First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund
US ˙ NasdaqGM ˙ US33738D3098

SecurityFTSL / First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund
InstitutionSigma Planning Corp
Latest Disclosed Ownership8,920 shares
Latest Disclosed Value $ 399,638
Sigma Planning Corp reports 25.46% decrease in ownership of FTSL / First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund

On May 4, 2026 - Sigma Planning Corp filed a 13F-HR form disclosing ownership of 8,920 shares of First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund (US:FTSL) valued at $399,616 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 30, 2026 disclosing 11,966 shares of First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund. This represents a change in shares of -25.46% during the quarter. The current value of the position is $401,132 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-04 2026-03-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 8,920 -3,046 -25.46 400 -27.19 0.0111
2026-01-30 2025-12-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 11,966 -700 -5.53 549 -5.52 0.0152
2025-11-10 2025-09-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 12,666 -197 -1.53 581 -1.69 0.0165
2025-08-05 2025-06-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 12,863 -1,929 -13.04 590 -12.59 0.0177
2025-05-02 2025-03-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 14,792 -736 -4.74 675 -5.99 0.0215
2025-02-03 2024-12-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 15,528 -1,169 -7.00 718 -6.27 0.0225
2024-11-04 2024-09-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 16,697 -1,190 -6.65 766 -6.24 0.0235
2024-08-06 2024-06-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 17,887 1,144 6.83 818 5.69 0.0259
2024-05-02 2024-03-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 16,743 7,324 77.76 774 78.52 0.0243
2024-02-01 2023-12-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 9,419 -8,374 -47.06 434 -46.74 0.0339
2023-11-06 2023-09-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 17,793 -1,354 -7.07 814 -6.23 0.0305
2023-08-02 2023-06-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 19,147 -5,999 -23.86 867 -23.75 0.0311
2023-05-08 2023-03-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 25,146 -56,755 -69.30 1,138 -68.86 0.0378
2023-01-24 2022-12-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 81,901 -34,269 -29.50 3,652 -28.69 0.1306
2022-11-10 2022-09-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 116,170 32,060 38.12 5,120 38.04 0.1952
2022-08-11 2022-06-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 84,110 -32,742 -28.02 3,709 -32.54 0.1289
2022-04-20 2022-03-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 116,852 1,260 1.09 5,498 -0.74 0.1647
2022-02-02 2021-12-31 13F First Trust Senior Loan Fund ETF 33738D309 115,592 57,098 97.61 5,539 97.89 0.1544
2021-10-28 2021-09-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 58,494 12,553 27.32 2,799 26.88 0.0842
2021-08-13 2021-06-30 13F First Trust Senior Loan Fund ETF 33738D309 45,941 -4,509 -8.94 2,206 -8.69 0.0658
2021-05-06 2021-03-31 13F First Trust Senior Loan Fund ETF 33738D309 50,450 31,691 168.94 2,416 170.55 0.0772
2021-02-09 2020-12-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 18,759 942 5.29 893 8.90 0.0304
2020-11-03 2020-09-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 17,817 378 2.17 820 4.19 0.0325
2020-07-31 2020-06-30 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 17,439 -5,842 -25.09 787 -19.12 0.0345
2020-05-01 2020-03-31 13F FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 23,281 -7,121 -23.42 973 -33.22 0.0578
2020-02-03 2019-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 30,402 -1,922 -5.95 1,457 -4.96 0.0615
2019-11-01 2019-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 32,324 -1,090 -3.26 1,533 -2.67 0.0736
2019-08-01 2019-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 33,414 -1,963 -5.55 1,575 -5.46 0.0811
2019-05-01 2019-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 35,377 4,474 14.48 1,666 18.41 0.0946
2019-01-31 2018-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 30,903 -1,531 -4.72 1,407 -9.69 0.1023
2018-11-07 2018-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 32,434 2,571 8.61 1,558 9.18 0.0916
2018-08-02 2018-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 29,863 6,493 27.78 1,427 26.84 0.0955
2018-05-11 2018-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 23,370 758 3.35 1,125 3.59 0.0823
2018-02-07 2017-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 22,612 -233 -1.02 1,086 -1.36 0.0837
2017-11-06 2017-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 22,845 -937 -3.94 1,101 -4.34 0.0908
2017-08-02 2017-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 23,782 1,045 4.60 1,151 4.64 0.1082
2017-04-24 2017-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 22,737 2,410 11.86 1,100 11.45 0.1065
2017-01-23 2016-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 20,327 22 0.11 987 0.30 0.1079
2016-11-07 2016-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 20,305 319 1.60 984 3.14 0.1167
2016-07-22 2016-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 19,986 253 1.28 954 1.71 0.1244
2016-04-18 2016-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 19,733 -154 -0.77 938 0.64 0.1282
2016-01-20 2015-12-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 19,887 474 2.44 932 -0.53 0.1305
2015-11-02 2015-09-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 19,413 -2,511 -11.45 937 -12.59 0.1485
2015-07-14 2015-06-30 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 21,924 791 3.74 1,072 3.08 0.1480
2015-04-23 2015-03-31 13F FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 21,133 21,133 1,040 0.1378
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.