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Disclosery

ROCKEFELLER FINANCIAL SERVICES INC

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13F filer, CIK 869878, NEW YORK, NY

ROCKEFELLER FINANCIAL SERVICES INC reported holdings worth $4,921,520,000 (the sum of its rows) across 513 holdings for the quarter ended 2016-12-31, in a 13F-HR filed 2017-01-19. The total stated on the cover page is $4,921,000. Its ten largest share positions make up 28.06% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0000315123-17-000009

The cover page states a total of $4,921,000, about 1/1,000 of the sum of the rows, $4,921,520,000. The filer likely wrote its cover total in thousands and its rows in dollars. This page uses the sum of the rows.

Period
2016-12-31
Value, sum of rows
$4.92B
Stated on the cover page
$4.92M
Holdings
513
Top 10 weight
28.06%
New
69
Sold out
21

Largest buys vs the previous quarter

SecurityShares changeApprox. value
METAadded+1,107,198$127M
SYFnew+1,741,141$63.2M
CXnew+5,901,732$47.4M
ABTadded+606,379$23.3M
REGNadded+60,470$22.2M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
ANNALY CAPITAL MANAGEMENTreduced-7,192,446-$71.8M
SBA COMMUNICATIONS CORPreduced-616,688-$63.6M
Mallinckrodt Plcreduced-1,023,488-$51M
AFLreduced-694,214-$48.3M
MSFTreduced-660,612-$41.1M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q4 2016

Share positions as resolved from 13F-HR 0000315123-17-000009, largest first. % of portfolio is the value over $4,921,520,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
BLACKROCK INCBLACKROCK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 6 shares; 2016Q2: 6 shares; 2016Q3: 6 shares; 2016Q4: 6 shares 6$2K<0.01%0
DDD3D SYS CORP DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 167 shares; 2016Q2: 167 shares; 2016Q3: 167 shares; 2016Q4: 167 shares 167$2K<0.01%0Timeline
CYHCOMMUNITY HEALTH SYS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 31 shares; 2016Q2: 31 shares; 2016Q3: 31 shares; 2016Q4: 427 shares 427$2K<0.01%+396Timeline
LYBLYONDELLBASELL INDUSTRIES NVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 16 shares; 2016Q2: 16 shares; 2016Q3: 16 shares; 2016Q4: 16 shares 16$1K<0.01%0Timeline
WEATHERFORD INTL INC ORD SHSWEATHERFORD INTL INC ORD SHSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 216 shares 216$1K<0.01%new
QUORUM HEALTH CORPQUORUM HEALTH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: not reported; 2016Q2: 7 shares; 2016Q3: 7 shares; 2016Q4: 79 shares 79$1K<0.01%+72
FCXFREEPORT MCMORAN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 810 shares; 2016Q2: 810 shares; 2016Q3: not reported; 2016Q4: 36 shares 36$00%newValue filed as zero, left out of ratios.Timeline
CCCHEMOURS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 14 shares; 2016Q2: 14 shares; 2016Q3: 14 shares; 2016Q4: 14 shares 14$00%0Value filed as zero, left out of ratios.Timeline
AMSCAMERICAN SUPERCONDUCTOR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 35 shares; 2016Q2: 35 shares; 2016Q3: 35 shares; 2016Q4: 35 shares 35$00%0Value filed as zero, left out of ratios.Timeline
PETROCHINA CO LTD ADRPETROCHINA CO LTD ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 3 shares; 2016Q2: 3 shares; 2016Q3: 3 shares; 2016Q4: 3 shares 3$00%0Value filed as zero, left out of ratios.
CALIFORNIA RES CORPCALIFORNIA RES CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: not reported; 2016Q2: 157 shares; 2016Q3: 2 shares; 2016Q4: 2 shares 2$00%0Value filed as zero, left out of ratios.
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 18 shares; 2016Q2: 18 shares; 2016Q3: 18 shares; 2016Q4: 18 shares 18$00%0Value filed as zero, left out of ratios.
COMMUNITY HEALTH SYS INC NEWCOMMUNITY HEALTH SYS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: 450 shares; 2016Q2: 450 shares; 2016Q3: 450 shares; 2016Q4: 450 shares 450$00%0Value filed as zero, left out of ratios.

Sold out in Q4 2016

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
EPIQ SYSTEMS INCEPIQ SYSTEMS INC564,950$9.32Mshares
FRED S INC CLASS AFRED S INC CLASS A489,463$4.43Mshares
NCLHNORWEGIAN CRUISE LINE HLDGS33,520$1.26Mshares
ISHARESISHARES71,890$1.14Mshares
ISHARESISHARES47,094$591Kshares
EUFNISHARES TR22,661$389Kshares
AIGAMERICAN INTL GROUP INC4,512$268Kshares
TERRAVIA HOLDINTERRAVIA HOLDIN70,274$193Kshares
RIGEL PHARMACEUTICALS INCRIGEL PHARMACEUTICALS INC34,954$128Kshares
MDRXVERADIGM INC. COMMON STOCK(DE)9,346$123Kshares
CNCCENTENE CORP DEL1,787$120Kshares
ACWIISHARES TR1,968$116Kshares
AMSURG CORPAMSURG CORP1,582$106Kshares
OPHTHOTECH CORPOPHTHOTECH CORP1,816$84Kshares
AVEXIS INCAVEXIS INC1,778$73Kshares
APTEVO THERAPEUTICS INCAPTEVO THERAPEUTICS INC24,869$64Kshares
AMERICAN INTL GROUP INCAMERICAN INTL GROUP INC2,408$51Kshares
Plains Group Hldgs LPPlains Group Hldgs LP3,100$40Kshares
AMN Healthcare Services, In…AMN Healthcare Services, Inc.668$21Kshares
CHRSCOHERUS ONCOLOGY INC94$3Kshares
TALEN ENERGY CORPTALEN ENERGY CORP64$1Kshares

How Q4 2016 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0000315123-17-000009 base2017-01-19acceptance time not in the bulk data set