SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: Tompkins Financial Corp
Filing Type: Form 13F Information Table (Quarterly Report of Holdings)
Reporting Period: Ended March 31, 2015
Context: This filing discloses the equity securities held by Tompkins Financial Corp as a registered investment manager. It details the specific issuers, share counts, and voting authority for the portfolio as of the end of the first quarter of 2015.
Key Financial Metrics and Portfolio Composition
Revenue, Profit, and Cash Flow: The filing text does not provide financial performance metrics (revenue, profit, cash flow, margins) for Tompkins Financial Corp. Form 13F filings are strictly for reporting investment holdings, not corporate financial results.
Debt and Liquidity: The filing text does not provide data on the company's debt levels or liquidity position.
Portfolio Holdings: The portfolio consists of a diversified mix of domestic and international equities, Exchange Traded Funds (ETFs), and warrants. Notable holdings include:
- Self-Holding: Tompkins Financial Corp (471,114 shares reported).
- Technology: Microsoft Corp (107,830 shares), Intel Corp (103,496 shares), Cisco Systems (40,121 shares).
- Financials: JPMorgan Chase (63,759 shares), Wells Fargo (41,238 shares), Bank of America (19,290 shares).
- Healthcare: Pfizer Inc (103,666 shares), Johnson & Johnson (49,430 shares), Eli Lilly (32,270 shares).
- Consumer Staples: Procter & Gamble (45,505 shares), PepsiCo (28,794 shares), Coca-Cola (12,695 shares).
- ETFs: Significant allocations to iShares and WisdomTree ETFs, including the iShares Core S&P Mid-Cap ETF (87,748 shares) and WisdomTree Europe Hedged Equity (436,628 shares).
Material Changes
The filing text does not provide comparative data against the prior quarter (December 31, 2014). Consequently, material changes in holdings, increases or decreases in specific positions, and net buying or selling activity cannot be determined from this document alone.
Guidance, Outlook, and Risks
Guidance and Outlook: The filing text does not contain management commentary, forward-looking guidance, or strategic outlook.
Risks and Contingencies: No specific risk factors or contingencies are disclosed in this filing. The standard SEC disclaimer notes that the Commission has not reviewed the information for accuracy or completeness.
Unusual Items: The portfolio includes a mix of "Sole" and "Discretionary" (DFND) voting authority. A significant portion of the portfolio is held in ETFs, indicating a passive or index-tracking strategy for a large segment of assets.
Investor Verification Checklist
- Verify the total market value of the reported holdings by applying March 31, 2015 closing prices to the share counts listed.
- Compare these holdings against the Q4 2014 Form 13F to identify net purchases and sales.
- Review Tompkins Financial Corp's Form 10-Q for the quarter ended March 31, 2015, to obtain actual revenue, earnings, and liquidity data.
- Confirm the voting authority breakdown (Sole vs. Discretionary) to understand the extent of the manager's control over the reported assets.
- Check for any subsequent filings (e.g., Form 13F-HR/A) that may have amended these holdings.