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
Cvr Partners LP
Q4 2020 Filed on Feb 12, 2021
2,900
N/A
Cincinnati Bell Inc New
Q4 2020 Filed on Feb 12, 2021
500
N/A
Eaton Vance High Income 2021
Q4 2020 Filed on Feb 12, 2021
10,000
N/A
Eyepoint Pharmaceuticals Inc
Q4 2020 Filed on Feb 12, 2021
10,000
N/A
QLC
Flexshares Tr Us Quality Large

ETFs
Q4 2020 Filed on Feb 12, 2021
2,963
$35.38 - $41.07 $105K - $122K
Hexo Corp
Q4 2020 Filed on Feb 12, 2021
1,800
N/A
Hi Crush Partners LP
Q4 2020 Filed on Feb 12, 2021
3,726
N/A
Summit Midstream Partners LP
Q4 2020 Filed on Feb 12, 2021
4,730
N/A
Titan Pharmaceuticals Inc De
Q4 2020 Filed on Feb 12, 2021
146
N/A
Acasti Pharma Inc
Q4 2020 Filed on Feb 12, 2021
3,000
N/A
Biospecifics Technologies CO
Q4 2020 Filed on Feb 12, 2021
105
N/A
Boingo Wireless Inc
Q4 2020 Filed on Feb 12, 2021
613
N/A
CNTY
Century Casinos Inc

Consumer Cyclical
Q4 2020 Filed on Feb 12, 2021
730
$4.42 - $7.13 $3.23K - $5.2K
Echo Global Logistics Inc
Q4 2020 Filed on Feb 12, 2021
367
N/A
FC
Franklin Covey CO

Industrials
Q4 2020 Filed on Feb 12, 2021
113
$16.56 - $24.54 $1.87K - $2.77K
Immunomedics Inc
Q4 2020 Filed on Feb 12, 2021
732
N/A
Kindred Biosciences Inc
Q4 2020 Filed on Feb 12, 2021
1,000
N/A
MFIN
Medallion Financial Corp

Financial Services
Q4 2020 Filed on Feb 12, 2021
10,000
$2.32 - $5.64 $23.2K - $56.4K
HIE
Miller/Howard High Income Equity Fund

Financial Services
Q4 2020 Filed on Feb 12, 2021
3,000
$5.88 - $8.17 $17.6K - $24.5K
Novus Therapeutics Inc
Q4 2020 Filed on Feb 12, 2021
30,000
N/A
Nuveen Diversified Divid & I
Q4 2020 Filed on Feb 12, 2021
2,477
N/A
OPTN
Opti Nose, Inc.

Healthcare
Q4 2020 Filed on Feb 12, 2021
376
$3.2 - $4.98 $1.2K - $1.87K
Points Intl LTD
Q4 2020 Filed on Feb 12, 2021
193
N/A
ROM
Proshares Ultra Technology

ETFs
Q4 2020 Filed on Feb 12, 2021
600
$26.99 - $36.44 $16.2K - $21.9K
Vivint Solar Inc
Q4 2020 Filed on Feb 12, 2021
32,379
N/A
EHI
Western Asset Global High Income Fund Inc.

Financial Services
Q4 2020 Filed on Feb 12, 2021
750
$9.61 - $10.73 $7.21K - $8.05K
WLDN
Willdan Group, Inc.

Industrials
Q4 2020 Filed on Feb 12, 2021
242
$26.17 - $44.91 $6.33K - $10.9K
ITRN
Ituran Location & Control Ltd.

Technology
Q4 2020 Filed on Feb 12, 2021
72
$13.66 - $19.32 $984 - $1.39K
Applied Dna Sciences Inc
Q4 2020 Filed on Feb 12, 2021
5,000
N/A
DGLY
Digital Ally Inc

Industrials
Q4 2020 Filed on Feb 12, 2021
10,000
$2.0 - $3.04 $20K - $30.4K
DRRX
Durect Corp

Healthcare
Q4 2020 Filed on Feb 12, 2021
13,000
$1.65 - $2.43 $21.5K - $31.6K
GMBL
Esports Entertainment Group, Inc.

Consumer Cyclical
Q4 2020 Filed on Feb 12, 2021
3,500
$162800.0 - $288800.0 $570M - $1.01B
FCTR
First Tr Exchange Traded Fd

ETFs
Q4 2020 Filed on Feb 12, 2021
1,003
$24.47 - $30.22 $24.5K - $30.3K
Forum Merger Ii Corp
Q4 2020 Filed on Feb 12, 2021
650
N/A
K12 Inc
Q4 2020 Filed on Feb 12, 2021
9,018
N/A
Montage Res Corp
Q4 2020 Filed on Feb 12, 2021
133
N/A
Nuveen Maryland Qlt Mun Inc
Q4 2020 Filed on Feb 12, 2021
3,206
N/A
DTIL
Precision Biosciences Inc

Healthcare
Q4 2020 Filed on Feb 12, 2021
22,995
$5.98 - $12.47 $138K - $287K
PTGX
Protagonist Therapeutics, Inc

Healthcare
Q4 2020 Filed on Feb 12, 2021
2,000
$18.49 - $25.13 $37K - $50.3K
ZYXI
Zynex Inc

Healthcare
Q4 2020 Filed on Feb 12, 2021
1,500
$11.65 - $17.94 $17.5K - $26.9K
Atif Holdings Limited
Q4 2020 Filed on Feb 12, 2021
5,000
N/A
Social Cap Hdosphia Hldg CO
Q4 2020 Filed on Feb 12, 2021
905
N/A
Social Cap Hedspia Hldg CO I
Q4 2020 Filed on Feb 12, 2021
905
N/A
IFRX
Infla Rx N.V.

Healthcare
Q4 2020 Filed on Feb 12, 2021
5,000
$3.82 - $5.32 $19.1K - $26.6K
Abeona Therapeutics Inc
Q4 2020 Filed on Feb 12, 2021
4,000
N/A
First Tr Exch Trd Alphdx Fd
Q4 2020 Filed on Feb 12, 2021
100
N/A
Fortress Value Acquisition C
Q4 2020 Filed on Feb 12, 2021
41,500
N/A
GTIM
Good Times Restaurants Inc.

Consumer Cyclical
Q4 2020 Filed on Feb 12, 2021
6,450
$1.19 - $3.12 $7.68K - $20.1K
Heat Biologics Inc
Q4 2020 Filed on Feb 12, 2021
7,500
N/A
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