First Trust Exchange-Traded AlphaDEX Fund - First Trust 미드캡 코어 AlphaDEX 펀드
US ˙ NasdaqGM ˙ US33735B1089

SecurityFNX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Mid Cap Core AlphaDEX Fund
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership69,280 shares
Latest Disclosed Value $ 4,286,000
Commonwealth Equity Services, Inc reports 4.12% decrease in ownership of FNX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Mid Cap Core AlphaDEX Fund

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 69,280 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Mid Cap Core AlphaDEX Fund (US:FNX) valued at $4,286,354 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 72,260 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Mid Cap Core AlphaDEX Fund. This represents a change in shares of -4.12% during the quarter. The current value of the position is $9,629,227 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 MID CAP CORE ALPHAD COM SHS 33735B108 69,280 -2,980 -4.12 4,286 0.21 0.0256
2017-11-07 2017-09-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 69,279 -2,980 4,286
2018-02-16 2017-06-30 13F/A-1 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 72,260 1,230 1.73 4,277 3.01 0.0272
2017-08-11 2017-06-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 72,259 1,229 4,277
2018-02-16 2017-03-31 13F/A-1 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 71,030 3,218 4.75 4,152 8.58 0.0278
2017-05-15 2017-03-31 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 71,030 3,218 4,152
2018-02-16 2016-12-31 13F/A-1 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 67,812 -2,127 -3.04 3,824 3.49 0.0282
2017-02-01 2016-12-31 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 67,812 -2,127 3,824
2016-10-25 2016-09-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 69,939 -1,985 -2.76 3,695 1.68 0.0293
2016-08-04 2016-06-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 71,924 20,205 39.07 3,634 41.57 0.0306
2016-04-27 2016-03-31 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 51,719 -7,576 -12.78 2,567 -9.93 0.0229
2016-01-19 2015-12-31 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 59,295 662 1.13 2,850 1.06 0.0270
2015-10-27 2015-09-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 58,633 -691 -1.16 2,820 -11.79 0.0297
2015-07-28 2015-06-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 59,324 2,429 4.27 3,197 2.96 0.0318
2015-04-28 2015-03-31 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 56,895 3,801 7.16 3,105 10.70 0.0322
2015-01-13 2014-12-31 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 53,094 6,343 13.57 2,805 19.51 0.0314
2014-10-17 2014-09-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 46,751 1,308 2.88 2,347 -3.38 0.0285
2014-07-23 2014-06-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 45,443 2,138 4.94 2,429 8.97 0.0296
2014-05-07 2014-03-31 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 43,305 3,820 9.67 2,229 11.90 0.0308
2014-02-11 2013-12-31 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 39,485 4,698 13.51 1,992 24.89 0.0289
2013-11-04 2013-09-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 34,787 7,338 26.73 1,595 37.50 0.0259
2013-07-29 2013-06-30 13F FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 27,449 27,449 1,160 0.0205
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.