ROCKEFELLER FINANCIAL SERVICES INC historic quarter change: Foreign Stocks, Added
In share positions in stocks (depositary receipts and foreign shares traded over the counter), over 13 quarters from 2013-06-30 to 2016-09-30, ROCKEFELLER FINANCIAL SERVICES INC opened 51 positions, added to 86, reduced 92 and sold out of 63.
- Q3 2016: Stock BP; Country of operation —; Class ADR; Shares before 320,984.
- Q3 2016: Stock ULXXXX; Country of operation —; Class ADR; Shares before 244,864.
- Q3 2016: Stock ABBNY; Country of operation Switzerland; Class ADR; Shares before 12,062.
- Q2 2016: Stock BP; Country of operation —; Class ADR; Shares before 310,790.
Each consecutive pair of Form 13F-HR filings compared (SEC CIK 869878), 13 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-10-28); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-07-20); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-04-28); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-02-03); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-10-23); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-07-14); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-05-05); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-01-28); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-05); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-07-25); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-05); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-02-03); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-10-25). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 1999-03-31.
| Quarter | Stock | Country of operation | Class | Shares before | Shares after | Share change | Value before | Value after | Value change | Filed |
|---|
| Q3 2016 | BP
BP PLC - Spons ADR | | ADR | 320,984 | 1,894,354 | +1,573,370 | $11,398,000 | $66,605,000 | +$55,207,000 | 2016-10-28 |
|---|
| Q3 2016 | ULXXXX
Unilever Plc - Sponsored ADR | | ADR | 244,864 | 256,127 | +11,263 | $11,731,000 | $12,140,000 | +$409,000 | 2016-10-28 |
|---|
| Q3 2016 | ABBNY
ABB Ltd. - Spon ADR | Switzerland | ADR | 12,062 | 12,641 | +579 | $239,000 | $285,000 | +$46,000 | 2016-10-28 |
|---|
| Q2 2016 | BP
BP PLC - Spons ADR | | ADR | 310,790 | 320,984 | +10,194 | $9,380,000 | $11,398,000 | +$2,018,000 | 2016-07-20 |
|---|
| Q2 2016 | ULXXXX
Unilever Plc - Sponsored ADR | | ADR | 243,702 | 244,864 | +1,162 | $11,011,000 | $11,731,000 | +$720,000 | 2016-07-20 |
|---|
| Q2 2016 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 1,202,259 | 1,211,629 | +9,370 | $30,958,000 | $31,417,000 | +$459,000 | 2016-07-20 |
|---|
| Q2 2016 | KT
KT Corporation Sponsored ADR | | ADR | 99,226 | 108,141 | +8,915 | $1,332,000 | $1,542,000 | +$210,000 | 2016-07-20 |
|---|
| Q2 2016 | HDB
HDFC Bank Ltd. - ADR | | ADR | 9,277 | 9,609 | +332 | $572,000 | $638,000 | +$66,000 | 2016-07-20 |
|---|
| Q2 2016 | ITUB
Itau Unibanco Holdings SA - Pref ADR | | ADR | 55,163 | 57,132 | +1,969 | $474,000 | $539,000 | +$65,000 | 2016-07-20 |
|---|
| Q2 2016 | CUK
Carnival PLC - ADR | | ADR | 3,609 | 3,836 | +227 | $196,000 | $172,000 | -$24,000 | 2016-07-20 |
|---|
| Q2 2016 | IBN
Icici Bank Limited - Spon ADR | | ADR | 70,628 | 72,580 | +1,952 | $506,000 | $521,000 | +$15,000 | 2016-07-20 |
|---|
| Q1 2016 | ULXXXX
Unilever Plc - Sponsored ADR | | ADR | 232,740 | 243,702 | +10,962 | $10,037,000 | $11,011,000 | +$974,000 | 2016-04-28 |
|---|
| Q1 2016 | NTTYY
Nippon Telegraph & Telephone Corporation | Japan | ADR | 69,120 | 70,554 | +1,434 | $2,747,000 | $3,051,000 | +$304,000 | 2016-04-28 |
|---|
| Q1 2016 | BP
BP PLC - Spons ADR | | ADR | 308,555 | 310,790 | +2,235 | $9,645,000 | $9,380,000 | -$265,000 | 2016-04-28 |
|---|
| Q1 2016 | ABBNY
ABB Ltd. - Spon ADR | Switzerland | ADR | 129 | 12,191 | +12,062 | $2,000 | $237,000 | +$235,000 | 2016-04-28 |
|---|
| Q1 2016 | FMX
Fomento Economico Mexicano, S.A.-Sp ADR | | ADR | 7,644 | 7,698 | +54 | $706,000 | $741,000 | +$35,000 | 2016-04-28 |
|---|
| Q1 2016 | TEVA
Teva Pharmaceutical Industries Ltd. ADR | | ADR | 1,847 | 2,910 | +1,063 | $121,000 | $156,000 | +$35,000 | 2016-04-28 |
|---|
| Q1 2016 | TSM
Taiwan Semiconductor Manufacturing | | ADR | 5,698 | 6,122 | +424 | $130,000 | $160,000 | +$30,000 | 2016-04-28 |
|---|
| Q1 2016 | IBN
Icici Bank Limited - Spon ADR | | ADR | 67,254 | 70,628 | +3,374 | $527,000 | $506,000 | -$21,000 | 2016-04-28 |
|---|
| Q1 2016 | NVO
Novo Nordisk A/S-Spons ADR | | ADR | 27,335 | 29,005 | +1,670 | $1,588,000 | $1,572,000 | -$16,000 | 2016-04-28 |
|---|
| Q1 2016 | WPP
WPP Group PLC - Sponsored ADR | | ADR | 216 | 328 | +112 | $25,000 | $38,000 | +$13,000 | 2016-04-28 |
|---|
| Q1 2016 | HMC
Honda Motor Co., Ltd | | ADR | 106 | 451 | +345 | $3,000 | $12,000 | +$9,000 | 2016-04-28 |
|---|
| Q1 2016 | CUK
Carnival PLC - ADR | | ADR | 3,335 | 3,609 | +274 | $190,000 | $196,000 | +$6,000 | 2016-04-28 |
|---|
| Q4 2015 | BP
BP PLC - Spons ADR | | ADR | 306,372 | 308,555 | +2,183 | $9,363,000 | $9,645,000 | +$282,000 | 2016-02-03 |
|---|
| Q3 2015 | SNY
Sanofi-Aventis - ADR | | ADR | 201,373 | 396,776 | +195,403 | $9,974,000 | $18,835,000 | +$8,861,000 | 2015-10-23 |
|---|
| Q3 2015 | NVS
Novartis AG - ADR | | ADR | 1,144,660 | 1,166,109 | +21,449 | $112,565,000 | $107,189,000 | -$5,376,000 | 2015-10-23 |
|---|
| Q3 2015 | BP
BP PLC - Spons ADR | | ADR | 299,001 | 306,372 | +7,371 | $11,948,000 | $9,363,000 | -$2,585,000 | 2015-10-23 |
|---|
| Q3 2015 | NTTYY
Nippon Telegraph & Telephone Corporation | Japan | ADR | 63,088 | 76,282 | +13,194 | $2,289,000 | $2,694,000 | +$405,000 | 2015-10-23 |
|---|
| Q3 2015 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 1,260,680 | 1,261,165 | +485 | $25,668,000 | $25,841,000 | +$173,000 | 2015-10-23 |
|---|
| Q3 2015 | IBN
Icici Bank Limited - Spon ADR | | ADR | 65,994 | 67,254 | +1,260 | $688,000 | $564,000 | -$124,000 | 2015-10-23 |
|---|
| Q3 2015 | SNN
Smith & Nephew plc ADR | | ADR | 12,502 | 12,818 | +316 | $424,000 | $449,000 | +$25,000 | 2015-10-23 |
|---|
| Q3 2015 | TEVA
Teva Pharmaceutical Industries Ltd. ADR | | ADR | 1,350 | 1,847 | +497 | $80,000 | $104,000 | +$24,000 | 2015-10-23 |
|---|
| Q3 2015 | NVO
Novo Nordisk A/S-Spons ADR | | ADR | 27,335 | 27,522 | +187 | $1,497,000 | $1,493,000 | -$4,000 | 2015-10-23 |
|---|
| Q2 2015 | ULXXXX
Unilever Plc - Sponsored ADR | | ADR | 164,608 | 249,878 | +85,270 | $6,866,000 | $10,734,000 | +$3,868,000 | 2015-07-14 |
|---|
| Q2 2015 | NVS
Novartis AG - ADR | | ADR | 1,121,194 | 1,144,660 | +23,466 | $110,561,000 | $112,565,000 | +$2,004,000 | 2015-07-14 |
|---|
| Q2 2015 | SNY
Sanofi-Aventis - ADR | | ADR | 190,411 | 201,373 | +10,962 | $9,413,000 | $9,974,000 | +$561,000 | 2015-07-14 |
|---|
| Q2 2015 | BBVA
Banco Bilbao Vizcaya Argentaria S.A. Adr | | ADR | 41,351 | 89,806 | +48,455 | $415,000 | $886,000 | +$471,000 | 2015-07-14 |
|---|
| Q2 2015 | NTTYY
Nippon Telegraph & Telephone Corporation | Japan | ADR | 62,834 | 63,088 | +254 | $1,937,000 | $2,289,000 | +$352,000 | 2015-07-14 |
|---|
| Q2 2015 | IBN
Icici Bank Limited - Spon ADR | | ADR | 53,398 | 65,994 | +12,596 | $553,000 | $688,000 | +$135,000 | 2015-07-14 |
|---|
| Q2 2015 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 1,246,819 | 1,260,680 | +13,861 | $25,560,000 | $25,668,000 | +$108,000 | 2015-07-14 |
|---|
| Q2 2015 | SNN
Smith & Nephew plc ADR | | ADR | 11,412 | 12,502 | +1,090 | $390,000 | $424,000 | +$34,000 | 2015-07-14 |
|---|
| Q1 2015 | SNY
Sanofi-Aventis - ADR | | ADR | 91,846 | 190,411 | +98,565 | $4,188,000 | $9,413,000 | +$5,225,000 | 2015-05-05 |
|---|
| Q1 2015 | ULXXXX
Unilever Plc - Sponsored ADR | | ADR | 96,116 | 164,608 | +68,492 | $3,891,000 | $6,866,000 | +$2,975,000 | 2015-05-05 |
|---|
| Q1 2015 | TEVA
Teva Pharmaceutical Industries Ltd. ADR | | ADR | 2,140 | 4,850 | +2,710 | $123,000 | $302,000 | +$179,000 | 2015-05-05 |
|---|
| Q1 2015 | SGMOQ
Sangamo Biosciences, Inc. | United States | Common | 5,697 | 8,444 | +2,747 | $87,000 | $132,000 | +$45,000 | 2015-05-05 |
|---|
| Q1 2015 | SNN
Smith & Nephew plc ADR | | ADR | 9,694 | 11,412 | +1,718 | $356,000 | $390,000 | +$34,000 | 2015-05-05 |
|---|
| Q1 2015 | IBN
Icici Bank Limited - Spon ADR | | ADR | 50,300 | 53,398 | +3,098 | $581,000 | $553,000 | -$28,000 | 2015-05-05 |
|---|
| Q1 2015 | TSM
Taiwan Semiconductor Manufacturing | | ADR | 4,810 | 5,698 | +888 | $108,000 | $134,000 | +$26,000 | 2015-05-05 |
|---|
| Q1 2015 | VALE
Vale SA (ADR) | | ADR | 44 | 102 | +58 | $0 | $1,000 | +$1,000 | 2015-05-05 |
|---|
| Q4 2014 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 1,238,385 | 1,253,697 | +15,312 | $27,789,000 | $24,272,000 | -$3,517,000 | 2015-01-28 |
|---|
| Q4 2014 | TEVA
Teva Pharmaceutical Industries Ltd. ADR | | ADR | 1,350 | 2,140 | +790 | $73,000 | $123,000 | +$50,000 | 2015-01-28 |
|---|
| Q4 2014 | SNN
Smith & Nephew plc ADR | | ADR | 4,068 | 9,694 | +5,626 | $342,000 | $356,000 | +$14,000 | 2015-01-28 |
|---|
| Q3 2014 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 931,373 | 1,238,385 | +307,012 | $17,137,000 | $27,789,000 | +$10,652,000 | 2014-11-05 |
|---|
| Q3 2014 | NVS
Novartis AG - ADR | | ADR | 1,096,845 | 1,154,527 | +57,682 | $99,297,000 | $108,675,000 | +$9,378,000 | 2014-11-05 |
|---|
| Q3 2014 | ULXXXX
Unilever Plc - Sponsored ADR | | ADR | 81,884 | 96,316 | +14,432 | $3,710,000 | $4,035,000 | +$325,000 | 2014-11-05 |
|---|
| Q2 2014 | NVS
Novartis AG - ADR | | ADR | 1,075,693 | 1,096,845 | +21,152 | $91,455,000 | $99,297,000 | +$7,842,000 | 2014-07-25 |
|---|
| Q2 2014 | BP
BP PLC - Spons ADR | | ADR | 540,081 | 546,092 | +6,011 | $25,977,000 | $28,806,000 | +$2,829,000 | 2014-07-25 |
|---|
| Q2 2014 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 919,808 | 931,373 | +11,565 | $15,793,000 | $17,137,000 | +$1,344,000 | 2014-07-25 |
|---|
| Q2 2014 | ULXXXX
Unilever Plc - Sponsored ADR | | ADR | 80,918 | 81,884 | +966 | $3,462,000 | $3,710,000 | +$248,000 | 2014-07-25 |
|---|
| Q2 2014 | VOD
Vodafone Group PLC - SP ADR | | ADR | 44,169 | 50,267 | +6,098 | $1,626,000 | $1,679,000 | +$53,000 | 2014-07-25 |
|---|
| Q2 2014 | TEVA
Teva Pharmaceutical Industries Ltd. ADR | | ADR | 1,350 | 1,820 | +470 | $71,000 | $95,000 | +$24,000 | 2014-07-25 |
|---|
| Q2 2014 | ABBNY
ABB Ltd. - Spon ADR | Switzerland | ADR | 129 | 1,127 | +998 | $3,000 | $26,000 | +$23,000 | 2014-07-25 |
|---|
| Q2 2014 | MUFG
Mitsubishi UFJ Financial Group, Inc. | | ADR | 500 | 4,094 | +3,594 | $3,000 | $25,000 | +$22,000 | 2014-07-25 |
|---|
| Q1 2014 | NVS
Novartis AG - ADR | | ADR | 1,039,341 | 1,075,693 | +36,352 | $83,542,000 | $91,455,000 | +$7,913,000 | 2014-05-05 |
|---|
| Q1 2014 | NVO
Novo Nordisk A/S-Spons ADR | | ADR | 96,152 | 480,635 | +384,483 | $17,765,000 | $21,941,000 | +$4,176,000 | 2014-05-05 |
|---|
| Q1 2014 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 867,455 | 919,808 | +52,353 | $14,408,000 | $15,793,000 | +$1,385,000 | 2014-05-05 |
|---|
| Q1 2014 | BP
BP PLC - Spons ADR | | ADR | 521,592 | 540,081 | +18,489 | $25,355,000 | $25,977,000 | +$622,000 | 2014-05-05 |
|---|
| Q1 2014 | RIO
Rio Tinto plc - Spon ADR | | ADR | 895,801 | 915,597 | +19,796 | $50,551,000 | $51,118,000 | +$567,000 | 2014-05-05 |
|---|
| Q1 2014 | DEO
Diageo Plc - sponsored ADR | | ADR | 30 | 1,070 | +1,040 | $4,000 | $133,000 | +$129,000 | 2014-05-05 |
|---|
| Q1 2014 | SGMOQ
Sangamo Biosciences, Inc. | United States | Common | 13,666 | 14,168 | +502 | $190,000 | $256,000 | +$66,000 | 2014-05-05 |
|---|
| Q1 2014 | SBS
Companhia de Saneamento Basico do Estado | | ADR | 24,360 | 31,264 | +6,904 | $276,000 | $290,000 | +$14,000 | 2014-05-05 |
|---|
| Q4 2013 | NVS
Novartis AG - ADR | | ADR | 981,661 | 1,039,341 | +57,680 | $75,303,000 | $83,542,000 | +$8,239,000 | 2014-02-03 |
|---|
| Q4 2013 | BP
BP PLC - Spons ADR | | ADR | 447,755 | 521,592 | +73,837 | $18,819,000 | $25,355,000 | +$6,536,000 | 2014-02-03 |
|---|
| Q4 2013 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 718,346 | 867,455 | +149,109 | $10,086,000 | $14,408,000 | +$4,322,000 | 2014-02-03 |
|---|
| Q4 2013 | UGP
Ultrapar Participacoes SA - Spons ADR | | ADR | 5,850 | 86,627 | +80,777 | $144,000 | $2,048,000 | +$1,904,000 | 2014-02-03 |
|---|
| Q4 2013 | NVO
Novo Nordisk A/S-Spons ADR | | ADR | 95,652 | 96,152 | +500 | $16,186,000 | $17,765,000 | +$1,579,000 | 2014-02-03 |
|---|
| Q4 2013 | SNY
Sanofi-Aventis - ADR | | ADR | 128,027 | 135,083 | +7,056 | $6,483,000 | $7,245,000 | +$762,000 | 2014-02-03 |
|---|
| Q4 2013 | VALE
Vale SA (ADR) | | ADR | 3,344 | 19,044 | +15,700 | $52,000 | $290,000 | +$238,000 | 2014-02-03 |
|---|
| Q4 2013 | RDY
Dr. Reddy's Laboratories Limited - ADR | | ADR | 3,384 | 4,458 | +1,074 | $128,000 | $183,000 | +$55,000 | 2014-02-03 |
|---|
| Q4 2013 | SGMOQ
Sangamo Biosciences, Inc. | United States | Common | 13,544 | 13,666 | +122 | $142,000 | $190,000 | +$48,000 | 2014-02-03 |
|---|
| Q3 2013 | NVS
Novartis AG - ADR | | ADR | 958,535 | 981,661 | +23,126 | $67,779,000 | $75,303,000 | +$7,524,000 | 2013-10-25 |
|---|
| Q3 2013 | KEP
Korea Electric Power Corp. SP ADR | | ADR | 671,400 | 718,346 | +46,946 | $7,594,000 | $10,086,000 | +$2,492,000 | 2013-10-25 |
|---|
| Q3 2013 | BP
BP PLC - Spons ADR | | ADR | 422,279 | 447,755 | +25,476 | $17,626,000 | $18,819,000 | +$1,193,000 | 2013-10-25 |
|---|
| Q3 2013 | SNY
Sanofi-Aventis - ADR | | ADR | 104,190 | 128,027 | +23,837 | $5,367,000 | $6,483,000 | +$1,116,000 | 2013-10-25 |
|---|
| Q3 2013 | ING
ING Groep N.V. - Sponsored ADR | | ADR | 67,260 | 101,400 | +34,140 | $611,000 | $1,151,000 | +$540,000 | 2013-10-25 |
|---|
| Q3 2013 | VALE
Vale SA (ADR) | | ADR | 3,300 | 3,344 | +44 | $43,000 | $52,000 | +$9,000 | 2013-10-25 |
|---|
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