Rockefeller Financial LLC / ROIV (NASDAQ: ROIV) reports recent common stock sales in 144/A

Rhea-AI Filing Summary

Rockefeller Financial LLC submitted an amended Form 144 (144/A) reporting proposed or previously executed sales of common stock of ROIV. The filing lists grant‑related securities (a CVAR grant and RSU grant) with grant dates and sale activity dated 03/30/2026 and 03/31/2026.

Key Figures

Filing type: Form 144/A Recent sale 1: 53,826 shares Recent sale 1 proceeds: $1,421,544.66 +4 more

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Filing type Form 144/A amended sale notice

Recent sale 1 53,826 shares reported 03/30/2026 for $1,421,544.66

Recent sale 1 proceeds $1,421,544.66 reported 03/30/2026 for 53,826 shares

Recent sale 2 304,684 shares reported 03/30/2026 for $8,439,746.80

Recent sale 2 proceeds $8,439,746.80 reported 03/30/2026 for 304,684 shares

CVAR grant shares 43,493 CVAR Grant with grant date 03/26/2020

RSU grant shares 246,281 RSU Grant with grant date 07/26/2024

Key Terms

Form 144/A, RSU Grant, CVAR Grant, Securities Sold During The Past 3 Months

4 terms

Form 144/A regulatory

"144/A: Securities Sold During The Past 3 Months"

RSU Grant financial

"RSU Grant -Grant Date 07/26/2024"

CVAR Grant financial

"CVAR Grant -Grant Date 03/26/2020"

Securities Sold During The Past 3 Months regulatory

"144/A: Securities Sold During The Past 3 Months"

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 Financial LLC 45 Rockefeller PlazaFloor 5th New York NY 10111	289774	8449876.49	715701137	04/16/2026	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 *
Coomon	03/30/2026	CVAR Grant -Grant Date 03/26/2020	ROIV			43493	03/30/2026	n/a
Common	03/31/2026	RSU Grant -Grant Date 07/26/2024	ROIV			246281	03/31/2026	n/a

* 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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Matthew Gline 7th Floor - 50 Broadway London X0 SW1H0DB	ROIV	03/30/2026	53826	1421544.66
Matthew Gline 7th Floor - 50 Broadway London X0 SW1H0DB	ROIV	03/30/2026	304684	8439746.80

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 ROIV 144/A filing report?

The filing reports proposed or completed sales of ROIV common stock by an affiliate. It lists grant types (a CVAR grant and an RSU grant) and sale activity dated 03/30/2026 and 03/31/2026 with specific share and dollar amounts.

How many ROIV shares were sold in the past three months per the filing?

The filing lists two recent sale rows: 53,826 shares for $1,421,544.66 and 304,684 shares for $8,439,746.80, both reported with the date 03/30/2026. These appear under 'Securities Sold During The Past 3 Months.'

What grant details does the ROIV 144/A amendment include?

It shows a CVAR grant with a grant date of 03/26/2020 and an RSU grant with grant date 07/26/2024, listing related share counts of 43,493 and 246,281 respectively and settlement dates in March 2026.

Who is the reporting party named in the ROIV amendment?

The filing names Matthew Gline with an address line and lists transactions attributed to him and Rockefeller Financial LLC, showing ROIV sales dated 03/30/2026. The document pairs share counts and dollar values for those sales.