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

Institutional Holders (2015Q3)
Portfolio Summary: 17 Institutional holders with a total value of $4,500,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 SUSQUEHANNA INTERNATIONAL GROUP, LLP 37,923 936,000 20.80%
2 ROYAL BANK OF CANADA 24,101 595,000 13.22%
3 LPL Financial LLC 21,496 553,000 12.29%
4 CITADEL ADVISORS LLC 22,385 552,000 12.27%
5 BANK OF AMERICA CORP /DE/ 17,845 440,000 9.78%
6 Cambridge Investment Research Advisors, Inc. 15,827 391,000 8.69%
7 MORGAN STANLEY 15,066 372,000 8.27%
8 CULLEN/FROST BANKERS, INC. 12,659 312,000 6.93%
9 UBS Group AG 4,021 99,000 2.20%
10 WFG Advisors, LP 2,851 70,000 1.56%
11 WELLS FARGO & COMPANY/MN 2,400 59,000 1.31%
12 NEXT Financial Group, Inc 1,500 37,000 0.82%
13 PNC FINANCIAL SERVICES GROUP, INC. 1,275 31,000 0.69%
14 D.A. DAVIDSON & CO. 1,225 30,000 0.67%
15 AMERICAN INTERNATIONAL GROUP, INC. 633 16,000 0.36%
16 MSI Financial Services Inc 300 7,000 0.16%
17 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.