Q1 2016 13F Holders as of 31 Mar 2016
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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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28
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Total 13F shares, excl. options
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925,232
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Shares change
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-1,246,489
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Total reported value, excl. options
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$27,766,014
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Value change
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-$37,572,911
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Number of buys
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8
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Number of sells
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-21
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Price
-
$30.14
Significant Holders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) as of Q1 2016
35 filings reported holding FYC - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund as of Q1 2016.
First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) has 28 institutional shareholders that have filed 13F forms with the Securities Exchange Commission (SEC).
These institutions hold a total of 925,232 shares
of 6,144,387 outstanding shares and own 15% of the company stock.
Largest 10 shareholders include LPL Financial LLC (269,463 shares), MORGAN STANLEY (257,078 shares), WELLS FARGO & COMPANY/MN (54,987 shares), BANK OF AMERICA CORP /DE/ (50,468 shares), JANE STREET GROUP, LLC (39,198 shares), BENJAMIN F. EDWARDS & COMPANY, INC. (38,331 shares), Cambridge Investment Research Advisors, Inc. (35,292 shares), SUSQUEHANNA INTERNATIONAL GROUP, LLP (26,733 shares), ROYAL BANK OF CANADA (24,281 shares), and Raymond James Financial Services Advisors, Inc. (24,108 shares).
This table shows the top 28 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.