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TOMPKINS FINANCIAL CORP — Director's Dealing 2017
Feb 6, 2017
32217_dirs_2017-02-06_4d14e0b0-21f7-4f5c-8133-34fea41bca5b.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: 2016-12-31
Reporting Person: ROMAINE STEPHEN S (Director, President & CEO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 31816.167 | Direct |
| Common Stock | 7790.33 | Indirect |
| Common Stock | 3635.59 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $37.2727 | 2017-11-29 | Common Stock (57) | 57 | Direct |
| Non-qualified Stock Option (Right to Buy) | $37.2727 | 2017-11-29 | Common Stock (16444) | 16444 | Direct |
| Stock Appreciation Rights (SAR) | $41.7091 | 2019-09-17 | Common Stock (22000) | 22000 | Direct |
| Stock Appreciation Rights (SAR) | $37.00 | 2021-08-19 | Common Stock (10500) | 10500 | Direct |
| Stock Appreciation Rights (SAR) | $40.60 | 2023-05-03 | Common Stock (6270) | 6270 | Direct |
| Stock Appreciation Rights (SAR) | $49.22 | 2024-11-21 | Common Stock (7530) | 7530 | Direct |
| Stock Appreciation Rights (SAR) | $56.29 | 2025-11-04 | Common Stock (4835) | 4835 | Direct |
| Stock Appreciation Rights (SAR) | $76.90 | 2026-11-09 | Common Stock (1734) | 1734 | Direct |
Footnotes
F1: Includes shares acquired through reinvestment of quarterly dividends.
F2: Includes shares acquired through profit sharing or 401K contributions.
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.
F5: Stock Appreciation Rights (SARs) were granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. SARs have a five-year vesting schedule, with 0% vesting in year one and 25% vesting in years two through five. 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.