Rockefeller Capital Management L.P. Q4 2020 Filing

Filed February 12, 2021

Portfolio Value

$13.2M

Holdings

2,947

Report Date

Q4 2020

Filing Type

13F-HR

All Holdings (2,947 positions)

#	Stock	Shares	Value	% Portfolio
901	VIOOVANGUARD ADMIRAL FDS INC	758	$127K	0.96%
902	URIUNITED RENTALS INC	549	$127K	0.96%
903	OSKOSHKOSH CORP	1,475	$126K	0.95%
904	WATWATERS CORP	4,601	$125K	0.95%
905	—BLACKROCK MUNIHOLDINGS QUALI	9,500	$125K	0.95%
906	FUNCEDAR FAIR L P	3,170	$125K	0.95%
907	WECWEC ENERGY GROUP INC	12,888	$124K	0.94%
908	OVEROVERSTOCK COM INC DEL	2,600	$124K	0.94%
909	BRBROADRIDGE FINL SOLUTIONS IN	817	$124K	0.94%
910	NRANRG ENERGY INC	3,285	$123K	0.93%
911	AVKADVENT CONVERTIBLE & INCOME	7,500	$123K	0.93%
912	LEALEAR CORP	776	$123K	0.93%
913	FSC1EUROAKTREE SPECIALTY LENDING CO	22,100	$123K	0.93%
914	TWSTTWIST BIOSCIENCE CORP	870	$122K	0.92%
915	EWZISHARES INC	3,307	$122K	0.92%
916	MXLMAXLINEAR INC	3,204	$122K	0.92%
917	SNOWSNOWFLAKE INC	435	$122K	0.92%
918	BOKFBOK FINL CORP	1,796	$122K	0.92%
919	—BIOHAVEN PHARMACTL HLDG CO L	1,413	$121K	0.92%
920	SPHDINVESCO EXCH TRADED FD TR II	3,199	$120K	0.91%
921	VTIPVANGUARD MALVERN FDS	2,362	$120K	0.91%
922	GNOMEURGLOBAL X FDS	5,050	$119K	0.90%
923	1T7TRICIDA INC	17,063	$119K	0.90%
924	AXTAAXALTA COATING SYS LTD	4,202	$119K	0.90%
925	CECELANESE CORP DEL	910	$118K	0.89%
926	XFDEXFIRST TR DYNAMIC EUROPE EQUI	10,000	$118K	0.89%
927	IJHISHARES TR	71,022	$117K	0.89%
928	IWYISHARES TR	8,610	$117K	0.89%
929	NWLNEWELL BRANDS INC	5,511	$117K	0.89%
930	HIGHARTFORD FINL SVCS GROUP INC	2,410	$117K	0.89%
931	FDDFIRST TR HIGH INCOME L/S FD	7,974	$117K	0.89%
932	TELTE CONNECTIVITY LTD	964,428	$117K	0.88%
933	CLFCLEVELAND-CLIFFS INC NEW	8,000	$116K	0.88%
934	ATRCATRICURE INC	2,089	$116K	0.88%
935	SHOOMADDEN STEVEN LTD	3,300	$116K	0.88%
936	FLIRFLIR SYS INC	46,857	$116K	0.88%
937	R6C2ROYAL DUTCH SHELL PLC	3,445	$115K	0.87%
938	JKHYHENRY JACK & ASSOC INC	712	$115K	0.87%
939	IGBHISHARES U S ETF TR	4,579	$114K	0.86%
940	TIFEURTIFFANY & CO NEW	874	$114K	0.86%
941	FXEINVESCO CURRENCYSHARES EURO	1,000	$114K	0.86%
942	KTBKONTOOR BRANDS INC	2,830	$114K	0.86%
943	HPSHANCOCK JOHN PFD INCOME FD I	6,600	$114K	0.86%
944	MRTXEURMIRATI THERAPEUTICS INC	515	$113K	0.86%
945	—CLIMATE CHANGE CRISIS REAL I	10,620	$113K	0.86%
946	MHDBLACKROCK MUNIHOLDINGS FD IN	7,000	$113K	0.86%
947	LEGRFIRST TR EXCHANGE-TRADED FD	3,034	$113K	0.86%
948	FIXXEURHOMOLOGY MEDICINES INC	10,059	$113K	0.86%
949	GLMDGALMED PHARMACEUTICALS LTD	36,449	$113K	0.86%
950	XLUSELECT SECTOR SPDR TR	113,042	$113K	0.86%
951	MDTMEDTRONIC PLC	960,295	$112K	0.85%
952	ADMARCHER DANIELS MIDLAND CO	2,236	$112K	0.85%
953	NVTA1EURINVITAE CORP	2,714	$112K	0.85%
954	NYFISHARES TR	1,935	$112K	0.85%
955	ETWEATON VANCE TAX-MANAGED GLOB	11,594	$112K	0.85%
956	PMXPIMCO MUN INCOME FD III	9,500	$112K	0.85%
957	CCKCROWN HLDGS INC	17,577	$112K	0.85%
958	PRTY1EURPARTY CITY HOLDCO INC	181,800	$111K	0.84%
959	IVZINVESCO LTD	6,395	$111K	0.84%
960	UNFIUNITED NAT FOODS INC	6,975	$111K	0.84%
961	IWVISHARES TR	6,867	$110K	0.84%
962	NVSNNOVARTIS AG	104,127	$110K	0.83%
963	CRLCHARLES RIV LABS INTL INC	438	$109K	0.83%
964	WABWABTEC	1,514	$109K	0.83%
965	—FIRST TR ENERGY INCOME & GRO	10,250	$109K	0.83%
966	BBYBEST BUY INC	1,095	$109K	0.83%
967	KMIKINDER MORGAN INC DEL	422,732	$109K	0.82%
968	PHYS/USPROTT PHYSICAL GOLD TR	117,179	$109K	0.82%
969	FLOTISHARES TR	2,139	$108K	0.82%
970	DWXSPDR INDEX SHS FDS	2,960	$108K	0.82%
971	NTNXNUTANIX INC	3,416	$108K	0.82%
972	CZRCAESARS ENTERTAINMENT INC NE	1,446	$107K	0.81%
973	PGRPROGRESSIVE CORP	1,075,082	$106K	0.81%
974	BSCOINVESCO EXCH TRD SLF IDX FD	4,762	$106K	0.80%
975	LBRDALIBERTY BROADBAND CORP	676	$106K	0.80%
976	CHIQGLOBAL X FDS	3,002	$106K	0.80%
977	SUISUN CMNTYS INC	705	$106K	0.80%
978	GNRSPDR INDEX SHS FDS	2,355	$105K	0.80%
979	LOGILOGITECH INTL S A	1,094	$105K	0.80%
980	CHGGCHEGG INC	1,170	$105K	0.80%
981	—STABLE RD ACQUISITION CORP	5,858	$105K	0.80%
982	PHKPIMCO HIGH INCOME FD	17,502	$105K	0.80%
983	—DCP MIDSTREAM LP	5,720	$105K	0.80%
984	OXLCLOXFORD LANE CAP CORP	19,482	$105K	0.80%
985	PTNQPACER FDS TR	2,020	$105K	0.80%
986	IWPISHARES TR	27,981	$105K	0.79%
987	EXASEXACT SCIENCES CORP	10,112	$104K	0.79%
988	XAWFXALLIANCEBERNSTEIN GLOBAL HIG	8,907	$104K	0.79%
989	IFFINTERNATIONAL FLAVORS&FRAGRA	971	$104K	0.79%
990	HFCUSDHOLLYFRONTIER CORP	4,092	$104K	0.79%
991	—TEEKAY LNG PARTNERS L P	9,090	$104K	0.79%
992	CBRECBRE GROUP INC	1,681	$104K	0.79%
993	COR1EURCORESITE RLTY CORP	824	$103K	0.78%
994	PKWINVESCO EXCHANGE TRADED FD T	1,410	$103K	0.78%
995	LNCLINCOLN NATL CORP IND	2,060	$103K	0.78%
996	HPPHUDSON PAC PPTYS INC	4,270	$102K	0.77%
997	LNTALLIANT ENERGY CORP	2,005	$102K	0.77%
998	AMATAPPLIED MATLS INC	1,173,669	$101K	0.77%
999	NDAQNASDAQ INC	767	$101K	0.76%
1000	SHYDVANECK VECTORS ETF TR	4,112	$101K	0.76%

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