Principal Securities’s FT Vest US Small Cap Moderate Buffer ETF May SMAY Stock Holding History

Principal Securities’s Portfolio SMAY Stock Details SMAY Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2025 Q4	–	Sell	-1,507	Closed	-$38.2K	–	3187
2025 Q3	$38.2K	Hold	1,507	–	–	﹤0.01%	2081
2025 Q2	$36.1K	Hold	1,507	–	–	﹤0.01%	2031
2025 Q1	$37.4K	Hold	1,507	–	–	﹤0.01%	1890
2024 Q4	$37.4K	Hold	1,507	–	–	﹤0.01%	1886
2024 Q3	$37K	Hold	1,507	–	–	﹤0.01%	1819
2024 Q2	$35.2K	Buy	1,507 +1,168	+345%	+$26.7K	﹤0.01%	1784
2024 Q1	$7.78K	Hold	339	–	–	﹤0.01%	2453
2023 Q4	$7.46K	Buy	+339	New	+$6.97K	﹤0.01%	2384

Other funds holding SMAY

Osaic Holdings Scottsdale, Arizona $68.3B AUM 20.5% 1-Year Est. Return

Cetera Investment Advisers Schaumburg, Illinois $94B AUM 20.14% 1-Year Est. Return

MOS

MGO One Seven Beachwood, Ohio $4.98B AUM 22.72% 1-Year Est. Return

LWM

Lionshead Wealth Management New York $136M AUM 19.17% 1-Year Est. Return

WWM

Westwood Wealth Management Los Angeles, California $255M AUM 54.97% 1-Year Est. Return

SMART Wealth Omaha, Nebraska $341M AUM 24.37% 1-Year Est. Return

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

Cambridge Investment Research Advisors Fairfield, Iowa $38.8B AUM 21.88% 1-Year Est. Return

EMAM

Encompass More Asset Management Danville, California $687M AUM 25.06% 1-Year Est. Return

ASN

Advisory Services Network Atlanta, Georgia $7.52B AUM 29.01% 1-Year Est. Return

Principal Securities's SMAY Position: Q4 2025 in Review

Principal Securities sold out of FT Vest US Small Cap Moderate Buffer ETF May (SMAY) in Q4 2025, closing a stake of 1,507 shares — an estimated $38.2K sold.

Principal Securities first reported a position in SMAY in Q4 2023 and held it in 8 quarters. The position peaked at $38.2K in Q3 2025. 62 funds tracked by Wall St. Rank hold SMAY as of Q4 2025.

Principal Securities reported no remaining FT Vest US Small Cap Moderate Buffer ETF May position as of Q4 2025 after selling out during the quarter.
Principal Securities sold 1,507 FT Vest US Small Cap Moderate Buffer ETF May shares in Q4 2025, an estimated $38.2K.
Principal Securities first reported a position in FT Vest US Small Cap Moderate Buffer ETF May in Q4 2023 and held it in 8 quarters.
Principal Securities's FT Vest US Small Cap Moderate Buffer ETF May position peaked at $38.2K in Q3 2025.
62 funds tracked by Wall St. Rank held FT Vest US Small Cap Moderate Buffer ETF May as of Q4 2025.

Based on Principal Securities's 13F filing for Q4 2025, filed 12 Feb 2026.