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FIRST TRUST NASDAQ-100 EX-TECHNOLOGY SECTOR INDEX FUND
FIRST TRUST NASDAQ-100 EX-TECHNOLOGY SECTOR INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 35 Institutional holders with a total value of $60,976,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 463,091 18,714,000 30.69%
2 MORGAN STANLEY 406,293 16,418,000 26.93%
3 UBS Group AG 163,432 6,604,000 10.83%
4 Cetera Advisors LLC 83,324 3,373,000 5.53%
5 Janney Montgomery Scott LLC 48,830 1,973,000 3.24%
6 RAYMOND JAMES & ASSOCIATES 47,598 1,923,000 3.15%
7 CITADEL ADVISORS LLC 44,830 1,812,000 2.97%
8 BANK OF AMERICA CORP /DE/ 36,302 1,467,000 2.41%
9 Northeast Financial Consultants Inc 32,500 1,313,000 2.15%
10 Timber Hill LLC 22,621 914,000 1.50%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 21,933 886,000 1.45%
12 ROYAL BANK OF CANADA 21,829 882,000 1.45%
13 Virtu KCG Holdings LLC 19,204 776,000 1.27%
14 GOLDMAN SACHS GROUP INC 17,729 716,000 1.17%
15 OPPENHEIMER & CO INC 16,473 666,000 1.09%
16 JANE STREET GROUP, LLC 12,786 517,000 0.85%
17 LPL Financial LLC 11,746 481,000 0.79%
18 MSI Financial Services Inc 11,638 470,000 0.77%
19 Commonwealth Equity Services, Inc 8,371 338,000 0.55%
20 TWO SIGMA SECURITIES, LLC 5,217 211,000 0.35%
21 SG Americas Securities, LLC 2,633 106,000 0.17%
22 Private Ocean, LLC 891 106,000 0.17%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,469 100,000 0.16%
24 PNC FINANCIAL SERVICES GROUP, INC. 1,365 55,000 0.09%
25 D.A. DAVIDSON & CO. 1,245 50,000 0.08%
26 CITIGROUP INC 666 27,000 0.04%
27 WFG Advisors, LP 554 22,000 0.04%
28 Financial Architects, Inc 485 20,000 0.03%
29 NEXT Financial Group, Inc 242 10,000 0.02%
30 BlackRock Finance, Inc. 230 9,000 0.01%
31 Tortoise Investment Management, LLC 190 8,000 0.01%
32 MOSAIC FAMILY WEALTH, LLC 123 5,000 0.01%
33 US BANCORP \DE\ 100 4,000 0.01%
34 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 2 0 0.00%
35 Parallax Volatility Advisers, L.P. 1 0 0.00%

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.