TMP

SEC source: 0001127602-18-024006 · form4.xml · derivative · entry 12

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,856

Underlying: Common Stock · 379 shares

Expires 2025-11-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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.

SEC source: 0001127602-18-024006 · form4.xml · derivative · entry 11

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,294

Underlying: Common Stock · 591 shares

Expires 2024-11-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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.

SEC source: 0001127602-18-024006 · form4.xml · derivative · entry 10

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 978

Underlying: Common Stock · 519 shares

Expires 2023-05-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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.

SEC source: 0001127602-18-024006 · form4.xml · nonDerivative · entry 7

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,116.532

F2 · shares: Shares withheld for Option cost and taxes

F3 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-18-024006 · form4.xml · nonDerivative · entry 6

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,415.532

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-18-024006 · form4.xml · nonDerivative · entry 5

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,036.532

F2 · shares: Shares withheld for Option cost and taxes

SEC source: 0001127602-18-024006 · form4.xml · nonDerivative · entry 4

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,474.532

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-18-024006 · form4.xml · nonDerivative · entry 3

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,883.532

F2 · shares: Shares withheld for Option cost and taxes

SEC source: 0001127602-18-024006 · form4.xml · nonDerivative · entry 2

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,237.532

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-18-023927 · form4.xml · derivative · entry 5

KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,000 shares

Expires 2019-09-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

SEC source: 0001127602-18-023927 · form4.xml · nonDerivative · entry 2

KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,915

F1 · shares: Shares withheld for option cost and taxes.

SEC source: 0001127602-18-023927 · form4.xml · nonDerivative · entry 1

KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,437

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-18-022943 · form4.xml · derivative · entry 1

WEBER ALFRED J · CIK 0001225242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,900.06

Underlying: Common Stock · 90.973 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-18-022940 · form4.xml · derivative · entry 1

Rochon Thomas R. · CIK 0001463129 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,338.103

Underlying: Common Stock · 319.541 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-18-022939 · form4.xml · derivative · entry 1

BATTAGLIA PAUL J. · CIK 0001491721 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,398.783

Underlying: Common Stock · 227.432 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-18-022938 · form4.xml · derivative · entry 1

SPAIN MICHAEL H · CIK 0001124188 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,810.856

Underlying: Common Stock · 79.601 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-18-022937 · form4.xml · derivative · entry 1

Fessenden Daniel J. · CIK 0001463126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,351.684

Underlying: Common Stock · 72.494 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F2 · balance_after: Includes shares acquired through reinvestment of quarterly dividends.

SEC source: 0001127602-18-022936 · form4.xml · derivative · entry 1

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,564.731

Underlying: Common Stock · 154.938 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-024006 · form4.xml · nonDerivative · entry 1

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,718.525

F1 · shares: Bona fide gift to Charitable Gift Account

SEC source: 0001127602-18-019022 · form4.xml · derivative · entry 11

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,294

Underlying: Common Stock · 1,181 shares

Expires 2024-11-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 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.

SEC source: 0001127602-18-019022 · form4.xml · derivative · entry 10

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 978

Underlying: Common Stock · 1,039 shares

Expires 2023-05-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 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.

SEC source: 0001127602-18-019022 · form4.xml · derivative · entry 9

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 788

Underlying: Common Stock · 892 shares

Expires 2021-08-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 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.

SEC source: 0001127602-18-019022 · form4.xml · nonDerivative · entry 6

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,481

F1 · shares: Shares withheld for option cost and taxes.

SEC source: 0001127602-18-019022 · form4.xml · nonDerivative · entry 5

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,395

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-18-019022 · form4.xml · nonDerivative · entry 4

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,214

F1 · shares: Shares withheld for option cost and taxes.

SEC source: 0001127602-18-019022 · form4.xml · nonDerivative · entry 3

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,962

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-18-019022 · form4.xml · nonDerivative · entry 2

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,923

F1 · shares: Shares withheld for option cost and taxes.

SEC source: 0001127602-18-019022 · form4.xml · nonDerivative · entry 1

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,545

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001127602-18-016354 · form4.xml · nonDerivative · entry 1

McKenna John M · CIK 0001615770 · EVP, Tompkins Bank of Castile

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,816.915

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-18-016339 · form4.xml · nonDerivative · entry 1

HARTZ GREGORY J · CIK 0001384976 · EVP, Pres.&CEO Tompkins Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,724.525

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-18-016335 · form4.xml · nonDerivative · entry 1

ROMAINE STEPHEN S · CIK 0001201525 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,985.627

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-18-016334 · form4.xml · nonDerivative · entry 1

FETSKO FRANCIS M · CIK 0001131014 · EVP, COO, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,248

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-18-016451 · form4.xml · nonDerivative · entry 1

GRUBER SCOTT L · CIK 0001481104 · EVP, Pres. & CEO, VIST Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,641.182

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-18-016447 · form4.xml · nonDerivative · entry 1

BOYCE DAVID S · CIK 0001201524 · EVP, Pres. & CEO Tompkins Ins.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,653

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-18-016446 · form4.xml · nonDerivative · entry 1

KLEIN GERALD J JR · CIK 0001384977 · EVP Pres&CEO Mahopac Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,437

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-18-016445 · form4.xml · nonDerivative · entry 1

VALENTI SUSAN M. · CIK 0001548384 · EVP, Corporate Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,513.464

F1 · shares: Vested restricted shares withheld for taxes.

SEC source: 0001127602-18-014181 · form4.xml · derivative · entry 1

BATTAGLIA PAUL J. · CIK 0001491721 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,123.65

Underlying: Common Stock · 260.89 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-014168 · form4.xml · derivative · entry 1

SPAIN MICHAEL H · CIK 0001124188 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,691.971

Underlying: Common Stock · 91.311 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-014169 · form4.xml · derivative · entry 1

Fessenden Daniel J. · CIK 0001463126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,260.047

Underlying: Common Stock · 83.159 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-014167 · form4.xml · derivative · entry 1

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,319.838

Underlying: Common Stock · 177.731 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-014199 · form4.xml · derivative · entry 1

Rochon Thomas R. · CIK 0001463129 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,954.241

Underlying: Common Stock · 366.55 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-014196 · form4.xml · derivative · entry 1

WEBER ALFRED J · CIK 0001225242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,792.689

Underlying: Common Stock · 104.356 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-004450 · form4.xml · nonDerivative · entry 1

FETSKO FRANCIS M · CIK 0001131014 · EVP, COO, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,403

F1 · shares: Restricted Stock was granted pursuant to the Tompkins Financial Corporation 2009 Equity Plan. Restricted Stock grants have a five-year vesting schedule with 0% vesting in year one and 25% vesting in years two through five. The grant will expire ten years from the date of the grant.

SEC source: 0001127602-18-003877 · form4.xml · nonDerivative · entry 2

FULMER JAMES W · CIK 0001102634 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 36,155.95

SEC source: 0001127602-18-003877 · form4.xml · nonDerivative · entry 1

FULMER JAMES W · CIK 0001102634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,393.03

SEC source: 0001127602-18-001664 · form4.xml · derivative · entry 4

Henry Susan A · CIK 0001410136 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,423.032

Underlying: Common Stock · 377.219 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · shares: Reflects the conversion of shares from a derivative security to a non-derivative security as a result of a distribution pursuant to the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-001664 · form4.xml · derivative · entry 3

Henry Susan A · CIK 0001410136 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,800.251

Underlying: Common Stock · 517.061 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · shares: Reflects the conversion of shares from a derivative security to a non-derivative security as a result of a distribution pursuant to the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

SEC source: 0001127602-18-001664 · form4.xml · nonDerivative · entry 2

Henry Susan A · CIK 0001410136 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,155.687

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Reflects the conversion of shares from a derivative security to a non-derivative security as a result of a distribution pursuant to the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation.

SEC source: 0001127602-18-001664 · form4.xml · nonDerivative · entry 1

Henry Susan A · CIK 0001410136 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,778.468

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Reflects the conversion of shares from a derivative security to a non-derivative security as a result of a distribution pursuant to the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation.

SEC source: 0001127602-18-001670 · form4.xml · derivative · entry 4

YUNKER CRAIG · CIK 0001104704 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,161.132

Underlying: Common Stock · 1,315.682 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F1 · shares: Reflects the conversion of shares from a derivative security to a non-derivative security as a result of a distribution pursuant to the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. Phantom stock represents deferred stock compensation under the Amended and Restated Retainer Plan for Eligible Directors of Tompkins Financial Corporation and its Wholly-Owned Subsidiaries. These shares are held in a rabbi trust pending distribution upon the occurrence of certain events specified in the Plan. The reporting person has no voting or investment power over the shares prior to such distribution.