Tompkins Financial Corp. Updates SC 13G/A Filing on Common Stock

TL;DR

**Tompkins Financial filed an updated 13G/A on its own common stock, showing institutional ownership as of year-end 2023.**

AI Summary

This SC 13G/A filing, an amendment to a Schedule 13G, indicates that TOMPKINS FINANCIAL CORPORATION, a state commercial bank, filed an update on February 2, 2024, regarding its ownership of its own Common Stock as of December 31, 2023. This filing is made under Rule 13d-1(b), which is typically used by institutional investors like banks or insurance companies. For investors, this matters because it provides transparency into significant ownership stakes, which can influence corporate governance and stock stability.

Why It Matters

This filing provides updated information on significant ownership of TOMPKINS FINANCIAL CORPORATION's common stock, offering transparency to investors about who holds substantial stakes in the company.

Risk Assessment

Risk Level: low — This is a routine amendment filing by the company itself, indicating transparency rather than a new, unexpected event.

Analyst Insight

Investors should note this routine filing as an update on institutional ownership, but it doesn't signal any immediate buy/sell action. It's a transparency measure.

Key Numbers

• 890110 10 9 — CUSIP Number (identifies the Common Stock of TOMPKINS FINANCIAL CORPORATION)
• 005-46801 — SEC File Number (identifies the specific SEC registration for TOMPKINS FINANCIAL CORPORATION)
• 24 — Amendment Number (indicates this is the 24th amendment to the original Schedule 13G)

Key Players & Entities

• TOMPKINS FINANCIAL CORPORATION (company) — the issuer and subject company of the filing
• TOMPKINS COMMUNITY BANK (company) — a group member mentioned in the filing
• 02 Finance (company) — organization name associated with the filing entity
• December 31, 2023 (date) — the date of the event requiring the filing
• February 2, 2024 (date) — the filing date of the SC 13G/A

Forward-Looking Statements

• TOMPKINS FINANCIAL CORPORATION will continue to file routine ownership updates as required by SEC regulations. (TOMPKINS FINANCIAL CORPORATION) — high confidence, target: Ongoing

FAQ

Key Financial Figures

• $0.10 — f Securities: Common Stock, par value $0.10 par value Item 2(e). CUSIP Number:

Filing Documents

• tmp-sc13ga_123123.htm (SC 13G/A) — 43KB
• 0001999371-24-001402.txt ( ) — 45KB

(a)

Item 1(a). Name of Issuer: Tompkins Financial Corporation

(b)

Item 1(b). Address of Issuer's Principal Executive Offices: 118 E. Seneca Street, P.O. Box 460 Ithaca, NY 14850

(a)

Item 2(a). Name of Person Filing: Tompkins Community Bank

(b)

Item 2(b). Address of Principal Business Office, or, if None, Residence: Tompkins Community Bank P.O. Box 460 Ithaca, NY 14851

(c)

Item 2(c). Citizenship: United States

(d)

Item 2(d). Title of Class of Securities: Common Stock, par value $0.10 par value

(e)

Item 2(e). CUSIP Number: 890110 10 9 Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: Bank as defined in Section 3(a)(6) of the Act.

(a)

Item 4(a). Amount Beneficially Owned: 1,181,017

(b)

Item 4(b). Percent of Class: 8.20% Page 4 of 5 Pages Item 4(c). Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 1,181,017 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 1,181,017 Item 5. or Less of a Class: Not applicable. Item 6. Percent on Behalf of Another Person: Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Not applicable. Item 8. Identification and Classification of Members of the Group: Not applicable. Item 9. Notice of Dissolution of Group : Not applicable. Item 10. Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect, other than activities solely in connection with a nomination under Section 240.14a-11. Page 5 of 5 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date February 1, 2024 /s/ Matthew D. Tomazin Signature Matthew D. Tomazin, EVP, CFO and Treasurer Name/Title

View Full Filing

View this SC 13G/A filing on SEC EDGAR