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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
GNOG
3876
DELISTED
Golden Nugget Online Gaming, Inc. Class A Common Stock
GNOG
– –
-2,000
Closed -$25K
FMO
3877
DELISTED
Fiduciary/Claymore Energy Infrastructure Fund
FMO
$0 ﹤0.01%
70
– –
KOR
3878
DELISTED
Corvus Gold Inc. Common Shares
KOR
– –
-917
Closed -$2K
CSOD
3879
DELISTED
Cornerstone OnDemand, Inc.
CSOD
$0 ﹤0.01%
+6
New +$325
OPP.RT
3880
DELISTED
RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. Rights (expiring October 1, 2021)
OPP.RT
$0 ﹤0.01%
+6,501
New +$117
ALTA
3881
DELISTED
Altabancorp
ALTA
$0 ﹤0.01%
10
– –
JAX
3882
DELISTED
J. Alexander's Holdings, Inc.
JAX
$0 ﹤0.01%
14
-5
-26% -$69
PFBI
3883
DELISTED
Premier Financial Bancorp
PFBI
– –
-1,375
Closed -$23K
SRNG
3884
DELISTED
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
– –
-17,850
Closed -$177K
SRNGU
3885
DELISTED
Soaring Eagle Acquisition Corp. Unit
SRNGU
– –
-42,370
Closed -$448K
TBIO
3886
DELISTED
Translate Bio, Inc. Common Stock
TBIO
– –
-1,211
Closed -$33K
CMIIU
3887
DELISTED
CM Life Sciences II Inc. Unit
CMIIU
– –
-50
Closed –
PFPT
3888
DELISTED
Proofpoint, Inc.
PFPT
– –
-2,804
Closed -$487K
QTS
3889
DELISTED
QTS REALTY TRUST, INC.
QTS
– –
-73
Closed -$5K
AIRTW
3890
DELISTED
Air T Inc Warrants
AIRTW
$0 ﹤0.01%
+415
New +$33
SYKE
3891
DELISTED
SYKES Enterprises Inc
SYKE
– –
-444
Closed -$23K
SNPR.U
3892
DELISTED
Tortoise Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fourth of
SNPR.U
– –
-6,500
Closed -$68K
MXIM
3893
DELISTED
Maxim Integrated Products
MXIM
– –
-2,446
Closed -$257K
USCR
3894
DELISTED
U S Concrete, Inc.
USCR
– –
-310
Closed -$22K
RMGBU
3895
DELISTED
RMG Acquisition Corp. II Unit
RMGBU
– –
-6,000
Closed -$63K
IPFF
3896
DELISTED
iShares International Preferred Stock ETF
IPFF
– –
-12,284
Closed -$211K
RTP.WS
3897
DELISTED
Reinvent Technology Partners Redeemable Warrants, each whole warrant exercisable for one Class A ord
RTP.WS
– –
-800
Closed -$1K
BPYU
3898
DELISTED
Brookfield Property REIT Inc. Class A Common Stock
BPYU
– –
-456
Closed -$8K
BPY
3899
DELISTED
Brookfield Property Partners L.P. Limited Partnership Units
BPY
– –
-4,512
Closed -$85K
HOME
3900
DELISTED
At Home Group Inc.
HOME
– –
-291
Closed -$10K
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.