Rockefeller Capital Management (NYSE: BLK) files Rule 144 notice

Rhea-AI Filing Summary

Rockefeller Capital Management submitted a Rule 144 notice concerning Common Stock of the issuer (symbol BLK). The filing lists several numeric entries including 33,900, 35,613,717.24, and 155,541,536 and shows the filing date 04/28/2026 and exchange NYSE. The excerpt also lists vesting events dated 01/31/2025 (4,250 shares) and 01/31/1998 (29,650 shares).

Key Figures

Filer-listed number: 33,900 Numeric entry: 35,613,717.24 Numeric entry: 155,541,536 +3 more

6 metrics

Filer-listed number 33,900 listed in the securities information section

Numeric entry 35,613,717.24 listed adjacent to securities information

Numeric entry 155,541,536 listed adjacent to securities information

Filing date 04/28/2026 date shown alongside exchange and counts

Vesting — 01/31/2025 4,250 shares vesting entry dated 01/31/2025

Vesting — 01/31/1998 29,650 shares vesting entry dated 01/31/1998

Key Terms

Rule 144, Vesting, Common Stock

3 terms

Rule 144 regulatory

"144: Securities To Be Sold"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Vesting financial

"Common Stock | 01/31/2025 | Vesting"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

Common Stock financial

"Common Stock | Rockefeller Capital Management"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	Rockefeller Capital Management 45 Rockefeller Plaza Floor 5 New York NY 10111	33900	35613717.24	155541536	04/28/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	01/31/2025	Vesting	Issuer			4250	01/31/2025	Vesting
Common Stock	01/31/1998	Vesting	Issuer			29650	01/31/1998	Vesting

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filed for BLK by Rockefeller Capital Management report?

It reports a Rule 144 notice regarding Common Stock for BLK. The excerpt lists numeric entries (33,900; 35,613,717.24; 155,541,536), a filing date of 04/28/2026, and notes the NYSE as the exchange.

How many shares related to vesting are shown in the BLK filing?

The excerpt shows two vesting entries totaling 33,900 shares. It lists 4,250 shares vesting on 01/31/2025 and 29,650 shares tied to 01/31/1998.

Does the filing indicate where BLK securities will trade?

Yes — the excerpt lists the NYSE as the exchange. The filing shows the exchange label NYSE alongside the other securities and numeric entries.

Who is the filer named on the Form 144 excerpt for BLK?

Rockefeller Capital Management is named as the filer. The excerpt includes the filer address at 45 Rockefeller Plaza, Floor 5, New York, NY 10111 and identifies the issuer security as Common Stock.