First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU)

CUSIP: 33734X184

Q3 2014 13F Holders as of 30 Sep 2014

Type / Class
Equity / First Trust Utilities AlphaDEX(R) Fund
Shares outstanding
17,345,806
Total 13F shares
6,191,949
Share change
-13,947,130
Total reported value
$140,118,239
Price per share
$22.63
Number of holders
44
Value change
-$331,539,019
Number of buys
18
Number of sells
35

Quarterly Holders Quick Answers

What is CUSIP 33734X184?
CUSIP 33734X184 identifies FXU - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund in SEC institutional holdings data.

Need full ownership history?
Open the full security ownership history page.

Top shareholders of FXU - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (13F + 13D/G + 3/4/5)

Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.

Methodology: rows are grouped by holder and ranked by the holder's primary source value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
No top shareholder records were found across 13F, 13D/G, and Forms 3/4/5 for this issuer.

Institutional Holders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU) as of Q3 2014

As of 30 Sep 2014, First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU) was held by 44 institutional shareholders that filed Form 13F with the SEC. Together, they reported ownership of 6,191,949 shares. The largest 10 holders included BANK OF AMERICA CORP /DE/, GOLDMAN SACHS GROUP INC, MORGAN STANLEY, Astor Investment Management LLC, UBS AG, WELLS FARGO & COMPANY/MN, CREDIT SUISSE AG/, SignalPoint Asset Management, LLC, SUSQUEHANNA INTERNATIONAL GROUP, LLP, and LPL Financial LLC. This page lists 44 institutional shareholders reporting positions in this security for the Q3 2014 filing period.
Investor Option Weight % Change % Value $ * Price Shares Share Change Activity Report Period

Compare Q3 2014 vs Q2 2014 Across Filers

Q2 2014 holders
54
Q3 2014 holders
44
Holder diff
-10
Investor Q2 2014 Shares Q3 2014 Shares Share Diff Share Chg % Q2 2014 Value $ Q3 2014 Value $ Value Diff $ Value Chg %

Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).

Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
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