Rockefeller Capital Management L.P. Q4 2021 Filing

Filed February 14, 2022

Portfolio Value

$21.4M

Holdings

3,932

Report Date

Q4 2021

Filing Type

13F-HR

All Holdings (3,932 positions)

#	Stock	Shares	Value	% Portfolio
1801	ASHASHLAND GLOBAL HLDGS INC	1,237	$132K	0.62%
1802	BSCPINVESCO EXCH TRD SLF IDX FD	6,065	$132K	0.62%
1803	SMTISANARA MEDTECH INC	4,500	$132K	0.62%
1804	BABINVESCO EXCH TRADED FD TR II	4,000	$131K	0.61%
1805	NZFNUVEEN MUNICIPAL CREDIT INC	7,701	$131K	0.61%
1806	SHLXUSDSHELL MIDSTREAM PARTNERS L P	11,339	$130K	0.61%
1807	PLNTPLANET FITNESS INC	1,444	$130K	0.61%
1808	TRPTC ENERGY CORP	2,780	$129K	0.60%
1809	FNIUSDFIRST TR EXCHANGE TRADED FD	2,720	$129K	0.60%
1810	NATINATIONAL INSTRS CORP	2,975	$129K	0.60%
1811	—CLEARBRIDGE MLP AND MIDSTRM	4,800	$129K	0.60%
1812	—NEXIMMUNE INC	27,860	$128K	0.60%
1813	SMARGBPSMARTSHEET INC	1,660	$128K	0.60%
1814	SZNEPACER FDS TR	3,219	$128K	0.60%
1815	FLGTFULGENT GENETICS INC	1,281	$128K	0.60%
1816	OPENOPENDOOR TECHNOLOGIES INC	8,730	$127K	0.59%
1817	LUMNLUMEN TECHNOLOGIES INC	10,152	$127K	0.59%
1818	MAAMID-AMER APT CMNTYS INC	555	$126K	0.59%
1819	JBLUJETBLUE AWYS CORP	8,785	$125K	0.58%
1820	XAODXABERDEEN TOTAL DYNAMIC DIVD	12,250	$125K	0.58%
1821	SHOOMADDEN STEVEN LTD	2,673	$124K	0.58%
1822	VNTVONTIER CORPORATION	4,052	$124K	0.58%
1823	DBOINVESCO DB MULTI-SECTOR COMM	9,209	$124K	0.58%
1824	SNSRGLOBAL X FDS	3,193	$124K	0.58%
1825	—OYSTER ENTERPRISES ACQ CORP	12,450	$123K	0.57%
1826	DEWWISDOMTREE TR	2,460	$123K	0.57%
1827	HPSHANCOCK JOHN PFD INCOME FD I	6,600	$123K	0.57%
1828	PREFPRINCIPAL EXCHANGE-TRADED FD	6,101	$123K	0.57%
1829	BIZDVANECK ETF TRUST	7,131	$122K	0.57%
1830	STNESTONECO LTD	7,250	$122K	0.57%
1831	WENWENDYS CO	5,162	$122K	0.57%
1832	LM03LIBERTY MEDIA CORP DEL	2,390	$121K	0.56%
1833	FXUFIRST TR EXCHANGE TRADED FD	3,709	$121K	0.56%
1834	IIFMORGAN STANLEY INDIA INVT FD	4,540	$121K	0.56%
1835	LNGCHENIERE ENERGY INC	1,202	$121K	0.56%
1836	FBNDFIDELITY MERRIMACK STR TR	2,299	$121K	0.56%
1837	AAALCOA CORP	2,039	$121K	0.56%
1838	FNDXSCHWAB STRATEGIC TR	2,051	$120K	0.56%
1839	CHEFCHEFS WHSE INC	3,625	$120K	0.56%
1840	DVAXDYNAVAX TECHNOLOGIES CORP	8,500	$119K	0.56%
1841	DFJWISDOMTREE TR	1,681	$119K	0.56%
1842	NDSNNORDSON CORP	468	$118K	0.55%
1843	OVEROVERSTOCK COM INC DEL	2,000	$118K	0.55%
1844	VGMINVESCO TR INVT GRADE MUNS	8,516	$118K	0.55%
1845	CASHMETA FINL GROUP INC	1,983	$118K	0.55%
1846	XRPNARMADA ACQUISITION CORP I	11,780	$118K	0.55%
1847	MOMOHELLO GROUP INC	13,048	$117K	0.55%
1848	PHTPIONEER HIGH INCOME FUND INC	12,087	$117K	0.55%
1849	PRGPROG HOLDINGS INC	2,597	$117K	0.55%
1850	REETISHARES TR	3,826	$117K	0.55%
1851	AEGAEGON N V	23,734	$116K	0.54%
1852	GGNGAMCO GLOBAL GOLD NAT RES &	31,122	$116K	0.54%
1853	LRNSTRIDE INC	3,500	$116K	0.54%
1854	CMBSISHARES TR	2,190	$116K	0.54%
1855	AVBAVALONBAY CMNTYS INC	460	$115K	0.54%
1856	—BILANDER ACQUISITION CORP	11,600	$115K	0.54%
1857	PINEALPINE INCOME PPTY TR INC	5,763	$115K	0.54%
1858	ONLORION OFFICE REIT INC	6,204	$115K	0.54%
1859	EHYAMPLIFY ETF TR	4,477	$114K	0.53%
1860	IRTINDEPENDENCE RLTY TR INC	4,425	$114K	0.53%
1861	DPZDOMINOS PIZZA INC	204	$114K	0.53%
1862	JNPJUNIPER NETWORKS INC	3,223	$114K	0.53%
1863	FIDUFIDELITY COVINGTON TRUST	2,023	$113K	0.53%
1864	DWXSPDR INDEX SHS FDS	2,925	$113K	0.53%
1865	HYMBSPDR SER TR	1,893	$113K	0.53%
1866	BOKFBOK FINL CORP	1,075	$113K	0.53%
1867	BATRKUSDLIBERTY MEDIA CORP DEL	4,000	$112K	0.52%
1868	BFKBLACKROCK MUN INCOME TR	7,265	$112K	0.52%
1869	MFCMANULIFE FINL CORP	5,905	$112K	0.52%
1870	EMOCLEARBRIDGE ENERGY MIDSTRM O	5,156	$112K	0.52%
1871	AIRRFIRST TR EXCHANGE-TRADED FD	2,500	$112K	0.52%
1872	ISDPGIM HIGH YIELD BOND FUND IN	7,000	$112K	0.52%
1873	MEGMONTROSE ENVIRONMENTAL GROUP	1,588	$111K	0.52%
1874	FICOFAIR ISAAC CORP	257	$111K	0.52%
1875	FBTFIRST TR EXCHANGE-TRADED FD	686	$111K	0.52%
1876	XHESPDR SER TR	943	$110K	0.51%
1877	PALLABERDEEN STD PALLADIUM ETF T	628	$110K	0.51%
1878	NUVAGBPNUVASIVE INC	2,107	$110K	0.51%
1879	SDHYPGIM SHORT DUR HIG YLD OPP F	6,000	$110K	0.51%
1880	OALCUNIFIED SER TR	4,377	$110K	0.51%
1881	PKBINVESCO EXCHANGE TRADED FD T	2,000	$109K	0.51%
1882	MGTXMEIRAGTX HLDGS PLC	4,600	$109K	0.51%
1883	HHC*HOWARD HUGHES CORP	1,079	$109K	0.51%
1884	PJTPJT PARTNERS INC	1,472	$109K	0.51%
1885	—FREYR BATTERY	9,811	$109K	0.51%
1886	DBAINVESCO DB MULTI-SECTOR COMM	5,525	$109K	0.51%
1887	TILTFLEXSHARES TR	593	$108K	0.50%
1888	PMXPIMCO MUN INCOME FD III	8,500	$108K	0.50%
1889	EDVVANGUARD WORLD FD	774	$108K	0.50%
1890	FDMOFIDELITY COVINGTON TRUST	2,018	$108K	0.50%
1891	NUANEURNUANCE COMMUNICATIONS INC	1,969	$108K	0.50%
1892	CXSEWISDOMTREE TR	2,183	$108K	0.50%
1893	—MANDIANT INC	6,189	$108K	0.50%
1894	MMDMAINSTAY MACKAY DEFINEDTERM	4,953	$107K	0.50%
1895	HPPHUDSON PAC PPTYS INC	4,368	$107K	0.50%
1896	IYLDISHARES TR	4,471	$107K	0.50%
1897	GRNBARCLAYS BANK PLC	3,400	$107K	0.50%
1898	NTNXNUTANIX INC	3,359	$107K	0.50%
1899	OUTOUTFRONT MEDIA INC	4,000	$107K	0.50%
1900	IMCBISHARES TR	1,517	$107K	0.50%

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