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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 (2016Q1)
Portfolio Summary: 31 Institutional holders with a total value of $14,284,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 GOLDMAN SACHS GROUP INC 552,921 8,189,000 57.33%
2 MORGAN STANLEY 59,484 881,000 6.17%
3 BANK OF AMERICA CORP /DE/ 47,731 707,000 4.95%
4 JANE STREET GROUP, LLC 44,556 660,000 4.62%
5 LPL Financial LLC 38,430 568,000 3.98%
6 SUSQUEHANNA INTERNATIONAL GROUP, LLP 34,975 517,000 3.62%
7 Raymond James Financial Services Advisors, Inc. 22,544 334,000 2.34%
8 COLORADO CAPITAL MANAGEMENT, INC. 19,834 293,000 2.05%
9 ROYAL BANK OF CANADA 18,117 268,000 1.88%
10 Carnick & Kubik, LLC 17,380 257,000 1.80%
11 WELLS FARGO & COMPANY/MN 16,696 247,000 1.73%
12 YHB Investment Advisors, Inc. 14,005 207,000 1.45%
13 UBS Group AG 13,438 199,000 1.39%
14 Commonwealth Equity Services, Inc 13,293 197,000 1.38%
15 ENVESTNET ASSET MANAGEMENT INC 10,760 159,000 1.11%
16 Cambridge Investment Research Advisors, Inc. 10,255 152,000 1.06%
17 BOKF, NA 10,000 148,000 1.04%
18 Blume Capital Management, Inc. 4,900 73,000 0.51%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 4,286 63,000 0.44%
20 US BANCORP \DE\ 2,500 37,000 0.26%
21 IFP ADVISORS, INC 2,275 34,000 0.24%
22 Creative Planning 2,026 30,000 0.21%
23 PRENTISS SMITH & CO INC 1,125 17,000 0.12%
24 MSI Financial Services Inc 1,110 16,000 0.11%
25 Gradient Investments LLC 599 9,000 0.06%
26 PNC FINANCIAL SERVICES GROUP, INC. 509 8,000 0.06%
27 CITIGROUP INC 430 6,000 0.04%
28 Ameritas Investment Partners, Inc. 330 4,000 0.03%
29 Bartlett & Co. LLC 200 3,000 0.02%
30 Tower Research Capital LLC (TRC) 100 1,000 0.01%
31 Parallax Volatility Advisers, L.P. 1 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.