First Trust Exchange-Traded Fund - First Trust Dow Jones Select MicroCap Index Fund
US ˙ ARCA ˙ US35644YBX04

SecurityFDM / First Trust Exchange-Traded Fund - First Trust Dow Jones Select MicroCap Index Fund
InstitutionEmpirical Financial Services, LLC d.b.a. Empirical Wealth Management
Latest Disclosed Ownership35,823 shares
Latest Disclosed Value $ 2,940,549
Empirical Financial Services, LLC d.b.a. Empirical Wealth Management reports 1.15% decrease in ownership of FDM / First Trust Exchange-Traded Fund - First Trust Dow Jones Select MicroCap Index Fund

On May 4, 2026 - Empirical Financial Services, LLC d.b.a. Empirical Wealth Management filed a 13F-HR form disclosing ownership of 35,823 shares of First Trust Exchange-Traded Fund - First Trust Dow Jones Select MicroCap Index Fund (US:FDM) valued at $2,940,549 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 16, 2026 disclosing 36,238 shares of First Trust Exchange-Traded Fund - First Trust Dow Jones Select MicroCap Index Fund. This represents a change in shares of -1.15% during the quarter. The current value of the position is $3,097,077 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-04 2026-03-31 13F FIRST TR EXCHANGE-TRADED FD COM SHS ANNUAL 33718M105 35,823 -415 -1.15 2,941 1.91 0.0350
2026-01-16 2025-12-31 13F FIRST TR EXCHANGE-TRADED FD COM SHS ANNUAL 33718M105 36,238 -127 -0.35 2,885 4.76 0.0360
2025-11-10 2025-09-30 13F FIRST TR EXCHANGE-TRADED FD COM SHS ANNUAL 33718M105 36,365 -1,045 -2.79 2,755 2.80 0.0551
2025-07-21 2025-06-30 13F FIRST TR EXCHANGE-TRADED FD COM SHS ANNUAL 33718M105 37,410 7,718 25.99 2,680 45.12 0.0605
2025-05-08 2025-03-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 29,692 -1,946 -6.15 1,846 -14.38 0.0475
2025-01-22 2024-12-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 31,638 -406 -1.27 2,156 4.97 0.0585
2024-11-01 2024-09-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 32,044 -564 -1.73 2,054 5.12 0.0576
2024-08-09 2024-06-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 32,608 -5,005 -13.31 1,955 -17.20 0.0579
2024-05-07 2024-03-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 37,613 -6,124 -14.00 2,361 -12.01 0.0713
2024-02-06 2023-12-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 43,737 -1,630 -3.59 2,683 7.93 0.0891
2023-11-03 2023-09-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 45,367 -1,179 -2.53 2,485 -5.04 0.0973
2023-08-11 2023-06-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 46,546 -1,492 -3.11 2,617 1.55 0.1053
2023-05-09 2023-03-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 48,038 -658 -1.35 2,577 -4.63 0.1118
2023-02-08 2022-12-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 48,696 -1,725 -3.42 2,702 7.18 0.1273
2022-11-03 2022-09-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 50,421 -1,276 -2.47 2,521 -6.87 0.1321
2022-08-02 2022-06-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 51,697 7,249 16.31 2,707 1.08 0.1421
2022-05-13 2022-03-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 44,448 -1,637 -3.55 2,678 -9.13 0.1335
2022-02-14 2021-12-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 46,085 -1,973 -4.11 2,947 2.33 0.1471
2021-11-02 2021-09-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 48,058 606 1.28 2,880 -1.74 0.1640
2021-08-12 2021-06-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 47,452 -1,187 -2.44 2,931 0.21 0.1775
2021-05-17 2021-03-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 48,639 -5,264 -9.77 2,925 13.33 0.2343
2021-02-12 2020-12-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 53,903 -4,933 -8.38 2,581 17.05 0.1968
2020-11-12 2020-09-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 58,836 -3,880 -6.19 2,205 -10.15 0.1884
2020-08-12 2020-06-30 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 62,716 -12,509 -16.63 2,454 4.16 0.2289
2020-05-11 2020-03-31 13F FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 75,225 47,709 173.39 2,356 68.05 0.2575
2020-02-13 2019-12-31 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 27,516 -1,281 -4.45 1,402 6.53 0.1541
2019-11-13 2019-09-30 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 28,797 2,261 8.52 1,316 9.76 0.1593
2019-08-12 2019-06-30 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 26,536 5,791 27.92 1,199 29.48 0.1562
2019-05-13 2019-03-31 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 20,745 5,900 39.74 926 53.82 0.1347
2019-02-13 2018-12-31 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 14,845 4,155 38.87 602 10.05 0.1023
2018-11-13 2018-09-30 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 10,690 0 0.00 547 0.37 0.0970
2018-08-13 2018-06-30 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 10,690 0 0.00 545 7.71 0.1020
2018-05-14 2018-03-31 13F/A-1 FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 10,690 2,760 34.80 506 34.57 0.1000
2018-05-11 2018-03-31 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 10,690 2,760 506
2018-02-12 2017-12-31 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 7,930 2,200 38.39 376 41.89 0.0806
2017-11-13 2017-09-30 13F FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 5,730 5,730 265 0.0612
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.