TOMPKINS FINANCIAL CORP — Director's Dealing 2016

Nov 3, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2016-11-02

Reporting Person: ROMAINE STEPHEN S (Director, President & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-11-02	Common Stock	M	4805	$39.56	Acquired	30142.422	Direct
2016-11-02	Common Stock	F	3325	$73.80	Disposed	26817.422	Direct
2016-11-02	Common Stock	M	11696	$39.56	Acquired	38513.422	Direct
2016-11-02	Common Stock	F	9033	$73.80	Disposed	29480.422	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-11-02	Incentive Stock Option (Right to Buy)	$39.5545	M	4805	Disposed	2017-01-18	Common Stock (4805)	Direct
2016-11-02	Non-qualified Stock Option (Right to Buy)	$39.5545	M	11696	Disposed	2017-01-18	Common Stock (11696)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	7745.18	Indirect
Common Stock	3614.52	Indirect

Footnotes

F1: Shares withheld for option cost and taxes.

F2: The stock option becomes exercisable in six annual installments commencing two years after the date of grant.