Rockefeller US Small Cap Core Fund Class A (RKSAX)

Overview

The described company operates as an investment fund primarily focused on investing in equity securities of U.S. small capitalization companies. By dedicating at least 80% of its net assets, in addition to borrowing for investment purposes, the fund aims to participate in the growth potential of these entities. The investment philosophy allows for a diversified portfolio by including a mix of common stocks, preferred stocks, rights, depositary receipts (including American Depositary Receipts or ADRs, and Global Depositary Receipts or GDRs), and Real Estate Investment Trusts (REITs). This approach is designed to offer investors exposure to the small-cap segment of the U.S. equity market, which is often characterized by significant growth opportunities. Furthermore, the fund retains the flexibility to allocate up to 20% of its net assets in equity securities of foreign companies, broadening the potential investment universe to global markets through instruments like ADRs and GDRs. This strategic allocation aims to enhance portfolio diversification and potentially capture growth in international markets.

Products and Services

The fund's investment portfolio encompasses a range of equity securities aimed at capitalizing on the growth potential of U.S. small capitalization companies while also maintaining a measured exposure to international markets. Here is a breakdown of the primary products and services it offers:

• Equity Securities of U.S. Small Capitalization Companies: The core of the fund's portfolio, focusing on common stocks, preferred stocks, rights, and REITs of small-cap U.S. companies. This serves as the foundation for the fund's investment strategy, seeking growth through investments in smaller companies with potential for significant appreciation.
• Common Stocks: Shares of ownership in publicly traded companies, offering investors a proportionate stake in the company's profits (or losses). These are a key component of the fund’s investment approach, providing the potential for capital appreciation.
• Preferred Stocks: A type of stock offering dividends at a fixed rate before any dividends are paid to common stockholders. Preferred stocks provide a more stable income stream, contributing to the fund's income-generation goals.
• Rights: Financial instruments that give shareholders the right, but not the obligation, to buy more shares of the company at a specified price, usually at a discount. This can offer the fund opportunities to increase its stake in promising companies on favorable terms.
• Depositary Receipts (ADRs and GDRs): Securities that represent shares in foreign companies, allowing the fund to invest in overseas markets without dealing with the complexities of foreign stock exchanges. ADRs (American Depositary Receipts) and GDRs (Global Depositary Receipts) enhance portfolio diversification by providing exposure to international companies.
• Real Estate Investment Trusts (REITs): Companies that own, operate, or finance income-generating real estate. Investing in REITs allows the fund to participate in the real estate market, diversifying its investment portfolio and potentially providing a steady income stream through dividends.
• Equity Securities of Foreign Companies: Up to 20% of the fund’s assets can be allocated to equity securities of non-U.S. companies, including ADRs and GDRs. This offers investors access to international markets, which may include emerging markets with higher growth potential compared to mature economies. This strategy is aimed at enhancing returns and mitigating risk through geographical diversification.