Ameriprise’s First Trust Emerging Markets Small Cap AlphaDEX Fund FEMS Stock Holding History

Ameriprise’s Portfolio FEMS Stock Details FEMS Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q4	–	Sell	-34,419	Closed	-$926K	–	3897
2015 Q3	$926K	Buy	34,419 +1,487	+5%	+$43.7K	﹤0.01%	3009
2015 Q2	$1.11M	Buy	32,932 +2,643	+9%	+$94.8K	﹤0.01%	3084
2015 Q1	$993K	Sell	30,289 -7,399	-20%	-$241K	﹤0.01%	2962
2014 Q4	$1.22M	Sell	37,688 -11,514	-23%	-$394K	﹤0.01%	2779
2014 Q3	$1.79M	Buy	49,202 +13,753	+39%	+$526K	﹤0.01%	2571
2014 Q2	$1.31M	Buy	35,449 +11,718	+49%	+$432K	﹤0.01%	2679
2014 Q1	$870K	Buy	23,731 +23,190	+4,287%	+$839K	﹤0.01%	2780
2013 Q4	$30K	Sell	541 -306	-36%	-$10.9K	﹤0.01%	3881
2013 Q3	$29K	Sell	847 -1,540	-65%	-$51.9K	﹤0.01%	4153
2013 Q2	$80K	Buy	+2,387	New	+$88.1K	﹤0.01%	3472

Other funds holding FEMS

OMC

Old Mission Capital Chicago, Illinois $6.3B AUM 14.68% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

FWM

Frontier Wealth Management Kansas City, Missouri $1.38B AUM 6.3% 1-Year Est. Return

Citadel Advisors Miami, Florida $618B AUM 30.34% 1-Year Est. Return

Susquehanna International Group Bala Cynwyd, Pennsylvania $893B AUM 36.07% 1-Year Est. Return

VKH

Virtu KCG Holdings New York $3.6B AUM 17.11% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

LTFS

Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return

Ameriprise's FEMS Position: Q4 2015 in Review

Ameriprise sold out of First Trust Emerging Markets Small Cap AlphaDEX Fund (FEMS) in Q4 2015, closing a stake of 34,419 shares — an estimated $926K sold.

Ameriprise first reported a position in FEMS in Q2 2013 and held it in 10 quarters. The position peaked at $1.79M in Q3 2014. 18 funds tracked by Wall St. Rank hold FEMS as of Q4 2015.

Ameriprise reported no remaining First Trust Emerging Markets Small Cap AlphaDEX Fund position as of Q4 2015 after selling out during the quarter.
Ameriprise sold 34,419 First Trust Emerging Markets Small Cap AlphaDEX Fund shares in Q4 2015, an estimated $926K.
Ameriprise first reported a position in First Trust Emerging Markets Small Cap AlphaDEX Fund in Q2 2013 and held it in 10 quarters.
Ameriprise's First Trust Emerging Markets Small Cap AlphaDEX Fund position peaked at $1.79M in Q3 2014.
18 funds tracked by Wall St. Rank held First Trust Emerging Markets Small Cap AlphaDEX Fund as of Q4 2015.

Based on Ameriprise's 13F filing for Q4 2015, filed 11 Feb 2016.