Rockefeller Capital Management L.P. Closed Holding Positions

Rockefeller Capital Management L.P.

$36.3 Billion
Q3 2024

Stock	Closed Quarter	Shares Sold	Price Range	Trade History
Climate Change Crisis Real I	Q1 2021 Filed on May 11, 2021	10,620	N/A
Direxion Shs ETF Tr	Q1 2021 Filed on May 11, 2021	577	N/A
ITEQ ETF Managers Tr Bluestar Israe	Q1 2021 Filed on May 11, 2021	400	N/A
Fbl Finl Group Inc	Q1 2021 Filed on May 11, 2021	32	N/A
Foley Trasimene Acquisition	Q1 2021 Filed on May 11, 2021	1,819	N/A
FREQ Frequency Therapeutics, Inc. Healthcare	Q1 2021 Filed on May 11, 2021	25	$7.99 - $55.01 $200 - $1.38K
Golden Star Res LTD Cda	Q1 2021 Filed on May 11, 2021	255	N/A
Greenrose Acquisition Corp	Q1 2021 Filed on May 11, 2021	1,500	N/A
Interprivate Acquisition Cor	Q1 2021 Filed on May 11, 2021	1,242	N/A
VTN Invesco Trust For Investment Grade New York Municipals Financial Services	Q1 2021 Filed on May 11, 2021	6,964	$12.73 - $13.32 $88.7K - $92.8K
EUSA Ishares Msci Usa Equal Weighte ETFs	Q1 2021 Filed on May 11, 2021	66	$71.03 - $79.21 $4.69K - $5.23K
IFGL Ishares International Develope ETFs	Q1 2021 Filed on May 11, 2021	64	$26.72 - $28.29 $1.71K - $1.81K
KNTE Kinnate Biopharma Inc. Healthcare	Q1 2021 Filed on May 11, 2021	3,260	$26.99 - $40.0 $88K - $130K
Longview Acquisition Corp	Q1 2021 Filed on May 11, 2021	4,527	N/A
Northern Genesis Acquisition	Q1 2021 Filed on May 11, 2021	750	N/A
Novus Therapeutics Inc	Q1 2021 Filed on May 11, 2021	1,666	N/A
OTRK Ontrak, Inc. Healthcare	Q1 2021 Filed on May 11, 2021	1,000	$21.44 - $25.26 $21.4K - $25.3K
South Mtn Merger Corp	Q1 2021 Filed on May 11, 2021	20,000	N/A
South Mtn Merger Corp	Q1 2021 Filed on May 11, 2021	10,000	N/A
SSKN Strata Skin Sciences, Inc. Healthcare	Q1 2021 Filed on May 11, 2021	450	$1.41 - $2.4 $635 - $1.08K
Telenav Inc	Q1 2021 Filed on May 11, 2021	108	N/A
TCDA Tricida, Inc. Healthcare	Q1 2021 Filed on May 11, 2021	17,063	$4.52 - $7.8 $77.1K - $133K
California Res Corp	Q4 2020 Filed on Feb 12, 2021	486	N/A
E Trade Financial Corp	Q4 2020 Filed on Feb 12, 2021	366	N/A
Noble Energy Inc	Q4 2020 Filed on Feb 12, 2021	20,305	N/A
Unilever N V	Q4 2020 Filed on Feb 12, 2021	27,608	N/A
Gci Liberty Inc	Q4 2020 Filed on Feb 12, 2021	1,273	N/A
Hd Supply Hldgs Inc	Q4 2020 Filed on Feb 12, 2021	14,065	N/A
Mallinckrodt Pub LTD CO	Q4 2020 Filed on Feb 12, 2021	63	N/A
Servicemaster Global Hldgs I	Q4 2020 Filed on Feb 12, 2021	573	N/A
Apartment Invt & Mgmt CO	Q4 2020 Filed on Feb 12, 2021	3	N/A
Aarons Inc	Q4 2020 Filed on Feb 12, 2021	2,008	N/A
AVNW Aviat Networks, Inc. Technology	Q4 2020 Filed on Feb 12, 2021	2,500	$9.26 - $20.55 $23.2K - $51.4K
Cabot Microelectronics Corp	Q4 2020 Filed on Feb 12, 2021	11	N/A
Dunkin Brands Group Inc	Q4 2020 Filed on Feb 12, 2021	774	N/A
Inphi Corp	Q4 2020 Filed on Feb 12, 2021	7,000	N/A
Invesco Exch Trd Slf Idx Fd	Q4 2020 Filed on Feb 12, 2021	38,069	N/A
Seattle Genetics Inc	Q4 2020 Filed on Feb 12, 2021	24,200	N/A
Solarwinds Corp	Q4 2020 Filed on Feb 12, 2021	189	N/A
Vereit Inc	Q4 2020 Filed on Feb 12, 2021	2,147	N/A
Mylan Nv	Q4 2020 Filed on Feb 12, 2021	9,782	N/A
Wright Med Group N V	Q4 2020 Filed on Feb 12, 2021	412	N/A
Civeo Corp Cda	Q4 2020 Filed on Feb 12, 2021	576	N/A
Glatfelter	Q4 2020 Filed on Feb 12, 2021	542	N/A
RYAM Rayonier Advanced Materials Inc. Basic Materials	Q4 2020 Filed on Feb 12, 2021	5,000	$3.05 - $8.31 $15.3K - $41.6K
Briggs & Stratton Corp	Q4 2020 Filed on Feb 12, 2021	133	N/A
Neos Therapeutics Inc	Q4 2020 Filed on Feb 12, 2021	578	N/A
Wisdomtree Continuous Commod	Q4 2020 Filed on Feb 12, 2021	169	N/A
ADES Advanced Emissions Solutions, Inc. Industrials	Q4 2020 Filed on Feb 12, 2021	300	$4.13 - $6.15 $1.24K - $1.85K
Aimmune Therapeutics Inc	Q4 2020 Filed on Feb 12, 2021	1,754	N/A

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