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FIRST TRUST MID CAP GROWTH ALPHADEX FUND
FIRST TRUST MID CAP GROWTH ALPHADEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 17 Institutional holders with a total value of $19,379,799.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 182,598 5,293,000 27.31%
2 WELLS FARGO & COMPANY/MN 180,134 5,222,000 26.95%
3 GOLDMAN SACHS GROUP INC 64,989 1,884,000 9.72%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 57,383 1,664,000 8.59%
5 UBS AG 55,847 1,619,000 8.35%
6 LPL Financial LLC 49,423 1,433,000 7.39%
7 BANK OF AMERICA CORP /DE/ 30,100 873,000 4.50%
8 OLD NATIONAL BANCORP /IN/ 24,245 703,000 3.63%
9 ROYAL BANK OF CANADA 11,253 326,000 1.68%
10 Cambridge Investment Research Advisors, Inc. 7,154 207,000 1.07%
11 WFG Advisors, LP 2,501 72,000 0.37%
12 AMERIPRISE FINANCIAL INC 1,610 47,000 0.24%
13 BENJAMIN F. EDWARDS & COMPANY, INC. 589 17,000 0.09%
14 AMERICAN INTERNATIONAL GROUP, INC. 251 7,276 0.04%
15 Winslow, Evans & Crocker, Inc. 225 6,523 0.03%
16 ENVESTNET ASSET MANAGEMENT INC 102 3,000 0.02%
17 Ground Swell Capital, LLC 100 3,000 0.02%

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.