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 December 31, 2009. 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 values and share counts rather than corporate financial performance metrics (revenue, profit, cash flow) for Tompkins Financial Corp itself.
- Total Portfolio Value: $266,433,000 (Reported as 266,433 in thousands).
- Total Shares Held: 6,092,831 shares.
- Shares with Sole Voting Authority: 5,511,188 shares.
- Shares with Shared Voting Authority: 0 shares.
- Shares with No Voting Authority: 581,643 shares.
Material Changes and Portfolio Composition
The filing lists holdings across various sectors, with significant concentrations in financials, technology, healthcare, and consumer staples. Notable positions include:
- Top Holdings by Value:
- Tompkins Financial Corp (Self-Holding): $24,024,000 (593,180 shares total).
- Wells Fargo & Co: $4,575,000 (169,555 shares total).
- Exxon Mobil Corp: $7,859,000 (115,247 shares total).
- General Electric Co: $4,296,000 (283,915 shares total).
- Johnson & Johnson: $4,507,000 (69,988 shares total).
- ETF Exposure: Significant allocation to iShares and Vanguard ETFs, including the iShares MSCI EAFE Index Fund ($35,182,000) and iShares Russell 2000 Growth Index Fund ($10,533,000).
Note: As this is a snapshot of holdings, material changes versus the prior period cannot be calculated without the previous quarter's filing data.
Guidance, Outlook, and Risks
Form 13F filings are strictly informational and do not contain management commentary, forward-looking guidance, or risk factors regarding the reporting company's future performance. The filing does not disclose any contingencies or unusual items.
Key Facts for Investor Verification
- Self-Holding: Tompkins Financial Corp holds a significant position in its own stock ($24.0M), which may indicate management confidence or a specific corporate treasury strategy.
- Concentration Risk: The portfolio is heavily weighted toward large-cap U.S. equities and broad market ETFs, with top 10 holdings representing a substantial portion of the total $266.4M value.
- Voting Rights: The majority of shares (approx. 90%) are held with "Sole" voting authority, indicating direct control over voting decisions for those positions.
- Missing Data: This filing does not provide data on Tompkins Financial Corp's own revenue, net income, or liquidity position; those metrics must be sourced from the company's 10-K or 10-Q filings.