Rockefeller Capital Management L.P. Q3 2021 Filing

Filed November 12, 2021

Portfolio Value

$19.0M

Holdings

3,811

Report Date

Q3 2021

Filing Type

13F-HR

All Holdings (3,811 positions)

#	Stock	Shares	Value	% Portfolio
901	KTBKONTOOR BRANDS INC	3,263	$163K	0.86%
902	DVAXDYNAVAX TECHNOLOGIES CORP	8,500	$163K	0.86%
903	IQDGWISDOMTREE TR	4,282	$163K	0.86%
904	BHCBAUSCH HEALTH COS INC	5,836	$162K	0.85%
905	WCNWASTE CONNECTIONS INC	1,289	$162K	0.85%
906	AVTRAVANTOR INC	3,984	$162K	0.85%
907	SGDMSPROTT ETF TRUST	6,542	$162K	0.85%
908	WQTMWISDOMTREE TR	6,430	$161K	0.85%
909	DDD3-D SYS CORP DEL	5,865	$161K	0.85%
910	KSTRKRANESHARES TR	6,986	$161K	0.85%
911	PKGPACKAGING CORP AMER	49,912	$161K	0.84%
912	LGF/BEURLIONS GATE ENTMNT CORP	12,328	$160K	0.84%
913	FDO.FMACYS INC	7,075	$159K	0.84%
914	ONEQFIDELITY COMWLTH TR	2,835	$159K	0.84%
915	—LIVE OAK ACQUISITION CORP II	16,000	$159K	0.84%
916	ILCVISHARES TR	2,483	$158K	0.83%
917	RSX1USDVANECK ETF TRUST	5,236	$158K	0.83%
918	OZKBANK OZK	3,692	$158K	0.83%
919	IBNICICI BANK LIMITED	8,314,040	$157K	0.82%
920	ARTYISHARES TR	3,693	$156K	0.82%
921	BITBLACKROCK MULTI SECTOR INC T	8,359	$156K	0.82%
922	RABROOKFIELD REAL ASSETS INCOM	7,507	$156K	0.82%
923	OVEROVERSTOCK COM INC DEL	2,000	$155K	0.81%
924	LLYLILLY ELI & CO	669,332	$155K	0.81%
925	T7DTRANSDIGM GROUP INC	3,617	$154K	0.81%
926	DFEWISDOMTREE TR	2,146	$154K	0.81%
927	DWLDDAVIS FUNDAMENTAL ETF TR	5,200	$154K	0.81%
928	BHKBLACKROCK CORE BD TR	9,334	$154K	0.81%
929	SMTISANARA MEDTECH INC	4,500	$154K	0.81%
930	MDYGSPDR SER TR	2,025	$153K	0.80%
931	IIPRINNOVATIVE INDL PPTYS INC	667	$153K	0.80%
932	SIRIEURSIRIUS XM HOLDINGS INC	25,097	$153K	0.80%
933	TASKTASKUS INC	2,300	$152K	0.80%
934	PCEFINVESCO EXCH TRADED FD TR II	6,369	$152K	0.80%
935	NBXGNEUBERGER BERMAN NEXT GENERA	7,944	$151K	0.79%
936	ALBALBEMARLE CORP	692	$151K	0.79%
937	—TEEKAY LNG PARTNERS L P	9,735	$151K	0.79%
938	PATHUIPATH INC	2,872	$150K	0.79%
939	BYNDBEYOND MEAT INC	1,429	$150K	0.79%
940	SIVRABERDEEN STD SILVER ETF TR	7,020	$150K	0.79%
941	XMLVINVESCO EXCH TRADED FD TR II	2,874	$150K	0.79%
942	CLDRCLOUDERA INC	9,428	$150K	0.79%
943	CTRACABOT OIL & GAS CORP	6,955	$150K	0.79%
944	PHYS/USPROTT PHYSICAL GOLD TR	179,489	$149K	0.78%
945	CRFCORNERSTONE TOTAL RETURN FD	12,084	$149K	0.78%
946	DLTRDOLLAR TREE INC	1,553	$148K	0.78%
947	—AVROBIO INC	26,650	$148K	0.78%
948	FTDSFIRST TR EXCHANGE-TRADED FD	3,152	$148K	0.78%
949	NUANEURNUANCE COMMUNICATIONS INC	2,691	$148K	0.78%
950	ORGNORIGIN MATERIALS INC	21,750	$148K	0.78%
951	SKLZSKILLZ INC	15,141	$148K	0.78%
952	DBEUDBX ETF TR	4,336	$148K	0.78%
953	LTHM1EURLIVENT CORP	6,417	$148K	0.78%
954	EQIXEQUINIX INC	36,866	$147K	0.77%
955	ATRCATRICURE INC	2,126	$147K	0.77%
956	XRAYDENTSPLY SIRONA INC	2,546	$147K	0.77%
957	XEMDXWESTERN ASSET EMERGING MKTS	10,810	$147K	0.77%
958	ROUSLATTICE STRATEGIES TR	3,699	$147K	0.77%
959	RLIRLI CORP	1,476	$147K	0.77%
960	—BLACKROCK MUNIYIELD CALIF FD	9,671	$146K	0.77%
961	MORTVANECK ETF TRUST	7,699	$146K	0.77%
962	—USHG ACQUISITION CORP	14,997	$145K	0.76%
963	FUODOLBY LABORATORIES INC	1,650	$145K	0.76%
964	NCZVIRTUS ALLIANZGI CONVERTIBLE	24,404	$145K	0.76%
965	TELTE CONNECTIVITY LTD	1,056,394	$145K	0.76%
966	FINXGLOBAL X FDS	3,013	$144K	0.76%
967	UDRUDR INC	2,733	$144K	0.76%
968	IWCISHARES TR	1,000	$144K	0.76%
969	NNNNATIONAL RETAIL PROPERTIES I	3,339	$144K	0.76%
970	MCRMFS CHARTER INCOME TR	16,847	$144K	0.76%
971	PAYAUSDPAYA HOLDINGS INC	13,300	$144K	0.76%
972	GSGOLDMAN SACHS GROUP INC	116,277	$144K	0.76%
973	CMBSISHARES TR	2,647	$143K	0.75%
974	KMIKINDER MORGAN INC DEL	641,289	$143K	0.75%
975	—NIGHTDRAGON ACQUISITION CORP	14,600	$142K	0.75%
976	ACAARCOSA INC	2,834	$142K	0.75%
977	EMXCISHARES INC	2,352	$142K	0.75%
978	FISFIDELITY NATL INFORMATION SV	1,164,602	$142K	0.74%
979	CARRCARRIER GLOBAL CORPORATION	2,727,975	$141K	0.74%
980	—KENSINGTON CAPITAL ACQUISITI	16,500	$141K	0.74%
981	DJANFIRST TR EXCHNG TRADED FD VI	4,465	$141K	0.74%
982	MIGAMICROSTRATEGY INC	245	$141K	0.74%
983	—DCP MIDSTREAM LP	5,020	$141K	0.74%
984	SDYSPDR SER TR	91,942	$141K	0.74%
985	RIOTRIOT BLOCKCHAIN INC	5,450	$140K	0.74%
986	VCVINVESCO CALIF VALUE MUN INCO	10,210	$140K	0.74%
987	APPNAPPIAN CORP	1,518	$140K	0.74%
988	HIWHIGHWOODS PPTYS INC	3,174	$139K	0.73%
989	TLRYEURTILRAY INC	12,384	$139K	0.73%
990	MNRLUSDBRIGHAM MINERALS INC	7,288	$139K	0.73%
991	DOCUSDPHYSICIANS RLTY TR	7,931	$139K	0.73%
992	DIODDIODES INC	1,528	$138K	0.73%
993	GENNORTONLIFELOCK INC	5,426	$137K	0.72%
994	VCTRVICTORY CAP HLDGS INC	3,947	$137K	0.72%
995	TLTISHARES TR	191,761	$137K	0.72%
996	HIXWESTERN ASSET HIGH INCOME FD	19,111	$136K	0.71%
997	ESTCELASTIC N V	916	$136K	0.71%
998	RAREULTRAGENYX PHARMACEUTICAL IN	1,517	$136K	0.71%
999	AVBAVALONBAY CMNTYS INC	618	$136K	0.71%
1000	GSYINVESCO ACTIVELY MANAGED ETF	2,706	$136K	0.71%

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