TMP

SEC source: 0001127602-17-014601 · form4.xml · derivative · entry 1

YUNKER CRAIG · CIK 0001104704 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,582.121

Underlying: Common Stock · 116.328 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: 0001127602-17-007916 · 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: 21,147

SEC source: 0001127602-17-006445 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,206

SEC source: 0001127602-17-003772 · form4.xml · derivative · entry 9

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 · 9,563 shares

Expires 2017-11-29

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: The stock option becomes exercisable in six annual installments commencing two years after the date of grant.

SEC source: 0001127602-17-003772 · form4.xml · derivative · entry 8

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 · 1,438 shares

Expires 2017-11-29

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: The stock option becomes exercisable in six annual installments commencing two years after the date of grant.

SEC source: 0001127602-17-003772 · form4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,872

SEC source: 0001127602-17-003772 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,872

F2 · shares: Shares withheld for option cost and taxes.

SEC source: 0001127602-17-003772 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,309

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: 0001127602-17-003772 · 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: 19,746

F1 · shares: Shares swapped to pay for option shares exercised.

SEC source: 0001127602-17-003772 · 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: 20,352

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: 0001127602-17-003434 · form4.xml · derivative · entry 4

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Spouse

Disclosed balance after: 0

Underlying: Common Stock · 60,459 shares

Expires 2039-03-31

F1 · derivative.exercise_price: The Trust Preferred Securities were issued by Tompkins Capital Trust I, all of the common securities of which are owned by Tompkins Financial Corporation (TMP). The Trust Preferred Securities are convertible, at any time on or after April 15, 2019, into TMP Common Stock at a price of $41.35 per share or, if higher, the average of the closing prices of TMP Common Stock on the trading days in the calendar quarter preceding the date of conversion. The amount set out in Item #7 above uses the $41.35 conversion price.

F2 · kind: The reported securities were called for redemption by the Issuer at a price equal to their face value; accordingly, they are no longer exercisable and have been redeemed and cancelled.

F2 · derivative.exercise_date: The reported securities were called for redemption by the Issuer at a price equal to their face value; accordingly, they are no longer exercisable and have been redeemed and cancelled.

F2 · derivative.expiration_date: The reported securities were called for redemption by the Issuer at a price equal to their face value; accordingly, they are no longer exercisable and have been redeemed and cancelled.

SEC source: 0001127602-17-003434 · form4.xml · derivative · entry 3

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,459 shares

Expires 2039-03-31

F1 · derivative.exercise_price: The Trust Preferred Securities were issued by Tompkins Capital Trust I, all of the common securities of which are owned by Tompkins Financial Corporation (TMP). The Trust Preferred Securities are convertible, at any time on or after April 15, 2019, into TMP Common Stock at a price of $41.35 per share or, if higher, the average of the closing prices of TMP Common Stock on the trading days in the calendar quarter preceding the date of conversion. The amount set out in Item #7 above uses the $41.35 conversion price.

F2 · kind: The reported securities were called for redemption by the Issuer at a price equal to their face value; accordingly, they are no longer exercisable and have been redeemed and cancelled.

F2 · derivative.exercise_date: The reported securities were called for redemption by the Issuer at a price equal to their face value; accordingly, they are no longer exercisable and have been redeemed and cancelled.

F2 · derivative.expiration_date: The reported securities were called for redemption by the Issuer at a price equal to their face value; accordingly, they are no longer exercisable and have been redeemed and cancelled.

SEC source: 0001127602-17-001347 · form4.xml · derivative · entry 1

Henry Susan A · CIK 0001410136 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,720.138

Underlying: Common Stock · 121.663 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: 0001127602-17-001335 · form4.xml · derivative · entry 1

SPAIN MICHAEL H · CIK 0001124188 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,128.091

Underlying: Common Stock · 59.807 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: 0001127602-17-001332 · form4.xml · derivative · entry 2

YUNKER CRAIG · CIK 0001104704 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,422.763

Underlying: Common Stock · 129.395 shares

Expires not disclosed

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.

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: 0001127602-17-001331 · form4.xml · derivative · entry 1

ALEXANDER JOHN E · CIK 0001074514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,138.185

Underlying: Common Stock · 115.729 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: 0001127602-17-001330 · form4.xml · derivative · entry 1

Fessenden Daniel J. · CIK 0001463126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,725.141

Underlying: Common Stock · 74.103 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: 0001127602-17-001327 · form4.xml · derivative · entry 1

HAYNES CARL E · CIK 0001074513 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,038.216

Underlying: Common Stock · 49.835 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: 0001127602-17-001422 · form4.xml · derivative · entry 1

BATTAGLIA PAUL J. · CIK 0001491721 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,736.585

Underlying: Common Stock · 174.822 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: 0001127602-17-001421 · form4.xml · derivative · entry 1

Rochon Thomas R. · CIK 0001463129 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,155.267

Underlying: Common Stock · 231.76 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: 0001127602-17-001407 · form4.xml · derivative · entry 1

WEBER ALFRED J · CIK 0001225242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,240.868

Underlying: Common Stock · 70.229 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: 0001127602-17-004007 · form5.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,018

F1 · shares: Bona fide gift to Charitable Gift Fund.

SEC source: 0001127602-16-068445 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,520 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.

F1 · 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: 0001127602-16-068445 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,218

SEC source: 0001127602-16-068445 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,576

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: 0001127602-16-068412 · form4.xml · nonDerivative · entry 2

FULMER JAMES W · CIK 0001102634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,393.03

SEC source: 0001127602-16-068075 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,816.167

F1 · shares: Shares withheld for taxes.

SEC source: 0001127602-16-068064 · 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: 7,799.172

F1 · shares: Shares withheld for taxes.

SEC source: 0001127602-16-068065 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,056

F1 · shares: Shares withheld for taxes.

SEC source: 0001127602-16-068057 · 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: 18,088.843

F1 · shares: Shares withheld for taxes.

SEC source: 0001127602-16-068063 · 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: 7,858.915

F1 · shares: Shares withheld for taxes.

SEC source: 0001127602-16-068038 · 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: 21,851

F1 · shares: Shares withheld for taxes.

SEC source: 0001127602-16-068037 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,521.429

F1 · shares: Shares withheld for taxes.

SEC source: 0001127602-16-068036 · 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: 18,914

F1 · shares: Shares withheld for taxes.

SEC source: 0001127602-16-068412 · form4.xml · nonDerivative · entry 1

FULMER JAMES W · CIK 0001102634 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,393.03

SEC source: 0001127602-16-067733 · 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: 7,997.915

SEC source: 0001127602-16-067400 · 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: 2,017

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.

F4 · 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: 0001127602-16-067400 · 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: 1,680

Underlying: Common Stock · 893 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.

F4 · 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: 0001127602-16-067400 · form4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,650 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.

F4 · 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: 0001127602-16-067400 · 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: 18,227.843

F1 · shares: Deemed disposition of shares to Issuer to satisfy option cost and taxes.

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

SEC source: 0001127602-16-067400 · 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: 18,602.843

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: 0001127602-16-067400 · 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: 18,083.843

F1 · shares: Deemed disposition of shares to Issuer to satisfy option cost and taxes.

SEC source: 0001127602-16-067400 · 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: 18,706.843

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: 0001127602-16-067400 · 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: 17,813.843

F1 · shares: Deemed disposition of shares to Issuer to satisfy option cost and taxes.

SEC source: 0001127602-16-067400 · 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: 19,015.843

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: 0001127602-16-067288 · 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: 22,020

SEC source: 0001127602-16-067133 · form4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 723

Underlying: Common Stock · 372 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: 0001127602-16-067133 · form4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 416

Underlying: Common Stock · 884 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: 0001127602-16-067133 · form4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,760 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.

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: 0001127602-16-067133 · form4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,955.915

F1 · shares: Deemed disposition of shares to Issuer to satisfy option cost and taxes.