TOMPKINS FINANCIAL CORP — Director's Dealing 2018

Jul 30, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2018-05-29

Reporting Person: HARTZ GREGORY J (EVP, Pres.&CEO Tompkins Trust)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-05-29	Common Stock	G	118	$84.24	Disposed	19718.525	Direct
2018-07-27	Common Stock	M	519	$40.60	Acquired	20237.532	Direct
2018-07-27	Common Stock	F	354	$87.23	Disposed	19883.532	Direct
2018-07-27	Common Stock	M	591	$49.22	Acquired	20474.532	Direct
2018-07-27	Common Stock	F	438	$87.23	Disposed	20036.532	Direct
2018-07-27	Common Stock	M	379	$56.29	Acquired	20415.532	Direct
2018-07-27	Common Stock	F	299	$87.23	Disposed	20116.532	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-07-27	Stock Appreciation Rights (SAR)	$40.60	M	519	Disposed	2023-05-03	Common Stock (519)	Direct
2018-07-27	Stock Appreciation Rights (SAR)	$49.22	M	591	Disposed	2024-11-21	Common Stock (591)	Direct
2018-07-27	Stock Appreciation Rights (SAR)	$56.29	M	379	Disposed	2025-11-04	Common Stock (379)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4116.824	Indirect
Common Stock	2614.955	Indirect

Footnotes

F1: Bona fide gift to Charitable Gift Account

F2: Shares withheld for Option cost and taxes

F3: Includes shares acquired through reinvestment of quarterly dividends.

F4: Includes shares acquired through profit sharing or 401K contributions.

F5: 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.