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

Institutional Holders (2014Q3)
Portfolio Summary: 13 Institutional holders with a total value of $5,017,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SUSQUEHANNA INTERNATIONAL GROUP, LLP 45,211 1,191,000 23.74%
2 LPL Financial LLC 38,055 986,000 19.65%
3 DEUTSCHE BANK AG\ 24,616 648,000 12.92%
4 ROYAL BANK OF CANADA 20,276 534,000 10.64%
5 BANK OF AMERICA CORP /DE/ 18,495 487,000 9.71%
6 RAYMOND JAMES & ASSOCIATES 14,620 385,000 7.67%
7 Cambridge Investment Research Advisors, Inc. 11,350 299,000 5.96%
8 MORGAN STANLEY 10,484 276,000 5.50%
9 WELLS FARGO & COMPANY/MN 2,500 66,000 1.32%
10 NEW ENGLAND SECURITIES CORP /MA/ 1,750 46,000 0.92%
11 MSI Financial Services Inc 1,425 38,000 0.76%
12 D.A. DAVIDSON & CO. 1,225 32,000 0.64%
13 UBS AG 1,102 29,000 0.58%

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.