TOMPKINS FINANCIAL CORP — Director's Dealing 2018

Jan 12, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2018-01-10

Reporting Person: Henry Susan A (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-01-10	Common Stock	M	517.061	—	Acquired	1778.468	Direct
2018-01-10	Common Stock	M	377.219	—	Acquired	2155.687	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-01-10	Phantom Stock	$	M	517.061	Disposed		Common Stock (517.061)	Direct
2018-01-10	Phantom Stock	$	M	377.219	Disposed		Common Stock (377.219)	Direct

Footnotes

F1: Reflects the conversion of shares from a derivative security to a non-derivative security as a result of a distribution pursuant to the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation.

F2: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.