Rockefeller Capital (NASDAQ: FTDR) lists proposed resale of common stock awards

Rhea-AI Filing Summary

Rockefeller Capital Management submitted a Form 144/A reporting proposed sales of common shares. The filing lists multiple stock award dispositions tied to compensation on 03/30/2023, 03/28/2024, 03/29/2024, and 03/25/2025, with per‑award share counts of 5,077, 3,351, 2,578, 1,264, and 2,730. The entries are labeled as Stock Award and linked to compensation arrangements.

Insights

Capital Markets Counsel

Form 144/A lists proposed resale of compensation stock awards on multiple dates.

The filing itemizes specific award dates and share counts, indicating planned dispositions by a holder associated with compensation rather than an issuer registration. This is a regulatory notice of proposed sales under Rule 144 mechanics.

Timing and execution details are not included; subsequent filings or broker records would show actual transactions if executed.

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/A

144/A: Filer Information

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

144/A: 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

144/A: 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	Rockefeller Capital Management 45 Rockefeller Plaza, Floor 5 New York NY 10111	15000	1014024.00	70617688	03/03/2026	NASDAQ

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/A: 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	03/30/2023	Stock Award	FTDR			5077	03/30/2023	Compensation
Common	03/28/2024	Stock Award	FTDR			3351	03/28/2024	Compensation
Common	03/29/2024	Stock Award	FTDR			2578	03/29/2024	Compensation
Common	03/29/2024	Stock Award	FTDR			1264	03/29/2024	Compensation
Common	03/25/2025	Stock Award	FTDR			2730	03/25/2025	Compensation

* 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/A: Securities Sold During The Past 3 Months

Nothing to Report

144/A: 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 FTDR Form 144/A disclose?

It discloses proposed sales of common shares tied to stock awards. The filing lists awards dated 03/30/2023, 03/28/2024, 03/29/2024, and 03/25/2025 with specific share counts shown.

How many shares are listed in Rockefeller Capital's Form 144/A?

The filing lists individual award lots of 5,077, 3,351, 2,578, 1,264, and 2,730. These are per‑award share counts tied to the listed award dates and not summed in the filing text.

Are the listed shares part of compensation for FTDR?

Yes. Each listed line is labeled Stock Award and shows 'Compensation' as the transaction type, indicating the shares arise from compensation awards rather than open‑market purchases.

Does the Form 144/A show completed sales?

No. It reports proposed or planned dispositions under Rule 144 mechanics. The excerpt does not include execution confirmations, proceeds, or broker settlement details; later filings would reflect completed transactions.

Who is the filer on the Form 144/A?

The filing identifies the holder as Rockefeller Capital Management with an address at 45 Rockefeller Plaza, Floor 5, New York, NY. The excerpt associates the holder with the listed stock awards.