SEC Filing Summary: Tompkins Financial Corp (13F-HR)
Business Context and Reporting Period
This filing is a Form 13F-HR submitted by Tompkins Financial Corp, an institutional investment manager based in Ithaca, NY. The report covers the calendar quarter ended September 30, 2016, and was signed on October 13, 2016, by Lisa A. Leonardo, AVP & TFA Operations Manager.
Key Financial Metrics
As a Form 13F-HR, this document discloses equity holdings rather than the company's own operating financials (revenue, profit, cash flow, or debt). The filing provides the following aggregate data regarding the manager's reported portfolio:
- Total Number of Holdings: 459 entries
- Total Value of Reported Holdings: $349,054,000 (reported as 349,054 in thousands)
- Other Included Managers: 0
Note: The filing text does not provide values for revenue, profit, margins, debt, or liquidity for Tompkins Financial Corp itself, as this form is designed to report investment positions held by the manager.
Material Changes
The filing text does not provide comparative data against the prior quarter (June 30, 2016) to determine material changes in holdings or total portfolio value. This specific document is a standalone snapshot of holdings as of the reporting date.
Guidance, Outlook, and Risks
Form 13F filings are statutory disclosures of equity positions and do not contain management commentary, forward-looking guidance, risk factors, or contingency details regarding the reporting manager's business operations. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.
Key Facts for Investor Verification
- Verify the total portfolio value of approximately $349 million against the firm's most recent 10-Q or 10-K to understand the proportion of assets managed versus total assets.
- Confirm the specific 459 equity positions listed in the full schedule (not included in this summary text) to assess sector concentration.
- Note that this filing reflects holdings as of September 30, 2016, and does not reflect subsequent trading activity.
- Check for any amendments filed after October 13, 2016, as this document is not marked as an amendment.