TOMPKINS FINANCIAL CORP — Director's Dealing 2019

Nov 6, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2019-11-04

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-04	Common Stock	M	519	$40.60	Acquired	22457.535	Direct
2019-11-04	Common Stock	F	357	$88.95	Disposed	22100.535	Direct
2019-11-04	Common Stock	M	380	$56.29	Acquired	22480.535	Direct
2019-11-04	Common Stock	F	300	$88.95	Disposed	22180.535	Direct
2019-11-04	Common Stock	M	201	$76.90	Acquired	22381.535	Direct
2019-11-04	Common Stock	F	186	$88.95	Disposed	22195.535	Direct
2019-11-04	Common Stock	F	83	$88.95	Disposed	22112.535	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-04	Stock Appreciation Rights (SAR)	$40.60	M	519	Disposed	2023-05-03	Common Stock (519)	Direct
2019-11-04	Stock Appreciation Rights (SAR)	$56.29	M	380	Disposed	2025-11-04	Common Stock (380)	Direct
2019-11-04	Stock Appreciation Rights (SAR)	$76.90	M	201	Disposed	2026-11-09	Common Stock (201)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	15.611	Indirect
Common Stock	4520.609	Indirect
Common Stock	2837.783	Indirect

Footnotes

F1: Deemed disposition of shares to the Issuer to pay for taxes upon vesting of restricted stock.

F2: 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.

F3: 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.