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Rockefeller Capital Management

Rockefeller Capital Management Portfolio holdings

AUM $56.4B
1-Year Est. Return 24.96%
This Fund
S&P 500
This Quarter Est. Return
-0.57%
1 Year Est. Return
+24.96%
3 Year Est. Return
+83.53%
5 Year Est. Return
+100.91%
10 Year Est. Return
–
AUM
$19B
AUM Growth
+$1.28B
Cap. Flow
+$1.55B
Cap. Flow %
8.12%
Top 10 Hldgs %
20.03%
Holding
3,992
New
448
Increased
1,821
Reduced
816
Closed
180

Top Buys

Rank Stock Value
1
ELAN icon
Elanco Animal Health
ELAN
+$89.1M
2
WEX icon
WEX
WEX
+$78.4M
3
BLK icon
Blackrock
BLK
+$73.2M
4
VOO icon
Vanguard S&P 500 ETF
VOO
+$71.9M
5
OMF icon
OneMain Financial
OMF
+$45.3M

Top Sells

Rank Stock Value
1
REGN icon
Regeneron Pharmaceuticals
REGN
+$63.6M
2
NBIX icon
Neurocrine Biosciences
NBIX
+$56.6M
3
AEM icon
Agnico Eagle Mines
AEM
+$55.1M
4
DFS
Discover Financial Services
DFS
+$36M
5
ORBC
ORBCOMM, Inc.
ORBC
+$27.5M

Sector Composition

Rank Sector Weight
1 Technology 20.39%
2 Financials 14.65%
3 Healthcare 12.11%
4 Consumer Discretionary 7.54%
5 Industrials 6.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SUMO
3851
DELISTED
Sumo Logic, Inc. Common Stock
SUMO
– –
-37
Closed –
SIOX
3852
DELISTED
Sio Gene Therapies Inc. Common Stock
SIOX
$0 ﹤0.01%
312
– –
RFP
3853
DELISTED
Resolute Forest Products Inc.
RFP
$0 ﹤0.01%
55
– –
ZNH
3854
DELISTED
China Southern Airlines Company Limited
ZNH
– –
-32
Closed –
ASAP
3855
DELISTED
Waitr Holdings Inc. Common Stock
ASAP
$0 ﹤0.01%
50
– –
HUGS.U
3856
DELISTED
USHG Acquisition Corp. Units, each consisting of one share of Class A Common Stock, and one-third of one Warrant
HUGS.U
– –
-5,000
Closed -$50K
NDACU
3857
DELISTED
NightDragon Acquisition Corp. SCALE Units
NDACU
– –
-9,600
Closed -$96K
FVT.U
3858
DELISTED
Fortress Value Acquisition Corp. III Units, each consisting of one share of Class A common stock and one-fifth of one Warrant
FVT.U
– –
-9,985
Closed -$99K
NOACU
3859
DELISTED
Natural Order Acquisition Corp. Unit
NOACU
– –
-5,000
Closed -$53K
IS
3860
DELISTED
ironSource Ltd.
IS
– –
-11,482
Closed -$120K
ENPC.WS
3861
DELISTED
Executive Network Partnering Corporation Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
ENPC.WS
$0 ﹤0.01%
+937
New +$767
PING
3862
DELISTED
Ping Identity Holding Corp.
PING
– –
-10
Closed –
MUDS
3863
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
– –
-44,500
Closed -$554K
MUDSW
3864
DELISTED
Mudrick Capital Acquisition Corporation II Warrant
MUDSW
– –
-33,750
Closed -$141K
LFC
3865
DELISTED
China Life Insurance Company Ltd.
LFC
– –
-83
Closed –
FST
3866
DELISTED
FAST Acquisition Corp.
FST
– –
-97
Closed -$1K
SPXZ
3867
DELISTED
Morgan Creek Exos SPAC Originated ETF
SPXZ
$0 ﹤0.01%
+1
New +$18
TPTX
3868
DELISTED
Turning Point Therapeutics, Inc. Common Stock
TPTX
– –
-17
Closed -$1K
ATC
3869
DELISTED
Atotech Limited
ATC
$0 ﹤0.01%
10
– –
PSTH.WS
3870
DELISTED
Pershing Square Tontine Holdings, Ltd. Warrants, exercisable for one share of Class A Common Stock f
PSTH.WS
– –
-150
Closed –
SAFM
3871
DELISTED
Sanderson Farms Inc
SAFM
– –
-392
Closed -$73K
HNP
3872
DELISTED
Huaneng Power Intl, Inc.
HNP
– –
-57
Closed –
PLAN
3873
DELISTED
Anaplan, Inc.
PLAN
– –
-1,000
Closed -$53K
ANAT
3874
DELISTED
American National Group, Inc. Common Stock
ANAT
– –
-29
Closed -$4K
PTE
3875
DELISTED
PolarityTE, Inc. Common Stock
PTE
$0 ﹤0.01%
1
– –
153 154
155
156 157

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Rockefeller Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Rockefeller Capital Management held 3,992 positions worth $19B, up 7.2% from $17.8B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Rockefeller Capital Management deployed $1.55B of net new capital in Q3 2021, opening 448 new positions and adding to 1,821 existing holdings. Its largest new stake was Darling Ingredients: 56,725 shares worth $4.08M.

By sector, the portfolio is most concentrated in Technology at 20% of assets, up from 20% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Regeneron Pharmaceuticals, an estimated $63.6M trimmed.

  • Rockefeller Capital Management's largest Q3 2021 buy was Darling Ingredients: 56,725 shares worth $4.08M.
  • Rockefeller Capital Management added most to Elanco Animal Health in Q3 2021, an estimated $89.1M increase.
  • Rockefeller Capital Management's biggest Q3 2021 reduction was Regeneron Pharmaceuticals, cutting an estimated $63.6M.
  • Rockefeller Capital Management fully exited ORBCOMM, Inc. in Q3 2021, selling an estimated $27.5M.
  • Rockefeller Capital Management's ten largest holdings make up 20% of its $19B portfolio in Q3 2021.
  • Rockefeller Capital Management opened 448 new positions and closed 180 in Q3 2021.
  • Rockefeller Capital Management's portfolio value rose 7.2% quarter-over-quarter to $19B.

Based on Rockefeller Capital Management's 13F filing for Q3 2021, filed 12 Nov 2021.