First Trust Exchange-Traded AlphaDEX Fund - First Trust Financials AlphaDEX Fund
US ˙ ARCA ˙ US33734X1357

SecurityFXO / First Trust Exchange-Traded AlphaDEX Fund - First Trust Financials AlphaDEX Fund
InstitutionSigma Planning Corp
Latest Disclosed Ownership8,703 shares
Latest Disclosed Value $ 489,033
Sigma Planning Corp reports 77.81% decrease in ownership of FXO / First Trust Exchange-Traded AlphaDEX Fund - First Trust Financials AlphaDEX Fund

On May 4, 2026 - Sigma Planning Corp filed a 13F-HR form disclosing ownership of 8,703 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Financials AlphaDEX Fund (US:FXO) valued at $489,022 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 30, 2026 disclosing 39,213 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Financials AlphaDEX Fund. This represents a change in shares of -77.81% during the quarter. The current value of the position is $503,469 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 FINLS ALPHADEX 33734X135 8,703 -30,510 -77.81 489 -79.33 0.0136
2026-01-30 2025-12-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 39,213 -974 -2.42 2,366 -0.84 0.0653
2025-11-10 2025-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 40,187 31,734 375.42 2,387 404.44 0.0679
2025-08-05 2025-06-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 8,453 927 12.32 474 18.84 0.0142
2025-05-02 2025-03-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7,526 -256 -3.29 399 -5.46 0.0127
2025-02-03 2024-12-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7,782 -90 -1.14 421 4.73 0.0132
2024-11-04 2024-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7,872 -1,926 -19.66 402 -11.26 0.0123
2024-08-06 2024-06-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 9,798 -837 -7.87 454 -10.30 0.0144
2024-05-02 2024-03-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 10,635 2,707 34.14 505 47.23 0.0159
2024-02-01 2023-12-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7,928 -11,724 -59.66 343 -53.84 0.0269
2023-11-06 2023-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 19,652 -1,240 -5.94 743 -5.59 0.0279
2023-08-02 2023-06-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 20,892 -264 -1.25 788 -0.25 0.0283
2023-05-08 2023-03-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 21,156 7,651 56.65 790 42.68 0.0262
2023-01-24 2022-12-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 13,505 2,911 27.48 553 41.79 0.0198
2022-11-10 2022-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 10,594 -285 -2.62 390 -7.80 0.0149
2022-08-11 2022-06-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 10,879 -2,830 -20.64 423 -32.75 0.0147
2022-04-20 2022-03-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 13,709 -85,923 -86.24 629 -86.36 0.0188
2022-02-02 2021-12-31 13F FIRST TR EXCH TRADED FD FINANCIALS ALPHADEX FD ETF 33734X135 99,632 1,785 1.82 4,611 6.49 0.1285
2021-10-28 2021-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 97,847 788 0.81 4,330 2.15 0.1302
2021-08-13 2021-06-30 13F FIRST TR EXCH TRADED FD FINANCIALS ALPHADEX FD ETF 33734X135 97,059 3,071 3.27 4,239 8.41 0.1263
2021-05-06 2021-03-31 13F FIRST TR EXCH TRADED FD FINANCIALS ALPHADEX FD ETF 33734X135 93,988 93,988 3,910 0.1249
2020-11-03 2020-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 0 -8,540 -100.00 0 -100.00
2020-07-31 2020-06-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 8,540 -9,484 -52.62 218 -42.78 0.0096
2020-05-01 2020-03-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 18,024 -63,835 -77.98 381 -86.11 0.0226
2020-02-03 2019-12-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 81,859 61,406 300.23 2,743 321.35 0.1157
2019-11-01 2019-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 20,453 -8,219 -28.67 651 -28.22 0.0312
2019-08-01 2019-06-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 28,672 321 1.13 907 5.71 0.0467
2019-05-01 2019-03-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 28,351 -70 -0.25 858 11.72 0.0487
2019-01-31 2018-12-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 28,421 -5,680 -16.66 768 -29.61 0.0559
2018-11-07 2018-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 34,101 391 1.16 1,091 3.31 0.0641
2018-08-02 2018-06-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 33,710 2,719 8.77 1,056 9.77 0.0707
2018-05-11 2018-03-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 30,991 703 2.32 962 1.37 0.0703
2018-02-07 2017-12-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 30,288 4,061 15.48 949 21.98 0.0731
2017-11-06 2017-09-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 26,227 17,619 204.68 778 216.26 0.0642
2017-08-02 2017-06-30 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 8,608 1,112 14.83 246 18.27 0.0231
2017-04-24 2017-03-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7,496 -272 -3.50 208 -0.95 0.0201
2017-01-23 2016-12-31 13F FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7,768 7,768 210 0.0230
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.