Rockefeller Capital (NYSE: XHR) files Form 144 for common shares

Rhea-AI Filing Summary

Rockefeller Capital Management submitted a Form 144 notice related to proposed sales of Common stock. The filing lists stock awards dated 05/27/2021 and 04/20/2023 described as Stock Award for compensation. The cover shows an exchange listing NYSE and a filing date of 05/06/2026.

Key Figures

Form type: Form 144 Filing date: 05/06/2026 Award date: 05/27/2021 +4 more

7 metrics

Form type Form 144 filing notice for proposed sale

Filing date 05/06/2026 cover information

Award date 05/27/2021 Stock Award listed as Compensation

Award date 04/20/2023 Stock Award listed as Compensation

Issuer contact address 270 West Canton Ave, Suite 100, Winter Park FL 32789 Rockefeller Capital Management address shown

Exchange NYSE listed on cover

Identifier 415749123.00 numeric entry in excerpt

Key Terms

Form 144, Stock Award, Compensation, Common

4 terms

Form 144 regulatory

"144: Securities To Be Sold"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Stock Award financial

"04/20/2023 | Stock Award | Company"

Compensation financial

"05/27/2021 | Stock Award | Company | Compensation"

Common market

"Securities Information Common | Rockefeller Capital Management"

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 270 West Canton Ave, Suite 100 Winter Park FL 32789	24916	415749123.00	92245835	05/06/2026	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	04/20/2023	Stock Award	Company			1	04/20/2023	Compensation
Common	05/27/2021	Stock Award	Company			24915	05/27/2021	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 XHR's Form 144 disclose about the securities?

The Form 144 notes proposed sales of Common stock tied to Stock Award entries dated 05/27/2021 and 04/20/2023. The entries are labeled as compensation-related awards.

When was the Form 144 filing dated for XHR?

The filing lists a date of 05/06/2026. That date appears on the cover information alongside the NYSE listing and issuer contact details.

Who is identified as the issuer on the Form 144 for XHR?

The document identifies Rockefeller Capital Management with an address at 270 West Canton Ave, Suite 100, Winter Park, FL 32789 as the issuer contact shown in the excerpt.

Are the sales described in Form 144 tied to compensation awards?

Yes. The excerpt shows entries labeled Stock Award with the purpose listed as Compensation, for awards dated 05/27/2021 and 04/20/2023.

Does the excerpt state the number of shares to be sold in the Form 144?

The provided excerpt does not present a clear, labelled share quantity for the proposed sale. The visible numeric entries are identifiers and dates rather than an explicit share count.