TOMPKINS FINANCIAL CORP — Director's Dealing 2016

Jan 19, 2016

SEC Form 5 — Annual Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2015-12-31

Reporting Person: ALEXANDER JOHN E (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	41994.046	Direct
Common Stock	534.359	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
7% Convertible Trust Preferred	$	2039-03-31	Common Stock (60459)	2500	Direct
7% Convertible Trust Preferred	$	2039-03-31	Common Stock (60459)	2500	Indirect
Phantom Stock	$		Common Stock (13005.078)	13005.078	Direct

Footnotes

F1: Includes shares acquired through reinvestment of quarterly dividends.

F2: The Trust Preferred Securities were issued by Tompkins Capital Trust I, all of the common securities of which are owned by Tompkins Financial Corporation (TMP). The Trust Preferred Securities are convertible, at any time on or after April 15, 2019, into TMP Common Stock at a price of $41.35 per share or, if higher, the average of the closing prices of TMP Common Stock on the trading days in the calendar quarter preceding the date of conversion. The amount set out in Item #7 above uses the $41.35 conversion price.

F3: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.