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TOMPKINS FINANCIAL CORP — Director's Dealing 2016
Jan 26, 2016
32217_dirs_2016-01-26_a98db84d-239e-4999-b749-1092d7f86bd7.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: HARTZ GREGORY J (EVP, Pres.&CEO Tompkins Trust)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 16013.908 | Direct |
| Common Stock | 3456.36 | Indirect |
| Common Stock | 2017.73 | Indirect |
| Common Stock | 55.685 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Rights (SAR) | $41.7091 | 2019-09-17 | Common Stock (1650) | 1650 | Direct |
| Stock Appreciation Rights (SAR) | $37.00 | 2021-08-19 | Common Stock (2573) | 2573 | Direct |
| Stock Appreciation Rights (SAR) | $40.60 | 2023-05-03 | Common Stock (2536) | 2536 | 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.