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FIRST TRUST EXCHANGE-TRADED FU NAS CLNEDG GREEN ETF
FIRST TRUST EXCHANGE-TRADED FU NAS CLNEDG GREEN ETF. Institutional holdings reported to the SEC.

Institutional Holders (2015Q4)
Portfolio Summary: 32 Institutional holders with a total value of $14,930,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GOLDMAN SACHS GROUP INC 552,921 8,874,000 59.44%
2 MORGAN STANLEY 67,800 1,088,000 7.29%
3 BANK OF AMERICA CORP /DE/ 59,278 951,000 6.37%
4 LPL Financial LLC 38,106 607,000 4.07%
5 YHB Investment Advisors, Inc. 25,180 404,000 2.71%
6 CREDIT SUISSE AG/ 20,770 333,000 2.23%
7 COLORADO CAPITAL MANAGEMENT, INC. 19,834 318,000 2.13%
8 ROYAL BANK OF CANADA 18,793 302,000 2.02%
9 Carnick & Kubik, LLC 16,730 269,000 1.80%
10 WELLS FARGO & COMPANY/MN 16,301 262,000 1.75%
11 JANE STREET GROUP, LLC 13,276 213,000 1.43%
12 Cambridge Investment Research Advisors, Inc. 12,339 198,000 1.33%
13 Commonwealth Equity Services, Inc 12,241 196,000 1.31%
14 NATIONAL PLANNING CORP 13,426 184,000 1.23%
15 ENVESTNET ASSET MANAGEMENT INC 10,890 175,000 1.17%
16 UBS Group AG 9,762 157,000 1.05%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,870 110,000 0.74%
18 Blume Capital Management, Inc. 4,900 79,000 0.53%
19 Pinnacle Summer Investments, Inc. 2,711 44,000 0.29%
20 US BANCORP \DE\ 2,500 40,000 0.27%
21 IFP ADVISORS, INC 2,375 38,000 0.25%
22 MSI Financial Services Inc 1,910 31,000 0.21%
23 PRENTISS SMITH & CO INC 1,125 18,000 0.12%
24 Gradient Investments LLC 599 10,000 0.07%
25 AMERICAN INTERNATIONAL GROUP, INC. 481 8,000 0.05%
26 PNC FINANCIAL SERVICES GROUP, INC. 508 8,000 0.05%
27 Ameritas Investment Partners, Inc. 330 5,000 0.03%
28 Bartlett & Co. LLC 200 3,000 0.02%
29 CITIGROUP INC 200 3,000 0.02%
30 Tower Research Capital LLC (TRC) 130 2,000 0.01%
31 Parallax Volatility Advisers, L.P. 1 0 0.00%
32 Creative Planning 5 0 0.00%

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.