Rockefeller Capital Management L.P. Q3 2022 Filing

Filed November 2, 2022

Portfolio Value

$19.3M

Holdings

4,260

Report Date

Q3 2022

Filing Type

13F-HR

All Holdings (4,260 positions)

#	Stock	Shares	Value	% Portfolio
1301	WLKPWESTLAKE CHEM PARTNERS LP	5,122	$109K	0.56%
1302	EGPEASTGROUP PPTYS INC	752	$108K	0.56%
1303	CMFISHARES TR	2,006	$108K	0.56%
1304	FENYFIDELITY COVINGTON TRUST	5,427	$107K	0.55%
1305	FXUFIRST TR EXCHANGE TRADED FD	3,514	$107K	0.55%
1306	CSTLCASTLE BIOSCIENCES INC	4,140	$107K	0.55%
1307	BTOHANCOCK JOHN FINL OPPTYS FD	3,392	$107K	0.55%
1308	TREXTREX CO INC	2,444	$107K	0.55%
1309	OXY/WSOCCIDENTAL PETE CORP	2,726	$107K	0.55%
1310	BOHBANK HAWAII CORP	1,401	$106K	0.55%
1311	ODFLOLD DOMINION FREIGHT LINE IN	431	$106K	0.55%
1312	IIFMORGAN STANLEY INDIA INVT FD	4,581	$106K	0.55%
1313	XFEBFIRST TR ENERGY INFRASTRCTR	7,994	$106K	0.55%
1314	TBLLINVESCO EXCH TRADED FD TR II	1,011	$106K	0.55%
1315	AIOVIRTUS ARTIFICIAL INTELLIGEN	6,794	$105K	0.54%
1316	IOSPINNOSPEC INC	1,234	$105K	0.54%
1317	ATNMACTINIUM PHARMACEUTICALS INC	14,331	$105K	0.54%
1318	LRNSTRIDE INC	2,500	$105K	0.54%
1319	EXPOEXPONENT INC	1,201	$105K	0.54%
1320	GMREUSDGLOBAL MED REIT INC	12,369	$105K	0.54%
1321	XLKSELECT SECTOR SPDR TR	729,681	$105K	0.54%
1322	SCHXSCHWAB STRATEGIC TR	33,466	$104K	0.54%
1323	—BARCLAYS BANK PLC	3,000	$104K	0.54%
1324	GGNGAMCO GLOBAL GOLD NAT RES &	31,868	$104K	0.54%
1325	IQDGWISDOMTREE TR	3,989	$104K	0.54%
1326	XHESPDR SER TR	1,221	$104K	0.54%
1327	CCCCC4 THERAPEUTICS INC	11,859	$104K	0.54%
1328	LANDGLADSTONE LD CORP	5,752	$104K	0.54%
1329	PKWINVESCO EXCHANGE TRADED FD T	1,413	$104K	0.54%
1330	RYNRAYONIER INC	3,499	$104K	0.54%
1331	IWDISHARES TR	761,363	$104K	0.54%
1332	EOTEATON VANCE NATL MUN OPPORT	6,278	$103K	0.53%
1333	PRNINVESCO EXCHANGE TRADED FD T	1,268	$103K	0.53%
1334	TSNTYSON FOODS INC	1,573	$103K	0.53%
1335	VCELVERICEL CORP	4,466	$103K	0.53%
1336	IWCISHARES TR	1,000	$103K	0.53%
1337	TSPHTUSIMPLE HLDGS INC	13,736	$103K	0.53%
1338	VBKVANGUARD INDEX FDS	145,509	$102K	0.53%
1339	BILLBILL COM HLDGS INC	782	$102K	0.53%
1340	PBWINVESCO EXCHANGE TRADED FD T	2,122	$102K	0.53%
1341	MDYGSPDR SER TR	1,700	$102K	0.53%
1342	SESEA LTD	1,858	$102K	0.53%
1343	SMPLSIMPLY GOOD FOODS CO	3,201	$102K	0.53%
1344	XAWFXALLIANCEBERNSTEIN GLOBAL HIG	11,574	$102K	0.53%
1345	XRMMXRIVERNORTH MANAGED DUR MUN I	7,010	$102K	0.53%
1346	PREFPRINCIPAL EXCHANGE TRADED FD	6,120	$102K	0.53%
1347	CMSCMS ENERGY CORP	1,735	$101K	0.52%
1348	GISGENERAL MLS INC	145,939	$100K	0.52%
1349	PJTPJT PARTNERS INC	1,520	$100K	0.52%
1350	HHYATT HOTELS CORP	1,239	$100K	0.52%
1351	HPSHANCOCK JOHN PFD INCOME FD I	6,702	$100K	0.52%
1352	QDELQUIDELORTHO CORP	1,402	$100K	0.52%
1353	ARTYISHARES TR	4,222	$100K	0.52%
1354	BDXBECTON DICKINSON & CO	448,328	$100K	0.52%
1355	IWFISHARES TR	474,568	$100K	0.52%
1356	HYMBSPDR SER TR	37,710	$100K	0.52%
1357	NOVAQSUNNOVA ENERGY INTL INC.	73,811	$100K	0.51%
1358	BOKFBOK FINL CORP	1,122	$99K	0.51%
1359	BKIEURBLACK KNIGHT INC	1,542	$99K	0.51%
1360	MAAMID-AMER APT CMNTYS INC	647	$99K	0.51%
1361	SHAGWISDOMTREE TR	2,145	$99K	0.51%
1362	NCZVIRTUS CONVERTIBLE & INC 202	11,750	$99K	0.51%
1363	—INDEPENDENCE HOLDINGS CORP	10,000	$99K	0.51%
1364	GBTGGLOBAL BUSINESS TRAVEL GROUP	17,599	$99K	0.51%
1365	VEAVANGUARD TAX-MANAGED FDS	2,720,773	$99K	0.51%
1366	MMININDEXIQ ACTIVE ETF TR	4,277	$98K	0.51%
1367	NUVNUVEEN MUN VALUE FD INC	11,699	$98K	0.51%
1368	FVRRFIVERR INTL LTD	3,227	$98K	0.51%
1369	MZTILANCASTER COLONY CORP	657	$98K	0.51%
1370	AKAFETF SER SOLUTIONS	5,083	$98K	0.51%
1371	ARKFARK ETF TR	6,456	$98K	0.51%
1372	GEMGOLDMAN SACHS ETF TR	3,798	$98K	0.51%
1373	TXTTEXTRON INC	1,666	$97K	0.50%
1374	—APOLLO COML REAL ESTATE FIN	100,000	$97K	0.50%
1375	PINEALPINE INCOME PPTY TR INC	6,032	$97K	0.50%
1376	CNXCNX RES CORP	6,322	$97K	0.50%
1377	NBXGNEUBERGER BERMAN NEXT GENERA	10,375	$97K	0.50%
1378	LBTYBLIBERTY GLOBAL PLC	6,282	$97K	0.50%
1379	CARRCARRIER GLOBAL CORPORATION	2,702,614	$96K	0.50%
1380	GNOMEURGLOBAL X FDS	7,707	$96K	0.50%
1381	STWD 4.375 04/01/23STARWOOD PPTY TR INC	100,000	$96K	0.50%
1382	GUGGUGGENHEIM ACTIVE ALLOC FD	7,500	$96K	0.50%
1383	AMATAPPLIED MATLS INC	1,161,461	$95K	0.49%
1384	YELPYELP INC	2,818	$95K	0.49%
1385	XFDEXFIRST TR DYNAMIC EUROPE EQUI	10,000	$95K	0.49%
1386	AIRRFIRST TR EXCHANGE-TRADED FD	2,500	$95K	0.49%
1387	SCHESCHWAB STRATEGIC TR	4,264	$95K	0.49%
1388	BGHBARINGS GLOBAL SHORT DURATIO	7,800	$95K	0.49%
1389	LOBLIVE OAK BANCSHARES INC	3,132	$95K	0.49%
1390	—NUVEEN SHORT DURATION CR OPP	8,038	$95K	0.49%
1391	FRPTFRESHPET INC	1,905	$95K	0.49%
1392	FDDFIRST TR STOXX EUROPEAN SELE	10,120	$94K	0.49%
1393	AVNTAVIENT CORPORATION	3,123	$94K	0.49%
1394	ASTHAPOLLO MED HLDGS INC	2,427	$94K	0.49%
1395	SMARGBPSMARTSHEET INC	2,760	$94K	0.49%
1396	PANWPALO ALTO NETWORKS INC	290,492	$94K	0.48%
1397	ABJAABB LTD	675,973	$93K	0.48%
1398	QSRRESTAURANT BRANDS INTL INC	210,793	$93K	0.48%
1399	MATXMATSON INC	1,514	$93K	0.48%
1400	EMQQEXCHANGE TRADED CONCEPTS TR	3,518	$93K	0.48%

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