SEC Filing Summary: Tompkins Financial Corp (13F-HR)
Business Context and Reporting Period
This Form 13F-HR filing reports the equity holdings of Tompkins Financial Corp as of the period ending June 30, 2008. As a registered investment manager, Tompkins Financial Corp discloses its long-only equity positions, including common stocks and exchange-traded funds (ETFs), categorized by voting authority (Sole, Shared, or None).
Key Financial Metrics
The filing provides aggregate portfolio data rather than corporate financial statements (revenue, profit, cash flow). Key portfolio metrics are as follows:
- Total Portfolio Value: $302,093,000 (Reported in thousands).
- Total Shares Held: 6,415,325 shares.
- Shares with Sole Voting Authority: 5,964,592 shares.
- Shares with Shared Voting Authority: 0 shares.
- Shares with No Voting Authority: 450,733 shares.
Material Changes and Portfolio Composition
The filing lists holdings across various sectors, with significant concentrations in financials, technology, healthcare, and energy. Notable positions include:
- Top Holdings by Value:
- Tompkins Financial Corp (Self-Holding): $33,761,000 (852,615 shares).
- Exxon Mobil Corp: $12,634,000 (143,352 shares).
- General Electric Co: $6,288,000 (235,669 shares).
- Johnson & Johnson: $4,849,000 (75,364 shares).
- Microsoft Corp: $3,730,000 (135,626 shares).
- Significant ETF Exposure:
- iShares MSCI EAFE Index Fund: $42,702,000 (621,842 shares).
- iShares S&P MidCap 400: $18,129,000 (222,221 shares).
- iShares Russell 2000 Growth Index: $9,330,000 (122,523 shares).
Note: As this is a snapshot filing, material changes versus the prior period cannot be calculated without the previous quarter's data.
Guidance, Outlook, and Risks
This filing type (13F-HR) does not contain management commentary, forward-looking guidance, or risk factors regarding the reporting company's operations. It strictly discloses investment positions. The portfolio composition indicates a diversified strategy with heavy weighting in large-cap U.S. equities and international developed markets via ETFs.
Investor Verification Checklist
- Verify the self-holding of Tompkins Financial Corp stock ($33.8M) to understand insider alignment.
- Confirm the total portfolio value of $302.1M against the firm's total assets under management (AUM) to determine if this represents the entire book or a specific fund.
- Review the ETF allocations (approx. $70M total) to assess passive vs. active management exposure.
- Check the voting authority columns to identify shares held in "Defined" capacity (often indicating client accounts) versus "Sole" authority.