[SCHEDULE 13G] First Trust Small Cap US Equity Select ETF SEC Filing
WIN ADVISORS, INC reported beneficial ownership of 86,501 shares of First Trust Exchange-Traded Fund VI (CUSIP 33738R795), representing 9.6% of the class. The filing shows WIN ADVISORS has sole dispositive power over those shares but no sole or shared voting power, indicating control of disposition but not of voting rights. The statement is made on a Schedule 13G basis and includes a certification that the position was acquired and is held in the ordinary course of business and not to change or influence control of the issuer. The filing lists WIN ADVISORS' Florida address and is signed by the firm's Chief Compliance Officer.
WIN ADVISORS, INC ha dichiarato la titolarità effettiva di 86.501 azioni del First Trust Exchange-Traded Fund VI (CUSIP 33738R795), pari al 9,6% della classe. La comunicazione indica che WIN ADVISORS detiene la piena facoltà dispositiva su tali azioni ma non possiede né potere di voto esclusivo né condiviso, segnalando il controllo della disposizione ma non dei diritti di voto. La dichiarazione è presentata ai sensi del modulo Schedule 13G e include la certificazione che la posizione è stata acquisita e viene detenuta nell'ordinario svolgimento dell'attività, senza l'intento di modificare o influenzare il controllo dell'emittente. La segnalazione riporta l'indirizzo della società in Florida ed è firmata dal Chief Compliance Officer dell'impresa.
WIN ADVISORS, INC notificó la propiedad beneficiaria de 86.501 acciones del First Trust Exchange-Traded Fund VI (CUSIP 33738R795), que representan el 9,6% de la clase. La presentación indica que WIN ADVISORS tiene poder dispositvo exclusivo sobre esas acciones pero no posee poder de voto exclusivo ni compartido, lo que significa control sobre la disposición pero no sobre los derechos de voto. La declaración se realiza en base al Schedule 13G e incluye una certificación de que la posición se adquirió y se mantiene en el curso ordinario del negocio y no con la finalidad de cambiar o influir en el control del emisor. La presentación incluye la dirección de WIN ADVISORS en Florida y está firmada por el Chief Compliance Officer de la firma.
WIN ADVISORS, INC는 First Trust Exchange-Traded Fund VI(CUSIP 33738R795) 주식 86,501주를 실질 소유하고 있으며 이는 클래스의 9.6%에 해당한다고 보고했습니다. 제출 서류에 따르면 WIN ADVISORS는 해당 주식에 대해 단독 처분 권한을 보유하지만 단독 또는 공동 의결권은 보유하지 않는다고 명시되어 있어 처분에 대한 통제는 있으나 의결권 통제는 없음을 나타냅니다. 이 보고는 Schedule 13G에 따른 것으로, 해당 지분이 통상적인 영업 과정에서 취득·보유된 것이며 발행인의 통제 변경이나 영향력을 행사하려는 목적이 아님을 인증하는 내용이 포함되어 있습니다. 제출서에는 WIN ADVISORS의 플로리다 주소가 기재되어 있고 회사의 최고준법감시인(Chief Compliance Officer)이 서명했습니다.
WIN ADVISORS, INC a déclaré la propriété bénéficiaire de 86 501 actions du First Trust Exchange-Traded Fund VI (CUSIP 33738R795), représentant 9,6% de la catégorie. Le dossier indique que WIN ADVISORS détient le pouvoir dispositif exclusif sur ces actions mais aucun pouvoir de vote exclusif ou conjoint, ce qui signifie un contrôle de la disposition mais pas des droits de vote. La déclaration est faite sur la base du Schedule 13G et comprend une certification que la position a été acquise et est détenue dans le cours normal des affaires et non dans le but de changer ou d'influencer le contrôle de l'émetteur. Le dépôt indique l'adresse de WIN ADVISORS en Floride et est signé par le Chief Compliance Officer de la société.
WIN ADVISORS, INC meldete die wirtschaftliche Inhaberschaft an 86.501 Anteilen des First Trust Exchange-Traded Fund VI (CUSIP 33738R795), was 9,6% der Klasse entspricht. Die Einreichung weist aus, dass WIN ADVISORS über diese Anteile alleinige dispositive Befugnis besitzt, jedoch weder alleinige noch gemeinsame Stimmrechtsbefugnis, was auf die Kontrolle über die Verfügung, nicht aber über Stimmrechte hinweist. Die Erklärung wurde auf Basis eines Schedule 13G abgegeben und enthält die Bestätigung, dass die Position im normalen Geschäftsverlauf erworben und gehalten wird und nicht dazu dient, die Kontrolle über den Emittenten zu ändern oder zu beeinflussen. Die Einreichung nennt die Anschrift von WIN ADVISORS in Florida und ist vom Chief Compliance Officer der Firma unterschrieben.
- Material ownership disclosed: 86,501 shares representing 9.6% of the class
- Sole dispositive power: WIN ADVISORS can direct disposition of the shares
- Schedule 13G certification: Filing states holdings are passive and held in the ordinary course of business
- Signed by CCO: Signature by Chief Compliance Officer provides formal attestation
- No voting power: Reported sole and shared voting power are 0, indicating no claimed voting influence
Insights
TL;DR: A passive investor disclosed a material 9.6% stake with disposition but no voting power, suggesting economic exposure without control intent.
WIN ADVISORS' Schedule 13G shows a substantial minority position at 9.6% of the class, which is large enough to be material for many investors and may attract market attention. The reporting details 86,501 shares with sole dispositive authority, meaning WIN ADVISORS can buy or sell the shares but does not claim voting influence. Filing on Schedule 13G and the included certification indicate the filer asserts a passive intent rather than an attempt to exert control. For investors, the key implication is notable economic exposure to the ETF without an announced governance agenda.
TL;DR: Compliance filing appears complete: ownership, powers, and certification present; demonstrates passive holding under Schedule 13G rules.
The document includes required identification fields: issuer name and CUSIP, reporting person name and address, citizenship, and precise vote/dispositive breakdowns. The signature of the Chief Compliance Officer and the certification language satisfy standard attestations for a Schedule 13G disclosure. Absence of voting power is explicitly stated, reducing regulatory concern about undisclosed control intentions. From a compliance perspective, the filing meets disclosure obligations for a >5% passive owner.
WIN ADVISORS, INC ha dichiarato la titolarità effettiva di 86.501 azioni del First Trust Exchange-Traded Fund VI (CUSIP 33738R795), pari al 9,6% della classe. La comunicazione indica che WIN ADVISORS detiene la piena facoltà dispositiva su tali azioni ma non possiede né potere di voto esclusivo né condiviso, segnalando il controllo della disposizione ma non dei diritti di voto. La dichiarazione è presentata ai sensi del modulo Schedule 13G e include la certificazione che la posizione è stata acquisita e viene detenuta nell'ordinario svolgimento dell'attività, senza l'intento di modificare o influenzare il controllo dell'emittente. La segnalazione riporta l'indirizzo della società in Florida ed è firmata dal Chief Compliance Officer dell'impresa.
WIN ADVISORS, INC notificó la propiedad beneficiaria de 86.501 acciones del First Trust Exchange-Traded Fund VI (CUSIP 33738R795), que representan el 9,6% de la clase. La presentación indica que WIN ADVISORS tiene poder dispositvo exclusivo sobre esas acciones pero no posee poder de voto exclusivo ni compartido, lo que significa control sobre la disposición pero no sobre los derechos de voto. La declaración se realiza en base al Schedule 13G e incluye una certificación de que la posición se adquirió y se mantiene en el curso ordinario del negocio y no con la finalidad de cambiar o influir en el control del emisor. La presentación incluye la dirección de WIN ADVISORS en Florida y está firmada por el Chief Compliance Officer de la firma.
WIN ADVISORS, INC는 First Trust Exchange-Traded Fund VI(CUSIP 33738R795) 주식 86,501주를 실질 소유하고 있으며 이는 클래스의 9.6%에 해당한다고 보고했습니다. 제출 서류에 따르면 WIN ADVISORS는 해당 주식에 대해 단독 처분 권한을 보유하지만 단독 또는 공동 의결권은 보유하지 않는다고 명시되어 있어 처분에 대한 통제는 있으나 의결권 통제는 없음을 나타냅니다. 이 보고는 Schedule 13G에 따른 것으로, 해당 지분이 통상적인 영업 과정에서 취득·보유된 것이며 발행인의 통제 변경이나 영향력을 행사하려는 목적이 아님을 인증하는 내용이 포함되어 있습니다. 제출서에는 WIN ADVISORS의 플로리다 주소가 기재되어 있고 회사의 최고준법감시인(Chief Compliance Officer)이 서명했습니다.
WIN ADVISORS, INC a déclaré la propriété bénéficiaire de 86 501 actions du First Trust Exchange-Traded Fund VI (CUSIP 33738R795), représentant 9,6% de la catégorie. Le dossier indique que WIN ADVISORS détient le pouvoir dispositif exclusif sur ces actions mais aucun pouvoir de vote exclusif ou conjoint, ce qui signifie un contrôle de la disposition mais pas des droits de vote. La déclaration est faite sur la base du Schedule 13G et comprend une certification que la position a été acquise et est détenue dans le cours normal des affaires et non dans le but de changer ou d'influencer le contrôle de l'émetteur. Le dépôt indique l'adresse de WIN ADVISORS en Floride et est signé par le Chief Compliance Officer de la société.
WIN ADVISORS, INC meldete die wirtschaftliche Inhaberschaft an 86.501 Anteilen des First Trust Exchange-Traded Fund VI (CUSIP 33738R795), was 9,6% der Klasse entspricht. Die Einreichung weist aus, dass WIN ADVISORS über diese Anteile alleinige dispositive Befugnis besitzt, jedoch weder alleinige noch gemeinsame Stimmrechtsbefugnis, was auf die Kontrolle über die Verfügung, nicht aber über Stimmrechte hinweist. Die Erklärung wurde auf Basis eines Schedule 13G abgegeben und enthält die Bestätigung, dass die Position im normalen Geschäftsverlauf erworben und gehalten wird und nicht dazu dient, die Kontrolle über den Emittenten zu ändern oder zu beeinflussen. Die Einreichung nennt die Anschrift von WIN ADVISORS in Florida und ist vom Chief Compliance Officer der Firma unterschrieben.
FAQ
What stake does WIN ADVISORS, INC hold in First Trust Exchange-Traded Fund VI (RNSC)?
Does WIN ADVISORS have voting control over RNSC shares?
Was the position filed as passive under Schedule 13G or as an activist under Schedule 13D?
Who signed the Schedule 13G for WIN ADVISORS and what is their title?
What address is listed for WIN ADVISORS, INC in the filing?
