SCHEDULE 13G/A
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First Trust Exchange-Traded AlphaDEX Fund
First Trust Technology AlphaDEX Fund
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CUSIP No. 33734X176
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5. Sole Voting Power
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824,771
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Number of | |||||
Shares | |||||
Beneficially |
6. Shared Voting Power
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0
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Owned by | |||||
Each Reporting | |||||
Person |
7. Sole Dispositive Power
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824,771 | |||
With: | |||||
8. Shared Dispositive Power
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0
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9. | Aggregate Amount Beneficially Owned by Each Reporting Person | 824,771 |
10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares
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(See Instructions) [ ]
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11. |
Percent of Class Represented by Amount in Row (9)
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8.9%
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12.
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Type of Reporting Person (See Instructions)
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IA |
SCHEDULE 13G/A
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First Trust Exchange-Traded AlphaDEX Fund
First Trust Technology AlphaDEX Fund
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CUSIP No. 33734X176
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SCHEDULE 13G/A
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First Trust Exchange-Traded AlphaDEX Fund
First Trust Technology AlphaDEX Fund
|
CUSIP No. 33734X176
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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[ ]
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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[ ]
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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[ ]
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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[ ]
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Investment company registered under section 8 of the Investment Company Act (15 U.S.C. 80a-8).
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(e)
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[X]
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
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(f)
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[ ]
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).
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(g)
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[ ]
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A parent holding company or control plan, in accordance with §240.13d-1(b)(1)(ii)(G). (Note: See Item 7).
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(h)
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[ ]
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A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
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(i)
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[ ]
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3)
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(j)
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[ ]
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Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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(a)
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Amount Beneficially Owned:
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824,771. All 824,771 Shares of Beneficial Interests (“Shares”) are ultimately owned by certain individual and institutional clients for which Robert W. Baird & Co. Incorporated (“Baird”) serves as investment advisor. Baird may be deemed to beneficially own such Shares within the meaning of Rule 13d-3 of the Securities Exchange Act of 1934, as amended (the “Act”), by virtue of the investment discretion and voting authority granted to Baird by such clients over such Shares. The investment discretion and voting authority granted to Baird may be revoked at any time.
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(b)
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Percent of Class:
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8.9%. The percentage was calculated based upon 9,305,000 Shares of Beneficial Interests outstanding at January 3, 2012, as reported by the Issuer.
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SCHEDULE 13G/A
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First Trust Exchange-Traded AlphaDEX Fund
First Trust Technology AlphaDEX Fund
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CUSIP No. 33734X176
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0.
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0.
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
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Item 8.
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Identification and Classification of Members of the Group.
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Not applicable.
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Item 9.
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Notice of Dissolution of Group.
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SCHEDULE 13G/A
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First Trust Exchange-Traded AlphaDEX Fund
First Trust Technology AlphaDEX Fund
|
CUSIP No. 33734X176
|