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First Trust Exchange-Traded Fund III

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Former names

First Trust Exchange Traded Fund III

SEC CIK

Latest filings (excl ownership)

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Annual report of proxy voting record

Certified semi-annual shareholder report (management investment company)

Correspondence with SEC

Certified semi-annual shareholder report (management investment company)

Annual report (registered investment company)

Certified annual shareholder report (management investment company)

Annual report (registered investment company)

Certified annual shareholder report (management investment company)

Annual report of proxy voting record

Certified semi-annual shareholder report (management investment company)

Latest ownership filings

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First Trust Short Duration Managed Municipal ETF (Jul 2023 report)

First Trust RiverFront Dynamic Emerging Markets ETF (Jul 2023 report)

First Trust RiverFront Dynamic Developed International ETF (Jul 2023 report)

First Trust Ultra Short Duration Municipal ETF (Jul 2023 report)

First Trust Municipal High Income ETF (Jul 2023 report)

First Trust New York Municipal High Income ETF (Jul 2023 report)

First Trust Institutional Preferred Securities and Income ETF (Jul 2023 report)

First Trust Managed Municipal ETF (Jul 2023 report)

First Trust RiverFront Dynamic Europe ETF (Jul 2023 report)

First Trust Preferred Securities and Income ETF (Jul 2023 report)

Funds

Data from SEC filings

Series	Ticker	%Monthly Return ?			$Assets	#Holdings	As of
First Trust California Municipal High Income ETF	FCAL	-0.73	0.89	0.27	153.21 mm	241	Jul 2023
First Trust Emerging Markets Local Currency Bond ETF	FEMB	-1.06	4.76	3.03	157.48 mm	64	Jul 2023
First Trust Horizon Managed Volatility Developed International ETF	HDMV	-4.08	1.80	1.68	40.71 mm	175	Jul 2023
First Trust Horizon Managed Volatility Domestic ETF	HUSV	-4.78	5.00	-0.09	95.38 mm	75	Jul 2023
First Trust Horizon Managed Volatility Small/Mid ETF	HSMV	-4.49	6.54	2.78	19.10 mm	150	Jul 2023
First Trust Institutional Preferred Securities and Income ETF	FPEI	0.33	1.10	2.61	1.00 bn	178	Jul 2023
First Trust Long/Short Equity ETF	FTLS	-0.76	3.35	2.49	1.01 bn	317	Jul 2023
First Trust Managed Municipal ETF	FMB	-0.66	0.95	0.31	1.94 bn	1,352	Jul 2023
First Trust Merger Arbitrage ETF	MARB	-1.99	1.45	-0.05	68.97 mm	25	Jul 2023
First Trust Municipal High Income ETF	FMHI	-0.27	1.38	0.37	417.64 mm	394	Jul 2023
First Trust New York Municipal High Income ETF	FMNY	-0.97	1.04	0.24	13.57 mm	47	Jul 2023
First Trust Preferred Securities and Income ETF	FPE	-0.10	1.24	2.48	5.45 bn	286	Jul 2023
First Trust RiverFront Dynamic Developed International ETF	RFDI	-3.04	4.79	2.95	121.99 mm	162	Jul 2023
First Trust RiverFront Dynamic Emerging Markets ETF	RFEM	0.04	5.46	3.79	37.53 mm	98	Jul 2023
First Trust RiverFront Dynamic Europe ETF	RFEU	-5.80	4.34	3.46	9.30 mm	108	Jul 2023
First Trust Short Duration Managed Municipal ETF	FSMB	-0.41	0.51	0.16	428.47 mm	561	Jul 2023
First Trust Ultra Short Duration Municipal ETF	FUMB	0.19	0.35	0.20	271.68 mm	253	Jul 2023

Institutional ownership, Q2 2023

First Trust Exchange-Traded Fund III institutional ownership history Ownership history

13F holders	Current	Prev Q	Change
Total holders	211	301	-29.9%
Opened positions	26	80	-67.5%
Closed positions	116	32	+262.5%
Increased positions	59	126	-53.2%
Reduced positions	114	74	+54.1%

13F shares	Current	Prev Q	Change
Total value	1.12 tn	1.65 tn	-31.8%
Total shares	52.35 mm	73.51 mm	-28.8%
Total puts	0.00	0.00
Total calls	0.00	0.00
Total put/call ratio	–	–	–

Largest owners	Shares	Value	Change
MS Morgan Stanley	10.48 mm	$244.13 bn	-32.6%
RY Royal Bank Of Canada	5.03 mm	$140.27 bn	+4.7%
UBS UBS Group AG - Registered Shares	4.81 mm	$81.08 bn	+20.9%
LPL Financial	2.99 mm	$82.08 bn	-44.1%
Smith Chas P & Associates Pa Cpas	2.21 mm	$37.20 mm	+4.7%
BAC Bank Of America	2.18 mm	$36.71 bn	-25.3%
Jane Street	1.60 mm	$28.00 bn	+291.0%
Miracle Mile Advisors	1.43 mm	$24.01 bn	-6.2%
Citizens Business Bank	1.04 mm	$17.54 bn	-5.2%
First Trust Portfolios	1.02 mm	$0.00	-36.2%

Largest transactions	Shares	Bought/sold	Change
MS Morgan Stanley	10.48 mm	-5.06 mm	-32.6%
LPL Financial	2.99 mm	-2.35 mm	-44.1%
Raymond James Financial Services Advisors	740.26 k	-2.00 mm	-73.0%
Jane Street	1.60 mm	+1.19 mm	+291.0%
HighTower Advisors	330.90 k	-891.19 k	-72.9%
Csenge Advisory	18.62 k	-879.86 k	-97.9%
Cambridge Investment Research Advisors	287.35 k	-841.42 k	-74.5%
UBS UBS Group AG - Registered Shares	4.81 mm	+832.45 k	+20.9%
Envestnet Asset Management	744.48 k	-776.56 k	-51.1%
BAC Bank Of America	2.18 mm	-736.61 k	-25.3%

Data from 13F filings, for the last complete 13F reporting period. For most recent data, click the ownership history button. Values as filed, not updated for current price. Long positions only.

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