Rockefeller Capital Management L.P. Q4 2022 Filing

Filed March 6, 2023

Portfolio Value

$19.9M

Holdings

4,244

Report Date

Q4 2022

Filing Type

13F-HR

All Holdings (4,244 positions)

#	Stock	Shares	Value	% Portfolio
901	BCSFBAIN CAP SPECIALTY FIN INC	108,829	$1.0M	5.03%
902	XJQCXNUVEEN CR STRATEGIES INCOME	339,345	$1.0M	5.03%
903	PAASPAN AMERN SILVER CORP	116,571	$1.0M	5.03%
904	SONSONOCO PRODS CO	23,753	$1.0M	5.03%
905	EWLISHARES INC	32,306	$1.0M	5.03%
906	RWLINVESCO EXCH TRADED FD TR II	24,442	$1.0M	5.03%
907	CTLTEURCATALENT INC	27,178	$1.0M	5.03%
908	HOOKGBPHOOKIPA PHARMA INC	2,025	$1.0M	5.03%
909	QMARFIRST TR EXCHNG TRADED FD VI	87,300	$1.0M	5.03%
910	HYZDWISDOMTREE TR	83,916	$1.0M	5.03%
911	USIGISHARES TR	33,710	$1.0M	5.03%
912	SIZEISHARES TR	12,409	$1.0M	5.03%
913	DRIDARDEN RESTAURANTS INC	11,958	$1.0M	5.03%
914	FXHFIRST TR EXCHANGE TRADED FD	9,585	$1.0M	5.03%
915	EEMVISHARES INC	19,189	$1.0M	5.03%
916	FTCFIRST TRUST LRGCP GWT ALPHAD	11,981	$1.0M	5.03%
917	NVGNUVEEN AMT FREE MUN CR INC F	115,976	$1.0M	5.03%
918	WTVWISDOMTREE TR	21,799	$1.0M	5.03%
919	ODP1THE ODP CORP	30,789	$1.0M	5.03%
920	BSTZBLACKROCK SCIENCE & TECHNOLO	121,956	$1.0M	5.03%
921	PTYPIMCO CORPORATE & INCOME OPP	84,376	$1.0M	5.03%
922	FTXNFIRST TR EXCHANGE-TRADED FD	65,277	$1.0M	5.03%
923	—BILANDER ACQUISITION CORP	7,425	$1.0M	5.03%
924	DSMCETF SER SOLUTIONS	41,675	$1.0M	5.03%
925	SPDWSPDR INDEX SHS FDS	34,420	$1.0M	5.03%
926	BDJBLACKROCK ENHANCED EQUITY DI	129,626	$1.0M	5.03%
927	MPMP MATERIALS CORP	74,834	$1.0M	5.03%
928	IWXISHARES TR	19,749	$1.0M	5.03%
929	FPEIFIRST TR EXCH TRADED FD III	101,841	$1.0M	5.03%
930	PWBINVESCO EXCHANGE TRADED FD T	22,151	$1.0M	5.03%
931	HTGCHERCULES CAPITAL INC	135,516	$1.0M	5.03%
932	BBPETFIS SER TR I	24,073	$1.0M	5.03%
933	—ALKALINE WTR CO INC	11,000	$1.0M	5.03%
934	LILI AUTO INC	76,887	$1.0M	5.03%
935	ARCOARCOS DORADOS HOLDINGS INC	148,824	$1.0M	5.03%
936	NEARISHARES U S ETF TR	21,946	$1.0M	5.03%
937	KIOKKR INCOME OPPORTUNITIES FD	100,500	$1.0M	5.03%
938	PCEFINVESCO EXCH TRADED FD TR II	104,233	$1.0M	5.03%
939	BWXTBWX TECHNOLOGIES INC	34,358	$1.0M	5.03%
940	PCHPOTLATCHDELTIC CORPORATION	42,550	$1.0M	5.03%
941	DBEFDBX ETF TR	41,833	$1.0M	5.03%
942	FXGFIRST TR EXCHANGE TRADED FD	26,561	$1.0M	5.03%
943	NYCBEURNEW YORK CMNTY BANCORP INC	221,141	$1.0M	5.03%
944	PICKISHARES INC	42,615	$1.0M	5.03%
945	FTECFIDELITY COVINGTON TRUST	11,026	$1.0M	5.03%
946	SKYYFIRST TR EXCHANGE TRADED FD	21,176	$1.0M	5.03%
947	GHYPGIM GLOBAL HIGH YIELD FD FO	160,186	$1.0M	5.03%
948	TIGOMILLICOM INTL CELLULAR S A	138,525	$1.0M	5.03%
949	NFENEW FORTRESS ENERGY INC	37,574	$1.0M	5.03%
950	JHMMJOHN HANCOCK EXCHANGE TRADED	34,417	$1.0M	5.03%
951	SKAASKECHERS U S A INC	32,200	$1.0M	5.03%
952	FTSLFIRST TR EXCHANGE-TRADED FD	28,472	$1.0M	5.03%
953	ESEVERSOURCE ENERGY	15,935	$1.0M	5.03%
954	CWCURTISS WRIGHT CORP	10,264	$1.0M	5.03%
955	NIONIO INC	198,513	$1.0M	5.03%
956	LQDHISHARES U S ETF TR	11,475	$1.0M	5.03%
957	BMOBANK MONTREAL QUE	11,198	$1.0M	5.03%
958	EOSEATON VANCE ENHANCED EQUITY	82,029	$1.0M	5.03%
959	PACWUSDPACWEST BANCORP DEL	83,019	$1.0M	5.03%
960	AQUAUSDEVOQUA WATER TECHNOLOGIES CO	27,354	$1.0M	5.03%
961	EIPXFIRST TR EXCHANGE-TRADED FD	87,471	$1.0M	5.03%
962	BCXBLACKROCK RES & COMMODITIES	195,462	$1.0M	5.03%
963	SWVLSWVL HOLDINGS CORP	12,800	$1.0M	5.03%
964	BIDUNBAIDU INC	10,894	$1.0M	5.03%
965	GOFGUGGENHEIM STRATEGIC OPPORTU	70,821	$1.0M	5.03%
966	FTAIFTAI AVIATION LTD	90,665	$1.0M	5.03%
967	XFRAXBLACKROCK FLOATING RATE INCO	170,750	$1.0M	5.03%
968	HUBGHUB GROUP INC	19,161	$1.0M	5.03%
969	FAXABRDN ASIA PACIFIC INCOME FU	473,964	$1.0M	5.03%
970	OBKORIGIN BANCORP INC	30,070	$1.0M	5.03%
971	FTXGFIRST TR EXCHANGE-TRADED FD	44,732	$1.0M	5.03%
972	SPIBSPDR SER TR	60,729	$1.0M	5.03%
973	GABGABELLI EQUITY TR INC	191,327	$1.0M	5.03%
974	KBWBINVESCO EXCH TRADED FD TR II	28,271	$1.0M	5.03%
975	EEMXSPDR INDEX SHS FDS	29,750	$1.0M	5.03%
976	IHAKISHARES TR	32,543	$1.0M	5.03%
977	TMPTOMPKINS FINL CORP	21,278	$1.0M	5.03%
978	EXGEATON VANCE TAX ADVT DIV INC	55,716	$1.0M	5.03%
979	—PAVMED INC	2,500	$1.0M	5.03%
980	JHMLJOHN HANCOCK EXCHANGE TRADED	39,957	$1.0M	5.03%
981	RWJINVESCO EXCH TRADED FD TR II	11,070	$1.0M	5.03%
982	POWAINVESCO EXCH TRD SLF IDX FD	22,852	$1.0M	5.03%
983	VRTVERTIV HOLDINGS CO	81,508	$1.0M	5.03%
984	DLYDOUBLELINE YIELD OPPORTUNITI	138,489	$1.0M	5.03%
985	IEPICAHN ENTERPRISES LP	28,452	$1.0M	5.03%
986	ADPTADAPTIVE BIOTECHNOLOGIES COR	166,564	$1.0M	5.03%
987	MSGSMADISON SQUARE GRDN SPRT COR	8,363	$1.0M	5.03%
988	VNLAJANUS DETROIT STR TR	37,368	$1.0M	5.03%
989	MQMARQETA INC	205,841	$1.0M	5.03%
990	HALOHALOZYME THERAPEUTICS INC	32,883	$1.0M	5.03%
991	MOOVANECK ETF TRUST	15,081	$1.0M	5.03%
992	DIVOAMPLIFY ETF TR	35,407	$1.0M	5.03%
993	XMUIXBLACKROCK MUNICIPAL INCOME	119,098	$1.0M	5.03%
994	IYEISHARES TR	23,857	$1.0M	5.03%
995	FXNFIRST TR EXCHANGE TRADED FD	91,151	$1.0M	5.03%
996	—TRITIUM DCFC LIMITED	5,000	$1.0M	5.03%
997	OZBELPOINTE PREP LLC	17,835	$1.0M	5.03%
998	—VIVOS THERAPEUTICS INC	3,500	$1.0M	5.03%
999	LDPCOHEN & STEERS LTD DURATION	70,103	$1.0M	5.03%
1000	USACUSA COMPRESSION PARTNERS LP	65,483	$1.0M	5.03%

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