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TOMPKINS FINANCIAL CORP — Director's Dealing 2012
May 30, 2012
32217_dirs_2012-05-30_1e3b0b93-35b9-4aed-9171-504fc8da3cfc.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2012-05-29
Reporting Person: KLEIN GERALD J JR (EVP Pres&CEO Mahopac Natl Bank)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-05-29 | Common Stock | M | 3787 | $29.30 | Acquired | 9710 | Direct |
| 2012-05-29 | Common Stock | F | 3000 | $36.98 | Disposed | 6710 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-05-29 | Incentive Stock Option (Right to Buy) | $29.30 | M | 3787 | Disposed | 2012-09-30 | Common Stock (3787) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2770 | Indirect |
Footnotes
F1: The stock option becomes exercisable in four annual installments commencing two years after the date of grant.
F2: Shares swapped to pay for option shares exercised.
F3: Includes 1,650 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.
F4: Reflects all 401K/ESOP allocations and dispositions since the filing of the reporting person's last ownership report.
F5: Shares allocated to the reporting person's 401K/ESOP were reported in the Form 5 filed 2/15/2012 as being held directly. The ownership of those shares is now reflected as being held indirectly, and the reporting person's holdings in Column 5 of this report have been updated to reflect the nature of beneficial ownership of these shares.