SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: Tompkins Financial Corp
Filing Type: Form 13F Information Table
Reporting Period: Quarter ended December 31, 2013
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 operating financial results (revenue, profit, etc.).
Key Financial Metrics and Holdings
The filing lists numerous equity positions, including common stocks, preferred stocks, warrants, and exchange-traded funds (ETFs). Values are reported in thousands of dollars.
- Top Holdings by Value (Sole Discretion):
- General Electric Co: $174,147 (174,147 shares)
- Intel Corp: $99,564 (99,564 shares)
- Pfizer Inc: $100,351 (100,351 shares)
- Microsoft Corp: $92,676 (92,676 shares)
- Exxon Mobil Corp: $68,812 (68,812 shares)
- Verizon Communications Inc: $65,690 (65,690 shares)
- AT&T Inc: $64,542 (64,542 shares)
- JPMorgan Chase & Co: $60,025 (60,025 shares)
- Cisco Systems Inc: $70,744 (70,744 shares)
- Tompkins Financial Corp (Self-Holding): $496,391 (25,505 shares)
- Significant ETF Positions:
- PowerShares ETF Tr II S&P500 Low Vol: $423,057
- WisdomTree Tr Emerg Mkts ETF: $343,522
- WisdomTree Tr Emg Mkts Smcap: $290,153
- iShares Core Totusbd ETF: $277,210
- Vanguard Tax Managed Intl Fd: $818,611
- Voting Authority: The filing distinguishes between "Sole," "Shared," and "None" voting authority. A significant portion of holdings, particularly in large-cap stocks and ETFs, are held with "Sole" voting authority. Some positions, such as NBT Bancorp Inc, show a split between Sole and Shared authority.
Material Changes
Comparison to Prior Period: The provided text contains only the snapshot of holdings as of December 31, 2013. It does not include the prior quarter's data or a schedule of purchases and sales. Therefore, material changes in position size or new entries cannot be determined from this document alone.
Guidance, Outlook, and Risks
Management Commentary: Not applicable. Form 13F is a regulatory disclosure of holdings and does not contain management discussion, financial guidance, or outlook statements.
Risks and Contingencies: The filing includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy or completeness. No specific risk factors or contingencies related to the company's operations are disclosed in this form.
Key Facts for Investor Verification
- Self-Holding: Tompkins Financial Corp holds a significant position in its own stock ($496,391 value), split between Sole ($476,515) and Shared ($19,876) voting authority.
- Concentration: The portfolio is heavily weighted toward large-cap U.S. equities (e.g., GE, Intel, Pfizer, Microsoft) and broad market ETFs (e.g., Vanguard, iShares, WisdomTree).
- International Exposure: Significant exposure to international markets via ETFs (e.g., WisdomTree Emerging Markets, Vanguard International) and direct holdings (e.g., Royal Dutch Shell, Vodafone, AstraZeneca).
- Data Limitation: This document does not provide Tompkins Financial Corp's own financial performance (revenue, earnings, cash flow) for the period. Investors must refer to the company's 10-K or 10-Q filings for operational metrics.