First Trust Specialty Finance & Financial Opptys: Ownership

Ownership Information
Shares Outstanding 14.00 Mil
Institutional Ownership (%)1.67
Top 10 Institutions (%)1.70
Mutual Fund Ownership (%).00
5%/Insider Ownership (%).00
Float (%).00
Ownership Activity
Description# of HoldersShares
Total Positions 7234,281
New PositionsNA0
Soldout Positions100
Net Position Change-8-236,316
Buyers459,406
Sellers12-295,722
advertisement
Institution Name Shs Held Shs Chg %Chg $Chg* %Out %Port Rpt Date
First Wilshire Securities Management, Inc. 189,146 55,413 41.4 472,788 1.3 0.3 06-30-09
Wedbush Morgan Securities, Inc. 31,755 2,050 6.9 35,049 0.2 0.1 09-30-09
RBC Capital Markets Wealth Management 5,464 -12,461 -69.5 -27,122 0.0 0.0 06-30-09
Wells Fargo Securities, LLC 4,593 1,263 37.9 11,241 0.0 0.0 06-30-09
UBS Securities LLC 1,473 680 85.8 4,287 0.0 0.0 09-30-09
Evergreen Investment Management Company, LLC 1,000 0 0.0 1,650 0.0 0.0 06-30-09
Deutsche Bank Securities Inc. 850 -4,000 -82.5 -10,197 0.0 0.0 06-30-09
Deutsche Asset Management Americas 0 -58,953 -100.0 -529,987 0.0 0.0 09-30-08
Credit Suisse Securities (USA) LLC 0 -24,259 -100.0 -170,783 0.0 0.0 12-31-08
FAF Advisors, Inc. 0 -1,500 -100.0 -5,895 0.0 0.0 03-31-09
Banc of America Securities Merrill Lynch 0 -875 -100.0 -2,538 0.0 0.0 06-30-09
Wolverine Asset Management, L.L.C. 0 -7,400 -100.0 -21,460 0.0 0.0 06-30-09
TFS Capital, L.L.C. 0 -15,569 -100.0 -45,150 0.0 0.0 06-30-09
YieldQuest Advisors, LLC 0 -5,300 -100.0 -15,370 0.0 0.0 06-30-09
CTC Fund Management, L.L.C. 0 -200 -100.0 -786 0.0 0.0 03-31-09
*Category Headings:
Shs Held - shares held at report date
Shs Chg - position change within reporting period
%Chg - % change
$Chg - market value of the position change
%Out - % of shares outstanding
%Port - % Portfolio
Rpt Date - report date
Page generated 11/25/2009 9:09 AM Eastern Time