TOMPKINS FINANCIAL CORP — Director's Dealing 2021

Mar 2, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: TOMPKINS FINANCIAL CORP (TMP)
CIK: 0001005817
Period of Report: 2021-02-26

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-26	Common Stock	M	459	$40.66	Acquired	25349	Direct
2021-02-26	Common Stock	F	314	$77.33	Disposed	25035	Direct
2021-02-26	Common Stock	M	590	$49.22	Acquired	25625	Direct
2021-02-26	Common Stock	F	447	$77.33	Disposed	25178	Direct
2021-02-26	Common Stock	M	380	$56.29	Acquired	25558	Direct
2021-02-26	Common Stock	F	311	$77.33	Disposed	25247	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-26	Stock Appreciation Rights (SAR)	$40.60	M	459	Disposed	2023-05-03	Common Stock (459)	Direct
2021-02-26	Stock Appreciation Rights (SAR)	$49.22	M	590	Disposed	2024-11-21	Common Stock (590)	Direct
2021-02-26	Stock Appreciation Rights (SAR)	$56.29	M	380	Disposed	2025-11-04	Common Stock (380)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	770.13	Indirect
Common Stock	2776.154	Indirect

Footnotes

F1: Shares withheld for option cost and taxes.

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.