.
F3: The stock option becomes exercisable in four annual installments commencing two years after the date of grant.
F4: The option becomes exercisable in six annual installments commencing two years after the date of the grant.
F5: The stock option becomes exercisable in six annual installments commencing two years after the date of grant.
F6: The option becomes exercisable in six annual installments commencing two years after the date of grant.
F7: Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. They become exercisable in six annual installments commencing two years after the grant date, and when exercised, SARs will be settled in Common Stock of the Company.