Rockefeller Capital Management L.P. Western Asset Mortgage Opportunity Fund Inc. Transaction History

Rockefeller Capital Management L.P.

$33.9 Billion
Q1 2024

Shares

14 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q3 2023 Nov 14, 2023	SELL	$10.32 - $11.25 $37,069 - $40,410	-3,592 Reduced 14.37%	21,405 $229,000
Q4 2022 Mar 06, 2023	SELL	$10.54 - $11.25 $30,818 - $32,895	-2,924 Reduced 10.47%	24,997 $269,000
Q3 2022 Nov 02, 2022	SELL	$11.21 - $12.84 $67,360 - $77,155	-6,009 Reduced 17.71%	27,921 $310,000
Q2 2022 Aug 12, 2022	SELL	$11.4 - $13.45 $44,813 - $52,871	-3,931 Reduced 10.38%	33,930 $396,000
Q1 2022 May 13, 2022	BUY	$13.09 - $15.52 $24,871 - $29,488	1,900 Added 5.28%	37,861 $506,000

Q4 2021 Feb 14, 2022	BUY	$15.09 - $16.13 $77,517 - $82,859	5,137 Added 16.67%	35,961 $546,000
Q3 2021 Nov 12, 2021	SELL	$15.33 - $16.24 $12,233 - $12,959	-798 Reduced 2.52%	30,824 $476,000
Q2 2021 Aug 10, 2021	BUY	$14.67 - $15.64 $32,552 - $34,705	2,219 Added 7.55%	31,622 $492,000
Q1 2021 May 11, 2021	SELL	$14.02 - $14.96 $22,838 - $24,369	-1,629 Reduced 5.25%	29,403 $430,000
Q4 2020 Feb 12, 2021	BUY	$12.76 - $14.41 $27,382 - $30,923	2,146 Added 7.43%	31,032 $440,000
Q3 2020 Nov 13, 2020	SELL	$12.54 - $14.98 $16,477 - $19,683	-1,314 Reduced 4.35%	28,886 $378,000
Q1 2020 May 12, 2020	BUY	$11.83 - $21.38 $36,057 - $65,166	3,048 Added 11.23%	30,200 $387,000
Q4 2019 Feb 07, 2020	BUY	$20.13 - $22.34 $505,303 - $560,778	25,102 Added 1224.49%	27,152 $551,000
Q3 2019 Nov 12, 2019	BUY	$21.05 - $22.35 $43,152 - $45,817	2,050 New	2,050 $45,000

Others Institutions Holding DMO

# of Institutions

48

Shares Held

3.51M

Call Options Held

0

Put Options Held

0

Pathstone Holdings, LLC Englewood, NJ

354K
Shares

$4.26 Million
0.02% of portfolio
Morgan Stanley New York, NY

339K
Shares

$4.09 Million
0.0% of portfolio
Royal Bank Of Canada Toronto, A6

292K
Shares

$3.52 Million
0.0% of portfolio
Pfg Investments, LLC Woodbury, NY

250K
Shares

$3.01 Million
0.18% of portfolio
Consolidated Portfolio Review Corp Woodbury, NY

246K
Shares

$2.96 Million
0.75% of portfolio

About Western Asset Mortgage Opportunity Fund Inc.

Ticker DMO
Exchange NYSE
Sector Financial Services
Industry Asset Management
Description
Western Asset Mortgage Opportunity Fund Inc. is a closed ended fixed income mutual fund launched and managed by Legg Mason Partners Fund Advisor, LLC. The fund is co-managed Western Asset Management Company and Western Asset Management Company Limited. It invests in the fixed income markets of the United States. The fund invests primarily in mor...

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