ROCKEFELLER FINANCIAL SERVICES INC Information

10 ROCKEFELLER PLAZA, NEW YORK, New York, 10020, (212) 549-5471

Report Date: 12/31/2013

Position Statistics

Total Positions 538
New Positions 31
Increased Positions 164
Decreased Positions 163
Positions with Activity 327
Sold Out Positions 28
Total Mkt Value (in $ millions) 4,688

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 4.05%
Capital Goods 0.86%
Conglomerates 0.11%
Consumer Cyclical 3.86%
Consumer/Non-Cyclical 1.35%
Energy 15.65%
Financial 20.73%
Healthcare 16.34%
Services 15.23%
Technology 17.97%
Transportation 2.14%
Utilities 0.78%

28 Sold Out Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ALPS ETF TR ALERIAN MLP -329 Sold Out 0
BANCO DE CHILE SPONSORED ADR -96 Sold Out 0
BRITISH AMERN TOB PLC SPONSORED ADR -69 Sold Out 0
COMPANIA CERVECERIAS UNIDAS SA SPONSORED ADR -140 Sold Out 0
CONSOLIDATED EDISON INC COM -951 Sold Out 0
CPFL ENERGIA S A SPONSORED ADR -108 Sold Out 0
DRIL-QUIP INC COM -1,460 Sold Out 0
EBAY INC COM -38 Sold Out 0
ECOPETROL S A SPONSORED ADS -2,988 Sold Out 0
ENDO INTL PLC SHS -335 Sold Out 0
HUMANA INC COM -52 Sold Out 0
ISHARES MSCI CH CAP ETF -362 Sold Out 0
ISHARES RUS 1000 GRW ETF -257 Sold Out 0
ISHARES TR EAFE MIN VOL ETF -126 Sold Out 0
ISHARES TR USA MIN VOL ETF -108 Sold Out 0
KAYNE ANDERSON MLP INVT CO COM -24 Sold Out 0
KELLOGG CO COM -139 Sold Out 0
MERCADOLIBRE INC COM -1,520 Sold Out 0
NEWS CORP NEW CL B -4 Sold Out 0
PETROLEO BRASILEIRO SA PETROBR SP ADR NON VTG Sold Out 0