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

Institutional Holders (2014Q3)
Portfolio Summary: 22 Institutional holders with a total value of $50,855,030.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 43,335 12,892,000 25.35%
2 MORGAN STANLEY 356,961 10,619,000 20.88%
3 GOLDMAN SACHS GROUP INC 343,167 10,209,000 20.07%
4 WELLS FARGO & COMPANY/MN 243,524 7,245,000 14.25%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 68,074 2,025,000 3.98%
6 JANE STREET GROUP, LLC 66,498 1,978,000 3.89%
7 STEPHENS INC /AR/ 35,338 1,051,000 2.07%
8 LPL Financial LLC 32,304 943,000 1.85%
9 CREDIT SUISSE AG/ 31,589 940,000 1.85%
10 Private Advisor Group, LLC 19,776 588,000 1.16%
11 ROYAL BANK OF CANADA 19,174 570,000 1.12%
12 Commonwealth Equity Services, Inc 17,581 523,000 1.03%
13 UBS AG 10,715 319,000 0.63%
14 M&T BANK CORP 9,605 286,000 0.56%
15 Cambridge Investment Research Advisors, Inc. 7,535 224,000 0.44%
16 BANK OF AMERICA CORP /DE/ 5,478 163,000 0.32%
17 AMERIPRISE FINANCIAL INC 4,650 138,000 0.27%
18 BENJAMIN F. EDWARDS & COMPANY, INC. 2,641 79,000 0.16%
19 AMERICAN INTERNATIONAL GROUP, INC. 1,480 44,030 0.09%
20 MSI Financial Services Inc 320 10,000 0.02%
21 NEXT Financial Group, Inc 174 5,000 0.01%
22 JNBA Financial Advisors 136 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.