SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: Tompkins Financial Corp
Filing Type: Form 13F Information Table (Statement of Holdings)
Reporting Period: Quarter ended March 31, 2021
This filing discloses the equity securities held by Tompkins Financial Corp as of the end of the first quarter of 2021. As a Form 13F, this document details investment positions rather than the company's own operating financial results.
Key Financial Metrics and Holdings
The filing provides a comprehensive list of equity holdings, including common stocks and exchange-traded funds (ETFs). Key metrics include the number of shares held, the value of the investment (in thousands), and the type of voting authority (Sole, Shared, or None).
- Top Holdings by Value: The portfolio is heavily weighted toward large-cap equities and broad market ETFs. Significant positions include:
- Apple Inc: 261,752 shares (Sole), valued at $31,973,000.
- Microsoft Corp: 112,598 shares (Sole), valued at $26,547,000.
- Verizon Communications Inc: 131,948 shares (Sole), valued at $7,673,000.
- Exxon Mobil Corp: 135,304 shares (Sole), valued at $7,554,000.
- WisdomTree Tr Em Ex St-Owned: 714,431 shares (Sole), valued at $29,062,000.
- Invesco Exch Traded Fd Tr Iis&P 500 Revenue: 487,241 shares (Sole), valued at $33,872,000.
- Self-Holding: Tompkins Financial Corp holds 421,859 shares of its own stock, valued at $34,888,000.
- Asset Classes: The portfolio includes significant allocations to Large Cap ETFs, Small/Mid Cap ETFs, International ETFs, and Bond ETFs (e.g., iShares, Vanguard, WisdomTree).
Material Changes and Voting Authority
Voting Authority: The vast majority of holdings are reported under "Sole" voting authority, indicating Tompkins Financial Corp has exclusive discretion over these investments. A smaller portion is reported under "Discretionary" (DFND) or "Shared" authority.
Comparative Data: This filing is a snapshot of holdings as of March 31, 2021. It does not contain comparative data from the prior quarter (December 31, 2020) within this specific text, so material changes in position size cannot be calculated from this document alone.
Guidance, Outlook, and Risks
Management Commentary: Not applicable. Form 13F filings are regulatory disclosures of holdings and do not contain management commentary, forward-looking guidance, or strategic outlooks.
Risks and Contingencies: The filing includes a standard SEC disclaimer stating that the Commission has not reviewed the information for accuracy or completeness. No specific operational risks or contingencies are disclosed in this format.
Investor Verification Checklist
- Verify the total aggregate value of the portfolio by summing the "Value" column to assess the scale of the investment arm.
- Confirm the concentration risk by analyzing the percentage of the portfolio held in the top 10 positions (e.g., Apple, Microsoft, WisdomTree ETFs).
- Review the "Shared" voting authority entries to understand any joint investment arrangements.
- Compare this list against the previous quarter's 13F filing (if available) to identify significant buy/sell activity.
- Note that the filing lists holdings in thousands; ensure calculations account for this multiplier.