Latest Period
Q1 2026
Security Snapshot
First Trust Exchange-Traded Fund IV - First Trust Commercial Mortgage Opportunities ETF (CAAA) Institutional Ownership
CUSIP: 33738D762
13F Institutional Holders and Ownership History from Q1 2024 to Q2 2026
Institutions Reporting
21
Shares (Excl. Options)
1,368,040
Price
$20.30
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- Security type / class
- Equity / First Trust Commercial Mortgage Opportunities ETF
- Symbol
- CAAA
- All holders as of 31 Mar 2026
- Q1 2026
- Total 13F shares
- 1,368,040
- Total 13F value
- $27,772,036
- Portfolio coverage rank
- 0%
- Share change
- +199,956
- Value change
- +$4,044,665
- Number of holders
- 21
- Shares outstanding
- 500,112
- SEC-reported price per share
- $20.27
Latest holder snapshot
5 signals
Issuer context
Names, identifiers, and filing context for this profile.
2 identity fields
13F Shares, Excluding Options vs Price
13F Value, Excluding Options
Total Investors
Key facts
- CAAA - First Trust Exchange-Traded Fund IV - First Trust Commercial Mortgage Opportunities ETF is tracked under CUSIP 33738D762.
- 21 institutions reported positions in Q1 2026.
- 1 significant owner is listed from Schedule 13D/13G reporting.
Change
- Holder count moved from 21 to 12 between Q1 2026 and Q2 2026.
- SEC-reported value moved from $27,772,036 to $17,237,687.
Research use
- You can quickly see who holds this security, then open quarter and manager detail pages for full evidence.
- 13F and Schedule 13D/13G sections are kept together so you can cross-check institutional and beneficial ownership context.
Evidence
Source: SEC Form 13F
Open SEC evidence
Latest holder context comes from 21 institutions filings for Q1 2026.
Security key
33738D762
Latest holder period
Q1 2026
13F holders
21
13D/G owners
1
CIK / CUSIP context first
Broader feeds
Recent Quarterly Holder Reports
Open recent reporting periods for CUSIP 33738D762:
13D/G owners
Significant owners
Large-stake holder rows connected to Schedule 13D/G evidence.
Rows
1
Security
CAAA
| Filer | Ownership | Change % | Holdings Value | Net Change | Nb Shares | Change % | Reporting Name | Report Period |
|---|---|---|---|---|---|---|---|---|
| FIRST TRUST PORTFOLIOS LP | 7.2% | $730,125 | 35,808 | First Trust Portfolios L.P. | 31 Mar 2025 |
As of 31 Mar 2026, 21 institutional investors reported holding 1,368,040 shares of First Trust Exchange-Traded Fund IV - First Trust Commercial Mortgage Opportunities ETF (CAAA). This represents 274% of the company’s total 500,112 outstanding shares.
13F concentration
Top 24 institutional shareholders
Largest 13F positions for this security by reported shares and value.
Top holder share
274%
| Institution | Ownership % | Shares Held | Share Change % | Portfolio % | Holdings Value |
|---|---|---|---|---|---|
| STAR Financial Bank | 110% | 551,112 | +25% | 5.3% | $11,187,574 |
| Prospera Financial Services Inc | 58% | 287,744 | -3.1% | 0.09% | $5,841,053 |
| Platform Technology Partners | 19% | 94,307 | +58% | 0.37% | $1,914,430 |
| Kestra Advisory Services, LLC | 17% | 85,910 | 0.01% | $1,743,967 | |
| FIRST TRUST ADVISORS LP | 14% | 67,790 | 0% | 0% | $1,376,137 |
| Farther Finance Advisors, LLC | 13% | 63,228 | -16% | 0.01% | $1,284,487 |
| GOLDMAN SACHS GROUP INC | 11% | 55,744 | +57% | 0% | $1,131,603 |
| INSPIRION WEALTH ADVISORS, LLC | 6.1% | 30,359 | -0.11% | 0.08% | $616,288 |
| Belpointe Asset Management LLC | 5.6% | 28,007 | +29% | 0.02% | $568,550 |
| FLOW TRADERS U.S. LLC | 4.6% | 23,056 | -41% | 0.01% | $468,000 |
| Fearless Solutions, LLC dba Best Invest | 4.4% | 21,912 | +109% | 0.27% | $444,814 |
| JANE STREET GROUP, LLC | 2.7% | 13,568 | 0% | $275,430 | |
| COMMONWEALTH EQUITY SERVICES, LLC | 2.6% | 13,134 | 0% | $266,630 | |
| United Advisor Group, LLC | 2% | 9,876 | 0.02% | $200,492 | |
| Ashton Thomas Private Wealth, LLC | 2% | 9,818 | 0% | 0% | $199,305 |
| OSAIC HOLDINGS, INC. | 1% | 5,020 | +69% | 0% | $101,935 |
| Financial Network Wealth Advisors LLC | 0.69% | 3,426 | +215% | 0.07% | $69,552 |
| Geneos Wealth Management Inc. | 0.6% | 3,000 | 0% | 0% | $60,900 |
| HARBOUR INVESTMENTS, INC. | 0.19% | 968 | -22% | 0% | $19,650 |
| Rossby Financial, LCC | 0.01% | 49 | 0% | $995 | |
| UBS Group AG | 0% | 12 | -91% | 0% | $244 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 0% | 0 | -100% | $0 | |
| Integrated Advisors Network LLC | 0% | 0 | -100% | $0 | |
| Bank of Jackson Hole Trust | 0% | 0 | -100% | $0 |
Quarter history
Institutional holders across reporting periods
Holder count, reported shares/value, and median price by quarter.
Periods
10
Latest
Q1 2026
Rows shown
1-10 of 10
| Period | 13F Shares, Excl. Options | Value, Excl. Options | Value Change | Price (Median) | Investors |
|---|---|---|---|---|---|
| 2026 Q2 | 848,721 | $17,237,687 | +$4,082,360 | $20.31 | 12 |
| 2026 Q1 | 1,368,040 | $27,772,036 | +$4,044,665 | $20.30 | 21 |
| 2025 Q4 | 1,168,084 | $23,945,968 | +$227,875 | $20.50 | 19 |
| 2025 Q3 | 1,156,945 | $23,737,407 | +$7,968,952 | $20.51 | 18 |
| 2025 Q2 | 785,652 | $16,090,021 | +$6,482,597 | $20.48 | 13 |
| 2025 Q1 | 470,980 | $9,583,189 | -$5,243,260 | $20.34 | 14 |
| 2024 Q4 | 729,210 | $14,715,293 | -$277,221 | $20.18 | 11 |
| 2024 Q3 | 743,085 | $15,397,222 | +$533,397 | $20.72 | 9 |
| 2024 Q2 | 744,111 | $15,004,606 | +$3,220,638 | $20.16 | 7 |
| 2024 Q1 | 584,397 | $11,845,862 | +$11,845,862 | $20.27 | 5 |