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, 2014, and was signed on October 9, 2014, by Lisa A. Leonardo, AVP & TFA Operations Manager.
Key Financial Metrics
As a Form 13F filing, this document reports equity holdings rather than the company's own operating financials (revenue, profit, cash flow, or debt). The following portfolio metrics are disclosed:
- Total Portfolio Value: $381,793,000 (reported in thousands).
- Total Number of Holdings: 603 entries.
- Other Included Managers: 0 (No other managers are included in this report).
Note: The filing text does not provide values for revenue, profit, margins, debt, or liquidity as these are not applicable to a 13F holdings report.
Material Changes
The filing text does not provide comparative data against the prior period (June 30, 2014) to determine material changes in holdings or portfolio value. The 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 contingencies 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 $381.8 million against the firm's total assets under management (AUM) to understand the scope of reported holdings.
- Confirm that the 603 holdings represent the complete equity portfolio, as the report indicates no other managers are included.
- Note that this document does not reflect the financial health of Tompkins Financial Corp itself, but rather the securities it manages for clients.
- Check subsequent filings (e.g., for December 31, 2014) to analyze turnover and trading activity, as this single filing lacks historical trend data.