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

Institutional Holders (2016Q4)
Portfolio Summary: 15 Institutional holders with a total value of $4,875,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 ROYAL BANK OF CANADA 30,592 856,000 17.56%
2 SUSQUEHANNA INTERNATIONAL GROUP, LLP 26,120 737,000 15.12%
3 BANK OF AMERICA CORP /DE/ 24,684 690,000 14.15%
4 LPL Financial LLC 23,366 659,000 13.52%
5 BSC PRIVATE WEALTH MANAGEMENT, LLC 21,952 619,000 12.70%
6 GOLDMAN SACHS GROUP INC 16,338 457,000 9.37%
7 CITADEL ADVISORS LLC 12,005 339,000 6.95%
8 MORGAN STANLEY 6,465 181,000 3.71%
9 WFG Advisors, LP 3,863 108,000 2.22%
10 WELLS FARGO & COMPANY/MN 2,400 67,000 1.37%
11 UBS Group AG 2,000 56,000 1.15%
12 PNC FINANCIAL SERVICES GROUP, INC. 1,687 47,000 0.96%
13 D.A. DAVIDSON & CO. 1,075 30,000 0.62%
14 ADVISOR GROUP, INC. 1,028 29,000 0.59%
15 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.