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
Cambrex Corp	Q4 2019 Filed on Feb 07, 2020	254	N/A
Carrizo Oil & Gas Inc	Q4 2019 Filed on Feb 07, 2020	698	N/A
Exantas Cap Corp	Q4 2019 Filed on Feb 07, 2020	500	N/A
Finisar Corp	Q4 2019 Filed on Feb 07, 2020	362	N/A
Legacy Tex Finl Group Inc	Q4 2019 Filed on Feb 07, 2020	223	N/A
NINE Nine Energy Service, Inc. Energy	Q4 2019 Filed on Feb 07, 2020	50	$4.41 - $7.86 $221 - $393
Owens Ill Inc	Q4 2019 Filed on Feb 07, 2020	353	N/A
Pivotal Software Inc	Q4 2019 Filed on Feb 07, 2020	250	N/A
AGS Play Ags, Inc. Consumer Cyclical	Q4 2019 Filed on Feb 07, 2020	306	$9.9 - $12.67 $3.03K - $3.88K
WTTR Select Energy Services, Inc. Energy	Q4 2019 Filed on Feb 07, 2020	50	$7.22 - $9.58 $361 - $479
Sothebys	Q4 2019 Filed on Feb 07, 2020	161	N/A
Symantec Corp	Q4 2019 Filed on Feb 07, 2020	1,200	N/A
TIIAY Telecom Italia S.P.A. Communication Services	Q4 2019 Filed on Feb 07, 2020	175	$5.12 - $6.14 $896 - $1.07K
NEXA Nexa Resources S.A. Basic Materials	Q4 2019 Filed on Feb 07, 2020	52	$7.91 - $10.75 $411 - $559
Israel Chemicals LTD	Q4 2019 Filed on Feb 07, 2020	190	N/A
Proshares Tr	Q4 2019 Filed on Feb 07, 2020	1,572	N/A
AUOTY Au Optronics Corp Technology	Q4 2019 Filed on Feb 07, 2020	1,495	$2.42 - $3.31 $3.62K - $4.95K
Altaba Inc	Q4 2019 Filed on Feb 07, 2020	2,460	N/A
BMRC Bank Of Marin Bancorp Financial Services	Q4 2019 Filed on Feb 07, 2020	40	$40.5 - $46.65 $1.62K - $1.87K
Bridge Bancorp Inc	Q4 2019 Filed on Feb 07, 2020	106	N/A
Cambria ETF Tr	Q4 2019 Filed on Feb 07, 2020	8,207	N/A
CAC Camden National Corp Financial Services	Q4 2019 Filed on Feb 07, 2020	102	$41.89 - $46.82 $4.27K - $4.78K
51 Job Inc	Q4 2019 Filed on Feb 07, 2020	13	N/A
GABC German American Bancorp, Inc. Financial Services	Q4 2019 Filed on Feb 07, 2020	106	$31.05 - $35.68 $3.29K - $3.78K
Grupo Aval Acciones Y Valore	Q4 2019 Filed on Feb 07, 2020	134	N/A
SHIIY Sinopec Shanghai Ads (1 Oo Clh)	Q4 2019 Filed on Feb 07, 2020	181	N/A
TNC Tennant CO Industrials	Q4 2019 Filed on Feb 07, 2020	84	$67.1 - $79.23 $5.64K - $6.66K
Yy Inc	Q4 2019 Filed on Feb 07, 2020	60	N/A
GLRE Greenlight Capital Re, Ltd. Financial Services	Q4 2019 Filed on Feb 07, 2020	545	$9.83 - $10.97 $5.36K - $5.98K
Hudson LTD	Q4 2019 Filed on Feb 07, 2020	1,789	N/A
Aethlon Med Inc	Q4 2019 Filed on Feb 07, 2020	1,000	N/A
Aqua America Inc	Q4 2019 Filed on Feb 07, 2020	127	N/A
ASUR Asure Software Inc Technology	Q4 2019 Filed on Feb 07, 2020	4	$6.28 - $9.3 $25.1 - $37.2
Aveo Pharmaceuticals Inc	Q4 2019 Filed on Feb 07, 2020	2,500	N/A
Becton Dickinson & CO	Q4 2019 Filed on Feb 07, 2020	33	N/A
China Unicom (Hong Kong) LTD	Q4 2019 Filed on Feb 07, 2020	395	N/A
Connecticut Wtr Svc Inc	Q4 2019 Filed on Feb 07, 2020	56	N/A
WATT Energous Corp Technology	Q4 2019 Filed on Feb 07, 2020	0	$1.72 - $3.41 $0 - $0
Great Elm Cap Group Inc	Q4 2019 Filed on Feb 07, 2020	138	N/A
Ishares Tr	Q4 2019 Filed on Feb 07, 2020	3,137	N/A
Ishares Tr	Q4 2019 Filed on Feb 07, 2020	3,198	N/A
JPSE J P Morgan Diversified Return ETFs	Q4 2019 Filed on Feb 07, 2020	65	$29.32 - $32.65 $1.91K - $2.12K
Moleculin Biotech Inc	Q4 2019 Filed on Feb 07, 2020	3,000	N/A
Parker Drilling CO	Q4 2019 Filed on Feb 07, 2020	1	N/A
Tim Participacoes S A	Q4 2019 Filed on Feb 07, 2020	313	N/A
Ultra Petroleum Corp	Q4 2019 Filed on Feb 07, 2020	8,525	N/A
UPLD Upland Software, Inc. Technology	Q4 2019 Filed on Feb 07, 2020	496	$34.8 - $40.85 $17.3K - $20.3K
Whiting Pete Corp New	Q4 2019 Filed on Feb 07, 2020	75	N/A
Amerigas Partners L P	Q3 2019 Filed on Nov 12, 2019	5,354	N/A
Anadarko Pete Corp	Q3 2019 Filed on Nov 12, 2019	11,140	N/A

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