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TOMPKINS FINANCIAL CORP — Director's Dealing 2012
Feb 14, 2012
32217_dirs_2012-02-14_552fd055-5ef8-4736-887a-47ac4f6d7fe5.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: 2011-12-31
Reporting Person: ROMAINE STEPHEN S (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-12-31 | Common Stock | L | 1316 | — | Acquired | 9854 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $29.30 | 2012-09-30 | Common Stock (8785) | 8785 | Direct |
| Incentive Stock Option (Right to Buy) | $35.7636 | 2014-05-03 | Common Stock (6658) | 6658 | Direct |
| Incentive Stock Option (Right to Buy) | $38.5364 | 2016-01-23 | Common Stock (7986) | 7986 | Direct |
| Incentive Stock Option (Right to Buy) | $39.5545 | 2017-01-18 | Common Stock (4805) | 4805 | Direct |
| Incentive Stock Option (Right to Buy) | $37.2727 | 2017-11-29 | Common Stock (57) | 57 | Direct |
| Non-qualified Stock Option (Right to Buy) | $35.7636 | 2014-05-03 | Common Stock (7718) | 7718 | 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) | $39.5545 | 2017-01-18 | Common Stock (11696) | 11696 | Direct |
| Non-qualified Stock Option (Right to Buy) | $37.2727 | 2017-11-29 | Common Stock (16444) | 16444 | Direct |
| Stock Appreciation Rights (SAR) | $41.7091 | 2019-09-17 | Common Stock (22000) | 22000 | Direct |
| Stock Appreciation Rights (SAR) | $37.00 | 2021-08-19 | Common Stock (10500) | 10500 | Direct |
Footnotes
F1: Shares acquired through profit sharing, 401K contributions and reinvestment of quarterly cash dividends.
F2: The stock option becomes exercisable in four annual installments commencing two years after the date of grant.
F3: The stock option becomes exercisable in six annual installments commencing two years after the date of grant.
F4: Stock 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.
F5: Includes 3,300 shares of Restricted Stock granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. Restricted Stock grants 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. The grant will expire ten years from the date of the grant.