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FIRST TRUST DJ STOXX EUROPEAN DIV INDEX FUND
FIRST TRUST DJ STOXX EUROPEAN DIV INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 25 Institutional holders with a total value of $47,570,423.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,358,949 19,555,000 41.11%
2 UBS AG 640,982 9,224,000 19.39%
3 BANK OF AMERICA CORP /DE/ 340,505 4,900,000 10.30%
4 Independent Portfolio Consultants, Inc. 280,495 4,036,000 8.48%
5 RAYMOND JAMES & ASSOCIATES 126,225 1,816,000 3.82%
6 LPL Financial LLC 92,449 1,330,000 2.80%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 80,020 1,151,000 2.42%
8 Janney Montgomery Scott LLC 72,466 1,042,782 2.19%
9 ROYAL BANK OF CANADA 69,035 993,000 2.09%
10 GOLDMAN SACHS GROUP INC 67,390 970,000 2.04%
11 Robert W. Baird & Co. Inc 26,935 388,000 0.82%
12 Commonwealth Equity Services, Inc 23,717 341,000 0.72%
13 AMERICAN INTERNATIONAL GROUP, INC. 18,161 261,336 0.55%
14 First Allied Advisory Services, Inc. 17,110 247,000 0.52%
15 Cambridge Investment Research Advisors, Inc. 15,942 229,000 0.48%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 13,800 199,000 0.42%
17 WELLS FARGO & COMPANY/MN 12,982 187,000 0.39%
18 LAZARD ASSET MANAGEMENT LLC 12,300 176,000 0.37%
19 JANE STREET GROUP, LLC 11,154 161,000 0.34%
20 SYNOVUS FINANCIAL CORP 10,000 144,000 0.30%
21 AMERIPRISE FINANCIAL INC 6,413 92,000 0.19%
22 DEUTSCHE BANK AG\ 4,500 64,000 0.13%
23 MSI Financial Services Inc 2,505 36,000 0.08%
24 Winslow, Evans & Crocker, Inc. 1,550 22,305 0.05%
25 REILLY FINANCIAL ADVISORS, LLC 361 5,000 0.01%

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.