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

Institutional Holders (2015Q4)
Portfolio Summary: 16 Institutional holders with a total value of $6,475,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 59,532 1,542,000 23.81%
2 RAYMOND JAMES & ASSOCIATES 42,392 1,119,000 17.28%
3 SUSQUEHANNA INTERNATIONAL GROUP, LLP 29,113 769,000 11.88%
4 ROYAL BANK OF CANADA 27,505 727,000 11.23%
5 BANK OF AMERICA CORP /DE/ 23,703 626,000 9.67%
6 Cambridge Investment Research Advisors, Inc. 20,727 547,000 8.45%
7 GOLDMAN SACHS GROUP INC 16,338 431,000 6.66%
8 MORGAN STANLEY 14,328 379,000 5.85%
9 UBS Group AG 3,579 95,000 1.47%
10 WFG Advisors, LP 3,254 86,000 1.33%
11 WELLS FARGO & COMPANY/MN 2,400 63,000 0.97%
12 PNC FINANCIAL SERVICES GROUP, INC. 1,275 34,000 0.53%
13 D.A. DAVIDSON & CO. 1,225 32,000 0.49%
14 AMERICAN INTERNATIONAL GROUP, INC. 633 17,000 0.26%
15 MSI Financial Services Inc 300 8,000 0.12%
16 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.