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Institutional Investment Manager
FIRST TRUST ADVISORS LP
FIRST TRUST ADVISORS LP (CIK: 0001125816) incorporated in Illinois, located at 120 East Liberty Drive, Wheaton, IL. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 2,301 holdings with a total value of $33,496,588,000.
#
Name
Shares
Value ($)
%
Options
Notes
2251 Heritage Commerce Corp 14,833 162,000 0.00%
2252 VERA BRADLEY INC COM 10,629 161,000 0.00%
2253 CECO ENVIRONMENTAL CORP 14,280 161,000 0.00%
2254 BLACKROCK DEFINED OPPRTY CR 11,819 159,000 0.00%
2255 MAXWELL TECHNOLOGIES INC 30,797 159,000 0.00%
2256 MYERS INDS INC COM 11,863 154,000 0.00%
2257 LIONBRIDGE TECHNOLOGIES 30,462 152,000 0.00%
2258 PREFERRED APT CMNTYS INC COM 11,236 152,000 0.00%
2259 NEWCASTLE INVT CORP NEW 33,372 151,000 0.00%
2260 NUVEEN FLTNG RTE INCM OPP FD 13,386 148,000 0.00%
2261 EL POLLO LOCO HLDGS INC 11,695 147,000 0.00%
2262 FARMERS NATIONAL BANC CORP 13,379 144,000 0.00%
2263 UMH PPTYS INC 11,691 139,000 0.00%
2264 Mizuho Financial Group Inc ADR 40,207 135,000 0.00%
2265 ROADRUNNER TRANSHOLDINGS INC 16,458 131,000 0.00%
2266 CELADON GROUP INC 15,010 131,000 0.00%
2267 RADNET INC COM 17,162 127,000 0.00%
2268 AMERICAN SUPERCONDUCTOR CORPOR 18,040 126,000 0.00%
2269 GREEN BANCORP INC 11,343 124,000 0.00%
2270 TRECORA RES 10,657 122,000 0.00%
2271 AEGON N V 31,556 122,000 0.00%
2272 ENOVA INTL INC COM 12,638 122,000 0.00%
2273 CHEFS WHSE INC 10,409 116,000 0.00%
2274 NUVEEN FLOATING RATE INCOME 10,485 116,000 0.00%
2275 CNH INDL N V 15,932 115,000 0.00%
2276 MACATAWA BK CORP COM 14,198 113,000 0.00%
2277 MONEYGRAM INTL 15,688 111,000 0.00%
2278 STEIN MART INC 16,826 107,000 0.00%
2279 CASCADE BANCORP 17,406 105,000 0.00%
2280 MIMEDX GROUP INC COM 11,806 101,000 0.00%
2281 HILL INTERNATIONAL INC 21,659 100,000 0.00%
2282 SUMITOMO MITSUI FINL GROUP INCORPORATED SPONSORED ADR 14,614 99,000 0.00%
2283 NUVEEN PREFERRED SECURITIES 10,374 99,000 0.00%
2284 HUDSON TECHNOLOGIES INC 14,616 97,000 0.00%
2285 MBT FINL CORP COM 10,627 96,000 0.00%
2286 SILICONWARE PRECISION INDS L 12,415 92,000 0.00%
2287 HERITAGE OAKS BANCORP COM 10,784 88,000 0.00%
2288 HALLADOR ENERGY COMPANY COM 11,130 88,000 0.00%
2289 VALE S A 15,488 85,000 0.00%
2290 ENEL AMERICAS S A 10,308 84,000 0.00%
2291 AMBEV SA 13,419 82,000 0.00%
2292 CENTURY CASINOS INC COM 11,821 82,000 0.00%
2293 GOLD FIELDS LTD 16,495 80,000 0.00%
2294 GAIN CAP HLDGS INC COM 12,955 80,000 0.00%
2295 ARC DOCUMENT SOLUTIONS INC COM 21,123 79,000 0.00%
2296 COMMERCIAL VEH GROUP INC 13,315 77,000 0.00%
2297 NOMURA HLDGS INC 13,826 62,000 0.00%
2298 MITSUBISHI UFJ FINL GROUP INCORPORATED SPONSORED ADR 12,224 62,000 0.00%
2299 PIER 1 IMPORTS INC 13,519 57,000 0.00%
2300 WHEELER REAL ESTATE INVT TR 31,501 55,000 0.00%
Page 46 of 47

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001445546-16-011209, filed 2016.11.01).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.