First Trust Exchange-Traded AlphaDEX Fund - First Trust Health Care AlphaDEX Fund
US ˙ ARCA ˙ US33734X1431

SecurityFXH / First Trust Exchange-Traded AlphaDEX Fund - First Trust Health Care AlphaDEX Fund
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership64,441 shares
Latest Disclosed Value $ 4,345,000
Commonwealth Equity Services, Inc reports 10.48% increase in ownership of FXH / First Trust Exchange-Traded AlphaDEX Fund - First Trust Health Care AlphaDEX Fund

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 64,441 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Health Care AlphaDEX Fund (US:FXH) valued at $4,344,612 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 58,330 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Health Care AlphaDEX Fund. This represents a change in shares of 10.48% during the quarter. The current value of the position is $7,515,071 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)
2018-02-16 2017-09-30 13F/A-1 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 64,441 6,111 10.48 4,345 11.41 0.0260
2017-11-07 2017-09-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 64,441 6,111 4,344
2018-02-16 2017-06-30 13F/A-1 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 58,330 3,938 7.24 3,900 14.87 0.0248
2017-08-11 2017-06-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 58,330 3,938 3,899
2018-02-16 2017-03-31 13F/A-1 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 54,392 5,663 11.62 3,395 21.60 0.0227
2017-05-15 2017-03-31 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 54,392 5,663 3,395
2018-02-16 2016-12-31 13F/A-1 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 48,729 -3,014 -5.82 2,792 -11.34 0.0206
2017-02-01 2016-12-31 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 48,729 -3,014 2,792
2016-10-25 2016-09-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 51,743 -5,535 -9.66 3,149 -6.72 0.0250
2016-08-04 2016-06-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 57,278 -4,141 -6.74 3,376 -1.37 0.0285
2016-04-27 2016-03-31 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 61,419 -253,876 -80.52 3,423 -82.04 0.0305
2016-01-19 2015-12-31 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 315,295 -21,548 -6.40 19,060 -2.77 0.1805
2015-10-27 2015-09-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 336,843 -23,688 -6.57 19,604 -21.02 0.2064
2015-07-28 2015-06-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 360,531 46,895 14.95 24,823 18.09 0.2467
2015-04-28 2015-03-31 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 313,636 43,369 16.05 21,020 29.00 0.2182
2015-01-13 2014-12-31 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 270,267 42,845 18.84 16,294 28.42 0.1826
2014-10-17 2014-09-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 227,422 7,420 3.37 12,688 8.26 0.1542
2014-07-23 2014-06-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 220,002 -26,367 -10.70 11,720 -6.61 0.1426
2014-05-07 2014-03-31 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 246,369 76,282 44.85 12,550 53.50 0.1733
2014-02-11 2013-12-31 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 170,087 56,602 49.88 8,176 66.31 0.1187
2013-11-04 2013-09-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 113,485 45,937 68.01 4,916 83.30 0.0798
2013-07-29 2013-06-30 13F FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 67,548 2,682
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.