0001445546-12-000842.txt : 20120214
0001445546-12-000842.hdr.sgml : 20120214
20120214160034
ACCESSION NUMBER: 0001445546-12-000842
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120214
EFFECTIVENESS DATE: 20120214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST ADVISORS LP
CENTRAL INDEX KEY: 0001125816
IRS NUMBER: 363788904
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06487
FILM NUMBER: 12609468
BUSINESS ADDRESS:
STREET 1: 12O EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 12O EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
13F-HR/A
1
cvrpg.txt
FORM 13F-HR, 4TH QUARTER 2011 FILING, FIRST TRUST ADVISORS
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 2011
Check here if Amendment [X]; Amendment Number: 2
This Amendment (Check only one.): [ ] is a restatement.
[X] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: First Trust Advisors L.P.
Address: 120 East Liberty Drive
Wheaton, Illinois 60187
13F File Number: 028-06487
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this submission.
Person Signing this Report on Behalf of Reporting Manager:
Name: Kathleen W. Brown
Title: Chief Compliance Officer
Phone: 630.517.7591
Signature, Place, and Date of Signing:
/s/ Kathleen W. Brown
__________________________________________________________________
Kathleen W. Brown Wheaton, Illinois February 14, 2012
Certain reportable securities were not listed in original filing.
Report Type (Check only one.):
[ ] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[X] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
028-13120 Macquarie Group Limited
028-04701 Aberdeen Asset Management PLC
028-13334 Confluence Investment Management LLC
028-12170 Energy Income Partners, LLC
028-06462 Chartwell Investment Partners
028-14439 Aviance Capital Management, LLC
028-00046 MacKay Shields LLC
028-13826 Brookfield Investment Management Inc.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
-----------
Form 13F Information Table Entry Total: 130
-----------
Form 13F Information Table Value Total: $ 418,614(000)
-----------
(thousands)
List of Other Included Managers: --
Voting Voting Voting
Value Auth- Auth- Auth-
Title X Sum Of Investment Other ority ority rity
Name of Issuer of Class CUSIP 1000 Shares Discretion Managers Sole Shared None
-------------- -------- --------- ------ ------ ---------- -------- ------ ------ ----
AAON INC COM PAR $0.004 000360206 408 19915 Sole None 19915 0 0
AAR CORP COM 000361105 541 28210 Sole None 28210 0 0
AFLAC INC COM 001055102 1276 29489 Sole None 29489 0 0
AGCO CORP COM 001084102 3074 71549 Sole None 71498 0 51
AGL RES INC COM 001204106 6144 145379 Sole None 145379 0 0
AVX CORP NEW COM 002444107 4590 359688 Sole None 359688 0 0
AZZ INC COM 002474104 709 15592 Sole None 15592 0 0
ABERCROMBIE & FITCH CO COM CL A 002896207 6383 130687 Sole None 130687 0 0
ACADIA RLTY TR COM SH BEN INT 004239109 1136 56390 Sole None 56390 0 0
ACI WORLDWIDE INC COM 004498101 775 27055 Sole None 27055 0 0
ACME PACKET INC COM 004764106 1985 64227 Sole None 64227 0 0
ACXIOM CORP COM 005125109 277 22682 Sole None 22682 0 0
ADVANCED ENERGY INDS COM 007973100 627 58440 Sole None 58440 0 0
AEROVIRONMENT INC COM 008073108 315 10008 Sole None 9980 0 28
AFFILIATED MANAGERS GROUP COM 008252108 753 7844 Sole None 7844 0 0
AGREE REALTY CORP COM 008492100 233 9568 Sole None 9568 0 0
AIR METHODS CORP COM PAR $.06 009128307 706 8357 Sole None 8357 0 0
AIR PRODS & CHEMS INC COM 009158106 3627 42581 Sole None 42581 0 0
AIRGAS INC COM 009363102 3772 48308 Sole None 48308 0 0
ALBANY INTL CORP CL A 012348108 346 14952 Sole None 14952 0 0
ALCOA INC COM 013817101 4411 509945 Sole None 509945 0 0
ALCATEL-LUCENT SPONSORED ADR 013904305 153 98257 Sole None 98257 0 0
ALEXANDERS INC COM 014752109 735 1985 Sole None 1985 0 0
ALEXANDRIA REAL ESTATE EQ IN COM 015271109 4322 62667 Sole None 62667 0 0
ALEXION PHARMACEUTICALS INC COM 015351109 21634 302570 Sole None 302570 0 0
ALLEGHANY CORP DEL COM 017175100 339 1188 Sole None 1188 0 0
ALLERGAN INC COM 018490102 9598 109389 Sole None 109389 0 0
ALLETE INC COM NEW 018522300 2825 67290 Sole None 67290 0 0
ALLIANCE DATA SYSTEMS CORP COM 018581108 2391 23025 Sole None 23025 0 0
ALLIANT TECHSYSTEMS INC COM 018804104 2282 39927 Sole None 39927 0 0
ALLIED NEVADA GOLD CORP COM 019344100 2660 87847 Sole None 87847 0 0
ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 522 48308 Sole None 48308 0 0
AMAZON COM INC COM INC COM 023135106 45745 264272 Sole None 264272 0 0
AMEDISYS INC COM 023436108 354 32421 Sole None 32421 0 0
AMEREN CORP COM 023608102 2911 87869 Sole None 87869 0 0
AMERESCO INC CL A 02361E108 175 12751 Sole None 12751 0 0
AMERICAN ASSETS TR INC COM 024013104 677 32991 Sole None 32991 0 0
AMERICAN CAMPUS CMNTYS INC COM 024835100 4430 105587 Sole None 105587 0 0
AMERICAN DENTAL PARTNERS COM 025353103 198 10515 Sole None 10515 0 0
AMERICAN EAGLE OUTFITTERS NE COM 02553E106 6435 420885 Sole None 420885 0 0
AMERICAN EXPRESS CO COM 025816109 2066 43793 Sole None 43793 0 0
AMERICAN FINL GROUP INC OHIO COM 025932104 2351 63741 Sole None 63741 0 0
AMERICAN GREETINGS CORP CL A 026375105 976 78034 Sole None 78034 0 0
AMERICAN INTL GROUP INC COM NEW 026874784 3740 161220 Sole None 161220 0 0
AMERICAN NATL INS CO COM 028591105 804 11008 Sole None 11008 0 0
AMERICAN STS WTR CO COM 029899101 1674 47963 Sole None 47963 0 0
AMERICAN TOWER CORP CL A 029912201 4482 74684 Sole None 74684 0 0
AMERICAN SUPERCONDUCTOR CORP COM 030111108 308 83352 Sole None 83352 0 0
AMERICAN VANGUARD CORP COM 030371108 440 33007 Sole None 33007 0 0
AMERICAN WTR WKS CO INC NEW COM 030420103 5342 167660 Sole None 167660 0 0
AMETEK INC NEW COM 031100100 889 21112 Sole None 21112 0 0
AMYLIN PHARMACEUTICALS INC COM 032346108 8901 782158 Sole None 782158 0 0
ANADARKO PETE CORP COM 032511107 13662 178986 Sole None 178986 0 0
ANALOG DEVICES INC COM 032654105 3573 99860 Sole None 99860 0 0
ANALOGIC CORP COM PAR $0.05 032657207 355 6190 Sole None 6190 0 0
ANAREN INC COM 032744104 171 10289 Sole None 10289 0 0
ANIXTER INTL INC COM 035290105 343 5751 Sole None 5751 0 0
ANOORAQ RES CORP COM 03633E108 20 53426 Sole None 53426 0 0
APOGEE ENTERPRISES INC COM 037598109 165 13485 Sole None 13485 0 0
APOLLO GROUP INC CL A 037604105 3451 64066 Sole None 64026 0 40
APPLIED MATLS INC COM 038222105 11849 1106338 Sole None 1106338 0 0
APTARGROUP INC COM 038336103 2463 47204 Sole None 47204 0 0
ARCH COAL INC COM 039380100 2533 174543 Sole None 174543 0 0
ARCTIC CAT INC COM 039670104 407 18030 Sole None 18030 0 0
ARKANSAS BEST CORP DEL COM 040790107 897 46562 Sole None 46562 0 0
ARQULE INC COM 04269E107 105 18546 Sole None 18546 0 0
ARUBA NETWORKS INC COM 043176106 1956 105628 Sole None 105628 0 0
ASHFORD HOSPITALITY TR INC COM SHS 044103109 529 66080 Sole None 66080 0 0
ASHLAND INC NEW COM 044209104 5996 104907 Sole None 104907 0 0
ASSOCIATED BANC CORP COM 045487105 963 86253 Sole None 86253 0 0
ASSOCIATED ESTATES RLTY CORP COM 045604105 656 41116 Sole None 41116 0 0
ASTEC INDS INC COM 046224101 200 6210 Sole None 6210 0 0
ASTORIA FINL CORP COM 046265104 920 108360 Sole None 108360 0 0
ASTRONICS CORP COM 046433108 217 6068 Sole None 6068 0 0
ATLANTIC TELE NETWORK INC COM NEW 049079205 504 12914 Sole None 12914 0 0
ATMOS ENERGY CORP COM 049560105 10259 307611 Sole None 307611 0 0
ATRION CORP COM 049904105 269 1121 Sole None 1121 0 0
ATWOOD OCEANICS INC COM 050095108 2221 55806 Sole None 55806 0 0
AUTODESK INC COM 052769106 3992 131609 Sole None 131609 0 0
AVALONBAY CMNTYS INC COM 053484101 13095 100267 Sole None 100267 0 0
AVNET INC COM 053807103 4853 156100 Sole None 156100 0 0
BP PLC SPONSORED ADR 055622104 478 11183 Sole None 11183 0 0
BRE PROPERTIES INC CL A 05564E106 4054 80313 Sole None 80313 0 0
BMC SOFTWARE INC COM 055921100 4578 139645 Sole None 139645 0 0
BADGER METER INC COM 056525108 1565 53184 Sole None 53184 0 0
BAKER HUGHES INC COM 057224107 2662 54727 Sole None 54727 0 0
BALCHEM CORP COM 057665200 410 10124 Sole None 10124 0 0
BALL CORP COM 058498106 4725 132303 Sole None 132303 0 0
BANCO BRADESCO S A SP ADR PFD NEW 059460303 474 28427 Sole None 28427 0 0
BANCORPSOUTH INC COM 059692103 348 31565 Sole None 31565 0 0
BANK OF AMERICA CORPORATION COM 060505104 561 100892 Sole None 100892 0 0
BANK HAWAII CORP COM 062540109 809 18195 Sole None 18195 0 0
BANK MONTREAL QUE COM 063671101 2215 40421 Sole None 40421 0 0
BANK OF THE OZARKS INC COM 063904106 716 24155 Sole None 24155 0 0
BANK OF NEW YORK MELLON CORP COM 064058100 2337 117386 Sole None 117386 0 0
BANK NOVA SCOTIA HALIFAX COM 064149107 2199 44144 Sole None 44144 0 0
BARNES & NOBLE INC COM 067774109 1077 74372 Sole None 74372 0 0
BARNES GROUP INC COM 067806109 327 13574 Sole None 13574 0 0
BARRICK GOLD CORP COM 067901108 679 15012 Sole None 15012 0 0
BAXTER INTL INC COM 071813109 8132 164355 Sole None 164355 0 0
BBCN BANCORP INC COM ADDED 073295107 875 92542 Sole None 92542 0 0
BE AEROSPACE INC COM 073302101 2011 51944 Sole None 51944 0 0
BECTON DICKINSON & CO COM 075887109 4773 63881 Sole None 63881 0 0
BED BATH & BEYOND INC COM 075896100 7978 137623 Sole None 137603 0 20
BEL FUSE INC CL B 077347300 479 25525 Sole None 25525 0 0
BELDEN INC COM 077454106 242 7265 Sole None 7265 0 0
BEMIS INC COM 081437105 5129 170500 Sole None 169780 0 720
BERKLEY W R CORP COM 084423102 1134 32964 Sole None 32964 0 0
BERKSHIRE HILLS BANCORP INC COM 084680107 383 17270 Sole None 17270 0 0
BEST BUY INC COM 086516101 7125 304897 Sole None 304897 0 0
BIG LOTS INC COM 089302103 5339 141386 Sole None 141386 0 0
BIO RAD LABS INC CL A 090572207 6542 68120 Sole None 68120 0 0
BLACK BOX CORP DEL COM 091826107 980 34964 Sole None 34964 0 0
BLOCK H & R INC COM 093671105 1663 101828 Sole None 101828 0 0
BORGWARNER INC COM 099724106 3240 50824 Sole None 50824 0 0
DR PEPPER SNAPPLE GROUP INC COM 26138E109 5710 144628 Sole None 143968 0 660
EDWARDS LIFESCIENCES CORP COM 28176E108 2222 31430 Sole None 31430 0 0
FORTINET INC COM 34959E109 949 43515 Sole None 43515 0 0
JAKKS PAC INC COM 47012E106 569 40318 Sole None 40318 0 0
NCR CORP NEW COM 62886E108 2520 153109 Sole None 153109 0 0
NAVISTAR INTL CORP NEW COM 63934E108 1493 39419 Sole None 39419 0 0
NEWS CORP CL A 65248E104 3978 222998 Sole None 222998 0 0
NSTAR COM 67019E107 3477 74048 Sole None 74048 0 0
PETROCHINA CO LTD SPONSORED ADR 71646E100 5855 47102 Sole None 47102 0 0
QUANTA SVCS INC COM 74762E102 1882 87353 Sole None 87353 0 0
TALISMAN ENERGY INC COM 87425E103 12542 983716 Sole None 983716 0 0
TRINA SOLAR LIMITED SPON ADR 89628E104 730 109279 Sole None 109279 0 0
UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 480 12302 Sole None 12302 0 0
VALE S A ADR 91912E105 472 22021 Sole None 22021 0 0
VERISIGN INC COM 92343E102 20427 571860 Sole None 571860 0 0
Total: 418614