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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
RDFNRedfin CorpCOM12,677$635.0K<0.1%−40,010−75.9%ReducedHistory
TRNSTranscat IncCOM9,877$637.0K<0.1%+9,877NewHistory
SOSSOS LtdSPNSORD ADS NEW299,284$637.0K<0.1%−176,325−37.1%ReducedHistory
TBBKBancorp, Inc.COM25,074$638.0K<0.1%−5,054−16.8%ReducedHistory
UNITUniti Group Inc.COM51,579$638.0K<0.1%−1,581−3.0%ReducedHistory
OCULOcular Therapeutix, IncCOM63,895$639.0K<0.1%−127,994−66.7%ReducedHistory
GDOTGreen Dot CorpCL A12,776$643.0K<0.1%−13,738−51.8%ReducedHistory
TRNTrinity Industries IncCOM23,753$645.0K<0.1%+1,579+7.1%AddedHistory
FUTUFutu Holdings LtdSPON ADS CL A7,084$645.0K<0.1%−10,532−59.8%ReducedHistory
EIMEaton Vance Municipal Bond FundCOM48,279$646.0K<0.1%+7,347+17.9%AddedHistory
HOVHovnanian Enterprises IncCL A NEW6,723$648.0K<0.1%−4,784−41.6%ReducedHistory
Sapiens Intl Corp N VG7T16G103SHS22,533$648.0K<0.1%+22,533New–
GDYNGrid Dynamics Holdings, Inc.CL A22,296$651.0K<0.1%−42,348−65.5%ReducedHistory
COTYCoty Inc.COM CL A82,849$651.0K<0.1%−767,855−90.3%ReducedHistory
APIAgora, Inc.ADS22,569$655.0K<0.1%−13,296−37.1%ReducedHistory
VanEck ETF Trust92189H201INTRMDT MUNI ETF12,862$659.0K<0.1%+1,113+9.5%Added–
NIDNuveen Intermediate Duration Municipal Term FundCOM44,749$659.0K<0.1%+6,389+16.7%AddedHistory
ACIWAci Worldwide, Inc.Stock21,640$665.0K<0.1%−71,901−76.9%ReducedHistory
MGNIMagnite, Inc.COM23,754$665.0K<0.1%−93,980−79.8%ReducedHistory
CENTCentral Garden & Pet CoCOM13,860$665.0K<0.1%−10,892−44.0%ReducedHistory
WHDCactus, Inc.CL A17,751$670.0K<0.1%−2,982−14.4%ReducedHistory
NBHNeuberger Municipal Fund Inc.COM41,849$672.0K<0.1%+5,675+15.7%AddedHistory
SYBTStock Yards Bancorp, Inc.COM11,496$674.0K<0.1%−363−3.1%ReducedHistory
MCFTMasterCraft Boat Holdings, Inc.COM26,942$676.0K<0.1%−21,170−44.0%ReducedHistory
BXCBlueLinx Holdings Inc.COM NEW13,825$676.0K<0.1%−10,213−42.5%ReducedHistory
WSRWhitestone REITCOM69,187$677.0K<0.1%+69,187NewHistory
EGHT8X8 IncCOM28,952$677.0K<0.1%−121,989−80.8%ReducedHistory
NWLINational Western Life Group, Inc.CL A3,224$679.0K<0.1%+3,224NewHistory
HLIOHelios Technologies, Inc.COM8,276$680.0K<0.1%−456−5.2%ReducedHistory
FNKOFunko, Inc.COM CL A37,410$681.0K<0.1%+37,410NewHistory
SHENShenandoah Telecommunications CoCOM21,763$687.0K<0.1%+4,473+25.9%AddedHistory
BGFVBig 5 Sporting Goods CorpCOM30,053$692.0K<0.1%−23,234−43.6%ReducedHistory
RGPResources Connection, Inc.COM43,952$694.0K<0.1%+43,952NewHistory
HPHelmerich & Payne, Inc.COM25,321$694.0K<0.1%−233,850−90.2%ReducedHistory
GOLDGold.com, Inc.COM11,558$694.0K<0.1%−9,082−44.0%ReducedHistory
RCUSArcus Biosciences, Inc.COM19,919$695.0K<0.1%−84,659−81.0%ReducedHistory
CHCOCity Holding CoCOM8,935$696.0K<0.1%−4,373−32.9%ReducedHistory
iShares MSCI USA Quality Factor ETF46432F339ETF5,299$698.0K<0.1%+368+7.5%Added–
STNEStoneCo Ltd.COM20,096$698.0K<0.1%+2,888+16.8%AddedHistory
EBFEnnis, Inc.COM37,111$700.0K<0.1%+37,111NewHistory
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH4,248$705.0K<0.1%−1,414−25.0%Reduced–
NRCNRC HealthCOM NEW16,863$711.0K<0.1%+16,863NewHistory
LHCGLHC Group, IncCOM4,540$712.0K<0.1%+4,540NewHistory
LWLamb Weston Holdings, Inc.Stock11,616$713.0K<0.1%−3,367−22.5%ReducedHistory
FSPFranklin Street Properties CorpCOM153,607$713.0K<0.1%+141,745+1,195.0%AddedHistory
CLFDClearfield, Inc.COM16,217$716.0K<0.1%+16,217NewHistory
FLOWSPX FLOW, Inc.COM9,790$716.0K<0.1%−186−1.9%ReducedHistory
EBSEmergent BioSolutions Inc.COM14,326$717.0K<0.1%−24,880−63.5%ReducedHistory
SCPLSciPlay CorpCL A34,753$719.0K<0.1%−27,156−43.9%ReducedHistory
BZHBeazer Homes USA IncCOM NEW41,822$721.0K<0.1%−52,765−55.8%ReducedHistory
CPRXCatalyst Pharmaceuticals, Inc.COM136,158$722.0K<0.1%−107,904−44.2%ReducedHistory
TGTXTG Therapeutics, Inc.COM21,720$723.0K<0.1%−22,404−50.8%ReducedHistory
BNLBroadstone Net Lease, Inc.COM29,398$729.0K<0.1%+10,747+57.6%AddedHistory
QFINQfin Holdings, Inc.AMERICAN DEP35,933$730.0K<0.1%−21,167−37.1%ReducedHistory
First Tr Exchange-Traded Alp33735B108COM SHS7,489$732.0K<0.1%+87+1.2%Added–
Sandstorm Gold Ltd Com New80013R206Stock127,347$734.0K<0.1%+33,898+36.3%Added–
TITNTitan Machinery Inc.COM28,497$738.0K<0.1%−19,531−40.7%ReducedHistory
TBRGTruBridge, Inc.COM20,825$738.0K<0.1%−11,709−36.0%ReducedHistory
BVNBuenaventura Mining Co IncSPONSORED ADR109,629$741.0K<0.1%+38,465+54.1%AddedHistory
AXTAAxalta Coating Systems Ltd.COM25,381$741.0K<0.1%−187,252−88.1%ReducedHistory
PFGCPerformance Food Group CoCOM15,972$742.0K<0.1%+3,399+27.0%AddedHistory
RMRRMR Group Inc.CL A22,170$742.0K<0.1%−17,135−43.6%ReducedHistory
RVTRoyce Small-Cap Trust, Inc.COM41,247$743.0K<0.1%+2,740+7.1%AddedHistory
HVTHaverty Furniture Companies IncCOM22,093$745.0K<0.1%−21,085−48.8%ReducedHistory
ETDEthan Allen Interiors IncCOM31,508$747.0K<0.1%−24,372−43.6%ReducedHistory
MOVMovado Group IncCOM24,005$756.0K<0.1%+24,005NewHistory
EFSCEnterprise Financial Services CorpCOM16,805$761.0K<0.1%+503+3.1%AddedHistory
SCUSculptor Capital Management, Inc.COM CL A27,441$765.0K<0.1%+27,441NewHistory
PBAPembina Pipeline CorpCOM24,184$766.0K<0.1%−4,256−15.0%ReducedHistory
ETXEaton Vance Municipal Income 2028 Term TrustSHS34,313$766.0K<0.1%−5,471−13.8%ReducedHistory
ENDPEndo International plcSHS237,324$769.0K<0.1%−551,617−69.9%ReducedHistory
AEOAmerican Eagle Outfitters IncCOM29,894$771.0K<0.1%+29,894NewHistory
DCODucommun IncCOM15,331$772.0K<0.1%+15,331NewHistory
CSTRCapStar Financial Holdings, Inc.COM36,366$772.0K<0.1%+24,908+217.4%AddedHistory
LORLLoral Space & Communications Inc.COM17,973$773.0K<0.1%+17,973NewHistory
AESAES CorpStock33,893$774.0K<0.1%−87,483−72.1%ReducedHistory
ALRMAlarm.com Holdings, Inc.COM9,895$774.0K<0.1%−31,038−75.8%ReducedHistory
DSKEDaseke, Inc.COM84,177$775.0K<0.1%−73,069−46.5%ReducedHistory
OLPOne Liberty Properties IncCOM25,498$777.0K<0.1%−17,199−40.3%ReducedHistory
SBSISouthside Bancshares IncCOM20,283$777.0K<0.1%−39,244−65.9%ReducedHistory
PETSPetmed Express IncCOM28,964$778.0K<0.1%+28,964NewHistory
PIMCO ETF Tr72201R866INTER MUN BD ACT13,845$780.0K<0.1%+943+7.3%Added–
RICKRci Hospitality Holdings, Inc.COM11,392$780.0K<0.1%−9,404−45.2%ReducedHistory
iShares Core MSCI Europe ETF46434V738ETF13,961$783.0K<0.1%+3,596+34.7%Added–
USFDUS Foods Holding Corp.COM22,578$783.0K<0.1%+1,007+4.7%AddedHistory
IMXIInternational Money Express, Inc.COM47,187$788.0K<0.1%−20,392−30.2%ReducedHistory
MUEBlackRock Muniholdings Quality Fund II, Inc.COM57,206$789.0K<0.1%+13,963+32.3%AddedHistory
RMRegional Management Corp.COM13,609$792.0K<0.1%+13,609NewHistory
RCMR1 RCM Holdco Inc.COM36,135$795.0K<0.1%−107,327−74.8%ReducedHistory
DHILDiamond Hill Investment Group IncCOM NEW4,554$800.0K<0.1%−2,825−38.3%ReducedHistory
SPHRSphere Entertainment Co.CL A11,027$801.0K<0.1%−72,830−86.9%ReducedHistory
RFPResolute Forest Products Inc.COM67,482$803.0K<0.1%+67,482NewHistory
Dada Nexus Ltd23344D108ADS40,135$804.0K<0.1%−23,645−37.1%Reduced–
VCTRVictory Capital Holdings, Inc.COM CL A23,085$808.0K<0.1%−17,759−43.5%ReducedHistory
CANCanaan Inc.SPONSORED ADS133,301$814.0K<0.1%−57,509−30.1%ReducedHistory
BYByline Bancorp, Inc.COM33,260$817.0K<0.1%+33,260NewHistory
BBSIBarrett Business Services IncCOM10,745$819.0K<0.1%−8,462−44.1%ReducedHistory
SHOEShoe Station Group IncCOM25,254$819.0K<0.1%+25,254NewHistory
LQDTLiquidity Services IncCOM37,997$821.0K<0.1%+37,997NewHistory
CHGGChegg, IncCOM12,136$825.0K<0.1%−150,940−92.6%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