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FIRST TRUST DOW JONES SELECT MICROCAP INDEX FUND
FIRST TRUST DOW JONES SELECT MICROCAP INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2015Q2)
Portfolio Summary: 27 Institutional holders with a total value of $15,730,263.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Parallax Volatility Advisers, L.P. 1 0 0.00%
2 DUBUQUE BANK & TRUST CO 100 3,000 0.02%
3 BANK OF MONTREAL /CAN/ 101 4,000 0.03%
4 CITIGROUP INC 163 6,000 0.04%
5 MSI Financial Services Inc 300 10,000 0.06%
6 AMERICAN INTERNATIONAL GROUP, INC. 296 10,263 0.07%
7 D.A. DAVIDSON & CO. 400 13,000 0.08%
8 PNC FINANCIAL SERVICES GROUP, INC. 1,002 35,000 0.22%
9 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,345 47,000 0.30%
10 MYCIO WEALTH PARTNERS, LLC 1,453 50,000 0.32%
11 WFG Advisors, LP 1,877 65,000 0.41%
12 FIFTH THIRD BANCORP 4,000 139,000 0.88%
13 CITADEL ADVISORS LLC 6,171 214,000 1.36%
14 Chicago Partners Investment Group LLC 7,447 258,000 1.64%
15 NAPLES GLOBAL ADVISORS, LLC 8,135 282,000 1.79%
16 One Capital Management, LLC 8,583 298,000 1.89%
17 JANE STREET GROUP, LLC 8,794 305,000 1.94%
18 BANK OF AMERICA CORP /DE/ 10,321 358,000 2.28%
19 COMERICA SECURITIES INC 10,651 369,000 2.35%
20 Timber Hill LLC 12,022 417,000 2.65%
21 UBS Group AG 12,924 449,000 2.85%
22 ROYAL BANK OF CANADA 13,317 462,000 2.94%
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 19,188 665,000 4.23%
24 WELLS FARGO & COMPANY/MN 47,206 1,637,000 10.41%
25 MORGAN STANLEY 67,878 2,353,000 14.96%
26 Frontier Wealth Management LLC 95,730 3,319,000 21.10%
27 BB&T SECURITIES, LLC 114,284 3,962,000 25.19%

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.