Rockefeller Capital Management (FTDR) affiliate files Form 144 to sell award shares

Rhea-AI Filing Summary

Rockefeller Capital Management submitted a Form 144 notice to sell common stock. The filing lists multiple stock awards as the securities to be sold, including awards of 5,077 shares dated 03/30/2023 and 3,351 shares dated 03/28/2024

Insights

Securities Compliance Attorney

Form 144 records an affiliate's proposed sale of common stock via vested awards.

The filing lists specific stock awards as the securities to be sold, with award dates and share counts such as 5,077 (03/30/2023) and 3,351 (03/28/2024). It names Rockefeller Capital Management and an address in New York.

Sale mechanics, timing, and whether proceeds go to the issuer or selling holder are not detailed in the excerpt; subsequent transaction reports or broker confirmations would show execution details.

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

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	Rockefeller Capital Management 45 Rockefeller Plaza, Floor 5 New York NY 10111	15000	1014024.00	70617688	03/03/2026	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	03/30/2023	Stock Award	PTDR			5077	03/30/2023	Compensation
Common	03/28/2024	Stock Award	PTDR			3351	03/28/2024	Compensation
Common	03/29/2024	Stock Award	PTDR			2578	03/29/2024	Compensation
Common	03/29/2024	Stock Award	PTDR			1264	03/29/2024	Compensation
Common	03/25/2025	Stock Award	PTDR			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: 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 FTDR Form 144 filed by Rockefeller Capital Management show?

The Form 144 lists a proposed sale of common stock by an affiliate. It identifies stock awards dated 03/30/2023 (5,077 shares) and 03/28/2024 (3,351 shares), and provides an address at 45 Rockefeller Plaza, New York.

Which specific stock awards are included in the filing for FTDR?

The filing enumerates multiple stock awards with dates and share counts, including 5,077 shares on 03/30/2023, 3,351 shares on 03/28/2024, and other awards dated 03/29/2024 and 03/25/2025 with listed amounts.

Does the Form 144 show who will receive the sale proceeds for FTDR?

The excerpt lists the securities and the filer’s identifying information but does not specify the recipient of sale proceeds. The filing names Rockefeller Capital Management and includes award dates and share counts without stating proceeds treatment.

Are transaction dates provided in the FTDR Form 144 excerpt?

Yes. The excerpt includes award dates attached to the securities to be sold such as 03/30/2023, 03/28/2024, 03/29/2024, and 03/25/2025, each paired with a reported share count.

Does the filing list total shares proposed for sale in FTDR?

The excerpt details multiple share amounts by award date but does not present an explicit single aggregate total for the proposed sale. It lists individual award counts such as 5,077 and 3,351 rather than a summed total.

What contact or issuer information appears on the Form 144 for FTDR?

The filing identifies Rockefeller Capital Management with an address at 45 Rockefeller Plaza, Floor 5, New York, NY 10111, and indicates the securities class as common stock and an exchange listing entry labeled NYSE in the excerpt.