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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 (2014Q3)
Portfolio Summary: 32 Institutional holders with a total value of $69,893,879.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 2,376,814 32,111,000 45.94%
2 WELLS FARGO & COMPANY/MN 711,731 9,615,000 13.76%
3 UBS AG 522,305 7,056,000 10.10%
4 BANK OF AMERICA CORP /DE/ 476,762 6,441,000 9.22%
5 ROYAL BANK OF CANADA 186,890 2,525,000 3.61%
6 RAYMOND JAMES & ASSOCIATES 147,170 1,988,000 2.84%
7 LPL Financial LLC 134,232 1,788,000 2.56%
8 BB&T SECURITIES, LLC 13,030 1,760,000 2.52%
9 Janney Montgomery Scott LLC 129,997 1,756,258 2.51%
10 SG Americas Securities, LLC 60,323 815,000 1.17%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 55,287 747,000 1.07%
12 GOLDMAN SACHS GROUP INC 41,658 563,000 0.81%
13 Robert W. Baird & Co. Inc 28,420 384,000 0.55% SH
14 Cambridge Investment Research Advisors, Inc. 26,203 354,000 0.51%
15 Placemark Investments, Inc. 24,890 336,000 0.48%
16 Commonwealth Equity Services, Inc 23,929 323,000 0.46%
17 AMERICAN INTERNATIONAL GROUP, INC. 18,161 245,355 0.35%
18 Virtu KCG Holdings LLC 16,820 227,000 0.32%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 13,000 176,000 0.25%
20 LAZARD ASSET MANAGEMENT LLC 12,300 166,000 0.24%
21 SYNOVUS FINANCIAL CORP 10,000 136,000 0.19%
22 MSI Financial Services Inc 6,939 94,000 0.13%
23 FLOW TRADERS U.S. LLC 3,995 54,000 0.08%
24 BENJAMIN F. EDWARDS & COMPANY, INC. 3,557 48,000 0.07%
25 AMERIPRISE FINANCIAL INC 3,424 46,000 0.07%
26 DEUTSCHE BANK AG\ 2,300 31,000 0.04%
27 Bartlett & Co. LLC 2,265 31,000 0.04%
28 BANK OF MONTREAL /CAN/ 2,230 30,000 0.04%
29 Winslow, Evans & Crocker, Inc. 1,500 20,266 0.03%
30 NEW ENGLAND SECURITIES CORP /MA/ 1,300 18,000 0.03%
31 REILLY FINANCIAL ADVISORS, LLC 361 5,000 0.01%
32 CITIGROUP INC 300 4,000 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.