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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
+8.69%
1 Year Est. Return
+24.96%
3 Year Est. Return
+83.53%
5 Year Est. Return
+100.91%
10 Year Est. Return
–
AUM
$21.4B
AUM Growth
+$2.4B
Cap. Flow
+$1.08B
Cap. Flow %
5.02%
Top 10 Hldgs %
19.93%
Holding
4,165
New
351
Increased
1,710
Reduced
1,031
Closed
233

Top Buys

Rank Stock Value
1
CNC icon
Centene
CNC
+$119M
2
MDT icon
Medtronic
MDT
+$50.1M
3
VOO icon
Vanguard S&P 500 ETF
VOO
+$38.4M
4
ELAN icon
Elanco Animal Health
ELAN
+$35M
5
DFS
Discover Financial Services
DFS
+$30.2M

Top Sells

Rank Stock Value
1
MPT
Medical Properties Trust
MPT
+$97M
2
WTW icon
Willis Towers Watson
WTW
+$60.7M
3
KSS icon
Kohl's
KSS
+$52.6M
4
BDX icon
Becton Dickinson
BDX
+$49.4M
5
IONS icon
Ionis Pharmaceuticals
IONS
+$41.6M

Sector Composition

Rank Sector Weight
1 Technology 21.15%
2 Financials 13.4%
3 Healthcare 12.11%
4 Consumer Discretionary 7.35%
5 Industrials 6.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BGIO
4051
DELISTED
BlackRock 2022 Global Income Opportunity Trust
BGIO
– –
-2,500
Closed -$13K
HRC
4052
DELISTED
HILL-ROM HOLDINGS, INC.
HRC
– –
-453
Closed -$67K
PCI
4053
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
– –
-62,900
Closed -$1.33M
SOFIW
4054
DELISTED
SoFi Technologies, Inc. Warrants
SOFIW
– –
-1,300
Closed -$8K
NXQ
4055
DELISTED
NUVEEN ELECT TAX-FREE INC 2
NXQ
– –
-3,126
Closed -$48K
ENBL
4056
DELISTED
ENABLE MIDSTREAM PARTNERS, LP
ENBL
– –
-3,270
Closed -$26K
DSPG
4057
DELISTED
DSP Group Inc
DSPG
$0 ﹤0.01%
+13
New +$285
CVA
4058
DELISTED
Covanta Holding Corporation
CVA
– –
-437
Closed -$8K
ADMS
4059
DELISTED
Adamas Pharmaceuticals
ADMS
– –
-3,576
Closed -$17K
XLRN
4060
DELISTED
Acceleron Pharma
XLRN
– –
-29
Closed -$4K
CAI
4061
DELISTED
CAI International, Inc.
CAI
– –
-150
Closed -$8K
LIII.WS
4062
DELISTED
Leo Holdings III Corp Redeemable Warrants, each whole warrant exercisable for one Class A ordinary s
LIII.WS
– –
-2,280
Closed -$1K
LIII.U
4063
DELISTED
Leo Holdings III Corp Units, each consisting of one Class A ordinary share, and one-fifth of one red
LIII.U
– –
-20,700
Closed -$208K
JTD
4064
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
– –
-1,167
Closed -$18K
TRIL
4065
DELISTED
Trillium Therapeutics Inc.
TRIL
– –
-382
Closed -$6K
XONE
4066
DELISTED
The ExOne Company
XONE
– –
-2,000
Closed -$46K
CNBKA
4067
DELISTED
Century Bancorp Inc/Mass
CNBKA
– –
-3,100
Closed -$357K
EBSB
4068
DELISTED
Meridian Bancorp, Inc.
EBSB
– –
-6,121
Closed -$127K
SKINW
4069
DELISTED
The Beauty Health Company Warrant expiring 5/4/2026
SKINW
– –
-38,428
Closed -$556K
VEI
4070
DELISTED
Vine Energy Inc.
VEI
– –
-78
Closed -$1K
MDLA
4071
DELISTED
Medallia, Inc.
MDLA
– –
-34,064
Closed -$1.15M
VTA
4072
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
– –
-2,752
Closed -$32K
GGM
4073
DELISTED
GUGGENHEIM CREDIT ALLOCATION FUND
GGM
– –
-1,000
Closed -$20K
RPAI
4074
DELISTED
RETAIL PROPERTIES OF AMERICA, INC.
RPAI
– –
-225
Closed -$2K
LOKB.U
4075
DELISTED
Live Oak Acquisition Corp. II Units, each consisting of one share of Class A common stock and one-th
LOKB.U
– –
-7,000
Closed -$74K
161 162
163
164 165

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Rockefeller Capital Management's Q4 2021 Portfolio in Review

As of Q4 2021, Rockefeller Capital Management held 4,165 positions worth $21.4B, up 13% from $19B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Rockefeller Capital Management deployed $1.08B of net new capital in Q4 2021, opening 351 new positions and adding to 1,710 existing holdings. Its largest new stake was Guess Inc: 483,720 shares worth $11.5M.

By sector, the portfolio is most concentrated in Technology at 21% of assets, up from 20% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Medical Properties Trust, an estimated $97M trimmed.

  • Rockefeller Capital Management's largest Q4 2021 buy was Guess Inc: 483,720 shares worth $11.5M.
  • Rockefeller Capital Management added most to Centene in Q4 2021, an estimated $119M increase.
  • Rockefeller Capital Management's biggest Q4 2021 reduction was Medical Properties Trust, cutting an estimated $97M.
  • Rockefeller Capital Management fully exited Kansas City Southern in Q4 2021, selling an estimated $2.54M.
  • Rockefeller Capital Management's ten largest holdings make up 20% of its $21.4B portfolio in Q4 2021.
  • Rockefeller Capital Management opened 351 new positions and closed 233 in Q4 2021.
  • Rockefeller Capital Management's portfolio value rose 13% quarter-over-quarter to $21.4B.

Based on Rockefeller Capital Management's 13F filing for Q4 2021, filed 14 Feb 2022.