Confluence Investment Management’s First Trust Mid Cap Growth AlphaDEX Fund FNY Stock Holding History

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Shares Change %	Capital Flow	Portfolio Weight	Portfolio Position
2016 Q3	–	Sell	-12,317	Closed	-$370K	–	226
2016 Q2	$370K	Sell	12,317 -26	-0.2%	-$781	0.01%	204
2016 Q1	$356K	Sell	12,343 -40	-0.3%	-$1.15K	0.01%	199
2015 Q4	$357K	Sell	12,383 -5,076	-29%	-$146K	0.01%	212
2015 Q3	$491K	Buy	+17,459	New	+$491K	0.02%	206