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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
LOCOEl Pollo Loco Holdings, Inc.COM27,607$467.0K<0.1%+27,607NewHistory
TIGRUP Fintech Holding LtdSPONSORED ADS44,256$469.0K<0.1%−26,073−37.1%ReducedHistory
ADUSAddus HomeCare CorpCOM5,955$475.0K<0.1%−10,958−64.8%ReducedHistory
PCBPCB BancorpCOM23,902$476.0K<0.1%+23,902NewHistory
BALYBally's CorpCOM9,501$476.0K<0.1%−54,237−85.1%ReducedHistory
Northeast BK Portland Me66405S100COM14,167$478.0K<0.1%−9,229−39.4%Reduced–
MMDNYLI MacKay DefinedTerm Muni Opportunities FundCOM21,884$479.0K<0.1%−2,828−11.4%ReducedHistory
MCRBSeres Therapeutics, Inc.COM68,940$480.0K<0.1%+68,940NewHistory
VNOMViper Energy, Inc.COM UNT RP INT21,950$480.0K<0.1%−55,096−71.5%ReducedHistory
SHOSunstone Hotel Investors, Inc.COM40,626$485.0K<0.1%+14,392+54.9%AddedHistory
AOUTAmerican Outdoor Brands, Inc.COM20,038$492.0K<0.1%+20,038NewHistory
Nuveen Intermediate Duration Quality Municipal Term Fund670677103COM33,576$493.0K<0.1%+5,212+18.4%Added–
Silvercrest Metals Inc828363101COM71,172$497.0K<0.1%−9,769−12.1%Reduced–
EPACEnerpac Tool Group CorpCL A COM23,995$497.0K<0.1%−191−0.8%ReducedHistory
AIRAar CorpStock15,398$499.0K<0.1%−24,286−61.2%ReducedHistory
MBINMerchants BancorpCOM12,630$499.0K<0.1%−2,568−16.9%ReducedHistory
LPGDorian LPG Ltd.SHS USD40,330$500.0K<0.1%−29,059−41.9%ReducedHistory
BWBabcock & Wilcox Enterprises, Inc.COM78,005$500.0K<0.1%+78,005NewHistory
MODNModel N, Inc.COM14,995$502.0K<0.1%−1,137−7.0%ReducedHistory
STBAS&T Bancorp IncCOM17,089$504.0K<0.1%−3,390−16.6%ReducedHistory
ODPODP CorpCOM12,553$504.0K<0.1%−1,499−10.7%ReducedHistory
BDSIBiodelivery Sciences International IncCOM140,179$506.0K<0.1%+140,179NewHistory
CTOCTO Realty Growth, Inc.COM9,472$509.0K<0.1%+9,472NewHistory
KALVKalVista Pharmaceuticals, Inc.COM29,530$515.0K<0.1%+29,530NewHistory
iShares S&P Small-Cap 600 Value ETF464287879ETF5,149$518.0K<0.1%+507+10.9%Added–
FFWMFirst Foundation Inc.COM19,701$518.0K<0.1%−3,912−16.6%ReducedHistory
CRSCarpenter Technology CorpCOM15,852$519.0K<0.1%+15,852NewHistory
ADTNADTRAN Holdings, Inc.COM27,708$520.0K<0.1%−13,909−33.4%ReducedHistory
MPBMid Penn Bancorp IncCOM18,912$521.0K<0.1%+18,912NewHistory
UVEUniversal Insurance Holdings, Inc.COM40,081$523.0K<0.1%+40,081NewHistory
PFCPremier Financial CorpCOM16,412$523.0K<0.1%−3,139−16.1%ReducedHistory
FORMFormfactor IncCOM14,097$526.0K<0.1%−77,614−84.6%ReducedHistory
CNOBConnectOne Bancorp, Inc.COM17,572$527.0K<0.1%−3,414−16.3%ReducedHistory
MPAAMotorcar Parts of America IncCOM27,182$530.0K<0.1%−21,200−43.8%ReducedHistory
PAEPAE IncCOM CL A88,654$530.0K<0.1%+88,654NewHistory
CUROCURO Group Holdings Corp.COM30,629$531.0K<0.1%−12,708−29.3%ReducedHistory
BRGBluerock Residential Growth REIT, Inc.COM CL A41,973$535.0K<0.1%+41,973NewHistory
SPDR Series Trust78464A516ST INTL BBG ETF18,659$536.0K<0.1%+6,376+51.9%Added–
FPIFarmland Partners Inc.COM44,859$538.0K<0.1%+44,859NewHistory
OFLXOmega Flex, Inc.COM3,780$539.0K<0.1%+31+0.8%AddedHistory
CVETCovetrus, Inc.COM29,769$540.0K<0.1%−133,615−81.8%ReducedHistory
Macquarie Infrastructure Cor55608B105COM13,429$545.0K<0.1%+593+4.6%Added–
VXRTVaxart, Inc.COM NEW68,621$546.0K<0.1%+68,621NewHistory
ADNTAdient plcStock13,203$547.0K<0.1%−1,321−9.1%ReducedHistory
iShares S&P Small-Cap 600 Growth ETF464287887ETF4,206$547.0K<0.1%+111+2.7%Added–
ONEWOneWater Marine Inc.CL A COM13,596$547.0K<0.1%+13,596NewHistory
PLMRPalomar Holdings, Inc.Stock6,813$551.0K<0.1%+6,813NewHistory
CAFMorgan Stanley China A Share Fund, Inc.COM26,229$551.0K<0.1%−23,131−46.9%ReducedHistory
FSRFisker Inc.CL A COM STK37,671$552.0K<0.1%−2,104−5.3%ReducedHistory
CGCCanopy Growth CorpCOM40,048$554.0K<0.1%+1,580+4.1%AddedHistory
IIMInvesco Value Municipal Income TrustCOM34,036$555.0K<0.1%+34,036NewHistory
VPVInvesco Pennsylvania Value Municipal Income TrustCOM41,852$555.0K<0.1%+11,033+35.8%AddedHistory
YELPYelp IncCL A14,979$558.0K<0.1%−557−3.6%ReducedHistory
OCFCOceanfirst Financial CorpCOM26,224$561.0K<0.1%−5,254−16.7%ReducedHistory
TCBKTrico BancsharesCOM12,960$562.0K<0.1%−2,545−16.4%ReducedHistory
KALUKaiser Aluminum CorpCOM PAR $0.015,177$564.0K<0.1%−9,992−65.9%ReducedHistory
NVRONevro CorpCOM4,847$564.0K<0.1%+4,847NewHistory
DYNDyne Therapeutics, Inc.COM34,994$568.0K<0.1%+34,994NewHistory
IQiQIYI, Inc.SPONSORED ADS70,729$568.0K<0.1%−41,670−37.1%ReducedHistory
PIImpinj IncCOM9,962$569.0K<0.1%−62,823−86.3%ReducedHistory
NPOEnpro Inc.COM6,557$571.0K<0.1%−852−11.5%ReducedHistory
ATSGAir Transport Services Group, Inc.COM22,124$571.0K<0.1%−38,178−63.3%ReducedHistory
IMOImperial Oil LtdCOM NEW18,152$573.0K<0.1%+832+4.8%AddedHistory
AVDAmerican Vanguard CorpCOM38,193$575.0K<0.1%+38,193NewHistory
VVNTVivint Smart Home, Inc.COM CL A60,888$575.0K<0.1%+60,888NewHistory
TEXTerex CorpStock13,688$576.0K<0.1%−279−2.0%ReducedHistory
SIDNational Steel CoSPONSORED ADR109,656$577.0K<0.1%−6,694−5.8%ReducedHistory
MOG.AMoog Inc.CL A7,576$578.0K<0.1%−22−0.3%ReducedHistory
LULufax Holding LtdADS REP SHS CL A82,738$578.0K<0.1%−48,747−37.1%ReducedHistory
KBALKimball International IncCL B52,113$584.0K<0.1%−40,881−44.0%ReducedHistory
CVECenovus Energy Inc.COM58,701$591.0K<0.1%+3,010+5.4%AddedHistory
FWRDForward Air CorpCOM7,116$591.0K<0.1%+30.0%AddedHistory
FTITechnipFMC plcCOM78,665$592.0K<0.1%+61,379+355.1%AddedHistory
OPYOppenheimer Holdings IncCL A NON VTG13,077$592.0K<0.1%−10,250−43.9%ReducedHistory
IOSPInnospec Inc.COM7,057$594.0K<0.1%−9,273−56.8%ReducedHistory
AMKAssetMark Financial Holdings, Inc.COM23,885$594.0K<0.1%−2,075−8.0%ReducedHistory
ZLABZai Lab LtdADR5,676$598.0K<0.1%−144,062−96.2%ReducedHistory
iShares Core MSCI Emerging Markets ETF46434G103ETF9,695$599.0K<0.1%−100,422−91.2%Reduced–
MNROMonro, Inc.COM10,410$599.0K<0.1%+588+6.0%AddedHistory
REXRex American Resources CorpCOM7,497$599.0K<0.1%+7,497NewHistory
DCOMDime Commercial Bancshares, Inc.COM18,489$604.0K<0.1%−93,621−83.5%ReducedHistory
SHOOSteven Madden, Ltd.COM15,110$607.0K<0.1%+15,110NewHistory
RMTRoyce Micro-Cap Trust, Inc.COM53,774$614.0K<0.1%+1,313+2.5%AddedHistory
CWSTCasella Waste Systems IncCL A8,105$615.0K<0.1%−835−9.3%ReducedHistory
Mag Silver Corp55903Q104COM38,053$616.0K<0.1%+1,382+3.8%Added–
CARGCarGurus, Inc.COM CL A19,596$616.0K<0.1%+19,596NewHistory
ESEEsco Technologies IncCOM8,016$617.0K<0.1%+1,328+19.9%AddedHistory
MLABMesa Laboratories IncCOM2,043$618.0K<0.1%+2,043NewHistory
GTGoodyear Tire & Rubber CoCOM34,927$618.0K<0.1%+34,927NewHistory
DTFDTF Tax-Free Income 2028 Term Fund IncCOM42,797$618.0K<0.1%−775−1.8%ReducedHistory
MLCOMelco Resorts & Entertainment LTDADR60,477$619.0K<0.1%−34,672−36.4%ReducedHistory
CONNConns IncCOM27,132$619.0K<0.1%+27,132NewHistory
VKTXViking Therapeutics, Inc.COM98,936$621.0K<0.1%+98,936NewHistory
BRKLBrookline Bancorp IncCOM40,728$622.0K<0.1%−78,313−65.8%ReducedHistory
VPGVishay Precision Group, Inc.COM17,918$623.0K<0.1%−14,039−43.9%ReducedHistory
EVCEntravision Communications CorpCL A87,693$623.0K<0.1%+87,693NewHistory
DOORMasonite International CorpCOM5,871$623.0K<0.1%+5,871NewHistory
PAHCPhibro Animal Health CorpCL A COM28,998$625.0K<0.1%−22,825−44.0%ReducedHistory
Pretium Res Inc74139C102COM65,742$634.0K<0.1%−6,344−8.8%Reduced–
TBCHTurtle Beach CorpCOM NEW22,840$635.0K<0.1%−17,328−43.1%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