First Trust 상장지수펀드 IV - First Trust 선순위 대출 펀드
US ˙ NasdaqGM ˙ US33738D3098

SecurityFTSL / First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund
InstitutionNEXT Financial Group, Inc
Latest Disclosed Ownership11,481 shares
Latest Disclosed Value $ 550,000
NEXT Financial Group, Inc reports 38.98% increase in ownership of FTSL / First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund

On February 15, 2022 - NEXT Financial Group, Inc filed a 13F-HR form disclosing ownership of 11,481 shares of First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund (US:FTSL) valued at $550,170 USD as of December 31, 2021. The entity filed a previous 13F-HR on October 15, 2021 disclosing 8,261 shares of First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund. This represents a change in shares of 38.98% during the quarter. The current value of the position is $516,071 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 EXCHANGE-TRADED FD SENIOR LN FD 33738D309 11,481 3,220 38.98 550 39.24 0.0362
2021-10-15 2021-09-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 8,261 -15,058 -64.57 395 -64.70 0.0308
2021-07-13 2021-06-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 23,319 16,476 240.77 1,119 241.16 0.0896
2021-04-16 2021-03-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 6,843 3,150 85.30 328 87.43 0.0291
2021-02-05 2020-12-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 3,693 122 3.42 175 6.71 0.0168
2020-10-22 2020-09-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 3,571 -4,582 -56.20 164 -55.43 0.0177
2020-07-24 2020-06-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 8,153 -2,974 -26.73 368 -20.86 0.0429
2020-04-27 2020-03-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 11,127 308 2.85 465 -10.40 0.0599
2020-01-21 2019-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 10,819 26 0.24 519 1.37 0.0536
2019-10-17 2019-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 10,793 -488 -4.33 512 -3.58 0.0556
2019-07-16 2019-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 11,281 8,654 329.43 531 328.23 0.0569
2019-07-16 2019-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 2,627 -5,832 -68.94 124 -67.79 0.0314
2019-02-11 2018-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 8,459 8,459 222.00 385 210.48 0.0800
2018-08-10 2018-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 0 -7,882 -100.00 0 -100.00
2018-05-16 2018-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 7,882 7,882 379 0.0799
2017-11-08 2017-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 0 -125 -100.00 0 -100.00
2017-07-12 2017-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 125 -297 -70.38 6 -70.00 0.0015
2017-05-08 2017-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 422 -2,659 -86.30 20 -86.67 0.0056
2017-02-02 2016-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 3,081 1,972 177.82 150 177.78 0.0263
2016-11-01 2016-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1,109 694 167.23 54 184.21 0.0097
2016-07-07 2016-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 415 0 0.00 19 0.00 0.0060
2016-04-20 2016-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 415 -400 -49.08 19 -50.00 0.0067
2016-02-02 2015-12-31 13F/A-1 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 815 715 715.00 38 850.00 0.0142
2016-02-02 2015-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 815 38
2015-10-20 2015-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 100 0 0.00 4 0.00 0.0014
2015-07-29 2015-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 100 0 0.00 4 0.00 0.0014
2015-04-15 2015-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 100 -4,555 -97.85 4 -98.23 0.0013
2015-02-10 2014-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 4,655 4,555 4,555.00 226 4,420.00 0.0751
2015-02-10 2014-09-30 13F/A-1 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 100 0 0.00 5 0.00 0.0010
2014-10-23 2014-09-30 13F FIRST TR EXCHANGE-TRADED FD IV SENIOR LN FD COM 33738D309 100 5
2014-08-14 2014-06-30 13F FIRST TREXCHANGE-TRADED FDIV SENIOR LN FD ETF 33738D309 100 100 5 0.0026
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.