First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund
US ˙ NasdaqGM ˙ US33734Y1091

SecurityFYX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund
InstitutionBb&t Securities, Llc
Latest Disclosed Ownership35,960 shares
Latest Disclosed Value $ 2,158,000
Bb&t Securities, Llc reports 5.52% increase in ownership of FYX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund

On October 30, 2019 - Bb&t Securities, Llc filed a 13F-HR form disclosing ownership of 35,960 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund (US:FYX) valued at $2,160,117 USD as of September 30, 2019. The entity filed a previous 13F-HR on August 7, 2019 disclosing 34,078 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Core AlphaDEX Fund. This represents a change in shares of 5.52% during the quarter. The current value of the position is $4,786,783 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 SML CP CORE ALPHA F COM SHS 33734Y109 35,960 1,882 5.52 2,158 3.01 0.0197
2019-08-07 2019-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 34,078 2,668 8.49 2,095 8.16 0.0191
2019-05-14 2019-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 31,410 21,647 221.72 1,937 266.86 0.0187
2019-02-04 2018-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 9,763 -222,283 -95.79 528 -96.70 0.0058
2018-11-14 2018-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 232,046 171,650 284.21 16,001 301.33 0.1578
2018-08-13 2018-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 60,396 55,786 1,210.11 3,987 1,339.35 0.0425
2018-05-14 2018-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,610 328 7.66 277 6.13 0.0031
2018-02-15 2017-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,282 255 6.33 261 10.13 0.0034
2017-11-13 2017-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,027 19 0.47 237 6.76 0.0032
2017-08-04 2017-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 4,008 4,008 0.00 222 0.0032
2017-05-11 2017-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 0 -6,720 -100.00 0 -100.00
2017-02-07 2016-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 6,720 0 0.00 334 0.00 0.0049
2016-11-09 2016-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 6,720 -7,144 -51.53 334 -47.65 0.0050
2016-08-04 2016-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 13,864 -1,257 -8.31 638 -6.31 0.0099
2016-05-12 2016-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 15,121 -5,253 -25.78 681 -24.33 0.0112
2016-01-15 2015-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 20,374 -10,172 -33.30 900 -32.63 0.0188
2015-10-20 2015-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 30,546 -4,552 -12.97 1,336 -23.83 0.0294
2015-07-21 2015-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 35,098 -2,118 -5.69 1,754 -90.68 0.0372
2015-04-17 2015-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 37,216 29,570 386.74 18,816 402.30 0.0412
2015-01-22 2014-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 7,646 -5,480 -41.75 3,746 -36.40 0.0084
2014-10-21 2014-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 13,126 258 2.00 5,890 -6.83 0.0138
2014-07-11 2014-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 12,868 -516 -3.86 6,322 -3.02 0.0151
2014-04-15 2014-03-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 13,384 269 2.05 6,519 2.16 0.0169
2014-01-27 2013-12-31 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 13,115 -1,132 -7.95 6,381 2.23 0.0176
2013-10-16 2013-09-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 14,247 -6,996 -32.93 6,242 -25.66 0.0193
2013-07-12 2013-06-30 13F FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 21,243 21,243 8,397 0.0274
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.