Rockefeller Capital (VECO) proposes insider resale under Rule 144 — award dates listed

Rhea-AI Filing Summary

Rockefeller Capital Management submitted a Rule 144 notice reporting a proposed sale of Common Stock.

The filing lists multiple stock awards issued as compensation on 05/01/2023, 03/17/2023, 03/12/2023, 05/01/2022, and 05/01/2021 with share counts shown in the excerpt. The filing is a routine notice of an affiliate sale under Rule 144.

Insights

Securities Compliance Attorney

Rule 144 notice for proposed resale of compensatory shares; procedural disclosure.

The excerpt lists Common Stock tied to multiple stock award grants with explicit grant dates and share counts, which are typical context for a Rule 144 notice. The filing identifies the issuer as Rockefeller Capital Management and Nasdaq as the exchange.

Timing and aggregate disposition mechanics are not specified in the provided excerpt; subsequent filings or sale notices will show actual transactions and proceeds. Cash‑flow treatment is not stated in the excerpt.

Corporate Actions Analyst

Administrative resale filing; no material operational impact in the excerpt.

The content enumerates compensation-related stock awards with discrete share counts and dates, which commonly support resale eligibility under Rule 144 once conditions are met. The excerpt includes an exchange listing (NASDAQ) and an apparent filing date 05/26/2026.

Investor impact depends on whether and when the affiliate completes sales; the excerpt does not show executed sales or proceeds details, so the filing itself is informational.

Key Figures

Filing date shown: 05/26/2026 Exchange: NASDAQ Award shares (05/01/2023): 14,538 shares +4 more

7 metrics

Filing date shown 05/26/2026 appears near issuer and exchange fields

Exchange NASDAQ listed exchange for the Common Stock

Award shares (05/01/2023) 14,538 shares Stock Award recorded as compensation on 05/01/2023

Award shares (03/17/2023) 1,904 shares Stock Award recorded as compensation on 03/17/2023

Award shares (03/12/2023) 2,104 shares Stock Award recorded as compensation on 03/12/2023

Award shares (05/01/2022) 14,536 shares Stock Award recorded as compensation on 05/01/2022

Award shares (05/01/2021) 2,641 shares Stock Award recorded as compensation on 05/01/2021

Key Terms

Rule 144, Stock Award, Compensation

3 terms

Rule 144 regulatory

"submitted a Rule 144 notice reporting a proposed sale"

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.

Stock Award financial

"Stock Award | Company | Compensation"

Compensation financial

"Stock Award ... Compensation"

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 Two Embarcadero Center, Suite 2320 San Francisco CA 94111	35723	2203723.75	61033485	05/26/2026	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	05/01/2023	Stock Award	Company			14538	05/01/2023	Compensation
Common	03/17/2023	Stock Award	Company			1904	03/17/2023	Compensation
Common	03/12/2023	Stock Award	Company			2104	03/12/2023	Compensation
Common	05/01/2022	Stock Award	Company			14536	05/01/2022	Compensation
Common	05/01/2021	Stock Award	Company			2641	05/01/2021	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 VECO Rule 144 filing mean?

It notifies the market an affiliate proposes to sell Common Stock under Rule 144. The excerpt lists compensatory stock awards and grant dates that support a planned resale; actual sales and proceeds are not shown in the excerpt.

Which issuer is named in the filing for VECO?

The filing names Rockefeller Capital Management as issuer with an address in San Francisco. The excerpt also identifies the securities as Common Stock listed on NASDAQ and shows a filing-related date of 05/26/2026.

What share counts are shown in the excerpt?

The excerpt shows several share counts tied to award dates, including 14,538, 1,904, 2,104, 14,536, and 2,641. These figures are presented with their respective grant dates as compensation awards.

Does this filing report completed sales or proceeds for VECO?

No. The excerpt is a Rule 144 notice of a proposed resale by an affiliate and lists award dates and counts. It does not report executed sales, dollar proceeds, or receiving parties in the provided text.