Q3 2014 13F Holders as of 30 Sep 2014
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Type / Class
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Equity / First Trust Utilities AlphaDEX(R) Fund
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Shares outstanding
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39.1M
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Number of holders
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44
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Total 13F shares, excl. options
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6.19M
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Shares change
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-14M
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Total reported value, excl. options
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$140M
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Value change
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-$332M
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Number of buys
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17
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Number of sells
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-36
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Price
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$22.63
Significant Holders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU) as of Q3 2014
61 filings reported holding FXU - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund as of Q3 2014.
First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Utilities AlphaDEX(R) Fund (FXU) has 44 institutional shareholders that have filed 13F forms with the Securities Exchange Commission (SEC).
These institutions hold a total of 6.19M shares
of 39.1M outstanding shares and own 15.82% of the company stock.
Largest 10 shareholders include BANK OF AMERICA CORP /DE/ (3.81M shares), GOLDMAN SACHS GROUP INC (418K shares), MORGAN STANLEY (411K shares), Astor Investment Management LLC (244K shares), UBS AG (217K shares), WELLS FARGO & COMPANY/MN (202K shares), CREDIT SUISSE AG/ (182K shares), SignalPoint Asset Management, LLC (108K shares), SUSQUEHANNA INTERNATIONAL GROUP, LLP (92.1K shares), and LPL Financial LLC (76.7K shares).
This table shows the top 44 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.