First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund
US ˙ ARCA ˙ US33734X1845

SecurityFXU / First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund
InstitutionBb&t Securities, Llc
Latest Disclosed Ownership122,452 shares
Latest Disclosed Value $ 3,630,000
Bb&t Securities, Llc reports 35.81% decrease in ownership of FXU / First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund

On October 30, 2019 - Bb&t Securities, Llc filed a 13F-HR form disclosing ownership of 122,452 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund (US:FXU) valued at $3,630,702 USD as of September 30, 2019. The entity filed a previous 13F-HR on August 7, 2019 disclosing 190,770 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Utilities AlphaDEX Fund. This represents a change in shares of -35.81% during the quarter. The current value of the position is $5,934,024 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)
2019-10-30 2019-09-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 122,452 -68,318 -35.81 3,630 -33.72 0.0332
2019-08-07 2019-06-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 190,770 97,705 104.99 5,477 108.17 0.0499
2019-05-14 2019-03-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 93,065 -19,884 -17.60 2,631 -13.00 0.0254
2019-02-04 2018-12-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 112,949 5,700 5.31 3,024 2.30 0.0335
2018-11-14 2018-09-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 107,249 -19,666 -15.50 2,956 -11.02 0.0291
2018-08-13 2018-06-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 126,915 -6,470 -4.85 3,322 -1.77 0.0354
2018-05-14 2018-03-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 133,385 -2,602 -1.91 3,382 -4.41 0.0383
2018-02-15 2017-12-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 135,987 -381,138 -73.70 3,538 -74.68 0.0460
2017-11-13 2017-09-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 517,125 329,484 175.59 13,972 174.07 0.1900
2017-08-04 2017-06-30 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 187,641 41,475 28.38 5,098 27.35 0.0739
2017-05-11 2017-03-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 146,166 -95,381 -39.49 4,003 -36.08 0.0546
2017-02-07 2016-12-31 13F FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 241,547 0 0.00 6,263 0.00 0.0910
2016-11-09 2016-09-30 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 241,547 -5,433 -2.20 6,263 -6.17 0.0932
2016-08-04 2016-06-30 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 246,980 132,101 114.99 6,675 123.69 0.1033
2016-05-12 2016-03-31 13F FIRST TR EXCHANGE TRADED FD UTILITIES ALP 33734X184 114,879 114,879 0.00 2,984 0.0489
2016-01-15 2015-12-31 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 0 0 0 0.0000
2015-10-20 2015-09-30 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 0 0 0 0.0000
2015-07-21 2015-06-30 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 0 -11,339 -100.00 0 -100.00
2015-04-17 2015-03-31 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 11,339 -225,721 -95.22 2,680 -95.46 0.0059
2015-01-22 2014-12-31 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 237,060 237,060 0.00 58,980 0.1328
2014-10-21 2014-09-30 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 0 -170,321 -100.00 0 -100.00
2014-07-11 2014-06-30 13F * FIRST TR EXCHANGE TRADED UTILITIES ALP 33734X184 170,321 170,321 40,638 0.0968
2014-01-27 2013-12-31 13F * FIRST TR EXCHANGE TR UTILITIES ALP 33734X184 0 -119,758 -100.00 0 -100.00
2013-10-16 2013-09-30 13F * FIRST TR EXCHANGE TR UTILITIES ALP 33734X184 119,758 62,793 110.23 23,831 111.40 0.0738
2013-07-12 2013-06-30 13F * FIRST TR EXCHANGE TRA UTILITIES ALP 33734X184 56,965 56,965 11,273 0.0368
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.