First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Core AlphaDEX Fund
US ˙ NasdaqGM ˙ US33734K1097

SecurityFEX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Core AlphaDEX Fund
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership171,583 shares
Latest Disclosed Value $ 9,420,000
Commonwealth Equity Services, Inc reports 4.74% increase in ownership of FEX / First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Core AlphaDEX Fund

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 171,583 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Core AlphaDEX Fund (US:FEX) valued at $9,419,907 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 163,811 shares of First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Core AlphaDEX Fund. This represents a change in shares of 4.74% during the quarter. The current value of the position is $22,977,932 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 LRGE CP CORE ALPHA COM SHS 33734K109 171,583 7,772 4.74 9,420 8.18 0.0564
2017-11-07 2017-09-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 171,583 7,773 9,419
2018-02-16 2017-06-30 13F/A-1 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 163,811 32,323 24.58 8,708 28.30 0.0553
2017-08-11 2017-06-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 163,810 32,322 8,708
2018-02-16 2017-03-31 13F/A-1 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 131,488 6,277 5.01 6,787 11.13 0.0454
2017-05-15 2017-03-31 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 131,488 6,277 6,787
2018-02-16 2016-12-31 13F/A-1 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 125,211 5,868 4.92 6,107 9.48 0.0451
2017-02-01 2016-12-31 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 125,211 5,868 6,107
2016-10-25 2016-09-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 119,343 -89 -0.07 5,578 3.68 0.0443
2016-08-04 2016-06-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 119,432 -600 -0.50 5,380 0.47 0.0454
2016-04-27 2016-03-31 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 120,032 5,476 4.78 5,355 8.05 0.0477
2016-01-19 2015-12-31 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 114,556 5,294 4.85 4,956 8.47 0.0469
2015-10-27 2015-09-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 109,262 -17,925 -14.09 4,569 -21.63 0.0481
2015-07-28 2015-06-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 127,187 7,500 6.27 5,830 4.57 0.0579
2015-04-28 2015-03-31 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 119,687 30,927 34.84 5,575 37.65 0.0579
2015-01-13 2014-12-31 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 88,760 34,352 63.14 4,050 71.10 0.0454
2014-10-17 2014-09-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 54,408 5,075 10.29 2,367 8.28 0.0288
2014-07-23 2014-06-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 49,333 105 0.21 2,186 5.45 0.0266
2014-05-07 2014-03-31 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 49,228 2,495 5.34 2,073 7.69 0.0286
2014-02-11 2013-12-31 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 46,733 1,458 3.22 1,925 13.37 0.0280
2013-11-04 2013-09-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 45,275 -4,451 -8.95 1,698 -3.03 0.0276
2013-07-29 2013-06-30 13F FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 49,726 1,751
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.