ROCKEFELLER FINANCIAL SERVICES INC Last Quarter Change: Foreign Stocks, Reduced

ROCKEFELLER FINANCIAL SERVICES INC quarter change: Foreign Stocks, Reduced

In share positions in stocks (depositary receipts and foreign shares traded over the counter), from the quarter ended 2016-06-30 to 2016-09-30, ROCKEFELLER FINANCIAL SERVICES INC opened 0 positions, added to 3, reduced 4, sold out of 5 and left 12 unchanged. The largest increase in value was BP (+$55,207,000); the largest decrease was KEP (-$12,859,000).

KEP: Country of operation —; Class ADR; Shares 2016-06-30 1,211,629; Shares 2016-09-30 761,183.
NVS: Country of operation —; Class ADR; Shares 2016-06-30 1,146,071; Shares 2016-09-30 1,080,507.
SNY: Country of operation —; Class ADR; Shares 2016-06-30 130,387; Shares 2016-09-30 9,745.
KT: Country of operation —; Class ADR; Shares 2016-06-30 108,141; Shares 2016-09-30 105,701.

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
KEP Korea Electric Power Corp. SP ADR	ADR	1,211,629	761,183	-450,446	$31,417,000	$18,558,000	-$12,859,000
NVS Novartis AG - ADR	ADR	1,146,071	1,080,507	-65,564	$94,562,000	$85,316,000	-$9,246,000
SNY Sanofi-Aventis - ADR	ADR	130,387	9,745	-120,642	$5,457,000	$372,000	-$5,085,000
KT KT Corporation Sponsored ADR	ADR	108,141	105,701	-2,440	$1,542,000	$1,697,000	+$155,000

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