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Livermore
Livermore
ZHEN

First Trust Advisors LP

SEC CIK
0001125816
Latest filing
Aug 11, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 15, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
2,504
+35 vs. Q2 2021
Portfolio value
$93.0B
+$603.2M (+0.7%) vs. Q2 2021
Filed
Nov 15, 2021
SEC
Holdings of First Trust Advisors LP in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
PRETQPennsylvania Real Estate Investment TrustSH BEN INT10,482$20.0K<0.1%+10,482NewHistory
FRBKRepublic First Bancorp IncCOM25,464$78.0K<0.1%−5,066−16.6%ReducedHistory
Two Harbors Investment Corp.90187B408COM NEW13,265$84.0K<0.1%+13,265New–
WNEBWestern New England Bancorp, Inc.COM10,115$86.0K<0.1%−2,546−20.1%ReducedHistory
EBONEbang International Holdings Inc.CL A SHS45,758$87.0K<0.1%+45,758NewHistory
Mogo Inc60800C109COM22,841$98.0K<0.1%+22,841New–
NEXTNextDecade CorpCOM36,572$102.0K<0.1%+36,572NewHistory
AEGAegon Ltd.NY REGISTRY SHS21,550$110.0K<0.1%−105−0.5%ReducedHistory
NCANuveen California Municipal Value FundCOM STK10,729$113.0K<0.1%−798−6.9%ReducedHistory
HMYHarmony Gold Mining Co LtdADR36,114$114.0K<0.1%−1,286−3.4%ReducedHistory
MOMOHello Group Inc.ADS10,774$114.0K<0.1%−770−6.7%ReducedHistory
JFRNuveen Floating Rate Income FundCOM11,843$119.0K<0.1%−2,898−19.7%ReducedHistory
CIGEnergy Co of Minas GeraisSP ADR N-V PFD47,349$119.0K<0.1%−1,383−2.8%ReducedHistory
MCBCMacatawa Bank CorpCOM14,785$119.0K<0.1%−129,130−89.7%ReducedHistory
TALTAL Education GroupSPONSORED ADS25,246$122.0K<0.1%−37,455−59.7%ReducedHistory
CIFRCipher Digital Inc.COM12,503$129.0K<0.1%+12,503NewHistory
GFIGold Fields LtdSPONSORED ADR15,879$129.0K<0.1%−822−4.9%ReducedHistory
Nuveen PFD & Incm Securties67072C105COM13,389$131.0K<0.1%−3,258−19.6%Reduced–
CYHCommunity Health Systems IncCOM11,366$133.0K<0.1%+11,366NewHistory
Companhia Brasileira de Dist20440T300SPONSORED ADR30,659$144.0K<0.1%−895−2.8%Reduced–
LNAILunai Bioworks Inc.COM21,420$144.0K<0.1%−16,198−43.1%ReducedHistory
FOAFinance of America Companies Inc.COM CL A29,797$147.0K<0.1%+29,797NewHistory
Chiron Real Estate Inc.37954A204COM NEW10,114$149.0K<0.1%+10,114New–
AHRTAH Realty Trust, Inc.COM11,311$151.0K<0.1%+11,311NewHistory
Micro Focus Intl PLC594837403SPON ADR NEW27,791$151.0K<0.1%−135−0.5%Reduced–
DHCDiversified Healthcare TrustCOM SH BEN INT44,793$152.0K<0.1%+13,965+45.3%AddedHistory
FRSTPrimis Financial Corp.COM10,611$153.0K<0.1%−2,110−16.6%ReducedHistory
NWGNatWest Group plcSPONS ADR 2 ORD25,643$156.0K<0.1%−124−0.5%ReducedHistory
TYMETyme Technologies, Inc.COM151,795$156.0K<0.1%+151,795NewHistory
OTRKOntrak, Inc.COM15,825$159.0K<0.1%−1,665−9.5%ReducedHistory
Rain Oncology Inc.75082Q105COM10,657$159.0K<0.1%+10,657New–
OSBCOld Second Bancorp IncCOM12,413$162.0K<0.1%−68,125−84.6%ReducedHistory
CARECarter Bankshares, Inc.COM NEW11,445$163.0K<0.1%−2,280−16.6%ReducedHistory
BVSBioventus Inc.COM CL A11,676$165.0K<0.1%+11,676NewHistory
ISDPGIM High Yield Bond Fund, Inc.COM10,224$166.0K<0.1%−2,278−18.2%ReducedHistory
HUTHut 8 Corp.Common Stock19,749$166.0K<0.1%+19,749NewHistory
GOTUGaotu Techedu Inc.SPONSORED ADS54,410$167.0K<0.1%−32,041−37.1%ReducedHistory
TIMBTim S.A.SPONSORED ADR15,858$170.0K<0.1%−463−2.8%ReducedHistory
FINVFinVolution GroupSPONSORED ADS30,577$172.0K<0.1%−893−2.8%ReducedHistory
KOSKosmos Energy Ltd.COM58,075$172.0K<0.1%+7,270+14.3%AddedHistory
PANLPangaea Logistics Solutions Ltd.SHS34,391$174.0K<0.1%+34,391NewHistory
RTLNecessity Retail REIT, Inc.COM CLASS A21,880$176.0K<0.1%+7,721+54.5%AddedHistory
ASXASE Technology Holding Co., Ltd.SPONSORED ADS22,937$180.0K<0.1%−670−2.8%ReducedHistory
JOANJOANN Inc.COM16,184$180.0K<0.1%+16,184NewHistory
GGBGerdau S.A.SPON ADR REP PFD36,790$181.0K<0.1%−1,075−2.8%ReducedHistory
Credit Suisse Group225401108SPONSORED ADR18,460$182.0K<0.1%−90−0.5%Reduced–
HBTHBT Financial, Inc.COM11,822$184.0K<0.1%−2,369−16.7%ReducedHistory
INNSummit Hotel Properties, Inc.COM19,706$190.0K<0.1%+6,866+53.5%AddedHistory
AIVApartment Investment & Management CoCL A27,826$191.0K<0.1%+8,508+44.0%AddedHistory
BGXBlackstone Long-Short Credit Income FundCOM SHS BN INT12,677$192.0K<0.1%−2,884−18.5%ReducedHistory
FMNBFarmers National Banc CorpCOM12,248$192.0K<0.1%−67,835−84.7%ReducedHistory
TELFYTelefonica S ASPONSORED ADR40,768$192.0K<0.1%−577,063−93.4%ReducedHistory
BCSBarclays PLCADR19,228$198.0K<0.1%−94−0.5%ReducedHistory
HTBHomeTrust Bancshares, Inc.COM7,186$201.0K<0.1%−1,431−16.6%ReducedHistory
GOEVCanoo Inc.COM CL A26,156$201.0K<0.1%+58+0.2%AddedHistory
EDUNew Oriental Education & Technology Group Inc.SPON ADR98,618$202.0K<0.1%−146,364−59.7%ReducedHistory
STNGScorpio Tankers Inc.SHS10,939$203.0K<0.1%+10,939NewHistory
GWREGuidewire Software, Inc.COM1,720$204.0K<0.1%+1,720NewHistory
RPT Realty74971D101SH BEN INT16,013$204.0K<0.1%+5,386+50.7%Added–
GVAGranite Construction IncCOM5,213$206.0K<0.1%−14,727−73.9%ReducedHistory
BFSTBusiness First Bancshares, Inc.COM8,871$207.0K<0.1%−1,911−17.7%ReducedHistory
EQBKEquity Bancshares IncCOM CL A6,211$207.0K<0.1%−1,223−16.5%ReducedHistory
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD3,893$208.0K<0.1%+3,893New–
WisdomTree Bloomberg US Dollar Bullish Fund97717W471ETF8,049$209.0K<0.1%+8,049New–
China Petroleum & Chemical C16941R108SPON ADR H SHS4,258$209.0K<0.1%−125−2.9%Reduced–
Petrochina Co Ltd71646E100SPONSORED ADR4,459$209.0K<0.1%−131−2.9%Reduced–
FISIFinancial Institutions IncCOM6,851$210.0K<0.1%−1,357−16.5%ReducedHistory
FSBCFive Star BancorpCOM8,817$211.0K<0.1%+8,817NewHistory
RBBRBB BancorpCOM8,368$211.0K<0.1%−1,782−17.6%ReducedHistory
ALCOAlico, Inc.COM6,206$212.0K<0.1%+6,206NewHistory
AMALAmalgamated Financial Corp.COM13,446$213.0K<0.1%−72,409−84.3%ReducedHistory
BWBBridgewater Bancshares IncCOM12,188$213.0K<0.1%−2,406−16.5%ReducedHistory
SXIStandex International CorpCOM2,167$214.0K<0.1%−48−2.2%ReducedHistory
TKCTurkcell Iletisim Hizmetleri A SSPON ADR NEW49,449$215.0K<0.1%−1,445−2.8%ReducedHistory
NOMDNomad Foods LtdUSD ORD SHS7,956$219.0K<0.1%+7,956NewHistory
SNFIStark Novus Financial Inc.COM CL A27,721$221.0K<0.1%+519+1.9%AddedHistory
Tenneco Inc880349105CL A VTG COM STK15,461$221.0K<0.1%+15,461New–
DSPViant Technology Inc.COM CL A18,227$223.0K<0.1%+18,227NewHistory
WSBFWaterstone Financial, Inc.COM10,871$223.0K<0.1%−55,385−83.6%ReducedHistory
RBNCReliant Bancorp, Inc.COM7,133$225.0K<0.1%−39,855−84.8%ReducedHistory
FICOFair Isaac CorpCOM579$231.0K<0.1%−8,233−93.4%ReducedHistory
STMSTMicroelectronics N.V.NY REGISTRY5,309$232.0K<0.1%+5,309NewHistory
FLRFluor CorpStock14,604$233.0K<0.1%00.0%UnchangedHistory
GORVLazydays Holdings, Inc.COM10,954$234.0K<0.1%+10,954NewHistory
BFCBank First CorpCOM3,315$235.0K<0.1%−16,779−83.5%ReducedHistory
FCBCFirst Community Bankshares IncCOM7,472$237.0K<0.1%−1,623−17.8%ReducedHistory
AROWArrow Financial CorpCOM6,936$238.0K<0.1%−40,618−85.4%ReducedHistory
LAKELakeland Industries IncCOM11,421$240.0K<0.1%−8,959−44.0%ReducedHistory
SLPSimulations Plus, Inc.COM6,096$241.0K<0.1%+6,096NewHistory
OPIOffice Properties Income TrustCOM SHS BEN INT9,688$245.0K<0.1%+9,688NewHistory
LMATLemaitre Vascular IncCOM4,654$247.0K<0.1%+180+4.0%AddedHistory
CSRCenterspaceCOM2,632$249.0K<0.1%−3,883−59.6%ReducedHistory
OVIDOvid Therapeutics Inc.COM74,230$249.0K<0.1%−35,950−32.6%ReducedHistory
Nuveen Select Tax Free Incom67063C106SH BEN INT16,079$251.0K<0.1%+16,079New–
Copel-ADR20441B605ADR38,580$252.0K<0.1%−1,127−2.8%Reduced–
DLTHDuluth Holdings Inc.COM CL B18,553$253.0K<0.1%+18,553NewHistory
BTIBritish American Tobacco p.l.c.SPONSORED ADR7,227$255.0K<0.1%+406+6.0%AddedHistory
Vanguard Mun BD FDS922907746TAX EXEMPT BD4,719$258.0K<0.1%+4,719New–
TIGTrean Insurance Group, Inc.COM25,452$263.0K<0.1%+25,452NewHistory
CATCCambridge BancorpCOM3,011$265.0K<0.1%−598−16.6%ReducedHistory

Sold out since Q2 2021 (218)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 218 by value last quarter.

Positions of First Trust Advisors LP sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
BALLBALL CorpCOM1,758,105$142.4M0.2%History
PFPTProofpoint IncCOM762,799$132.5M0.1%History
MXIMMaxim Integrated Products IncCOM1,231,598$129.8M0.1%History
ALXNAlexion Pharmaceuticals, Inc.COM672,646$123.6M0.1%History
First Tr Exchange Traded FD33733A102CHINDIA ETF925,418$57.8M0.1%–
SWISolarWinds CorpCOM2,454,195$41.5M<0.1%History
Lightspeed Pos Inc53227R106SUB VTG SHS318,459$26.7M<0.1%–
PRAHPRA Health Sciences, Inc.COM138,550$22.9M<0.1%History
Starz Entertainment Corp535919401CL A VTG1,045,262$21.6M<0.1%–
Liberty Media Corp Del531229607COM C SIRIUSXM354,266$16.4M<0.1%–
WORKSlack Technologies, Inc.COM CL A364,371$16.1M<0.1%History
WYNNWynn Resorts LtdCOM127,996$15.7M<0.1%History
RKTRocket Companies, Inc.Stock767,467$14.8M<0.1%History
YORWYork Water CoCOM281,922$12.8M<0.1%History
GRAW R Grace & CoCOM157,294$10.9M<0.1%History
LMNDLemonade, Inc.Stock79,129$8.66M<0.1%History
AGLagilon health, inc.COM201,443$8.17M<0.1%History
SOFISoFi Technologies, Inc.Stock409,600$7.85M<0.1%History
TSPHTuSimple Holdings Inc.CL A107,744$7.68M<0.1%History
HOMEAt Home Group Inc.COM206,874$7.62M<0.1%History
SLQTSelectQuote, Inc.COM336,857$6.49M<0.1%History
HAEHaemonetics CorpCOM96,475$6.43M<0.1%History
WEXWEX Inc.COM31,817$6.17M<0.1%History
First Tr Exchange-Traded Alp33737M409SML CAP VAL ALPH119,817$6.10M<0.1%–
CCLCarnival Corp Ltd.UNIT 99/99/9999211,050$5.56M<0.1%History
iShares Tr46429B671MSCI CHINA ETF63,012$5.20M<0.1%–
POWLPowell Industries IncStock166,618$5.16M<0.1%History
WRIWeingarten Realty InvestorsSH BEN INT156,464$5.02M<0.1%History
FBCFlagstar Bancorp IncCOM PAR .001117,458$4.96M<0.1%History
FMBIFirst Midwest Bancorp IncCOM245,617$4.87M<0.1%History
Hoegh LNG Partners LPY3262R100COM UNIT LTD275,752$4.85M<0.1%–
VNEArriver Holdco, Inc.COM209,807$4.84M<0.1%History
UFSDomtar CORPCOM NEW85,689$4.71M<0.1%History
SYKESykes Enterprises IncCOM85,068$4.57M<0.1%History
CBTCabot CorpCOM79,645$4.53M<0.1%History
AAONAaon, Inc.COM PAR $0.00468,345$4.28M<0.1%History
AVXLAnavex Life Sciences Corp.COM NEW177,823$4.07M<0.1%History
PAGPPlains GP Holdings LPLTD PARTNR INT A307,060$3.67M<0.1%History
Vanguard Admiral FDS Inc921932778SMLCP 600 VAL19,836$3.62M<0.1%–
IBRXImmunityBio, Inc.COM250,096$3.57M<0.1%History
ENVAEnova International, Inc.COM93,675$3.21M<0.1%History
CORECore-Mark Holding Company, LLCCOM70,801$3.19M<0.1%History
USCRU.S. Concrete, Inc.COM41,010$3.03M<0.1%History
WDFCWD 40 CoCOM11,619$2.98M<0.1%History
PHGKoninklijke Philips NVNY REGIS SHS NEW57,188$2.84M<0.1%History
WOWWideOpenWest, Inc.COM133,560$2.77M<0.1%History
IESCIES Holdings, Inc.COM53,092$2.73M<0.1%History
Vanguard Morningstar Value ETF922908744ETF18,648$2.56M<0.1%–
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF64,744$2.56M<0.1%–
DFINDonnelley Financial Solutions, Inc.COM76,030$2.51M<0.1%History
CHDNChurchill Downs IncCOM12,588$2.50M<0.1%History
SABRSabre CorpCOM196,950$2.46M<0.1%History
UMHUmh Properties, Inc.COM111,140$2.42M<0.1%History
ONEM1Life Healthcare IncCOM72,086$2.38M<0.1%History
CAI International, Inc.12477X106COM40,858$2.29M<0.1%–
iShares Tr46432F388MSCI USA VALUE21,196$2.23M<0.1%–
MTWManitowoc Co IncCOM NEW88,189$2.16M<0.1%History
SPDR Series Trust78464A151SST SPDR BLOOMBE58,238$2.11M<0.1%–
SDGRSchrodinger, Inc.COM27,583$2.09M<0.1%History
ZYZymergen Inc.COM51,709$2.07M<0.1%History
CMPCompass Minerals International IncStock34,294$2.03M<0.1%History
EBEventbrite, Inc.COM CL A106,965$2.03M<0.1%History
OESXOrion Energy Systems, Inc.COM338,725$1.94M<0.1%History
iShares Russell 1000 Value ETF464287598ETF11,395$1.81M<0.1%–
iShares Tr464287556ISHARES BIOTECH10,186$1.67M<0.1%–
ALDXAldeyra Therapeutics, Inc.COM146,320$1.66M<0.1%History
HCIHCI Group, Inc.COM16,584$1.65M<0.1%History
RAVNRaven Industries IncCOM28,292$1.64M<0.1%History
YTRAYatra Online, Inc.ORD SHS713,552$1.61M<0.1%History
MSG Network Inc553573106CL A110,341$1.61M<0.1%–
CLARClarus CorpCOM61,218$1.57M<0.1%History
UTZUtz Brands, Inc.COM CL A71,360$1.55M<0.1%History
MRNSMarinus Pharmaceuticals, Inc.COM NEW85,567$1.53M<0.1%History
EGLEEagle Bulk Shipping Inc.COM31,871$1.51M<0.1%History
AVNSAvanos Medical, Inc.Stock41,383$1.50M<0.1%History
ARAYAccuray IncCOM332,808$1.50M<0.1%History
CYTKCytokinetics IncCOM NEW75,858$1.50M<0.1%History
CHTChunghwa Telecom Co LtdSPON ADR NEW1136,714$1.49M<0.1%History
PRPLPurple Innovation, Inc.COM55,749$1.47M<0.1%History
TYLTyler Technologies IncCOM3,234$1.46M<0.1%History
XONEExOne CoCOM66,499$1.44M<0.1%History
INSWInternational Seaways, Inc.COM71,524$1.37M<0.1%History
FLUXFlux Power Holdings, Inc.COM NEW117,631$1.37M<0.1%History
ISEEIVERIC bio, Inc.COM213,109$1.34M<0.1%History
Triple-S Mgmt Corp896749108CL B60,121$1.34M<0.1%–
VRSBillerud Americas CorpCL A75,266$1.33M<0.1%History
VCYTVeracyte, Inc.COM32,826$1.31M<0.1%History
ALECAlector, Inc.COM58,304$1.21M<0.1%History
BRYBerry Corp (bry)COM171,620$1.15M<0.1%History
PRVBProvention Bio, Inc.COM136,768$1.15M<0.1%History
MLRMiller Industries IncCOM NEW28,972$1.14M<0.1%History
BHBBar Harbor BanksharesCOM38,020$1.09M<0.1%History
IRIngersoll Rand Inc.COM22,243$1.09M<0.1%History
NSSCNapco Security Technologies, IncStock29,819$1.08M<0.1%History
REVGREV Group, Inc.COM69,037$1.08M<0.1%History
TATravelCenters of America Inc.COM NEW36,972$1.08M<0.1%History
ALRSAlerus Financial CorpCOM36,661$1.06M<0.1%History
ALNTAllient IncCOM30,239$1.04M<0.1%History
SRRKScholar Rock Holding CorpCOM34,829$1.01M<0.1%History
BTOJohn Hancock Financial Opportunities FundSH BEN INT NEW26,599$999.0K<0.1%History