FIRST TR EXCHANGE-TRADED ALP

Ticker: FNY CUSIP: 33737M102 Class: ETF

CONFLUENCE INVESTMENT MANAGEMENT LLC's Holding History (CIK: 0001442056)

Note: Option positions (PUT/CALL) are excluded.

Q2 2016
Shares 12,317 Value ($000) $370 Avg Close — Range —
Q1 2016
Shares 12,343 Value ($000) $356 Avg Close — Range —
Q4 2015
Shares 12,383 Value ($000) $357 Avg Close — Range —
Q3 2015
Shares 17,459 Value ($000) $491 Avg Close — Range —