Rockefeller Capital (ON) files Form 144 listing planned stock-award sales

Rhea-AI Filing Summary

Rockefeller Capital Management filed a Form 144 reporting intended sales of Common stock. The filing lists multiple stock awards described as compensation with dated award lines: 455 (05/26/2024), 1,597 (03/07/2024), 1,612 (03/07/2024) and 2,450 (04/22/2024) shares. The form identifies NASDAQ and includes a filing date of 03/13/2026.

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 1850 MT. Diablo BLVD, Suite 300 Walnut Creek CA 94596	6114	358708.38	394020530	03/13/2026	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: 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	05/26/2024	Stock Award	Isuer			455	05/26/2024	Compensation
Common	03/07/2024	Stock Award	Issuer			1597	03/07/2024	Compensation
Common	03/07/2024	Stock Award	Issuer			1612	03/07/2024	Compensation
Common	04/22/2024	Stock Award	Issuer			2450	04/22/2024	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 Form 144 filed by ON mean?

It notifies the SEC of an intended sale of restricted or control securities. The filing lists planned sales of Common stock arising from compensation stock awards with specific award dates and share counts; timing and proceeds are not provided in the excerpt.

How many shares are listed for potential sale in the ON Form 144?

The filing lists individual award lines of 455, 1,597, 1,612, and 2,450 shares. These figures appear as separate stock award entries tied to specific award dates in the excerpt.

Which award dates are associated with the shares on the Form 144?

Award dates shown include 05/26/2024, 03/07/2024, and 04/22/2024. Each date is paired with a stock award line and a share count in the provided content.

Who is listed as the issuer on the Form 144 for ON?

The excerpt names Rockefeller Capital Management with an address in Walnut Creek, CA, as the issuer. The filing also references NASDAQ and a filing date of 03/13/2026.

Does the Form 144 excerpt state how the sales will be executed?

The excerpt lists the securities and award details but does not specify methods of sale or plan mechanics. Execution method and timing are not included in the provided lines.