Q3 2017 13F Holders as of 9/30/2017
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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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6.14M
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Number of holders
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37
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Total shares
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1.97M
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Shares change
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+248K
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Total reported value, excl. options
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$81.2M
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Value change
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+$10.2M
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Number of buys
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22
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Number of sells
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-14
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Price
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$41.20
Significant Holders of First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) as of Q3 2017
36 filings reported holding FYC - First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund as of Q3 2017.
First Trust Exchange-Traded AlphaDEX(R) Fund - First Trust Small Cap Growth AlphaDEX(R) Fund (FYC) has 37 institutional shareholders that have filed 13F forms with the Securities Exchange Commission (SEC).
These institutions hold a total of 1.97M shares
of 6.14M outstanding shares and own 32.06% of the company stock.
Largest 10 shareholders include MORGAN STANLEY (593K shares), BANK OF AMERICA CORP /DE/ (302K shares), LPL Financial LLC (244K shares), Shamrock Asset Management LLC (133K shares), RAYMOND JAMES & ASSOCIATES (79.1K shares), UBS Group AG (63.6K shares), Clearwater Capital Partners, LLC (60.4K shares), Transamerica Financial Advisors, Inc. (60.2K shares), ROYAL BANK OF CANADA (47.8K shares), and Kingsview Wealth Management, LLC (46.3K shares).
This table shows the top 37 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.