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

Institutional Holders (2016Q3)
Portfolio Summary: 17 Institutional holders with a total value of $4,475,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ROYAL BANK OF CANADA 26,743 726,000 16.22%
2 BANK OF AMERICA CORP /DE/ 25,785 700,000 15.64%
3 LPL Financial LLC 22,835 620,000 13.85%
4 BSC PRIVATE WEALTH MANAGEMENT, LLC 22,482 610,000 13.63%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 16,600 451,000 10.08%
6 GOLDMAN SACHS GROUP INC 16,338 444,000 9.92%
7 CITADEL ADVISORS LLC 12,032 327,000 7.31%
8 UBS Group AG 6,997 190,000 4.25%
9 MORGAN STANLEY 5,639 153,000 3.42%
10 WFG Advisors, LP 2,861 78,000 1.74%
11 WELLS FARGO & COMPANY/MN 2,400 65,000 1.45%
12 PNC FINANCIAL SERVICES GROUP, INC. 1,680 46,000 1.03%
13 D.A. DAVIDSON & CO. 1,075 29,000 0.65%
14 ADVISOR GROUP, INC. 1,026 28,000 0.63%
15 MSI Financial Services Inc 300 8,000 0.18%
16 Parallax Volatility Advisers, L.P. 1 0 0.00%
17 Tower Research Capital LLC (TRC) 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.