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TOMPKINS FINANCIAL CORP — Director's Dealing 2013
Jan 22, 2013
32217_dirs_2013-01-22_4659d532-050f-4287-967a-1c2f1cb24a3f.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: 2012-12-31
Reporting Person: FULMER JAMES W (Director, Vice Chairman)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 54322 | Direct |
| Common Stock | 9486 | Indirect |
| Common Stock | 25598 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $18.1818 | 2010-09-14 | Common Stock (0) | 0 | Direct |
| 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) | $18.1818 | 2010-09-14 | Common Stock (0) | 0 | 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 |
| Stock Appreciation Rights (SAR) | $37.00 | 2021-08-19 | Common Stock (5250) | 5250 | Direct |
Footnotes
F1: The stock option becomes exercisable in four annual installments commencing two years after the date of grant.
F2: The option becomes exercisable in six annual installments commencing two years after the date of the grant.
F3: The stock option becomes exercisable in six 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 grant.
F5: 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.