First Trust 交易所交易基金 III - First Trust 優先證券及收益 ETF
US ˙ ARCA ˙ US33739E1082

SecurityFPE / First Trust Exchange-Traded Fund III - First Trust Preferred Securities and Income ETF
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership410,243 shares
Latest Disclosed Value $ 8,238,000
Commonwealth Equity Services, Inc reports 29.62% increase in ownership of FPE / First Trust Exchange-Traded Fund III - First Trust Preferred Securities and Income ETF

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 410,243 shares of First Trust Exchange-Traded Fund III - First Trust Preferred Securities and Income ETF (US:FPE) valued at $8,237,679 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 316,487 shares of First Trust Exchange-Traded Fund III - First Trust Preferred Securities and Income ETF. This represents a change in shares of 29.62% during the quarter. The current value of the position is $7,347,452 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 EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 410,243 93,756 29.62 8,238 30.08 0.0493
2017-11-07 2017-09-30 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 410,243 93,757 8,237
2018-02-16 2017-06-30 13F/A-1 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 316,487 113,658 56.04 6,333 59.96 0.0402
2017-08-11 2017-06-30 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 316,486 113,657 6,332
2018-02-16 2017-03-31 13F/A-1 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 202,829 66,527 48.81 3,959 52.98 0.0265
2017-05-15 2017-03-31 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 202,829 66,527 3,959
2018-02-16 2016-12-31 13F/A-1 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 136,302 11,783 9.46 2,588 6.33 0.0191
2017-02-01 2016-12-31 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 136,302 11,783 2,588
2016-10-25 2016-09-30 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 124,519 21,530 20.91 2,434 24.25 0.0193
2016-08-04 2016-06-30 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 102,989 1,744 1.72 1,959 3.65 0.0165
2016-04-27 2016-03-31 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 101,245 18,632 22.55 1,890 20.69 0.0168
2016-01-19 2015-12-31 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 82,613 25,766 45.33 1,566 46.90 0.0148
2015-10-27 2015-09-30 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 56,847 18,543 48.41 1,066 46.83 0.0112
2015-07-28 2015-06-30 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 38,304 13,651 55.37 726 53.49 0.0072
2015-04-28 2015-03-31 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 24,653 2,260 10.09 473 12.09 0.0049
2015-01-13 2014-12-31 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 22,393 1,065 4.99 422 4.98 0.0047
2014-10-17 2014-09-30 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 21,328 106 0.50 402 -1.71 0.0049
2014-07-23 2014-06-30 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 21,222 2,617 14.07 409 17.19 0.0050
2014-05-07 2014-03-31 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 18,605 4,896 35.71 349 41.87 0.0048
2014-02-11 2013-12-31 13F FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 13,709 246
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.