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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 (2015Q3)
Portfolio Summary: 29 Institutional holders with a total value of $16,702,000.
#
Manager Name
Shares
Value ($)
%
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 3,000 0.02%
4 CITIGROUP INC 253 8,000 0.05%
5 AMERICAN INTERNATIONAL GROUP, INC. 296 9,000 0.05%
6 MSI Financial Services Inc 300 10,000 0.06%
7 D.A. DAVIDSON & CO. 400 12,000 0.07%
8 Creative Planning 505 16,000 0.10%
9 PNC FINANCIAL SERVICES GROUP, INC. 1,002 32,000 0.19%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,345 43,000 0.26%
11 MYCIO WEALTH PARTNERS, LLC 1,455 46,000 0.28%
12 ENVESTNET ASSET MANAGEMENT INC 1,728 55,000 0.33%
13 WFG Advisors, LP 1,877 59,000 0.35%
14 FIFTH THIRD BANCORP 4,000 127,000 0.76%
15 ROYAL BANK OF CANADA 5,680 180,000 1.08%
16 Virtu KCG Holdings LLC 6,405 203,000 1.22%
17 Chicago Partners Investment Group LLC 7,447 236,000 1.41%
18 NAPLES GLOBAL ADVISORS, LLC 8,135 258,000 1.54%
19 One Capital Management, LLC 8,544 271,000 1.62%
20 BANK OF AMERICA CORP /DE/ 10,314 327,000 1.96%
21 UBS Group AG 14,353 455,000 2.72%
22 JANE STREET GROUP, LLC 15,759 499,000 2.99%
23 Timber Hill LLC 16,479 522,000 3.13%
24 CITADEL ADVISORS LLC 39,187 1,243,000 7.44%
25 WELLS FARGO & COMPANY/MN 50,889 1,612,000 9.65%
26 SUSQUEHANNA INTERNATIONAL GROUP, LLP 51,088 1,620,000 9.70%
27 MORGAN STANLEY 71,446 2,263,000 13.55%
28 Frontier Wealth Management LLC 89,893 2,848,000 17.05%
29 BB&T SECURITIES, LLC 118,155 3,742,000 22.40%

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.