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

Institutional Holders (2015Q4)
Portfolio Summary: 16 Institutional holders with a total value of $28,457,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 340,643 17,717,000 62.26%
2 RAYMOND JAMES & ASSOCIATES 53,483 2,782,000 9.78%
3 GOLDMAN SACHS GROUP INC 50,000 2,600,000 9.14%
4 JANE STREET GROUP, LLC 30,998 1,612,000 5.66%
5 LPL Financial LLC 19,148 999,000 3.51%
6 CETERA INVESTMENT ADVISERS 11,717 609,000 2.14%
7 Whitnell & Co. 10,100 525,000 1.84%
8 ROYAL BANK OF CANADA 7,702 400,000 1.41%
9 LVZ, Inc. 6,552 341,000 1.20%
10 First Allied Advisory Services, Inc. 5,664 292,000 1.03%
11 Cetera Advisors LLC 4,250 221,000 0.78%
12 ENVESTNET ASSET MANAGEMENT INC 2,985 155,000 0.54%
13 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,430 126,000 0.44%
14 MSI Financial Services Inc 1,140 59,000 0.21%
15 Tower Research Capital LLC (TRC) 202 11,000 0.04%
16 AMERICAN INTERNATIONAL GROUP, INC. 162 8,000 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.