First Trust Exchange-Traded Fund Iii has 25 Schedule 13D or 13G filings on record since 2025-07-08. 1 holder's latest filing reports 5% or more of first trust horizon managed volatility small/mid etf. Each figure below is the holder's own, as filed, with the filing linked.
Holders
| Holder | Percent | Shares | Latest | Event date |
|---|---|---|---|---|
| First Trust Portfolios L.P. | 23.46% | 2,827,377 | SCHEDULE 13G/A, 2026-07-17 | 2026-06-30 |
| Robert W. Baird & Co. Inc | 4.8% | 40,843 | SCHEDULE 13G/A, 2026-08-13 | 2026-06-30 |
| Truist Financial Corp | 4.7% | 28,011 | SCHEDULE 13G/A, 2025-10-20 | 2025-09-30 |
| Bank of New York Mellon Corp | 0% | 2 | SCHEDULE 13G/A, 2026-09-08 | 2026-08-31 |
Timeline
| Filed | Holder | Percent | Filing |
|---|---|---|---|
| 2025-07-08 | Truist Financial Corp | 0% | SCHEDULE 13G/A |
| 2025-07-11 | Truist Financial Corp | 5.3% | SCHEDULE 13G/A |
| 2025-07-11 | Truist Financial Corp | 0% | SCHEDULE 13G/A |
| 2025-07-21 | First Trust Portfolios L.P. | 38.06% | SCHEDULE 13G/A |
| 2025-07-21 | First Trust Portfolios L.P. | 4.89% | SCHEDULE 13G/A |
| 2025-08-07 | Bank of New York Mellon Corp | 22.1% | SCHEDULE 13G |
| 2025-08-07 | Bank of New York Mellon Corp | 17.7% | SCHEDULE 13G |
| 2025-08-07 | First Trust Portfolios L.P. | 30.27% | SCHEDULE 13G/A |
| 2025-08-12 | Baird Robert W & Co Inc | 9.5% | SCHEDULE 13G/A |
| 2025-10-20 | Truist Financial Corp | 4.7% | SCHEDULE 13G/A |
| 2025-10-22 | First Trust Portfolios L.P. | 26.31% | SCHEDULE 13G/A |
| 2025-10-28 | Bank of New York Mellon Corp | 15.4% | SCHEDULE 13G/A |
| 2025-10-28 | Bank of New York Mellon Corp | 17.2% | SCHEDULE 13G/A |
| 2025-10-29 | First Trust Portfolios L.P. | 5.62% | SCHEDULE 13G |
| 2026-01-20 | First Trust Portfolios L.P. | 24.33% | SCHEDULE 13G/A |
| 2026-01-29 | Bank of New York Mellon Corp | 16.6% | SCHEDULE 13G/A |
| 2026-01-30 | First Trust Portfolios L.P. | 5.58% | SCHEDULE 13G |
| 2026-02-06 | Robert W. Baird & Co. Inc | 6.9% | SCHEDULE 13G/A |
| 2026-04-07 | Bank of New York Mellon Corp | 22.8% | SCHEDULE 13G/A |
| 2026-04-17 | First Trust Portfolios L.P. | 20.99% | SCHEDULE 13G/A |
| 2026-07-17 | First Trust Portfolios L.P. | 23.46% | SCHEDULE 13G/A |
| 2026-07-29 | Bank of New York Mellon Corp | 22.7% | SCHEDULE 13G/A |
| 2026-08-13 | Robert W. Baird & Co. Inc | 4.8% | SCHEDULE 13G/A |
| 2026-09-08 | Bank of New York Mellon Corp | 0% | SCHEDULE 13G/A |
| 2026-09-08 | Bank of New York Mellon Corp | 0% | SCHEDULE 13G/A |
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Where this comes from
Anyone who comes to own more than 5% of a class of a listed company's voting shares has to tell the SEC. A holder who may seek to change or influence the company files Schedule 13D, and has to say in Item 4, "Purpose of Transaction", what it intends to do. A holder with no such intent, such as many index and passive funds, may file the shorter Schedule 13G. Both are amended when the stake changes, including when it falls below 5%.
Every row here is one of those filings, linked to the filing itself. Percentages and share counts are exactly as the holder filed them, for the holder the filing names; an amendment showing a lower figure is shown as filed. Item 4 text is quoted word for word. Where a 13D's Item 4 contains a sentence stating a definite intent to influence the company, that sentence is marked and quoted; the page does not describe the holder or its motives beyond the words it filed. Nothing here is investment advice.