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 reporting period ending June 30, 2006. As a 13F filing, this document discloses the investment manager's long positions in U.S. equity securities, detailing the number of shares held, the value of those holdings, and the type of voting authority (Sole, Shared, or None) for each issuer.
Key Financial Metrics
The filing provides aggregate portfolio data rather than the company's own operating financials (revenue, profit, cash flow). Key portfolio metrics include:
- Total Portfolio Value: $298,102,000 (reported in thousands).
- Total Shares Held: 6,893,494 shares.
- Shares with Sole Voting Authority: 6,303,046 shares.
- Shares with Shared Voting Authority: 0 shares.
- Shares with No Voting Authority: 590,448 shares.
Note: This filing does not contain data on Tompkins Financial Corp's own revenue, profit margins, debt, or liquidity.
Material Changes and Portfolio Composition
The filing lists 130+ individual issuers. The portfolio is heavily concentrated in large-cap U.S. equities across financials, technology, healthcare, and consumer staples. The largest holdings by value include:
- Tompkins Trust Co Inc: $44,155,000 (967,831 shares) - Significant self-holding.
- Exxon Mobil Corp: $13,164,000 (186,015 shares).
- General Electric Co: $9,568,000 (272,223 shares).
- Microsoft Corp: $5,113,000 (209,839 shares).
- Johnson & Johnson: $6,190,000 (92,708 shares).
- Procter & Gamble Co: $5,740,000 (98,638 shares).
- Intel Corp: $5,299,000 (255,729 shares).
- UnitedHealth Group Inc: $4,301,000 (91,153 shares).
- Target Corp: $3,864,000 (77,533 shares).
- Wells Fargo & Co: $2,668,000 (38,967 shares).
The filing does not provide comparative data for the prior quarter (March 31, 2006), so material changes in position size cannot be calculated from this text alone.
Guidance, Outlook, and Risks
Form 13F filings are historical disclosures of holdings and do not contain management commentary, forward-looking guidance, risk factors, or contingency plans. No such information is present in this document.
Investor Verification Checklist
- Verify the self-holding of Tompkins Trust Co Inc ($44.2M), which represents approximately 14.8% of the total reported portfolio value.
- Confirm the voting authority split; the majority of shares (approx. 91%) are held with "Sole" voting authority, while a small portion (approx. 9%) has "None" (likely held in defined benefit plans or similar structures).
- Review the sector concentration, noting significant exposure to Financials (Citigroup, Bank of America, Wells Fargo), Technology (Microsoft, Intel, Cisco), and Healthcare (Pfizer, UnitedHealth, Medtronic).
- Check for derivatives; the "Put" and "Call" columns are empty for all entries, indicating no reported short positions or options activity in this filing.