SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: Tompkins Financial Corp
Filing Type: Form 13F Information Table (Schedule 13F)
Reporting Period: Quarter ended December 31, 2018
Context: This filing discloses the equity securities held by Tompkins Financial Corp at the end of the reporting period. As a Form 13F, this document details investment holdings rather than the company's own operational financial performance (revenue, profit, etc.).
Key Financial Metrics and Holdings
The filing lists numerous equity positions, including common stocks, preferred stocks, and exchange-traded funds (ETFs). Key metrics provided are the number of shares/principal amount and the aggregate market value (in thousands).
- Top Holdings by Value (Selected):
- WisdomTree Tr Em Ex St-Owned: 414,590 shares, Value: $414,590 (approx. $414.6M)
- Vanguard M Short Term Inft Protected E: 347,364 shares, Value: $347,364 (approx. $347.4M)
- Oppenheimer ETF Tr S&P 500 Revenue: 345,950 shares, Value: $345,950 (approx. $346.0M)
- Vanguard Intl Equity Index Fd Fts Europe: 347,680 shares, Value: $347,680 (approx. $347.7M)
- Microsoft Corp: 104,647 shares, Value: $104,647 (approx. $104.6M)
- Cisco Sys Inc: 118,755 shares, Value: $118,755 (approx. $118.8M)
- Apple Inc: 62,737 shares, Value: $62,737 (approx. $62.7M)
- Own Stock Position: Tompkins Financial Corp holds 465,928 shares of its own stock (Tompkins Financial Corp) with a reported value of $465,928 (approx. $465.9M).
- Asset Classes: The portfolio includes significant allocations to Large Cap ETFs, International ETFs, Bond ETFs, and individual equities across technology, healthcare, financials, and consumer sectors.
Material Changes and Voting Authority
Voting Authority: The filing distinguishes between "Sole," "Shared," and "None" voting authority. The vast majority of holdings are reported with "Sole" voting authority. Some positions, such as Alphabet Inc. and Amazon.com Inc., show split authority between Sole and Shared/None categories.
Comparison to Prior Period: This filing is a snapshot of holdings as of December 31, 2018. It does not contain comparative data against the prior quarter (September 30, 2018) within this specific text. Therefore, 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 discussion, financial guidance, or outlook statements.
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 regarding Tompkins Financial Corp's business are disclosed in this table.
Important Facts for Investor Verification
- Portfolio Composition: Verify the heavy weighting in ETFs (WisdomTree, Vanguard, Oppenheimer) versus individual stock picks to understand the investment strategy.
- Concentration Risk: Note the significant value held in the company's own stock ($465.9M) and top ETF holdings.
- Valuation Basis: Confirm that the "Value" column represents the aggregate market value in thousands of dollars as of the reporting date.
- Missing Data: This document does not provide Tompkins Financial Corp's own revenue, net income, cash flow, or debt levels. Those metrics must be sourced from the company's 10-K or 10-Q filings.