Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-19-033878
Date:2019-11-26
Issuer: TOMPKINS FINANCIAL CORP (TMP)
Original Submission Date:

Reporting Person:

BOYCE DAVID S
TOMPKINS FINANCIAL CORPORATION
P O BOX 460 ITHACA, NY 14851

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-11-26 M 519 a $40.60 24,272 direct
COMMON STOCK 2019-11-26 F 372 d $87.39 23,900 direct
COMMON STOCK 2019-11-26 M 591 a $49.22 24,491 direct
COMMON STOCK 2019-11-26 F 455 d $87.39 24,036 direct
COMMON STOCK 2019-11-26 M 380 a $56.29 24,416 direct
COMMON STOCK 2019-11-26 F 309 d $87.39 24,107 direct
COMMON STOCK 2019-11-26 0 $0.00 700 indirect
COMMON STOCK 2019-11-26 0 $0.00 2,557 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK APPRECIATION RIGHTS (SAR) 40.6 2019-11-26 deemed execution date M 519 (d) 2023-05-03 common stock 519 $40.60 459 direct
STOCK APPRECIATION RIGHTS (SAR) 49.22 2019-11-26 deemed execution date M 591 (d) 2024-11-21 common stock 591 $49.22 1,112 direct
STOCK APPRECIATION RIGHTS (SAR) 56.29 2019-11-26 deemed execution date M 380 (d) 2025-11-04 common stock 380 $56.29 1,096 direct
Footnotes
IDfootnote
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.
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