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TOMPKINS FINANCIAL CORP — Director's Dealing 2016
Jan 26, 2016
32217_dirs_2016-01-26_70fe886b-18a6-4cea-84b6-a0a2c431062e.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: 2015-12-31
Reporting Person: VALENTI SUSAN M. (EVP, Corporate Marketing)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 8080.507 | Direct |
| Common Stock | 945.07 | Indirect |
| Common Stock | 183.45 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Rights (SAR) | $40.60 | 2023-05-03 | Common Stock (3055) | 3055 | Direct |
| Stock Appreciation Rights (SAR) | $49.22 | 2024-11-21 | Common Stock (3475) | 3475 | Direct |
| Stock Appreciation Rights (SAR) | $56.29 | 2025-11-04 | Common Stock (2235) | 2235 | Direct |
Footnotes
F1: Includes shares acquired through reinvestment of quarterly dividends.
F2: Includes shares acquired through profit sharing or 401K contributions.
F3: 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.