First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Value AlphaDEX Fund
US ˙ NasdaqGM ˙ US33735J1016

SecurityFTA / First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Value AlphaDEX Fund
InstitutionNEXT Financial Group, Inc
Latest Disclosed Ownership7,930 shares
Latest Disclosed Value $ 554,000
NEXT Financial Group, Inc reports 31.95% increase in ownership of FTA / First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Value AlphaDEX Fund

On February 15, 2022 - NEXT Financial Group, Inc filed a 13F-HR form disclosing ownership of 7,930 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Value AlphaDEX Fund (US:FTA) valued at $554,148 USD as of December 31, 2021. The entity filed a previous 13F-HR on October 15, 2021 disclosing 6,010 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Value AlphaDEX Fund. This represents a change in shares of 31.95% during the quarter. The current value of the position is $762,715 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)
2022-02-15 2021-12-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 7,930 1,920 31.95 554 43.15 0.0247
2021-10-15 2021-09-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 6,010 436 7.82 387 6.03 0.0302
2021-07-13 2021-06-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 5,574 1,169 26.54 365 29.89 0.0292
2021-04-16 2021-03-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 4,405 -264 -5.65 281 9.34 0.0250
2021-02-05 2020-12-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 4,669 -822 -14.97 257 0.39 0.0246
2020-10-22 2020-09-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 5,491 5,491 256 0.0276
2020-07-23 2020-06-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 0 -336 -100.00 0 -100.00
2020-04-27 2020-03-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 336 -549 -62.03 12 -76.00 0.0015
2020-01-21 2019-12-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 885 109 14.05 50 25.00 0.0052
2019-10-17 2019-09-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 776 0 0.00 40 0.00 0.0043
2019-07-16 2019-06-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 776 776 40 0.0043
2019-07-16 2019-03-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 0 -1,048 -100.00 0 -100.00
2019-02-11 2018-12-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1,048 648 162.00 48 118.18 0.0100
2018-10-09 2018-09-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 400 400 22 0.0102
2018-01-16 2017-12-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 0 -1,410 -100.00 0 -100.00
2017-11-08 2017-09-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1,410 0 0.00 73 2.82 0.0203
2017-07-12 2017-06-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1,410 -215 -13.23 71 -12.35 0.0174
2017-05-08 2017-03-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1,625 -3,958 -70.89 81 -69.08 0.0225
2017-02-02 2016-12-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 5,583 214 3.99 262 14.41 0.0460
2016-11-01 2016-09-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 5,369 2,447 83.74 229 97.41 0.0413
2016-07-07 2016-06-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2,922 0 0.00 116 -1.69 0.0368
2016-04-20 2016-03-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2,922 0 0.00 118 5.36 0.0416
2016-02-02 2015-12-31 13F/A-1 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2,922 0 0.00 112 1.82 0.0417
2016-02-02 2015-12-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2,922 112
2015-10-20 2015-09-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2,922 600 25.84 110 12.24 0.0394
2015-07-29 2015-06-30 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2,322 1,482 176.43 98 172.22 0.0338
2015-04-15 2015-03-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 840 0 0.00 36 -2.70 0.0116
2015-02-10 2014-12-31 13F FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 840 -238 -22.08 37 -19.57 0.0123
2015-02-10 2014-09-30 13F/A-1 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1,078 -308 -22.22 46 -22.03 0.0092
2014-10-23 2014-09-30 13F FIRST TR LARGE CAP VALUE ALPHADEX FD COM SHS COM 33735J101 1,078 46
2014-08-14 2014-06-30 13F FIRST TR LARGE CAPVALUE ALPHADEX FDCOM SHS ETF 33735J101 1,386 1,386 59 0.0308
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.