First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund
MX ˙ BMV ˙ US33737M3007
SecurityMX:FYC / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund
InstitutionUBS Group AG
Latest Disclosed Ownership174,614 shares
Latest Disclosed Value $ 16,934,066
UBS Group AG reports 107.24% increase in ownership of FYC / First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund

On May 5, 2026 - UBS Group AG filed a 13F-HR form disclosing ownership of 174,614 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund (MX:FYC) valued at $16,934,066 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 29, 2026 disclosing 84,256 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Small Cap Growth AlphaDEX Fund. This represents a change in shares of 107.24% during the quarter.

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)
2026-05-05 2026-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 174,614 90,358 107.24 16,934 109.11 0.0005
2026-01-29 2025-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 84,256 27,941 49.62 8,099 58.54 0.0013
2025-11-13 2025-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 56,315 18,866 50.38 5,109 71.41 0.0008
2025-08-14 2025-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 37,449 -938 -2.44 2,980 12.84 0.0005
2025-05-13 2025-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 38,387 -140 -0.36 2,641 -11.46 0.0005
2025-02-14 2024-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 38,527 4,262 12.44 2,983 17.07 0.0006
2024-11-14 2024-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 34,265 -328 -0.95 2,548 11.80 0.0006
2024-08-14 2024-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 34,593 2,877 9.07 2,279 9.41 0.0006
2024-05-13 2024-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 31,716 -157 -0.49 2,084 3.89 0.0005
2024-02-09 2023-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 31,873 -4,599 -12.61 2,005 -2.43 0.0006
2023-11-09 2023-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 36,472 11,158 44.08 2,056 34.84 0.0007
2023-08-11 2023-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 25,314 -1,649 -6.12 1,524 -2.25 0.0005
2023-05-12 2023-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 26,963 -3,163 -10.50 1,560 -6.37 0.0006
2023-02-08 2022-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 30,126 2,866 10.51 1,665 13.34 0.0006
2022-11-10 2022-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 27,260 -26,574 -49.36 1,469 -49.62 0.0006
2022-08-10 2022-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 53,834 -7,853 -12.73 2,916 -30.83 0.0012
2022-05-16 2022-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 61,687 -2,634 -4.10 4,216 -12.08 0.0014
2022-02-14 2021-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 64,321 -736 -1.13 4,795 2.96 0.0014
2021-11-15 2021-09-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 65,057 -3,332 -4.87 4,657 -7.08 0.0015
2021-08-13 2021-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 68,389 -22,000 -24.34 5,012 -20.41 0.0016
2021-05-12 2021-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 90,389 32,560 56.30 6,297 76.53 0.0021
2021-02-11 2020-12-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 57,829 14,638 33.89 3,567 74.77 0.0012
2020-11-12 2020-09-30 13F FIRST TR EXCH TRD ALPHDX FD SML CP GRW ALP 33737M300 43,191 -1,436 -3.22 2,041 7.82 0.0008
2020-07-31 2020-06-30 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 44,627 79 0.18 1,893 30.28 0.0008
2020-05-01 2020-03-31 13F FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 44,548 -111,102 -71.38 1,453 -80.00 0.0007
2020-02-14 2019-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 155,650 -13,091 -7.76 7,264 -1.88 0.0025
2019-11-14 2019-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 168,741 -47,529 -21.98 7,403 -26.47 0.0028
2019-08-14 2019-06-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 216,270 -23,253 -9.71 10,068 -8.94 0.0039
2019-05-14 2019-03-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 239,523 35,039 17.14 11,056 34.76 0.0046
2019-02-14 2018-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 204,484 -61,602 -23.15 8,204 -41.07 0.0037
2018-11-14 2018-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 266,086 64,876 32.24 13,922 42.60 0.0055
2018-08-14 2018-06-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 201,210 56,777 39.31 9,763 55.81 0.0042
2018-05-15 2018-03-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 144,433 -5,290 -3.53 6,266 -1.56 0.0027
2018-02-14 2017-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 149,723 86,153 135.52 6,365 143.03 0.0026
2017-11-14 2017-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 63,570 1,710 2.76 2,619 10.04 0.0012
2017-11-14 2017-06-30 13F/A-1 FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 61,860 713 1.17 2,380 6.82 0.0012
2017-08-14 2017-06-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 61,860 2,380
2017-11-14 2017-03-31 13F/A-1 FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 61,147 4,117 7.22 2,228 12.87 0.0012
2017-05-12 2017-03-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 61,147 2,228
2017-02-14 2016-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 57,030 108 0.19 1,974 2.55 0.0011
2016-11-14 2016-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 56,922 53,922 1,797.40 1,925 1,947.87 0.0011
2016-08-12 2016-06-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 3,000 130 4.53 94 8.05 0.0001
2016-05-12 2016-03-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 2,870 -96,071 -97.10 87 -97.12 0.0001
2016-02-16 2015-12-31 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 98,941 88,049 808.38 3,018 849.06 0.0020
2015-11-13 2015-09-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 10,892 -21,853 -66.74 318 -69.45 0.0002
2015-08-14 2015-06-30 13F FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 32,745 32,745 1,041 0.0007
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.