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TOMPKINS FINANCIAL CORP — Director's Dealing 2012
May 3, 2012
32217_dirs_2012-05-03_bbb0f254-5dda-42eb-9897-e38885477da7.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2012-04-24
Reporting Person: HYLAND ROSEMARY G. (SVP, Human Resources)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1511 | Direct |
| Common Stock | 2607 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $35.77 | 2014-05-03 | Common Stock (3594) | Direct | |
| Incentive Stock Option (Right to Buy) | $38.54 | 2016-01-23 | Common Stock (3630) | Direct | |
| Incentive Stock Option (Right to Buy) | $37.28 | 2017-11-29 | Common Stock (3300) | Direct | |
| Stock Appreciation Rights (SAR) | $41.71 | 2019-09-17 | Common Stock (1760) | Direct | |
| Stock Appreciation Rights (SAR) | $37.00 | 2021-08-19 | Common Stock (1300) | Direct |
Footnotes
F1: Includes 608 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.
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.