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TOMPKINS FINANCIAL CORP — Director's Dealing 2014
Feb 7, 2014
32217_dirs_2014-02-07_a2c94ac5-ace9-4c75-810a-005280b9ece0.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: 2013-12-31
Reporting Person: KLEIN GERALD J JR (EVP Pres&CEO Mahopac Bank)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 10238 | Direct |
| Common Stock | 740 | Indirect |
| Common Stock | 2445 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $35.7636 | 2014-05-03 | Common Stock (5262) | 5262 | Direct |
| Incentive Stock Option (Right to Buy) | $38.5364 | 2016-01-23 | Common Stock (7260) | 7260 | Direct |
| Incentive Stock Option (Right to Buy) | $39.5545 | 2017-01-18 | Common Stock (7942) | 7942 | Direct |
| Incentive Stock Option (Right to Buy) | $37.2727 | 2017-11-29 | Common Stock (1438) | 1438 | Direct |
| Non-qualified Stock Option (Right to Buy) | $39.5545 | 2017-01-18 | Common Stock (308) | 308 | Direct |
| Non-qualified Stock Option (Right to Buy) | $37.2727 | 2017-11-29 | Common Stock (9563) | 9563 | 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 |
| Stock Appreciation Rights (SAR) | $40.60 | 2023-05-03 | Common Stock (3055) | 3055 | Direct |
Footnotes
F1: Includes 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.