B. Riley Financial’s First Trust Institutional Preferred Securities and Income ETF FPEI Stock Holding History

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Shares Change %	Capital Flow	Portfolio Weight	Portfolio Position
2018 Q3	–	Sell	-42,200	Closed	-$805K	–	214
2018 Q2	$805K	Buy	42,200 +2,500	+6%	+$47.7K	0.21%	88
2018 Q1	$774K	Buy	39,700 +4,500	+13%	+$87.7K	0.22%	105
2017 Q4	$709K	Buy	+35,200	New	+$709K	0.19%	118