Skip to main content
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
FNFabrinetSHS2,627$269.0K<0.1%+29+1.1%AddedHistory
ESPREsperion Therapeutics, Inc.COM22,425$270.0K<0.1%+12,184+119.0%AddedHistory
PGCPeapack Gladstone Financial CorpCOM8,142$272.0K<0.1%−1,729−17.5%ReducedHistory
TXMDTherapeuticsMD, Inc.COM367,257$272.0K<0.1%+198,748+117.9%AddedHistory
NXRTNexPoint Residential Trust, Inc.COM4,434$274.0K<0.1%+4,434NewHistory
AXIAYAXIA Energia S.A.SPONSORED ADR38,720$275.0K<0.1%−2,297−5.6%ReducedHistory
MTArcelorMittalNY REGISTRY SH9,103$275.0K<0.1%−44−0.5%ReducedHistory
HOODRobinhood Markets, Inc.Stock6,623$279.0K<0.1%+6,623NewHistory
FLXSFlexsteel Industries IncCOM9,062$280.0K<0.1%+9,062NewHistory
STELStellar Bancorp, Inc.COM10,634$281.0K<0.1%−2,120−16.6%ReducedHistory
CFBCrossfirst Bankshares, Inc.COM22,047$287.0K<0.1%−4,701−17.6%ReducedHistory
Bitfarms Ltd Com09173B107Stock68,143$289.0K<0.1%+68,143New–
ATRIAtrion CorpCOM419$292.0K<0.1%−1,392−76.9%ReducedHistory
DYFNAngel Oak Dynamic Financial Strategies Income Term TrustCOM BEN INT14,320$293.0K<0.1%+14,320NewHistory
PPLTabrdn Platinum ETF TrustPHYSCL PLATM SHS3,297$297.0K<0.1%+575+21.1%AddedHistory
GGALGrupo Financiero Galicia SASPONSORED ADR29,506$297.0K<0.1%−2,108−6.7%ReducedHistory
GHLGreenhill & Co IncCOM20,405$298.0K<0.1%+20,405NewHistory
ZGNXZogenix, Inc.COM NEW19,714$299.0K<0.1%+8,096+69.7%AddedHistory
TIPTTiptree Inc.COM29,922$300.0K<0.1%+29,922NewHistory
LBCLuther Burbank CorpCOM22,366$300.0K<0.1%−4,711−17.4%ReducedHistory
USXUS Xpress Enterprises IncCOM CL A34,993$302.0K<0.1%+34,993NewHistory
CNMDCONMED CorpCOM2,339$306.0K<0.1%+400+20.6%AddedHistory
CORTCorcept Therapeutics IncCOM15,571$306.0K<0.1%−69,480−81.7%ReducedHistory
EGANEGAIN CorpCOM NEW30,066$307.0K<0.1%+30,066NewHistory
PCRXPacira BioSciences, Inc.COM5,526$310.0K<0.1%−23,010−80.6%ReducedHistory
Hingham Instn SVGS Mass433323102COM927$312.0K<0.1%−4,252−82.1%Reduced–
HROWHarrow, Inc.COM34,412$313.0K<0.1%+34,412NewHistory
ALEXAlexander & Baldwin, Inc.COM13,453$315.0K<0.1%+13,453NewHistory
SPDR Series Trust78468R721STATE STREET SPD6,157$318.0K<0.1%+419+7.3%Added–
FMBHFirst Mid Bancshares, Inc.COM7,819$321.0K<0.1%−860−9.9%ReducedHistory
CMLSQCumulus Media IncCOM CL A26,241$321.0K<0.1%00.0%UnchangedHistory
ZEUSOlympic Steel IncCOM13,229$322.0K<0.1%+13,229NewHistory
KNTKKinetik Holdings Inc.COM NEW CL A4,722$326.0K<0.1%+4,722NewHistory
GLDSPDR Gold TrustETF2,001$329.0K<0.1%−2,023−50.3%ReducedHistory
AUDCAudiocodes LtdORD10,160$331.0K<0.1%−4,247−29.5%ReducedHistory
ATNXAthenex, Inc.COM111,251$335.0K<0.1%+111,251NewHistory
INFUInfuSystem Holdings, IncCOM25,900$337.0K<0.1%+25,900NewHistory
SPDR Series Trust78464A284ST NUVE HIGH ETF5,638$338.0K<0.1%+369+7.0%Added–
CASACasa Systems IncCOM49,855$338.0K<0.1%−38,540−43.6%ReducedHistory
CMTLComtech Telecommunications CorpCOM NEW13,238$339.0K<0.1%−6,262−32.1%ReducedHistory
INSGInseego Corp.COM50,939$339.0K<0.1%−5,895−10.4%ReducedHistory
Monmouth Real Estate Investment Corp609720107CL A18,187$339.0K<0.1%−26,835−59.6%Reduced–
YSGYatsen Holding LtdADS88,897$339.0K<0.1%−52,319−37.0%ReducedHistory
CDLXCardlytics, Inc.COM4,052$340.0K<0.1%−1,129−21.8%ReducedHistory
VRAVera Bradley, Inc.COM36,244$341.0K<0.1%+36,244NewHistory
REALTheRealReal, Inc.COM26,008$343.0K<0.1%−337,009−92.8%ReducedHistory
RJETRepublic Airways Holdings Inc.COM NEW44,904$344.0K<0.1%+44,904NewHistory
IIIInformation Services Group Inc.COM49,149$353.0K<0.1%+49,149NewHistory
SPDR Series Trust78468R739ST NUVE TERM ETF7,174$354.0K<0.1%−4,028−36.0%Reduced–
ABSTAbsolute Software CorpCOM32,205$354.0K<0.1%−2,254−6.5%ReducedHistory
DEAEasterly Government Properties, Inc.COM17,117$354.0K<0.1%+6,055+54.7%AddedHistory
UTGReaves Utility Income FundCOM SH BEN INT10,891$357.0K<0.1%−35−0.3%ReducedHistory
MHFWestern Asset Municipal High Income Fund Inc.COM45,120$358.0K<0.1%+6,580+17.1%AddedHistory
ATNIATN International, Inc.COM7,666$359.0K<0.1%−3,172−29.3%ReducedHistory
EMKREmcore CorpCOM NEW48,245$361.0K<0.1%+48,245NewHistory
ESXBCommunity Bankers Trust CorpCOM31,919$363.0K<0.1%+31,919NewHistory
CCRDCoreCard CorpCOM8,950$363.0K<0.1%+8,950NewHistory
PDOPIMCO Dynamic Income Opportunities FundCOM BEN SHS17,458$366.0K<0.1%+1,150+7.1%AddedHistory
SLCTSelect Bancorp, Inc.COM21,312$368.0K<0.1%+21,312NewHistory
DRHDiamondRock Hospitality CoCOM39,066$369.0K<0.1%+13,557+53.1%AddedHistory
HCKTHackett Group, Inc.COM18,856$370.0K<0.1%−49,996−72.6%ReducedHistory
CYBECyberoptics CorpCOM10,400$370.0K<0.1%+10,400NewHistory
GPXGP Strategies CorpCOM17,960$372.0K<0.1%+17,960NewHistory
BRBSBlue Ridge Bankshares, Inc.COM21,358$376.0K<0.1%+21,358NewHistory
CODXCo-Diagnostics, Inc.COM38,596$376.0K<0.1%+38,596NewHistory
ISTRInvestar Holding CorpCOM17,104$377.0K<0.1%+17,104NewHistory
CVGWCalavo Growers IncCOM9,923$379.0K<0.1%+9,923NewHistory
ICPTIntercept Pharmaceuticals, Inc.COM25,739$382.0K<0.1%+1,114+4.5%AddedHistory
DNTHDianthus Therapeutics, Inc.COM52,458$382.0K<0.1%+52,458NewHistory
PSNLPersonalis, Inc.COM20,315$391.0K<0.1%−2,779−12.0%ReducedHistory
CSIICardiovascular Systems IncCOM12,052$396.0K<0.1%+12,052NewHistory
INOInovio Pharmaceuticals, Inc.COM NEW55,446$397.0K<0.1%+55,446NewHistory
RETAReata Pharmaceuticals IncCL A3,946$397.0K<0.1%+3,946NewHistory
RBCAARepublic Bancorp IncCL A7,884$399.0K<0.1%−1,758−18.2%ReducedHistory
NSTGNS Wind Down Co., Inc.COM8,331$400.0K<0.1%−587−6.6%ReducedHistory
MGNXMacrogenics IncCOM19,133$401.0K<0.1%−129,925−87.2%ReducedHistory
RLXRLX Technology Inc.SPONSORED ADS89,197$403.0K<0.1%−52,519−37.1%ReducedHistory
EOIEaton Vance Enhanced Equity Income FundCOM22,650$405.0K<0.1%+793+3.6%AddedHistory
LGTYLogility Supply Chain Solutions, IncCL A17,322$411.0K<0.1%−9,764−36.0%ReducedHistory
iShares Tr464288158SHRT NAT MUN ETF3,854$415.0K<0.1%−383−9.0%Reduced–
UPLDUpland Software, Inc.COM12,484$417.0K<0.1%−24,906−66.6%ReducedHistory
Community West Bancshares155685100COM19,494$419.0K<0.1%+19,494New–
Del Taco Restaurants, Inc.245496104COM48,118$420.0K<0.1%+48,118New–
HQLabrdn Life Sciences InvestorsSH BEN INT20,309$422.0K<0.1%+1,350+7.1%AddedHistory
RMNIRimini Street, Inc.COM43,896$424.0K<0.1%+43,896NewHistory
ESTEEarthstone Energy IncCL A46,772$430.0K<0.1%+7,462+19.0%AddedHistory
PARRPar Pacific Holdings, Inc.COM NEW27,466$432.0K<0.1%−7,213−20.8%ReducedHistory
YEXTYext, Inc.COM35,967$433.0K<0.1%−3,283−8.4%ReducedHistory
IMGNImmunoGen, Inc.COM77,992$442.0K<0.1%−508,123−86.7%ReducedHistory
AVNWAviat Networks, Inc.COM NEW13,491$443.0K<0.1%+13,491NewHistory
TGTredegar CorpCOM36,442$444.0K<0.1%+36,442NewHistory
DFHDream Finders Homes, Inc.COM CL A25,712$446.0K<0.1%+25,712NewHistory
KAMNKAMAN CorpCOM12,630$451.0K<0.1%+313+2.5%AddedHistory
ATLCAtlanticus Holdings CorpCOM8,517$452.0K<0.1%+8,517NewHistory
Atlas CorpY0436Q109SHARES30,316$461.0K<0.1%−7,527−19.9%Reduced–
IBKRInteractive Brokers Group, Inc.Stock7,425$463.0K<0.1%+7,425NewHistory
CEVACeva IncCOM10,867$464.0K<0.1%−41,120−79.1%ReducedHistory
RCKYRocky Brands, Inc.COM9,741$464.0K<0.1%+9,741NewHistory
TMETencent Music Entertainment GroupSPON ADS64,078$465.0K<0.1%−95,144−59.8%ReducedHistory
AXTIAxt IncCOM55,929$466.0K<0.1%+55,929NewHistory

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