First Trust 交易所交易 AlphaDEX 基金 - First Trust 中型價值 AlphaDEX 基金
US ˙ NasdaqGM ˙ US33737M2017

SecurityFNK / First Trust Exchange-Traded AlphaDEX Fund - First Trust Mid Cap Value AlphaDEX Fund
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership20,936 shares
Latest Disclosed Value $ 721,000
Commonwealth Equity Services, Inc reports 4.35% decrease in ownership of FNK / First Trust Exchange-Traded AlphaDEX Fund - First Trust Mid Cap Value AlphaDEX Fund

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 20,936 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Mid Cap Value AlphaDEX Fund (US:FNK) valued at $721,000 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 21,888 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Mid Cap Value AlphaDEX Fund. This represents a change in shares of -4.35% during the quarter. The current value of the position is $1,248,412 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 EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 20,936 -952 -4.35 721 -1.23 0.0043
2017-11-07 2017-09-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 20,936 153 720
2018-02-16 2017-06-30 13F/A-1 FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 21,888 -37,683 -63.26 730 -63.35 0.0046
2017-08-11 2017-06-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 20,783 -38,788 694
2018-02-16 2017-03-31 13F/A-1 FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 59,571 41,055 221.73 1,992 226.56 0.0133
2017-05-15 2017-03-31 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 59,571 41,055 1,992
2018-02-16 2016-12-31 13F/A-1 FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 18,516 -443 -2.34 610 8.16 0.0045
2017-02-01 2016-12-31 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 18,516 610
2016-10-25 2016-09-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 18,959 -56 -0.29 564 6.21 0.0045
2016-08-04 2016-06-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 19,015 -536 -2.74 531 -3.63 0.0045
2016-04-27 2016-03-31 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 19,551 -337 -1.69 551 4.75 0.0049
2016-01-19 2015-12-31 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 19,888 -2,096 -9.53 526 -11.15 0.0050
2015-10-27 2015-09-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 21,984 948 4.51 592 -8.64 0.0062
2015-07-28 2015-06-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 21,036 1,797 9.34 648 8.18 0.0064
2015-04-28 2015-03-31 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 19,239 1,029 5.65 599 6.21 0.0062
2015-01-13 2014-12-31 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 18,210 629 3.58 564 7.84 0.0063
2014-10-17 2014-09-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 17,581 1,498 9.31 523 1.36 0.0064
2014-07-23 2014-06-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 16,083 397 2.53 516 7.72 0.0063
2014-05-07 2014-03-31 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 15,686 2,313 17.30 479 20.96 0.0066
2014-02-11 2013-12-31 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 13,373 106 0.80 396 10.92 0.0058
2013-11-04 2013-09-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 13,267 2,333 21.34 357 30.77 0.0058
2013-07-29 2013-06-30 13F FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 10,934 273
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.