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FIRST TRUST
FIRST TRUST. Institutional holdings reported to the SEC.

Institutional Holders (2014Q3)
Portfolio Summary: 17 Institutional holders with a total value of $6,091,735.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Virtu KCG Holdings LLC 38,504 1,861,000 30.55%
2 SUSQUEHANNA INTERNATIONAL GROUP, LLP 33,809 1,634,000 26.82%
3 LPL Financial LLC 12,069 570,000 9.36%
4 UBS AG 9,679 468,000 7.68%
5 JANE STREET GROUP, LLC 9,092 440,000 7.22%
6 ROYAL BANK OF CANADA 7,414 359,000 5.89%
7 Commonwealth Equity Services, Inc 4,756 230,000 3.78%
8 MORGAN STANLEY 2,851 138,000 2.27%
9 WELLS FARGO & COMPANY/MN 2,793 135,000 2.22%
10 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,368 114,000 1.87%
11 AMERICAN INTERNATIONAL GROUP, INC. 961 46,455 0.76%
12 BANK OF AMERICA CORP /DE/ 694 34,000 0.56%
13 WFG Advisors, LP 600 29,000 0.48%
14 CITIGROUP INC 300 15,000 0.25%
15 Winslow, Evans & Crocker, Inc. 254 12,280 0.20%
16 Apriem Advisors 80 4,000 0.07%
17 AMERIPRISE FINANCIAL INC 35 2,000 0.03%

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.