Q4 2016 13F Holders as of 31 Dec 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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31
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Total 13F shares, excl. options
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1,524,647
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Shares change
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+378,894
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Total reported value, excl. options
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$52,827,326
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Value change
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+$13,139,585
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Number of buys
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21
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Number of sells
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-10
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Price
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$34.6
Significant Holders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) as of Q4 2016
34 filings reported holding FYC - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund as of Q4 2016.
First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) has 31 institutional shareholders that have filed 13F forms with the Securities Exchange Commission (SEC).
These institutions hold a total of 1,524,647 shares
of 6,144,387 outstanding shares and own 24.81% of the company stock.
Largest 10 shareholders include MORGAN STANLEY (395,932 shares), BANK OF AMERICA CORP /DE/ (284,230 shares), LPL Financial LLC (207,640 shares), Transamerica Financial Advisors, Inc. (89,155 shares), Cambridge Investment Research Advisors, Inc. (65,713 shares), UBS Group AG (57,030 shares), BSC PRIVATE WEALTH MANAGEMENT, LLC (56,229 shares), SG Americas Securities, LLC (50,000 shares), JANE STREET GROUP, LLC (45,149 shares), and RAYMOND JAMES & ASSOCIATES (44,451 shares).
This table shows the top 31 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.