Q4 2015 13F Holders as of 31 Dec 2015
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Type / Class
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Equity / First Trust Small Cap Growth AlphaDEX(R) Fund
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Shares outstanding
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6,144,387
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Number of holders
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29
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Total 13F shares, excl. options
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2,167,314
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Shares change
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+697,592
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Total reported value, excl. options
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$65,747,050
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Value change
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+$21,122,829
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Number of buys
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19
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Number of sells
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-8
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Price
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$30.50
Significant Holders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) as of Q4 2015
32 filings reported holding FYC - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund as of Q4 2015.
First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) has 29 institutional shareholders that have filed 13F forms with the Securities Exchange Commission (SEC).
These institutions hold a total of 2,167,314 shares
of 6,144,387 outstanding shares and own 35% of the company stock.
Largest 10 shareholders include MORGAN STANLEY (496,211 shares), LPL Financial LLC (435,992 shares), Transamerica Financial Advisors, Inc. (431,369 shares), ROYAL BANK OF CANADA (263,418 shares), UBS Group AG (98,941 shares), VSR Financial Services, Inc. (60,085 shares), BANK OF AMERICA CORP /DE/ (58,301 shares), WELLS FARGO & COMPANY/MN (56,551 shares), RAYMOND JAMES & ASSOCIATES (54,776 shares), and Cambridge Investment Research Advisors, Inc. (41,798 shares).
This table shows the top 29 institutional shareholders of the company equity. This data is sourced directly from the SEC via 13F filings.
| Investor |
Option |
Weight % |
Change % |
Value $ |
* Price $ |
Shares |
Share Change |
Activity |
Report Period |
* 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.