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TOMPKINS FINANCIAL CORP — Director's Dealing 2013
May 10, 2013
32217_dirs_2013-05-10_32d7bfd6-d950-460a-b194-d20b39219dd0.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: 2013-05-03
Reporting Person: GRUBER SCOTT L (EVP, Pres. & COO, VIST Bank)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-05-03 | Common Stock | A | 2860 | $40.60 | Acquired | 2860 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-05-03 | Stock Appreciation Rights (SAR) | $40.60 | A | 3055 | Acquired | 2023-05-03 | Common Stock (3055) | Direct |
Footnotes
F1: Restricted Stock was 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: 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.