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TOMPKINS FINANCIAL CORP — Director's Dealing 2021
Jun 9, 2021
32217_dirs_2021-06-09_0cd80483-ab49-42ba-8da6-1d77db9ac309.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2021-06-02
Reporting Person: DeMilia David M (EVP, Pres & CEO Mahopac Bank)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2391.534 | Direct |
| Common Stock | 1417.049 | Indirect |
| Common Stock | 145.0856 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Appreciation Rights (SAR) | $40.60 | 2023-05-03 | Common Stock (150) | Direct | |
| Stock Appreciation Rights (SAR) | $49.22 | 2024-11-21 | Common Stock (527) | Direct | |
| Stock Appreciation Rights (SAR) | $56.29 | 2025-11-04 | Common Stock (348) | Direct | |
| Stock Appreciation Rights (SAR) | $76.90 | 2026-11-09 | Common Stock (255) | Direct |
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.
F2: 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.