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First Trust Institutional Preferred Securities and Income ETF (FPEI)
Holdings of the Fund as of 11/13/2019 *

Total Number of Holdings (excluding cash): 120

Security Name Identifier Shares / Quantity Market Value Weighting Descending sort
EMERA INC Variable rate, due 06/15/2076 290876AD3 8,270,000 $9,316,320.40 3.93%
ENEL SPA Variable rate, due 09/24/2073 29265WAA6 5,500,000 $6,443,992.50 2.72%
HARTFORD FINL SVCS GRP Variable rate, due 02/12/2047 416515BC7 7,160,000 $6,454,883.20 2.72%
BB&T CORPORATION Variable rate 054937AL1 6,000,000 $6,112,500.00 2.58%
JPMORGAN CHASE & CO Series V, Variable rate 48127FAA1 5,940,000 $5,985,540.03 2.52%
NISOURCE INC 5.65% 65473PAG0 5,806,000 $5,926,271.30 2.50%
BARCLAYS PLC Variable rate 06738EBG9 5,000,000 $5,436,425.00 2.29%
ENBRIDGE INC Variable rate, due 01/15/2077 29250NAN5 5,106,000 $5,407,356.12 2.28%
AERCAP GLOBAL AVIATION TRUST Variable rate, due 06/15/2045 00773HAA5 4,650,000 $5,119,347.75 2.16%
BARCLAYS PLC Variable rate G0809LDY2 4,350,000 $4,633,106.70 1.95%
GOLDMAN SACHS GROUP INC Variable rate 38148BAE8 4,200,000 $4,446,750.00 1.88%
ROYAL BK SCOTLND GRP PLC Variable rate 780097BB6 4,100,000 $4,421,583.50 1.86%
CENTERPOINT ENERGY INC Variable rate 15189TAS6 4,089,000 $4,330,925.68 1.83%
ASSURANT INC Variable rate, due 03/27/2048 04621XAK4 3,858,000 $4,315,589.32 1.82%
VOYA FINANCIAL INC Variable rate, due 05/15/2053 45685EAG1 4,050,000 $4,280,769.00 1.81%
UNICREDIT SPA Variable rate T9T20LTJ7 3,850,000 $4,053,784.35 1.71%
CITIGROUP INC Variable rate 172967MG3 3,750,000 $3,861,337.50 1.63%
CREDIT SUISSE GROUP AG Variable rate 225401AJ7 3,400,000 $3,664,231.00 1.55%
CITIGROUP INC Series P, Variable rate 172967JM4 3,314,000 $3,562,400.87 1.50%
AUST & NZ BANKING GROUP Variable rate 05254HAA2 3,000,000 $3,370,065.00 1.42%
ING GROEP NV Variable rate N4578EBG2 3,100,000 $3,278,250.00 1.38%
TRANSCANADA TRUST Variable rate, due 08/15/2076 89356BAB4 3,050,000 $3,283,386.00 1.38%
ASAHI MUTUAL LIFE INSURANCE Variable rate BDG6YY4 3,000,000 $3,228,002.23 1.36%
BANCO SANTANDER SA Variable rate E2R99CQ59 3,000,000 $3,231,843.00 1.36%
BHP BILLITON FIN USA LTD Variable rate, due 10/19/2075 055451AX6 2,700,000 $3,163,644.00 1.33%
SOCIETE GENERALE Variable rate 83368JKG4 2,946,000 $3,103,419.51 1.31%
CREDIT AGRICOLE SA Variable rate 225313AL9 2,806,000 $3,032,486.30 1.28%
CREDIT AGRICOLE SA Variable rate BJ4FPL9 225313AD7 2,600,000 $2,921,750.00 1.23%
UBS GROUP FUNDING (SWITZERLAND) AG Variable rate H4209UAN6 2,500,000 $2,716,512.50 1.15%
M&T BANK CORPORATION Variable rate 55261FAL8 2,500,000 $2,593,750.00 1.09%
KONINKLIJKE KPN NV Variable rate, due 03/28/2073 N4297BBC7 2,326,000 $2,553,413.02 1.08%
CREDIT SUISSE GROUP AG Variable rate H9200RAA9 2,300,000 $2,547,250.00 1.07%
QBE INSURANCE GROUP LTD Variable rate, due 12/02/2044 Q78063AG1 2,250,000 $2,503,732.50 1.06%
BNP PARIBAS Variable rate 05565AHN6 2,300,000 $2,457,998.50 1.04%
DUKE ENERGY CORP Variable rate 26441CBG9 2,290,000 $2,411,083.75 1.02%
INTESA SANPAOLO SPA Variable rate 46115HAU1 2,300,000 $2,405,466.50 1.01%
ROYAL BK SCOTLND GRP PLC Variable rate 780099CK1 2,050,000 $2,341,479.25 0.99%
GOLDMAN SACHS GROUP INC Variable rate 38148BAB4 2,300,000 $2,320,619.50 0.98%
BANCO MERCANTIL DE NORTE Variable rate 05971PAA6 2,200,000 $2,265,307.00 0.96%
GOLDMAN SACHS GROUP INC Variable rate 38144GAB7 2,200,000 $2,218,612.00 0.94%
GOLDMAN SACHS GROUP INC Series L, Variable rate 38148BAA6 2,192,000 $2,202,960.00 0.93%
TRANSCANADA TRUST Variable rate, due 09/15/2079 89356BAE8 2,000,000 $2,136,874.00 0.90%
E*TRADE FINANCIAL CORP Variable rate 269246BN3 2,000,000 $2,101,870.00 0.89%
LLOYDS BANKING GROUP PLC Variable rate 539439AG4 1,900,000 $2,077,526.50 0.88%
AMERICAN EXPRESS CO Variable rate 025816BL2 2,000,000 $2,022,440.00 0.85%
FUKOKU MUTUAL LIFE INSURANCE CO Variable rate J17074AB1 1,800,000 $2,010,402.00 0.85%
DCP MIDSTREAM OPERATING Variable rate, due 05/21/2043 23311RAH9 2,164,000 $1,998,313.34 0.84%
NORDEA BANK ABP 6.625% 65559CAA9 1,800,000 $1,956,789.00 0.83%
CITIZENS FINANCIAL GROUP Variable rate 174610AH8 1,900,000 $1,919,237.50 0.81%
CREDIT AGRICOLE SA Variable rate 225313AJ4 1,600,000 $1,912,456.00 0.81%
CREDIT SUISSE GROUP AG Variable rate 225401AL2 1,800,000 $1,896,750.00 0.80%
JPMORGAN CHASE & CO Variable rate 48128BAF8 1,800,000 $1,867,500.00 0.79%
LAND O'LAKES INC 7% 514666AN6 2,000,000 $1,881,250.01 0.79%
MITSUI SUMITOMO INSURANC 7% (Variable after 03/15/2022), due 03/15/2072 606839AA6 1,700,000 $1,857,709.00 0.78%
AERCAP HOLDINGS NV Variable rate, due 10/10/2079 00774YAA7 1,700,000 $1,786,419.50 0.75%
QBE INSURANCE GROUP LTD Variable rate, due 11/24/2043 74737EAA2 1,500,000 $1,667,280.00 0.70%
BANK OF AMERICA CORP Series X, Variable rate 060505EH3 1,400,000 $1,558,179.00 0.66%
UBS GROUP FUNDING (SWITZERLAND) AG Variable rate H4209BAE8 1,500,000 $1,558,509.00 0.66%
LLOYDS BANK PLC Variable rate G4715MNG3 1,250,000 $1,524,218.75 0.64%
STANDARD CHARTERED PLC Variable rate 853254BH2 1,400,000 $1,527,001.00 0.64%
AES GENER SA Variable rate, due 10/07/2079 00105DAG0 1,500,000 $1,498,500.00 0.63%
CITIGROUP INC Series B, Variable rate 172967GF2 1,416,000 $1,494,892.44 0.63%
ING GROEP NV 6.50% 456837AF0 1,400,000 $1,495,270.00 0.63%
LAND O'LAKES INC 7.25% 514666AM8 1,490,000 $1,435,518.15 0.61%
ASAHI MUTUAL LIFE INSURANCE Variable rate BYP5375 1,300,000 $1,400,741.48 0.59%
BANK OF AMERICA CORP Variable rate 060505FP4 1,300,000 $1,361,165.00 0.57%
HSBC HOLDINGS PLC Variable rate 404280AT6 1,270,000 $1,347,108.05 0.57%
SOCIETE GENERALE Variable rate 83367TBF5 1,221,000 $1,340,920.51 0.57%
JPMORGAN CHASE & CO Series R, Variable rate 48126HAA8 1,100,000 $1,175,036.50 0.50%
BNP PARIBAS Variable rate 05565AAQ6 1,081,000 $1,135,428.35 0.48%
LAND O LAKES CAP TRST I 7.45%, Cumulative Preferred, due 03/15/2028 514665AA6 1,000,000 $1,130,000.00 0.48%
SUMITOMO LIFE INSURANCE Variable rate, due 09/20/2073 86564CAA8 1,000,000 $1,126,520.00 0.48%
CREDIT AGRICOLE SA Variable rate F22797RT7 1,000,000 $1,123,750.00 0.47%
KONINKLIJKE KPN NV Variable rate, due 03/28/3073 50048VAA8 1,000,000 $1,097,770.00 0.46%
LA MONDIALE Variable rate, due 01/26/2047 F5616KAC8 1,000,000 $1,082,825.00 0.46%
PRUDENTIAL FINANCIAL INC Variable rate, due 06/15/2043 744320AM4 1,000,000 $1,084,365.00 0.46%
BNP PARIBAS Variable rate 05565ACA9 1,000,000 $1,046,645.00 0.44%
ENERGY TRANSFER OPERATNG Variable rate, due 11/01/2066 29273RBA6 1,395,000 $1,051,041.83 0.44%
QBE CAP FUNDING III LTD Variable rate, due 05/24/2041 74734PAA0 1,000,000 $1,054,255.00 0.44%
SWEDBANK AB Variable rate W94232TS9 1,000,000 $1,037,257.00 0.44%
BANCO BILBAO VIZCAYA ARG Variable rate 05946KAG6 1,000,000 $1,030,250.00 0.43%
DANSKE BANK A/S Variable rate K222736J8 950,000 $969,593.75 0.41%
STANDARD CHARTERED PLC Variable rate 853254BA7 900,000 $953,716.50 0.40%
BBVA BANCOMER SA TEXAS Variable rate, due 09/13/2034 05533UAG3 900,000 $929,272.50 0.39%
BNP PARIBAS Variable rate 05565AAN3 800,000 $901,684.00 0.38%
ING GROEP NV Variable rate 456837AR4 870,000 $893,381.25 0.38%
FARM CREDIT BK OF TEXAS Variable rate 30767EAC3 800,000 $835,459.84 0.35%
ENBRIDGE INC Variable rate, due 07/15/2077 29250NAS4 800,000 $817,216.00 0.34%
BANK OF AMERICA CORP Series Z, Variable rate 060505EL4 700,000 $784,500.50 0.33%
COBANK ACB Variable rate 19075QAC6 723,000 $777,225.00 0.33%
DAI-ICHI LIFE INSURANCE Variable rate 23380YAB3 700,000 $753,620.00 0.32%
JPMORGAN CHASE & CO Series 1, Variable rate 46625HHA1 682,000 $689,440.62 0.29%
LLOYDS BANKING GROUP PLC Variable rate 539439AU3 600,000 $656,763.00 0.28%
EVEREST REINSURANCE HLDG Variable rate, due 05/15/2037 299808AE5 630,000 $586,904.85 0.25%
CREDIT SUISSE GROUP AG Variable rate 22546DAB2 500,000 $553,750.00 0.23%
LAND O'LAKES INC 8% 514666AK2 535,000 $543,025.00 0.23%
SOCIETE GENERALE Variable rate F43628C73 500,000 $526,717.50 0.22%
CITIGROUP INC Series O, Variable rate 172967JK8 500,000 $504,547.50 0.21%
ENTERPRISE PRODUCTS OPER Variable rate, due 06/01/2067 29379VAN3 500,000 $468,260.00 0.20%
Lincoln National Corp. Variable rate, due 05/17/2066 534187AS8 531,000 $458,507.88 0.19%
SOCIETE GENERALE Variable rate F8586CRW4 400,000 $439,286.00 0.19%
BANCO MERCANTIL DE NORTE Variable rate 05971PAB4 400,000 $420,000.00 0.18%
SOUTHERN CO Variable rate, due 03/15/2057 842587CY1 400,000 $417,605.94 0.18%
PPL CAPITAL FUNDING INC Variable rate, due 03/30/2067 69352PAC7 400,000 $369,935.72 0.16%
WELLS FARGO & COMPANY Series K, Preferred, Variable rate 949746PM7 376,000 $379,778.80 0.16%
REINSURANCE GRP OF AMER Variable rate, due 12/15/2065 759351AE9 375,000 $350,625.00 0.15%
ENBRIDGE INC Variable rate, due 03/01/2078 29250NAW5 300,000 $322,956.00 0.14%
UBS GROUP FUNDING (SWITZERLAND) AG Variable rate H42097AA5 313,000 $329,648.47 0.14%
BHP BILLITON FIN USA LTD Variable rate, due 10/19/2075 055451AW8 300,000 $309,627.00 0.13%
DNB BANK ASA Variable rate R16582YP8 300,000 $301,893.00 0.13%
CITIGROUP INC Preferred, Variable rate 172967GD7 250,000 $263,125.00 0.11%
CREDIT SUISSE GROUP AG Variable rate 225401AK4 250,000 $271,151.25 0.11%
DANSKE BANK A/S Variable rate K22274H96 250,000 $265,781.25 0.11%
QBE INSURANCE GROUP LTD Variable rate, due 11/24/2043 74737DAA4 200,000 $222,304.00 0.09%
SKANDINAVISKA ENSKILDA Variable rate W8T54ERZ6 200,000 $204,692.40 0.09%
UBS GROUP FUNDING (SWITZERLAND) AG Variable rate H4209UAP1 200,000 $223,305.00 0.09%
AMTRUST FINANCIAL SERVICES 6.125%, due 08/15/2023 032359AE1 200,000 $200,430.81 0.08%
BANCO BILBAO VIZCAYA ARGENTARIA Variable rate 05946KAF8 200,000 $194,930.00 0.08%
DOMINION RESOURCES INC Variable rate, due 06/30/2066 25746UAY5 196,000 $186,497.92 0.08%
ENERGY TRANSFER PARTNERS Variable rate 29278NAB9 100,000 $95,152.00 0.04%
US Dollar $USD -994,659 ($994,659.07) -0.42%
Holdings are subject to change.

* The holdings information set forth above for the date indicated reflects creation and redemption transactions from the prior business day and may differ from the holdings information currently available from the Fund's custodian and accounting agent. With respect to the market value of the Fund's holdings set forth above, the pricing sources are generally third party vendors. The Fund ultimately relies on pricing information provided by the Fund's accounting agent.


 
The information presented is not intended to constitute an investment recommendation for, or advice to, any specific person. By providing this information, First Trust is not undertaking to give advice in any fiduciary capacity within the meaning of ERISA, the Internal Revenue Code or any other regulatory framework. Financial advisors are responsible for evaluating investment risks independently and for exercising independent judgment in determining whether investments are appropriate for their clients.
First Trust Portfolios L.P.  Member SIPC and FINRA.
First Trust Advisors L.P.
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