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Livermore
Livermore
ZHEN

First Trust Advisors LP

SEC CIK
0001125816
Latest filing
Aug 11, 2026

Holdings in Q2 2021

Holdings as of Jun 30, 2021, filed Oct 12, 2021. Long positions only; changes compare share counts with Q1 2021.

Institution overview
Positions
2,469
+62 vs. Q1 2021
Portfolio value
$92.4B
+$9.80B (+11.9%) vs. Q1 2021
Filed
Oct 12, 2021
AmendedSEC
Holdings of First Trust Advisors LP in Q2 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
HAFCHanmi Financial CorpCOM NEW15,917$303.0K<0.1%+930+6.2%AddedHistory
CASSCass Information Systems IncCOM7,468$304.0K<0.1%+464+6.6%AddedHistory
MSBIMidland States Bancorp, Inc.COM11,598$305.0K<0.1%+758+7.0%AddedHistory
PGCPeapack Gladstone Financial CorpCOM9,871$307.0K<0.1%+656+7.1%AddedHistory
CABACabaletta Bio, Inc.COM35,952$309.0K<0.1%−243−0.7%ReducedHistory
SPDR Series Trust78464A284ST NUVE HIGH ETF5,269$320.0K<0.1%+34+0.6%Added–
LBCLuther Burbank CorpCOM27,077$321.0K<0.1%+27,077NewHistory
AMTBAmerant Bancorp Inc.CL A15,039$322.0K<0.1%+15,039NewHistory
SHOSunstone Hotel Investors, Inc.COM26,234$326.0K<0.1%+3,093+13.4%AddedHistory
MHFWestern Asset Municipal High Income Fund Inc.COM38,540$326.0K<0.1%+2,371+6.6%AddedHistory
PTNPalatin Technologies IncCOM PAR $ .01537,351$328.0K<0.1%−19,349−3.5%ReducedHistory
TVTXTravere Therapeutics, Inc.COM22,761$332.0K<0.1%−90,087−79.8%ReducedHistory
Via Renewables, Inc.846511103CL A COM29,338$332.0K<0.1%−1,059−3.5%Reduced–
TRSTTrustco Bank Corp N YCOM NEW10,002$344.0K<0.1%+617+6.6%AddedConverted for a 1-for-5 splitHistory
NGVCNatural Grocers by Vitamin Cottage, Inc.COM32,142$345.0K<0.1%−1,115−3.4%ReducedHistory
FFICFlushing Financial CorpCOM16,112$345.0K<0.1%+2,320+16.8%AddedHistory
HTBKHeritage Commerce CorpCOM31,168$347.0K<0.1%+2,012+6.9%AddedHistory
STELStellar Bancorp, Inc.COM12,754$348.0K<0.1%+786+6.6%AddedHistory
NBSENeuBase Therapeutics, Inc.COM73,098$350.0K<0.1%+19,441+36.2%AddedHistory
QUADQuad/Graphics, Inc.COM CL A84,572$351.0K<0.1%−4,302−4.8%ReducedHistory
TSCTriState Capital Holdings, Inc.COM17,195$351.0K<0.1%+1,108+6.9%AddedHistory
FMBHFirst Mid Bancshares, Inc.COM8,679$352.0K<0.1%+534+6.6%AddedHistory
AXIAYAXIA Energia S.A.SPONSORED ADR41,017$355.0K<0.1%−20,378−33.2%ReducedHistory
MRCMRC Global Inc.COM37,898$356.0K<0.1%−5,208−12.1%ReducedHistory
TFFPTFF Pharmaceuticals, Inc.COM37,350$359.0K<0.1%+6,364+20.5%AddedHistory
MODModine Manufacturing CoCOM21,775$361.0K<0.1%−483−2.2%ReducedHistory
SPDR Series Trust78464A516ST INTL BBG ETF12,283$361.0K<0.1%+473+4.0%Added–
NICNicolet Bankshares IncCOM5,163$363.0K<0.1%+306+6.3%AddedHistory
GNPXGenprex, Inc.COM108,228$363.0K<0.1%−3,698−3.3%ReducedHistory
HSIIHeidrick & Struggles International IncCOM8,153$363.0K<0.1%+1,528+23.1%AddedHistory
CALACalithera Biosciences, Inc.COM174,841$365.0K<0.1%+2,226+1.3%AddedHistory
CFBCrossfirst Bankshares, Inc.COM26,748$368.0K<0.1%+1,616+6.4%AddedHistory
CACCamden National CorpCOM7,748$370.0K<0.1%+489+6.7%AddedHistory
CTBICommunity Trust Bancorp IncCOM9,247$373.0K<0.1%+572+6.6%AddedHistory
UTGReaves Utility Income FundCOM SH BEN INT10,926$375.0K<0.1%+863+8.6%AddedHistory
PDOPIMCO Dynamic Income Opportunities FundCOM BEN SHS16,308$378.0K<0.1%+719+4.6%AddedHistory
CFRXCONTRAFECT CorpCOM NEW86,881$382.0K<0.1%+23,238+36.5%AddedHistory
GSBCGreat Southern Bancorp, Inc.COM7,112$383.0K<0.1%+375+5.6%AddedHistory
Overseas Shipholding Group Inc69036R863CL A NEW183,048$383.0K<0.1%−5,454−2.9%Reduced–
CMLSQCumulus Media IncCOM CL A26,241$384.0K<0.1%00.0%UnchangedHistory
NGMNGM Biopharmaceuticals IncCOM19,551$386.0K<0.1%−81,995−80.7%ReducedHistory
RVMDRevolution Medicines, Inc.COM12,387$393.0K<0.1%−212,354−94.5%ReducedHistory
CHMICherry Hill Mortgage Investment CorpCOM40,360$398.0K<0.1%−1,418−3.4%ReducedHistory
RCLRoyal Caribbean Cruises LtdCOM4,718$402.0K<0.1%−836−15.1%ReducedHistory
UVSPUnivest Financial CorpCOM15,235$402.0K<0.1%+969+6.8%AddedHistory
ABTXAllegiance Bancshares, Inc.COM10,466$402.0K<0.1%+516+5.2%AddedHistory
ALSKAlaska Communications Systems Group IncCOM120,879$403.0K<0.1%−4,360−3.5%ReducedHistory
HQLabrdn Life Sciences InvestorsSH BEN INT18,959$406.0K<0.1%+675+3.7%AddedHistory
ATNMActinium Pharmaceuticals, Inc.COM51,273$406.0K<0.1%+15,532+43.5%AddedHistory
EOIEaton Vance Enhanced Equity Income FundCOM21,857$406.0K<0.1%+587+2.8%AddedHistory
KLDOKaleido Biosciences, Inc.COM55,056$410.0K<0.1%−259−0.5%ReducedHistory
LVSLas Vegas Sands CorpCOM7,794$411.0K<0.1%−40−0.5%ReducedHistory
Rada Electr Inds LtdM81863124COM PAR NEW33,742$411.0K<0.1%+8,508+33.7%Added–
WLKPWestlake Chemical Partners LPCOM UNIT RP LP20,116$412.0K<0.1%+20,116NewHistory
VPVInvesco Pennsylvania Value Municipal Income TrustCOM30,819$412.0K<0.1%+1,978+6.9%AddedHistory
ORNOrion Group Holdings IncCOM71,901$413.0K<0.1%−2,617−3.5%ReducedHistory
PLAYDave & Buster's Entertainment, Inc.COM10,434$424.0K<0.1%+915+9.6%AddedHistory
Nuveen Intermediate Duration Quality Municipal Term Fund670677103COM28,364$425.0K<0.1%+1,533+5.7%Added–
MSGSMadison Square Garden Sports Corp.CL A2,486$429.0K<0.1%+547+28.2%AddedHistory
OVIDOvid Therapeutics Inc.COM110,180$431.0K<0.1%+3,384+3.2%AddedHistory
DENNDENNY'S CorpCOM26,114$431.0K<0.1%+3,766+16.9%AddedHistory
ESTEEarthstone Energy IncCL A39,310$435.0K<0.1%+39,310NewHistory
BNLBroadstone Net Lease, Inc.COM18,651$437.0K<0.1%+18,651NewHistory
RUTHRuths Hospitality Group, Inc.COM19,085$440.0K<0.1%+1,825+10.6%AddedHistory
HHyatt Hotels CorpCOM CL A5,675$441.0K<0.1%−62,891−91.7%ReducedHistory
RBCAARepublic Bancorp IncCL A9,642$445.0K<0.1%+559+6.2%AddedHistory
LAKELakeland Industries IncCOM20,380$455.0K<0.1%−717−3.4%ReducedHistory
iShares Tr464288158SHRT NAT MUN ETF4,237$457.0K<0.1%+78+1.9%Added–
LBAILakeland Bancorp IncCOM26,240$459.0K<0.1%+1,680+6.8%AddedHistory
HLTHilton Worldwide Holdings Inc.COM3,818$461.0K<0.1%−474−11.0%ReducedHistory
WASHWashington Trust Bancorp IncCOM8,977$461.0K<0.1%+576+6.9%AddedHistory
SPRSpirit AeroSystems Holdings, Inc.COM CL A9,780$462.0K<0.1%+728+8.0%AddedHistory
LAURLaureate Education, Inc.COMMON STOCK32,021$465.0K<0.1%−4,992−13.5%ReducedHistory
DCHDauch CorpCOM45,552$471.0K<0.1%−196,093−81.1%ReducedHistory
BFAMBright Horizons Family Solutions Inc.COM3,201$471.0K<0.1%−23,763−88.1%ReducedHistory
CMTLComtech Telecommunications CorpCOM NEW19,500$471.0K<0.1%+9,817+101.4%AddedHistory
HFWAHeritage Financial CorpCOM18,902$473.0K<0.1%+1,192+6.7%AddedHistory
TGITriumph Group IncCOM22,833$474.0K<0.1%−349−1.5%ReducedHistory
OMEROmeros CorpCOM31,929$474.0K<0.1%+31,929NewHistory
AUDCAudiocodes LtdORD14,407$477.0K<0.1%+6,384+79.6%AddedHistory
USPHU S Physical Therapy IncCOM4,127$478.0K<0.1%−20,769−83.4%ReducedHistory
CPAYCorpay, Inc.COM1,812$488.0K<0.1%+1,812NewHistory
iShares S&P Small-Cap 600 Value ETF464287879ETF4,642$489.0K<0.1%−6,759−59.3%Reduced–
Macquarie Infrastructure Cor55608B105COM12,836$491.0K<0.1%−923−6.7%Reduced–
ICPTIntercept Pharmaceuticals, Inc.COM24,625$492.0K<0.1%−2,541,393−99.0%ReducedHistory
ATNIATN International, Inc.COM10,838$493.0K<0.1%−142,572−92.9%ReducedHistory
JNCEJounce Therapeutics, Inc.COM72,807$495.0K<0.1%+13,103+21.9%AddedHistory
PFBCPreferred BankCOM NEW7,884$499.0K<0.1%+595+8.2%AddedHistory
ABSTAbsolute Software CorpCOM34,459$499.0K<0.1%+14,389+71.7%AddedHistory
CDPCopt Defense PropertiesREIT17,934$502.0K<0.1%+2,632+17.2%AddedHistory
VLGEAVillage Super Market IncCL A NEW21,358$502.0K<0.1%−779−3.5%ReducedHistory
MMacy's, Inc.COM26,514$503.0K<0.1%−2,894−9.8%ReducedHistory
SRGSeritage Growth PropertiesCL A27,458$505.0K<0.1%+4,991+22.2%AddedHistory
IHRTiHeartMedia, Inc.COM CL A18,883$509.0K<0.1%−6,664−26.1%ReducedHistory
JWNNordstrom IncStock14,027$513.0K<0.1%+1,673+13.5%AddedHistory
UTIUniversal Technical Institute IncCOM79,146$514.0K<0.1%−2,670−3.3%ReducedHistory
CSRCenterspaceCOM6,515$514.0K<0.1%+384+6.3%AddedHistory
HBNCHorizon Bancorp IncCOM29,847$514.0K<0.1%+1,419+5.0%AddedHistory
JRVRJames River Group Holdings, Inc.COM13,699$514.0K<0.1%−12,118−46.9%ReducedHistory
DASHDoorDash, Inc.Stock3,483$516.0K<0.1%+3,483NewHistory

Sold out since Q1 2021 (141)

Positions held at the end of Q1 2021 that are gone from this filing.

The largest 100 of 141 by value last quarter.

Positions of First Trust Advisors LP sold out since Q1 2021
SecurityClassShares in Q1 2021Value in Q1 2021% of portfolio in Q1 2021History
First Tr Exch TRD Alphdx FD33737J117EUROPE ALPHADEX1,401,342$57.0M0.1%–
Inphi Corp45772F107COM253,009$45.1M0.1%–
SVMK Inc78489X103COM2,314,714$42.4M0.1%–
DAYDayforce, Inc.COM320,064$27.0M<0.1%History
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD374,482$19.8M<0.1%–
MSCIMSCI Inc.Stock41,791$17.5M<0.1%History
Extended Stay Amer Inc30224P200UNIT 99/99/9999B880,452$17.4M<0.1%–
Farfetch Ltd30744W107ORD SH CL A280,598$14.9M<0.1%–
Corelogic Inc21871D103COM186,503$14.8M<0.1%–
ADPTAdaptive Biotechnologies CorpCOM326,635$13.2M<0.1%History
TCF Finl Corp872307103COM279,239$13.0M<0.1%–
Pluralsight Inc72941B106COM CL A523,667$11.7M<0.1%–
NUANNuance Communications, Inc.COM212,518$9.27M<0.1%History
Michaels Cos Inc59408Q106COM405,631$8.90M<0.1%–
MDLAMedallia, Inc.COM295,430$8.24M<0.1%History
FRTAForterra, Inc.COM344,614$8.01M<0.1%History
GWREGuidewire Software, Inc.COM70,669$7.18M<0.1%History
Flir Sys Inc302445101COM114,797$6.48M<0.1%–
Grubhub Inc400110102COM104,112$6.25M<0.1%–
RLRalph Lauren CorpCL A48,532$5.98M<0.1%History
LRNStride, Inc.COM183,543$5.53M<0.1%History
Cooper Tire & Rubr Co216831107COM97,049$5.43M<0.1%–
CXWCoreCivic, Inc.COM598,829$5.42M<0.1%History
Colony Cap Inc New19626G108CL A COM808,195$5.24M<0.1%–
Varian Med Sys Inc92220P105COM29,168$5.15M<0.1%–
SCHWSchwab Charles CorpStock71,616$4.67M<0.1%History
ECHOEchoStar CORPCL A184,342$4.42M<0.1%History
FLWS1 800 Flowers Com IncCL A159,387$4.40M<0.1%History
Genmark Diagnostics Inc372309104COM177,541$4.24M<0.1%–
SGMOQSangamo Therapeutics, IncCOM331,982$4.16M<0.1%History
SNEXStoneX Group Inc.COM63,234$4.13M<0.1%History
SWBISmith & Wesson Brands, Inc.COM235,720$4.11M<0.1%History
ECPGEncore Capital Group IncCOM100,276$4.03M<0.1%History
FERGFerguson Enterprises Inc.SHS32,770$3.94M<0.1%History
SMPStandard Motor Products, Inc.Stock91,526$3.81M<0.1%History
CRSPCRISPR Therapeutics AGNAMEN AKT30,979$3.77M<0.1%History
ENLCEnLink Midstream, LLCCOM UNIT REP LTD873,648$3.75M<0.1%History
PRDOPerdoceo Education CorpCOM310,196$3.71M<0.1%History
Aegion Corp00770F104COM128,898$3.71M<0.1%–
Meridian Bioscience Inc589584101COM139,157$3.65M<0.1%–
Nic Inc62914B100COM106,259$3.61M<0.1%–
FORForestar Group Inc.COM154,830$3.60M<0.1%History
Noble Midstream Partners LP65506L105COM UNIT REPST248,364$3.60M<0.1%–
AZEKAZEK Co Inc.CL A78,984$3.32M<0.1%History
PLUSEplus IncCOM31,923$3.18M<0.1%History
DKLDelek Logistics Partners, LPCOM UNT RP INT88,271$3.18M<0.1%History
Waddell & Reed Finl Inc930059100CL A118,057$2.96M<0.1%–
LBRDALiberty Broadband CorpCOM SER A20,295$2.95M<0.1%History
NHCNational Healthcare CorpCOM36,882$2.87M<0.1%History
Glu Mobile Inc379890106COM229,670$2.87M<0.1%–
ARVNArvinas, Inc.COM43,109$2.85M<0.1%History
FOLDAmicus Therapeutics, Inc.COM288,291$2.85M<0.1%History
PETQPetIQ, Inc.COM CL A79,960$2.82M<0.1%History
PTCTPTC Therapeutics, Inc.COM55,740$2.64M<0.1%History
Perspecta Inc715347100COM90,423$2.63M<0.1%–
ANGIAngi Inc.COM CL A NEW196,632$2.56M<0.1%History
FBL Finl Group Inc30239F106CL A44,574$2.49M<0.1%–
BGCBGC Group, Inc.CL A514,383$2.48M<0.1%History
TMPTompkins Financial CorpCOM29,142$2.41M<0.1%History
IRTCiRhythm Holdings, Inc.COM16,899$2.35M<0.1%History
ARWRArrowhead Pharmaceuticals, Inc.COM34,758$2.31M<0.1%History
RDNTRadNet, Inc.COM105,741$2.30M<0.1%History
RPAYRepay Holdings CorpCOM CL A95,103$2.23M<0.1%History
LHCGLHC Group, IncCOM10,015$1.92M<0.1%History
BZUNBaozun Inc.SPONSORED ADR49,016$1.87M<0.1%History
Systemax Inc871851101COM45,298$1.86M<0.1%–
AITApplied Industrial Technologies IncCOM20,305$1.85M<0.1%History
CNSCohen & Steers, Inc.COM28,266$1.85M<0.1%History
FWONKLiberty Media CorpCOM SER C FRMLA40,297$1.74M<0.1%History
HUYAHUYA Inc.ADS REP SHS A88,031$1.72M<0.1%History
ChemoCentryx, Inc.16383L106COM33,468$1.72M<0.1%–
NVRONevro CorpCOM12,124$1.69M<0.1%History
SILKSilk Road Medical IncCOM32,862$1.66M<0.1%History
51JOB Inc316827104SPONSORED ADS26,057$1.63M<0.1%–
CARGCarGurus, Inc.COM CL A65,313$1.56M<0.1%History
Eros STX Global CorporationG3788M114SHS NEW855,093$1.55M<0.1%–
BMTCBryn Mawr Bank CorpCOM33,620$1.53M<0.1%History
SLPSimulations Plus, Inc.COM23,432$1.48M<0.1%History
DOYUDouYu International Holdings LtdSPONSORED ADS137,358$1.43M<0.1%History
VAPOVapotherm IncCOM59,130$1.42M<0.1%History
INVXInnovex International, Inc.COM42,363$1.41M<0.1%History
MLABMesa Laboratories IncCOM5,623$1.37M<0.1%History
ALEXAlexander & Baldwin, Inc.COM79,861$1.34M<0.1%History
Oneconnect Finl Technology C68248T105SPONSORED ADS90,075$1.33M<0.1%–
TNDMTandem Diabetes Care IncCOM NEW13,950$1.23M<0.1%History
NVTAInvitae CorpCOM31,803$1.22M<0.1%History
BlackRock Mun Income Invt Tr09248H105SHS BEN INT81,079$1.13M<0.1%–
SDCSmileDirectClub, Inc.CL A COM101,241$1.04M<0.1%History
BKNBlackRock Investment Quality Municipal Trust, Inc.COM58,248$1.03M<0.1%History
MRSNMersana Therapeutics, Inc.COM59,685$966.0K<0.1%History
LMNXLuminex CorpCOM29,315$935.0K<0.1%History
CERSCerus CorpCOM148,007$890.0K<0.1%History
BlackRock Munienhanced FD IN09253Y100COM69,056$816.0K<0.1%–
GTGoodyear Tire & Rubber CoCOM46,218$812.0K<0.1%History
PLMRPalomar Holdings, Inc.Stock11,529$773.0K<0.1%History
LNTHLantheus Holdings, Inc.Stock35,846$766.0K<0.1%History
PRAProassurance CorpCOM27,841$745.0K<0.1%History
PLNTPlanet Fitness, Inc.CL A9,566$739.0K<0.1%History
NXRTNexPoint Residential Trust, Inc.COM15,679$723.0K<0.1%History
CRSCarpenter Technology CorpCOM17,199$708.0K<0.1%History