Latest Period
Q2 2026
Security Snapshot
FIRST TRUST EXCHANGE-TRADED FUND IV - First Trust AAA CMBS ETF (CAAA) Institutional Ownership
CUSIP: 33738D762
13F Institutional Holders and Ownership History from Q1 2024 to Q2 2026
Institutions Reporting
21
Shares (Excl. Options)
1,581,520
Price
$20.31
Save this security page for your next review
Keep this CUSIP in your watchlists so you can revisit quarter changes from one place. If you create an account from here, we will bring you back after verification.
- Security type / class
- Equity / First Trust AAA CMBS ETF
- Symbol
- CAAA
- All holders as of 30 Jun 2026
- Q2 2026
- Total 13F shares
- 1,581,520
- Total 13F value
- $32,121,036
- Portfolio coverage rank
- 0%
- Share change
- +213,480
- Value change
- +$4,336,114
- Number of holders
- 21
- Shares outstanding
- 1,697,783
- SEC-reported price per share
- $20.19
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 AAA CMBS ETF is tracked under CUSIP 33738D762.
- 21 institutions reported positions in Q2 2026.
- 2 significant owners is listed from Schedule 13D/13G reporting.
Change
- Holder count moved from 21 to 21 between Q1 2026 and Q2 2026.
- SEC-reported value moved from $27,772,036 to $32,121,036.
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 Q2 2026.
Security key
33738D762
Latest holder period
Q2 2026
13F holders
21
13D/G owners
2
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
2
Security
CAAA
| Filer | Ownership | Change % | Holdings Value | Net Change | Nb Shares | Change % | Reporting Name | Report Period |
|---|---|---|---|---|---|---|---|---|
| STAR Financial Bank | 37% | $12,698,790 | 626,482 | STAR Financial Bank | 30 Jun 2026 | |||
| FIRST TRUST PORTFOLIOS LP | 7.2% | $730,125 | 35,808 | First Trust Portfolios L.P. | 31 Mar 2025 |
As of 30 Jun 2026, 21 institutional investors reported holding 1,581,520 shares of FIRST TRUST EXCHANGE-TRADED FUND IV - First Trust AAA CMBS ETF (CAAA). This represents 93% of the company’s total 1,697,783 outstanding shares.
13F concentration
Top 22 institutional shareholders
Largest 13F positions for this security by reported shares and value.
Top holder share
93%
| Institution | Ownership % | Shares Held | Share Change % | Portfolio % | Holdings Value |
|---|---|---|---|---|---|
| STAR Financial Bank | 37% | 626,482 | +14% | 5.2% | $12,723,975 |
| Prospera Financial Services Inc | 17% | 295,916 | +2.8% | 0.09% | $6,009,935 |
| Platform Technology Partners | 10% | 169,633 | +80% | 0.56% | $3,445,289 |
| COMMONWEALTH EQUITY SERVICES, LLC | 8.1% | 137,011 | +943% | 0% | $2,782,710 |
| Farther Finance Advisors, LLC | 4.5% | 77,040 | +22% | 0.01% | $1,564,698 |
| FIRST TRUST ADVISORS LP | 4% | 67,790 | 0% | 0% | $1,376,828 |
| Kestra Advisory Services, LLC | 3.2% | 54,601 | -36% | 0% | $1,108,955 |
| INSPIRION WEALTH ADVISORS, LLC | 1.8% | 29,959 | -1.3% | 0.07% | $608,617 |
| Fearless Solutions, LLC dba Best Invest | 1.7% | 29,212 | +33% | 0.31% | $593,302 |
| Belpointe Asset Management LLC | 1.5% | 24,765 | -12% | 0.02% | $502,988 |
| JANE STREET GROUP, LLC | 0.88% | 14,884 | +9.7% | 0% | $302,297 |
| GOLDMAN SACHS GROUP INC | 0.78% | 13,289 | -76% | 0% | $269,902 |
| United Advisor Group, LLC | 0.74% | 12,480 | +26% | 0.03% | $253,480 |
| Ashton Thomas Private Wealth, LLC | 0.65% | 11,042 | +12% | 0% | $224,265 |
| OSAIC HOLDINGS, INC. | 0.36% | 6,122 | +22% | 0% | $124,395 |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 0.22% | 3,750 | 0% | $76,181 | |
| Financial Network Wealth Advisors LLC | 0.2% | 3,312 | -3.3% | 0.07% | $67,267 |
| Geneos Wealth Management Inc. | 0.18% | 3,000 | 0% | 0% | $60,930 |
| HARBOUR INVESTMENTS, INC. | 0.06% | 968 | 0% | 0% | $19,660 |
| UBS Group AG | 0.01% | 215 | +1692% | 0% | $4,367 |
| Rossby Financial, LCC | 0% | 49 | 0% | 0% | $995 |
| FLOW TRADERS U.S. LLC | 0% | 0 | -100% | $0 |
Quarter history
Institutional holders across reporting periods
Holder count, reported shares/value, and median price by quarter.
Periods
10
Latest
Q2 2026
Rows shown
1-10 of 10
| Period | 13F Shares, Excl. Options | Value, Excl. Options | Value Change | Price (Median) | Investors |
|---|---|---|---|---|---|
| 2026 Q2 | 1,581,520 | $32,121,036 | +$4,336,114 | $20.31 | 21 |
| 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 |