SC 13G
1
FCASC13G.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
First Trust China AlphaDEX Fund, a series of the First Trust Exchange-Traded
AlphaDEX Fund II
(Name of Issuer)
Shares of Beneficial Interests
(Title of Class of Securities)
33737J141
(CUSIP Number)
July 24, 2013
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ X ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a
reporting person's initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information
which would alter the disclosure provided in a prior cover page.
The information required in the remainder of this cover page shall not
be deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
CUSIP No. 33737J141
______________________________________________________________________________
1. Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (Entities Only)
Robert W. Baird & Co. Incorporated
39-6037917
______________________________________________________________________________
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
______________________________________________________________________________
3. SEC Use Only
______________________________________________________________________________
4. Citizenship or Place of Organization
Wisconsin
______________________________________________________________________________
5. Sole Voting Power 23,430
6. Shared Voting Power 0
7. Sole Dispositive Power 23,430
8. Shared Dispositive Power 0
______________________________________________________________________________
9. Aggregate Amount Beneficially Owned by Each Reporting Person 23,430
______________________________________________________________________________
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
______________________________________________________________________________
11. Percent of Class Represented by Amount in Row (9) 11.7%
______________________________________________________________________________
12. Type of Reporting Person (See Instructions) IA
______________________________________________________________________________
Item 1.
(a) Name of Issuer:
First Trust China AlphaDEX Fund, a series of the First Trust Exchange-Traded
AlphaDEX Fund II
(b) Address of Issuer's Principal Executive Offices:
120 East Liberty Drive
Suite 400
Wheaton, Illinois 60187
Item 2.
(a) Name of Person Filing:
Robert W. Baird & Co. Incorporated
(b) Address of Principal Business Office or, if none, Residence:
777 East Wisconsin Avenue
Milwaukee, Wisconsin 53202
(c) Citizenship:
Wisconsin corporation
(d) Title of Class of Securities:
Shares of Beneficial Interests
(e) CUSIP Number:
33737J141
Item 3. If this statement is filed pursuant to section 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C.
78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C.
78c).
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15
U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the Investment
Company Act (15 U.S.C. 80a-8).
(e) [X] An investment adviser in accordance with section 240.13d-1(b
(1)(ii)(E).
(f) [ ] An employee benefit plan or endowment fund in accordance with
section 240.13d-1(b)(1)(ii)(F).
(g) [ ] A parent holding company or control plan, in accordance with
section 240.13d-1(b)(1)(ii)(G). (Note: See Item 7).
(h) [ ] A savings association as defined in section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813).
(i) [ ] A church plan that is excluded from the definition of an investment
company under section 3(c)(14) of the Investment Company Act of 1940
(15 U.S.C. 80a-3)
(j) [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(J).
Item 4. Ownership.
(a) Amount Beneficially Owned:
23,430. All 23,430 Shares of Beneficial Interests ("Shares") are
ultimately owned by certain individual and institutional clients for which
Robert W. Baird & Co.Incorporated ("Baird") serves as investment advisor.
Baird may be deemed to beneficially own such Shares within the meaning of
Rule 13d-3 of the Securities Exchange Act of 1934, as amended (the "Act"),
by virtue of the investment discretion and voting authority granted to Baird
by such clients over such Shares.The investment discretion and voting
authority granted to Baird may be revoked at any time.
(b) Percent of Class:
11.7%. The percentage was calculated based upon 200,002 Shares of Beneficial
Interests outstanding at August 7, 2013, as reported by the Issuer.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote
23,430.
(ii) Shared power to vote or to direct the vote
0.
(iii) Sole power to dispose or to direct the disposition of
23,430.
(iv) Shared power to dispose or to direct the disposition of
0.
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following: [ ]
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Certain individual and institutional clients of Baird ultimately own all
of the Shares included on this Schedule and have the right to receive or
the power to direct the receipt of dividends and proceeds from the sale of
such Shares. No one client has granted Baird investment discretion or
voting authority over 5% or more of the Issuer's Shares of Beneficial
Interests outstanding.
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company or Control Person.
Not applicable.
Item 8. Identification and Classification of Members of the Group.
Not applicable.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the ordinary
course of business and were not acquired and are not held for the purpose of
or with the effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
August 9, 2013
Date
/s/ Paul L. Schultz ______
Signature
Paul L. Schultz, Secretary & General Counsel
Name/Title
SCHEDULE 13G
First Trust China AlphaDEX Fund, a series of the First Trust
Exchange-Traded AlphaDEX Fund II
CUSIP No. 33737J141
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