ROCKEFELLER FINANCIAL SERVICES INC Last Quarter Change: USA ETF, Added

ROCKEFELLER FINANCIAL SERVICES INC quarter change: USA ETF, Added

In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2016-06-30 to 2016-09-30, ROCKEFELLER FINANCIAL SERVICES INC opened 5 positions, added to 8, reduced 4, sold out of 4 and left 32 unchanged. The largest increase in value was VMBS (+$15,205,000); the largest decrease was SPY (-$3,114,000).

VMBS: Country of operation —; Class Exchange Traded Fund; Shares 2016-06-30 803,120; Shares 2016-09-30 1,083,231.
VOO: Country of operation —; Class Exchange Traded Fund; Shares 2016-06-30 66,682; Shares 2016-09-30 94,024.
TIP: Country of operation —; Class Exchange Traded Fund; Shares 2016-06-30 92,717; Shares 2016-09-30 106,701.
FEZ: Country of operation —; Class Exchange Traded Fund; Shares 2016-06-30 26,612; Shares 2016-09-30 31,206.

Two Form 13F-HR filings compared (SEC CIK 869878): 2016-06-30 (filed 2016-07-20) and 2016-09-30 (filed 2016-10-28). 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; share change is the position change.

Stock	Class	Shares 2016-06-30	Shares 2016-09-30	Share change	Value 2016-06-30	Value 2016-09-30	Value change
VMBS Vanguard Mortgage Backed Securities ETF	Exchange Traded Fund	803,120	1,083,231	+280,111	$43,247,000	$58,452,000	+$15,205,000
VOO Vanguard S&P 500 ETF	Exchange Traded Fund	66,682	94,024	+27,342	$12,816,000	$18,682,000	+$5,866,000
TIP iShares TIPS Bond ETF	Exchange Traded Fund	92,717	106,701	+13,984	$10,818,000	$12,430,000	+$1,612,000
FEZ SPDR Euro Stoxx 50 Fund	Exchange Traded Fund	26,612	31,206	+4,594	$829,000	$1,022,000	+$193,000
iShares MSCI Japan ETF CUSIP 464286848	Exchange Traded Fund	38,726	47,094	+8,368	$445,000	$591,000	+$146,000
VEA Vanguard FTSE Developed Markets ETF	Exchange Traded Fund	2,975	4,305	+1,330	$105,000	$161,000	+$56,000
BSV Vanguard Short-Term Bond ETF	Exchange Traded Fund	13,507	13,510	+3	$1,096,000	$1,093,000	-$3,000
BOND PIMCO Total Return - ETF	Exchange Traded Fund	2,241	2,257	+16	$241,000	$244,000	+$3,000

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