Rockefeller Capital Management L.P. Liberty All Star Equity Fund Transaction History

Rockefeller Capital Management L.P.

$36.3 Billion
Q3 2024

Shares

9 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q2 2022 Aug 12, 2022	BUY	$5.89 - $8.16 $61,951 - $85,826	10,518 New	10,518 $66,000
Q4 2021 Feb 14, 2022	SELL	$7.88 - $9.21 $141 - $165	-18 Closed	0 $0
Q2 2021 Aug 10, 2021	SELL	$7.59 - $9.2 $38,633 - $46,828	-5,090 Reduced 99.65%	18 $0
Q1 2021 May 11, 2021	BUY	$6.72 - $7.63 $1,632 - $1,854	243 Added 4.99%	5,108 $38,000
Q3 2020 Nov 13, 2020	BUY	$5.75 - $6.29 $816 - $893	142 Added 3.01%	4,865 $29,000
Q2 2020 Aug 12, 2020	BUY	$4.39 - $6.03 $11,953 - $16,419	2,723 Added 136.15%	4,723 $27,000
Q4 2019 Feb 07, 2020	BUY	$6.23 - $6.77 $12,460 - $13,540	2,000 New	2,000 $14,000
Q2 2019 Aug 09, 2019	SELL	$5.92 - $6.44 $84,922 - $92,381	-14,345 Closed	0 $0
Q1 2019 May 10, 2019	BUY	$5.28 - $6.17 $75,741 - $88,508	14,345 New	14,345 $88,000

Others Institutions Holding USA

# of Institutions

200

Shares Held

30M

Call Options Held

0

Put Options Held

0

Lpl Financial LLC Fort Mill, SC

3.54M
Shares

$25.2 Million
0.01% of portfolio
Morgan Stanley New York, NY

3.04M
Shares

$21.7 Million
0.0% of portfolio
Raymond James & Associates St Petersburg, FL

1.68M
Shares

$12 Million
0.01% of portfolio
Bensler, LLC Bellevue, WA

1.6M
Shares

$11.4 Million
1.32% of portfolio
Ameriprise Financial Inc Minneapolis, MN

1.49M
Shares

$10.6 Million
0.0% of portfolio

About LIBERTY ALL STAR EQUITY FUND

Ticker USA
Exchange NYSE
Sector Financial Services
Industry Asset Management
Description
Liberty All Star Equity Fund is a closed-ended equity mutual fund launched and managed by ALPS Advisers, Inc. The fund is co-managed by Aristotle Capital Management, LLC, Pzena Investment Management, LLC, Delaware Investments Fund Advisers, Sustainable Growth Advisers, LP, and TCW Investment Management Company. It invests in the public equity ma...

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