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

Institutional Holders (2015Q3)
Portfolio Summary: 23 Institutional holders with a total value of $42,766,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 685,675 18,472,000 43.19%
2 GOLDMAN SACHS GROUP INC 370,611 9,984,000 23.35%
3 WELLS FARGO & COMPANY/MN 168,593 4,542,000 10.62%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 75,339 2,030,000 4.75%
5 CITADEL ADVISORS LLC 52,253 1,408,000 3.29%
6 LPL Financial LLC 42,558 1,202,000 2.81%
7 UBS Group AG 37,441 1,009,000 2.36%
8 AMERIPRISE FINANCIAL INC 36,411 981,000 2.29%
9 JANE STREET GROUP, LLC 29,123 785,000 1.84%
10 BENJAMIN F. EDWARDS & COMPANY, INC. 24,439 658,000 1.54%
11 Commonwealth Equity Services, Inc 21,984 592,000 1.38%
12 ROYAL BANK OF CANADA 11,061 298,000 0.70%
13 BANK OF AMERICA CORP /DE/ 7,909 213,000 0.50%
14 CONFLUENCE INVESTMENT MANAGEMENT LLC 7,695 207,000 0.48%
15 Cambridge Investment Research Advisors, Inc. 7,565 204,000 0.48%
16 WFG Advisors, LP 2,851 77,000 0.18%
17 AMERICAN INTERNATIONAL GROUP, INC. 1,350 36,000 0.08%
18 D.A. DAVIDSON & CO. 1,054 28,000 0.07%
19 CWM, LLC 516 14,000 0.03%
20 CITIGROUP INC 422 11,000 0.03%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 321 9,000 0.02%
22 PNC FINANCIAL SERVICES GROUP, INC. 237 6,000 0.01%
23 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.