TOMPKINS FINANCIAL CORP — Director's Dealing 2019

Feb 20, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2019-02-15

Reporting Person: BOYCE DAVID S (EVP, Pres. & CEO Tompkins Ins.)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-02-15	Common Stock	M	788	$37.00	Acquired	24151	Direct
2019-02-15	Common Stock	F	554	$78.74	Disposed	23597	Direct
2019-02-15	Common Stock	M	591	$49.22	Acquired	24188	Direct
2019-02-15	Common Stock	F	467	$78.74	Disposed	23721	Direct
2019-02-15	Common Stock	M	759	$56.29	Acquired	24480	Direct
2019-02-15	Common Stock	F	638	$78.74	Disposed	23842	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-02-15	Stock Appreciation Rights (SAR)	$37.00	M	788	Disposed	2021-08-19	Common Stock (788)	Direct
2019-02-15	Stock Appreciation Rights (SAR)	$49.22	M	591	Disposed	2024-11-21	Common Stock (591)	Direct
2019-02-15	Stock Appreciation Rights (SAR)	$56.29	M	759	Disposed	2025-11-04	Common Stock (759)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	664.421	Indirect
Common Stock	2385.94	Indirect

Footnotes

F1: 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.