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
EUM
Proshares Short Msci Emerging

ETFs
Q2 2020 Filed on Aug 12, 2020
5,821
$16.9 - $21.72 $98.4K - $126K
Regulus Therapeutics Inc
Q2 2020 Filed on Aug 12, 2020
84,642
N/A
Tortoise Energy Infra Corp
Q2 2020 Filed on Aug 12, 2020
2,678
N/A
Aurora Cannabis Inc
Q2 2020 Filed on Aug 12, 2020
9,225
N/A
FTK
Flotek Industries Inc

Energy
Q2 2020 Filed on Aug 12, 2020
300
$0.69 - $1.54 $207 - $462
Global X Fds
Q2 2020 Filed on Aug 12, 2020
1,657
N/A
Goldman Sachs Mlp Energy Ren
Q2 2020 Filed on Aug 12, 2020
722,000
N/A
Progenics Pharmaceuticals In
Q2 2020 Filed on Aug 12, 2020
3,591
N/A
Terraform Pwr Inc
Q2 2020 Filed on Aug 12, 2020
19,500
N/A
Tribune Pubg CO New
Q2 2020 Filed on Aug 12, 2020
450
N/A
Ubs Ag London Brh
Q2 2020 Filed on Aug 12, 2020
648
N/A
ACRS
Aclaris Therapeutics, Inc.

Healthcare
Q2 2020 Filed on Aug 12, 2020
1,000
$1.04 - $1.73 $1.04K - $1.73K
BRT
Brt Apartments Corp.

Real Estate
Q2 2020 Filed on Aug 12, 2020
240
$8.2 - $13.22 $1.97K - $3.17K
BJRI
B Js Restaurants Inc

Consumer Cyclical
Q2 2020 Filed on Aug 12, 2020
31
$11.32 - $28.13 $351 - $872
Fly Leasing LTD
Q2 2020 Filed on Aug 12, 2020
20
N/A
GOTU
Gaotu Techedu Inc.

Consumer Defensive
Q2 2020 Filed on Aug 12, 2020
800
$29.01 - $59.99 $23.2K - $48K
Groupon Inc
Q2 2020 Filed on Aug 12, 2020
977
N/A
IBA
Industrias Bachoco S.A.B. De C.V.

Consumer Defensive
Q2 2020 Filed on Aug 12, 2020
39
$29.8 - $39.01 $1.16K - $1.52K
PSCD
Invesco S&P Smallcap Consumer

ETFs
Q2 2020 Filed on Aug 12, 2020
325
$30.91 - $60.82 $10K - $19.8K
Jmp Group LLC
Q2 2020 Filed on Aug 12, 2020
5
N/A
MUX
Mc Ewen Mining Inc.

Basic Materials
Q2 2020 Filed on Aug 12, 2020
550
$6.74 - $10.5 $3.71K - $5.78K
Oasis Midstream Partners LP
Q2 2020 Filed on Aug 12, 2020
6,475
N/A
UYG
Proshares Ultra Financials

ETFs
Q2 2020 Filed on Aug 12, 2020
1,500
$20.9 - $37.13 $31.3K - $55.7K
SMHI
Seacor Marine Holdings Inc.

Industrials
Q2 2020 Filed on Aug 12, 2020
297
$1.49 - $4.79 $443 - $1.42K
Seacor Holdings Inc
Q2 2020 Filed on Aug 12, 2020
125
N/A
Tortoise Energy Independenc
Q2 2020 Filed on Aug 12, 2020
45,900
N/A
RESE
Wisdomtree Emerging Markets Es

ETFs
Q2 2020 Filed on Aug 12, 2020
1,104
N/A
Wisdomtree Tr
Q2 2020 Filed on Aug 12, 2020
250
N/A
Carlyle Group L P
Q1 2020 Filed on May 12, 2020
17,842
N/A
Ingersoll Rand PLC
Q1 2020 Filed on May 12, 2020
16,986
N/A
Audentes Therapeutics Inc
Q1 2020 Filed on May 12, 2020
5,030
N/A
Axa Equitable Hldgs Inc
Q1 2020 Filed on May 12, 2020
238
N/A
Caesars Entmt Corp
Q1 2020 Filed on May 12, 2020
21
N/A
Cantel Medical Corp
Q1 2020 Filed on May 12, 2020
0
N/A
Dermira Inc
Q1 2020 Filed on May 12, 2020
74
N/A
Encana Corp
Q1 2020 Filed on May 12, 2020
40
N/A
Gardner Denver Hldgs Inc
Q1 2020 Filed on May 12, 2020
178
N/A
Genesee & Wyo Inc
Q1 2020 Filed on May 12, 2020
0
N/A
IAI
Ishares Tr Us Broker Dealers &

ETFs
Q1 2020 Filed on May 12, 2020
90
$43.05 - $72.21 $3.87K - $6.5K
JHMD
John Hancock ETF Tr Multifacto

ETFs
Q1 2020 Filed on May 12, 2020
2,500
$19.86 - $30.05 $49.7K - $75.1K
Myokardia Inc
Q1 2020 Filed on May 12, 2020
100
N/A
Pluralsight Inc
Q1 2020 Filed on May 12, 2020
500
N/A
RYTM
Rhythm Pharmaceuticals, Inc.

Healthcare
Q1 2020 Filed on May 12, 2020
249
$13.16 - $22.9 $3.28K - $5.7K
Sanchez Midstream Partners L
Q1 2020 Filed on May 12, 2020
500
N/A
Wisdomtree Tr
Q1 2020 Filed on May 12, 2020
1,799
N/A
YMAB
Y M Abs Therapeutics, Inc.

Healthcare
Q1 2020 Filed on May 12, 2020
150
$14.39 - $35.8 $2.16K - $5.37K
Zayo Group Hldgs Inc
Q1 2020 Filed on May 12, 2020
2,365
N/A
Aquaventure Hldgs LTD
Q1 2020 Filed on May 12, 2020
32,457
N/A
Actuant Corp
Q1 2020 Filed on May 12, 2020
279
N/A
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