FUND
NAME |
TICKER
SYMBOL |
EXCHANGE |
ALPHADEX®
SECTOR FUNDS |
|
|
First
Trust Consumer Discretionary AlphaDEX®
Fund |
FXD |
NYSE
Arca |
First
Trust Consumer Staples AlphaDEX®
Fund |
FXG |
NYSE
Arca |
First
Trust Energy AlphaDEX®
Fund |
FXN |
NYSE
Arca |
First
Trust Financials AlphaDEX®
Fund |
FXO |
NYSE
Arca |
First
Trust Health Care AlphaDEX®
Fund |
FXH |
NYSE
Arca |
First
Trust Industrials/Producer Durables AlphaDEX®
Fund |
FXR |
NYSE
Arca |
First
Trust Materials AlphaDEX®
Fund |
FXZ |
NYSE
Arca |
First
Trust Technology AlphaDEX®
Fund |
FXL |
NYSE
Arca |
First
Trust Utilities AlphaDEX®
Fund |
FXU |
NYSE
Arca |
ALPHADEX®
STYLE FUNDS |
|
|
First
Trust Large Cap Core AlphaDEX®
Fund |
FEX |
Nasdaq |
First
Trust Large Cap Growth AlphaDEX®
Fund |
FTC |
Nasdaq |
First
Trust Large Cap Value AlphaDEX®
Fund |
FTA |
Nasdaq |
First
Trust Mid Cap Core AlphaDEX®
Fund |
FNX |
Nasdaq |
First
Trust Mid Cap Growth AlphaDEX®
Fund |
FNY |
Nasdaq |
First
Trust Mid Cap Value AlphaDEX®
Fund |
FNK |
Nasdaq |
First
Trust Multi Cap Growth AlphaDEX®
Fund |
FAD |
Nasdaq |
First
Trust Multi Cap Value AlphaDEX®
Fund |
FAB |
Nasdaq |
First
Trust Small Cap Core AlphaDEX®
Fund |
FYX |
Nasdaq |
First
Trust Small Cap Growth AlphaDEX®
Fund |
FYC |
Nasdaq |
First
Trust Small Cap Value AlphaDEX®
Fund |
FYT |
Nasdaq |
Fund |
Index |
First
Trust Consumer Discretionary AlphaDEX®
Fund |
StrataQuant®
Consumer Discretionary Index |
First
Trust Consumer Staples AlphaDEX®
Fund |
StrataQuant®
Consumer
Staples Index |
First
Trust Energy AlphaDEX®
Fund |
StrataQuant®
Energy Index |
First
Trust Financials AlphaDEX®
Fund |
StrataQuant®
Financials Index |
First
Trust Health Care AlphaDEX®
Fund |
StrataQuant®
Health Care Index |
First
Trust Industrials/Producer Durables AlphaDEX®
Fund |
StrataQuant®
Industrials Index |
First
Trust Materials AlphaDEX®
Fund |
StrataQuant®
Materials Index |
First
Trust Technology AlphaDEX®
Fund |
StrataQuant®
Technology Index |
First
Trust Utilities AlphaDEX®
Fund |
StrataQuant®
Utilities Index |
Fund |
Index |
First Trust
Large Cap Core AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Large Cap
CoreTM
Index |
First Trust
Large Cap Growth AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Large Cap
GrowthTM
Index |
First Trust
Large Cap Value AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Large Cap
ValueTM
Index |
First Trust
Mid Cap Core AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Mid Cap
CoreTM
Index |
First Trust
Mid Cap Growth AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Mid Cap
GrowthTM
Index |
First Trust
Mid Cap Value AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Mid Cap
ValueTM
Index |
First Trust
Multi Cap Growth AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Multi Cap
GrowthTM
Index |
First Trust
Multi Cap Value AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Multi Cap
ValueTM
Index |
First Trust
Small Cap Core AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Small Cap
CoreTM
Index |
First Trust
Small Cap Growth AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Small Cap
GrowthTM
Index |
First Trust
Small Cap Value AlphaDEX®
Fund |
Nasdaq
AlphaDEX® Small Cap
ValueTM
Index |
Portfolio
Turnover Rate
| ||
Fund |
Fiscal Year
Ended July 31, | |
2023 |
2022 | |
First Trust
Consumer Discretionary AlphaDEX®
Fund |
110% |
76%
|
Portfolio
Turnover Rate
| ||
Fund |
Fiscal Year
Ended July 31, | |
2023 |
2022 | |
First Trust
Consumer Staples AlphaDEX®
Fund |
63% |
88% |
First Trust
Energy AlphaDEX®
Fund |
58% |
79% |
First Trust
Financials AlphaDEX®
Fund |
78% |
64% |
First Trust
Health Care AlphaDEX®
Fund |
94% |
88% |
First Trust
Industrials/Producer Durables AlphaDEX®
Fund |
81% |
77% |
First Trust
Large Cap Core AlphaDEX®
Fund |
87% |
87% |
First Trust
Large Cap Growth AlphaDEX®
Fund |
127% |
121% |
First Trust
Large Cap Value AlphaDEX®
Fund |
80% |
75% |
First Trust
Materials AlphaDEX®
Fund |
35% |
60% |
First Trust
Mid Cap Core AlphaDEX®
Fund |
106% |
95% |
First Trust
Mid Cap Growth AlphaDEX®
Fund |
142% |
136% |
First Trust
Mid Cap Value AlphaDEX®
Fund |
102% |
84% |
First Trust
Multi Cap Growth AlphaDEX®
Fund |
125% |
115% |
First Trust
Multi Cap Value AlphaDEX®
Fund |
85% |
76% |
First Trust
Small Cap Core AlphaDEX®
Fund |
109% |
94% |
First Trust
Small Cap Growth AlphaDEX®
Fund |
140% |
132% |
First Trust
Small Cap Value AlphaDEX®
Fund |
110% |
90% |
First Trust
Technology AlphaDEX®
Fund |
104% |
91% |
First Trust
Utilities AlphaDEX®
Fund |
46% |
48% |
FIRST
TRUST CONSUMER DISCRETIONARY ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$454,517 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
26,227 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
7,934
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
183,593 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
217,754 |
Net
income from securities lending activities |
$236,763 |
FIRST
TRUST CONSUMER STAPLES ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$1,054 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
12 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
27
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
911 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
950 |
Net
income from securities lending activities |
$104 |
FIRST
TRUST ENERGY ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$265,932 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
14,810 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
5,565
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
111,417 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
131,792 |
Net
income from securities lending activities |
$134,140
|
FIRST
TRUST FINANCIALS ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$2,322,532 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
170,392 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
43,707
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
548,462 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
762,561 |
Net
income from securities lending activities |
$1,559,971 |
FIRST
TRUST HEALTH CARE ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$207,737 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
18,566 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
4,364
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
17,457 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
40,387 |
Net
income from securities lending activities |
$167,350 |
FIRST
TRUST INDUSTRIALS/PRODUCER DURABLES ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$138,268 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
9,272 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
2,208
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
43,336 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
54,816 |
Net
income from securities lending activities |
$83,452
|
FIRST
TRUST MATERIALS ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$10,009 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
103 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
291
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
8,690 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
9,084 |
Net
income from securities lending activities |
$925 |
FIRST
TRUST TECHNOLOGY ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$434,101 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
27,054 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
12,274
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
150,253 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
189,581 |
Net
income from securities lending activities |
$244,520 |
FIRST
TRUST LARGE CAP CORE ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$245,257 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
14,207 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
4,995
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
98,690 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
117,932 |
Net
income from securities lending activities |
$127,865
|
FIRST
TRUST LARGE CAP GROWTH ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$126,332 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
11,031 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
2,203
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
10,159 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
23,393 |
Net
income from securities lending activities |
$102,939 |
FIRST
TRUST LARGE CAP VALUE ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$245,257 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
14,207 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
4,495
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
98,690 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
117,392 |
Net
income from securities lending activities |
$127,865 |
FIRST
TRUST MID CAP CORE ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$571,039 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
34,008 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
8,248
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
220,328 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
262,584 |
Net
income from securities lending activities |
$308,455
|
FIRST
TRUST MID CAP GROWTH ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$219,522 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
18,581 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
2,067
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
29,369 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
50,017 |
Net
income from securities lending activities |
$169,505 |
FIRST
TRUST MID CAP VALUE ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$67,582 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
1,309 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
1,646
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
52,776 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
55,731 |
Net
income from securities lending activities |
$11,851 |
FIRST
TRUST MULTI CAP GROWTH ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$104,543 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
8,096 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
1,332
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
21,172 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
30,600 |
Net
income from securities lending activities |
$73,943
|
FIRST
TRUST MULTI CAP VALUE ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$52,510 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
2,557 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
1,109 |
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
25,707 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
29,373 |
Net
income from securities lending activities |
$23,137 |
FIRST
TRUST SMALL CAP CORE ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$544,217 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
20,915 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
13,628
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
320,494 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
355,037 |
Net
income from securities lending activities |
$189,180 |
FIRST
TRUST SMALL CAP GROWTH ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$160,827 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
22,347 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
0
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
(62,675) |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
(40,328) |
Net
income from securities lending activities |
$202,251
|
FIRST
TRUST SMALL CAP VALUE ALPHADEX®
FUND | |
Gross
income from securities lending activities |
$86,845 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
4,811 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
2,214
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
35,890 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
42,915 |
Net
income from securities lending activities |
$43,930 |
FIRST
TRUST UTILITIES ALPHADEX®
FUND |
|
Gross
income from securities lending activities |
$11,741 |
Fees
and/or compensation for securities lending activities and related
services |
|
Fees paid to
securities lending agent from a revenue split |
282 |
Fees paid for
any cash collateral management service (including fees deducted from
a
pooled cash
collateral reinvestment vehicle) that are not included in the revenue
split |
454
|
Administrative
fees not included in revenue split |
0 |
Indemnification
fee not included in revenue split |
0 |
Rebate (paid
to borrower) |
8,471 |
Other fees
not included in revenue split (specify) |
0 |
Aggregate
fees/compensation for securities lending activities |
9,207 |
Net income
from securities lending activities |
$2,534 |
Name
and
Year of
Birth |
Position
and
Offices
with
Trust |
Term
of
Office
and
Year
First
Elected
or
Appointed |
Principal
Occupations
During
Past 5 Years |
Number
of
Portfolios
in the
First
Trust
Fund
Complex
Overseen
by
Trustee |
Other
Trusteeships
or
Directorships
Held
by
Trustee
During
the
Past 5
Years |
TRUSTEE
WHO IS AN INTERESTED PERSON OF THE TRUST | |||||
James A.
Bowen (1)
1955 |
Chairman of
the
Board and
Trustee |
•Indefinite
term
•Since
inception |
Chief
Executive Officer, First Trust
Advisors
L.P. and First Trust Portfolios
L.P.;
Chairman of the Board of Directors,
BondWave
LLC (Software Development
Company)
and Stonebridge Advisors LLC
(Investment
Advisor) |
256
Portfolios |
None |
INDEPENDENT
TRUSTEES | |||||
Richard E.
Erickson
1951 |
Trustee |
•Indefinite
term
•Since
inception |
Retired;
Physician, Edward-Elmhurst
Medical
Group (2021 to September
2023);
Physician and Officer, Wheaton
Orthopedics
(1990 to 2021) |
256
Portfolios |
None
|
Name
and
Year of
Birth |
Position
and
Offices
with
Trust |
Term
of
Office
and
Year
First
Elected
or
Appointed |
Principal
Occupations
During
Past 5 Years |
Number
of
Portfolios
in the
First
Trust
Fund
Complex
Overseen
by
Trustee |
Other
Trusteeships
or
Directorships
Held
by
Trustee
During
the
Past 5
Years |
INDEPENDENT
TRUSTEES | |||||
Thomas R.
Kadlec
1957 |
Trustee |
•Indefinite
term
•Since
inception |
Retired;
President, ADM Investor
Services,
Inc. (Futures Commission
Merchant)
(2010 to July 2022) |
256
Portfolios |
Director,
National
Futures
Association;
formerly,
Director
of ADM
Investor
Services,
Inc.,
ADM
Investor
Services
International,
ADMIS Hong
Kong
Ltd., ADMIS
Singapore
Ltd. and
Futures
Industry
Association |
Denise M.
Keefe
1964 |
Trustee |
•Indefinite
term
•Since
2021 |
Executive
Vice President, Advocate
Aurora
Health and President, Advocate
Aurora
Continuing Health Division
(Integrated
Healthcare System) |
256
Portfolios |
Director
and Board
Chair of
Advocate
Home Health
Services,
Advocate
Home Care
Products
and
Advocate
Hospice;
Director
and Board
Chair of
Aurora At
Home (since
2018);
Director of
Advocate
Physician
Partners
Accountable
Care
Organization;
Director of
RML
Long Term
Acute
Care
Hospitals;
Director of
Senior
Helpers
(since
2021); and
Director of
MobileHelp
(since
2022) |
Robert F.
Keith
1956 |
Trustee |
•Indefinite
term
•Since
inception |
President,
Hibs Enterprises (Financial and
Management
Consulting) |
256
Portfolios |
Formerly,
Director
of Trust
Company
of
Illinois |
Niel B.
Nielson
1954 |
Trustee |
•Indefinite
term
•Since
inception |
Senior
Advisor (2018 to present),
Managing
Director and Chief Operating
Officer
(2015 to 2018), Pelita Harapan
Educational
Foundation (Educational
Products
and Services) |
256
Portfolios |
None |
Bronwyn
Wright
1971 |
Trustee |
•Indefinite
term
•Since
2023 |
Independent
Director to a number of Irish
collective
investment funds (2009 to
present);
Various roles at international
affiliates
of Citibank (1994 to 2009),
including
Managing Director, Citibank
Europe plc
and Head of Securities and
Fund
Services, Citi Ireland (2007 to
2009) |
232
Portfolios |
None |
Name
and
Year
of Birth |
Position
and
Offices
with Trust |
Term
of Office and
Length
of Service |
Principal
Occupations
During
Past 5 Years |
OFFICERS
OF THE TRUST | |||
James
M. Dykas
1966 |
President
and Chief
Executive
Officer |
•Indefinite
term
•Since
2016 |
Managing
Director and Chief Financial Officer, First
Trust
Advisors L.P. and First Trust Portfolios L.P.;
Chief
Financial Officer, BondWave LLC (Software
Development
Company) and Stonebridge Advisors
LLC
(Investment Advisor)
|
Name
and
Year of
Birth |
Position
and
Offices
with Trust |
Term of
Office and
Length of
Service |
Principal
Occupations
During
Past 5 Years |
W. Scott
Jardine
1960 |
Secretary
and Chief Legal
Officer |
•Indefinite
term
•Since
inception |
General
Counsel, First Trust Advisors L.P. and First
Trust
Portfolios L.P.; Secretary and General Counsel,
BondWave
LLC; and Secretary, Stonebridge Advisors
LLC |
Daniel J.
Lindquist
1970 |
Vice
President |
•Indefinite
term
•Since
inception |
Managing
Director, First Trust Advisors L.P. and First
Trust
Portfolios L.P. |
Kristi A.
Maher
1966 |
Chief
Compliance Officer
and
Assistant Secretary |
•Indefinite
term
•Chief
Compliance
Officer
since January
2011
•Assistant
Secretary
since
inception |
Deputy
General Counsel, First Trust Advisors L.P.
and First
Trust Portfolios L.P. |
Derek D.
Maltbie
1972 |
Treasurer,
Chief Financial
Officer and
Chief
Accounting
Officer |
•Indefinite
term
•Since
2023 |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P., July 2021 – present.
Previously,
Vice President, First Trust Advisors L.P.
and First
Trust Portfolios L.P., 2014 –2021. |
Roger F.
Testin
1966 |
Vice
President |
•Indefinite
term
•Since
inception |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P. |
Stan
Ueland
1970 |
Vice
President |
•Indefinite
term
•Since
inception |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P. |
Name
of Trustee |
Total
Compensation from
the Funds
(1)
|
Total
Compensation from
the First
Trust Fund Complex (2)
|
Richard E.
Erickson |
$31,277 |
$523,750 |
Thomas R.
Kadlec |
$30,994 |
$524,280 |
Denise M.
Keefe |
$28,694 |
$504,158 |
Robert F.
Keith |
$30,976 |
$514,231 |
Niel B.
Nielson |
$31,578 |
$533,750 |
Bronwyn
Wright (3) |
$– |
$– |
|
Interested
Trustee |
Independent
Trustees | |||||
|
James
A.
Bowen |
Richard
E.
Erickson |
Thomas
R.
Kadlec |
Denise
M.
Keefe |
Robert
F.
Keith |
Niel
B.
Nielson |
Bronwyn
Wright(1) |
First Trust
Energy
AlphaDEX®
Fund |
Over
$100,000 |
None |
None |
None |
None |
None |
None |
First Trust
Financials
AlphaDEX®
Fund |
Over
$100,000 |
None |
None |
None |
None |
None |
None |
First Trust
Large Cap
Core
AlphaDEX®
Fund |
Over
$100,000 |
None |
None |
None |
Over
$100,000 |
None |
None |
First Trust
Large Cap
Value
AlphaDEX®
Fund |
Over
$100,000 |
None |
None |
None |
None |
None |
None |
First Trust
Large Cap
Growth
AlphaDEX®
Fund |
Over
$100,000 |
None |
None |
None |
None |
None |
None |
First Trust
Materials
AlphaDEX®
Fund |
None |
None |
None |
None |
None |
$10,001–
$50,000 |
None |
First Trust
Mid
Cap
Core
AlphaDEX®
Fund |
None |
None |
None |
None |
$10,001–
$50,000 |
None |
None |
First Trust
Multi Cap
Growth
AlphaDEX®
Fund |
None |
None |
None |
None |
$10,001–
$50,000 |
$10,001–
$50,000 |
None |
First Trust
Multi Cap
Value
AlphaDEX®
Fund |
Over
$100,000 |
None |
None |
$10,001–
$50,000 |
$10,001–
$50,000 |
None |
None |
First Trust
Small Cap
Core
AlphaDEX®
Fund |
Over
$100,000 |
None |
None |
None |
$10,001–
$50,000 |
None |
None |
First Trust
Small Cap
Growth
AlphaDEX®
Fund |
None |
None |
None |
None |
None |
$10,001–
$50,000 |
None
|
|
Interested
Trustee |
Independent
Trustees | |||||
|
James
A.
Bowen |
Richard
E.
Erickson |
Thomas
R.
Kadlec |
Denise
M.
Keefe |
Robert
F.
Keith |
Niel
B.
Nielson |
Bronwyn
Wright(1) |
Aggregate
Dollar
Range
of
Equity
Securities
in
All
Registered
Investment
Companies
Overseen
by
Trustee
in
First
Trust
Fund
Complex |
Over
$100,000 |
Over
$100,000 |
Over
$100,000 |
Over
$100,000 |
Over
$100,000 |
Over
$100,000 |
None |
Management
Fee |
Breakpoints |
0.5000% |
Fund
net assets up to and including $2.5 billion |
0.4875% |
Fund
net assets greater than $2.5 billion up to and including $5
billion |
0.4750% |
Fund
net assets greater than $5 billion up to and including $7.5
billion |
0.4625% |
Fund
net assets greater than $7.5 billion up to and including $10
billion |
0.4500% |
Fund
net assets greater than $10 billion up to and including $15
billion |
0.4250% |
Fund
net assets greater than $15
billion |
Management
Fee |
Breakpoints |
0.7000% |
Fund
net assets up to and including $2.5 billion |
0.6825% |
Fund
net assets greater than $2.5 billion up to and including $5
billion |
0.6650% |
Fund
net assets greater than $5 billion up to and including $7.5
billion |
0.6475% |
Fund
net assets greater than $7.5 billion up to and including $10
billion |
0.6300% |
Fund
net assets greater than $10 billion up to and including $15
billion |
0.5950% |
Fund
net assets greater than $15
billion |
|
Amount of
Management Fees
(Net of Fee
Waivers and
Expense
Reimbursements by First Trust)
|
Amount of
Fees Waived
and Expenses
Reimbursed By First Trust
| ||||
Fund |
Fiscal Year
Ended July 31, |
Fiscal Year
Ended July 31, | ||||
2023 |
2022 |
2021 |
2023 |
2022 |
2021 | |
First Trust
Consumer
Discretionary
AlphaDEX®
Fund |
$3,441,623 |
$7,308,183 |
$7,360,972 |
$0 |
$0 |
$0 |
First Trust
Consumer Staples
AlphaDEX®
Fund |
$3,390,095 |
$1,930,852 |
$1,289,453 |
$0 |
$0 |
$0 |
First Trust
Energy AlphaDEX®
Fund |
$6,597,347 |
$4,492,207 |
$1,392,410 |
$0 |
$0 |
$0 |
First Trust
Financials AlphaDEX®
Fund |
$5,933,523 |
$7,077,467 |
$4,364,865 |
$0 |
$0 |
$0 |
First Trust
Health Care
AlphaDEX®
Fund |
$7,693,304 |
$7,523,292 |
$7,082,289 |
$0 |
$0 |
$0 |
First Trust
Industrials/Producer
Durables
AlphaDEX®
Fund |
$7,881,258 |
$8,639,335 |
$4,760,250 |
$0 |
$0 |
$0 |
First Trust
Large Cap Core
AlphaDEX®
Fund |
$5,576,924 |
$5,826,348 |
$5,260,115 |
$0 |
$0 |
$0 |
First Trust
Large Cap Growth
AlphaDEX®
Fund |
$4,601,151 |
$5,582,229 |
$5,385,568 |
$0 |
$0 |
$0 |
First Trust
Large Cap Value
AlphaDEX®
Fund |
$6,023,648 |
$5,745,159 |
$4,172,945 |
$0 |
$0 |
$0 |
First Trust
Materials AlphaDEX®
Fund |
$7,037,988 |
$4,889,407 |
$1,295,729 |
$0 |
$0 |
$0 |
First Trust
Mid Cap Core
AlphaDEX®
Fund |
$4,914,374 |
$5,037,782 |
$4,053,936 |
$0 |
$0 |
$0 |
First Trust
Multi Cap Growth
AlphaDEX®
Fund |
$845,931 |
$1,119,691 |
$1,007,781 |
$0 |
$0 |
$0 |
First Trust
Multi Cap Value
AlphaDEX®
Fund |
$952,139 |
$819,696 |
$469,032 |
$0 |
$0 |
$0 |
First Trust
Small Cap Core
AlphaDEX®
Fund |
$3,997,433 |
$4,500,595 |
$3,579,316 |
$0 |
$0 |
$0 |
First Trust
Technology
AlphaDEX®
Fund |
$5,286,169 |
$9,453,163 |
$12,292,225 |
$0 |
$0 |
$0 |
First Trust
Utilities AlphaDEX®
Fund |
$1,840,420 |
$1,195,958 |
$945,725 |
$0 |
$0 |
$0 |
Amount of
Unitary Fees
| |||
Fund |
Fiscal Year
Ended July 31, | ||
2023 |
2022 |
2021 | |
First Trust
Mid Cap Growth AlphaDEX®
Fund |
$1,827,178 |
$2,582,890 |
$3,038,601 |
First Trust
Mid Cap Value AlphaDEX®
Fund |
$1,654,492 |
$1,373,456 |
$534,319 |
First Trust
Small Cap Growth AlphaDEX®
Fund |
$1,484,647 |
$2,055,987 |
$2,203,504 |
First Trust
Small Cap Value AlphaDEX®
Fund |
$1,309,156 |
$1,659,766 |
$1,257,285 |
Name |
Position
with
First
Trust |
Length of
Service
with First
Trust |
Principal
Occupation During
Past
Five Years |
Daniel J.
Lindquist |
Chairman of the
Investment
Committee
and Managing
Director |
Since
2004 |
Managing
Director, First Trust Advisors L.P.
and First
Trust Portfolios L.P. |
David G.
McGarel |
Chief Operating
Officer,
Chief Investment
Officer
and Managing
Director |
Since
1997 |
Chief
Operating Officer (2016 to present),
Chief
Investment Officer and Managing
Director,
First Trust Advisors L.P.
and First
Trust Portfolios L.P. |
Jon C.
Erickson |
Senior Vice
President |
Since
1994 |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P. |
Roger F.
Testin |
Senior Vice
President |
Since
2001 |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P. |
Stan
Ueland |
Senior Vice
President |
Since
2005 |
Senior Vice
President, First Trust
Advisors
L.P. and First Trust Portfolios L.P. |
Chris A.
Peterson |
Senior Vice
President |
Since
2000 |
Senior Vice
President, First Trust Advisors L.P. and
First Trust
Portfolios L.P. |
Erik
Russo |
Vice
President |
Since
2010 |
Vice
President, First Trust Advisors
L.P. |
Investment
Committee Member |
Registered
Investment
Companies
Number of
Accounts
($
Assets) |
Other
Pooled
Investment
Vehicles
Number of
Accounts
($
Assets) |
Other
Accounts
Number of
Accounts
($
Assets) |
Daniel J.
Lindquist |
99
($74,036,700,605) |
42
($1,884,619,534) |
1,130
($401,249,005) |
David G.
McGarel |
100
($74,040,470,449) |
42
($1,884,619,534) |
1,130
($401,249,005) |
Jon C.
Erickson |
96
($74,027,425,738) |
42
($1,884,619,534) |
1,130
($401,249,005) |
Roger F.
Testin |
96
($74,027,425,738) |
42
($1,884,619,534) |
1,130
($401,249,005) |
Stan
Ueland |
90
($72,954,925,708) |
35
($1,761,612,068) |
N/A |
Chris A.
Peterson |
100
($74,040,470,449) |
42
($1,884,619,534) |
1,130
($401,249,005) |
Erik
Russo |
90
($72,954,925,708) |
35
($1,761,612,068) |
N/A |
Aggregate
Amount of Brokerage Commissions
| |||
Fund |
Fiscal Year
Ended July 31, | ||
2023 |
2022 |
2021 | |
First Trust
Consumer Discretionary AlphaDEX®
Fund |
$423,135 |
$436,187 |
$481,624 |
First Trust
Consumer Staples AlphaDEX®
Fund |
$140,359 |
$130,999 |
$92,649 |
First Trust
Energy AlphaDEX®
Fund |
$416,070 |
$452,188 |
$166,927 |
First Trust
Financials AlphaDEX®
Fund |
$445,821 |
$449,775 |
$358,004 |
First Trust
Health Care AlphaDEX®
Fund |
$528,885 |
$305,176 |
$290,892 |
First Trust
Industrials/Producer Durables AlphaDEX®
Fund |
$423,653 |
$345,149 |
$210,672 |
First Trust
Large Cap Core AlphaDEX®
Fund |
$276,462 |
$230,191 |
$264,218 |
First Trust
Large Cap Growth AlphaDEX®
Fund |
$269,341 |
$239,523 |
$212,644 |
First Trust
Large Cap Value AlphaDEX®
Fund |
$370,448 |
$271,761 |
$292,122 |
First Trust
Materials AlphaDEX®
Fund |
$175,344 |
$263,277 |
$92,448 |
First Trust
Mid Cap Core AlphaDEX®
Fund |
$564,941 |
$420,344 |
$457,961 |
First Trust
Mid Cap Growth AlphaDEX®
Fund |
$175,066 |
$199,563 |
$250,866 |
First Trust
Mid Cap Value AlphaDEX®
Fund |
$149,936 |
$87,878 |
$43,208 |
First Trust
Multi Cap Growth AlphaDEX®
Fund |
$104,939 |
$99,262 |
$86,418 |
First Trust
Multi Cap Value AlphaDEX®
Fund |
$102,400 |
$62,165 |
$48,688
|
Aggregate
Amount of Brokerage Commissions
| |||
Fund |
Fiscal Year
Ended July 31, | ||
2023 |
2022 |
2021 | |
First Trust
Small Cap Core AlphaDEX®
Fund |
$951,039 |
$692,420 |
$673,389 |
First Trust
Small Cap Growth AlphaDEX®
Fund |
$325,180 |
$309,574 |
$344,808 |
First Trust
Small Cap Value AlphaDEX®
Fund |
$229,180 |
$183,585 |
$166,988 |
First Trust
Technology AlphaDEX®
Fund |
$410,877 |
$568,362 |
$656,977 |
First Trust
Utilities AlphaDEX®
Fund |
$83,080 |
$50,780 |
$34,064 |
Fund
Administration and Accounting
| |||
Fund |
Fiscal Year
Ended July 31, | ||
2023 |
2022 |
2021 | |
First Trust
Consumer Discretionary AlphaDEX®
Fund |
$335,085 |
$671,727 |
$691,974 |
First Trust
Consumer Staples AlphaDEX®
Fund |
$340,314 |
$194,358 |
$130,502 |
First Trust
Energy AlphaDEX®
Fund |
$613,493 |
$425,195 |
$141,555 |
First Trust
Financials AlphaDEX®
Fund |
$573,363 |
$667,726 |
$429,101 |
First Trust
Health Care AlphaDEX®
Fund |
$716,990 |
$703,280 |
$668,177 |
First Trust
Industrials/Producer Durables AlphaDEX®
Fund |
$732,206 |
$792,790 |
$447,869 |
First Trust
Large Cap Core AlphaDEX®
Fund |
$548,418 |
$568,235 |
$521,510 |
First Trust
Large Cap Growth AlphaDEX®
Fund |
$461,698 |
$545,026 |
$533,180 |
First Trust
Large Cap Value AlphaDEX®
Fund |
$583,589 |
$561,220 |
$418,493 |
First Trust
Materials AlphaDEX®
Fund |
$658,919 |
$461,817 |
$131,237 |
First Trust
Mid Cap Core AlphaDEX®
Fund |
$493,417 |
$504,080 |
$408,594 |
First Trust
Multi Cap Growth AlphaDEX®
Fund |
$89,075 |
$115,993 |
$104,723 |
First Trust
Multi Cap Value AlphaDEX®
Fund |
$99,441 |
$85,504 |
$50,683 |
First Trust
Small Cap Core AlphaDEX®
Fund |
$404,154 |
$453,760 |
$362,352 |
First Trust
Technology AlphaDEX®
Fund |
$523,836 |
$847,874 |
$1,080,685 |
First Trust
Utilities AlphaDEX®
Fund |
$185,318 |
$120,835 |
$95,772 |
Fund |
Total
Non-Expiring
Capital
Loss
Available |
First Trust
Consumer Discretionary AlphaDEX®
Fund |
$468,248,520 |
First Trust
Consumer Staples AlphaDEX®
Fund |
273,317,250 |
First Trust
Energy AlphaDEX®
Fund |
517,973,838 |
First Trust
Financials AlphaDEX®
Fund |
435,702,005 |
First Trust
Health Care AlphaDEX®
Fund |
643,402,809 |
First Trust
Industrials/Producer Durables AlphaDEX®
Fund |
412,619,937 |
First Trust
Materials AlphaDEX®
Fund |
259,606,707 |
First Trust
Technology AlphaDEX®
Fund |
730,916,415 |
First Trust
Utilities AlphaDEX®
Fund |
201,998,346 |
First Trust
Large Cap Core AlphaDEX®
Fund |
292,986,503 |
First Trust
Mid Cap Core AlphaDEX®
Fund |
297,476,802 |
First Trust
Small Cap Core AlphaDEX®
Fund |
381,698,439 |
First Trust
Large Cap Value AlphaDEX®
Fund |
253,541,569 |
First Trust
Large Cap Growth AlphaDEX®
Fund |
259,634,595 |
First Trust
Multi Cap Value AlphaDEX®
Fund |
49,210,255 |
First Trust
Multi Cap Growth AlphaDEX®
Fund |
72,152,962 |
First Trust
Mid Cap Value AlphaDEX®
Fund |
50,016,603 |
First Trust
Mid Cap Growth AlphaDEX®
Fund |
148,424,420 |
First Trust
Small Cap Value AlphaDEX®
Fund |
73,238,940 |
First Trust
Small Cap Growth AlphaDEX®
Fund |
182,271,213 |
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
FIRST
TRUST CONSUMER DISCRETIONARY ALPHADEX®
FUND | |
BNYMellon/Re
ETF - UIT DTC/NSCC 0963 |
48.31% |
Wells Fargo
Clearing Services, LLC |
8.72% |
Morgan
Stanley Smith Barney LLC |
8.16% |
Charles
Schwab & Co., Inc. |
6.73% |
FIRST
TRUST CONSUMER STAPLES ALPHADEX®
FUND | |
Charles
Schwab & Co., Inc. |
24.24% |
Citibank,
N.A. |
10.64% |
Morgan
Stanley Smith Barney LLC |
9.26% |
National
Financial Services LLC |
8.47% |
Wells Fargo
Clearing Services, LLC |
8.20% |
Pershing
LLC |
8.13% |
LPL Financial
LLC |
7.49% |
FIRST
TRUST ENERGY ALPHADEX®
FUND | |
Charles
Schwab & Co., Inc. |
14.00% |
Wells Fargo
Clearing Services, LLC |
12.87% |
Morgan
Stanley Smith Barney LLC |
12.17% |
LPL Financial
LLC |
9.95% |
National
Financial Services LLC |
9.63% |
UBS Financial
Services Inc. |
6.97% |
Raymond James
& Associates, Inc. |
6.90% |
Brown
Brothers Harriman & Co. |
5.52% |
FIRST
TRUST FINANCIALS ALPHADEX®
FUND | |
Morgan
Stanley Smith Barney LLC |
15.71% |
Charles
Schwab & Co., Inc. |
13.39% |
Wells Fargo
Clearing Services, LLC |
12.39% |
LPL Financial
LLC |
9.96% |
National
Financial Services LLC |
8.86% |
Raymond James
& Associates, Inc. |
7.42% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated/8862 MLPF&S TS
SUB |
5.32% |
FIRST
TRUST HEALTH CARE ALPHADEX®
FUND | |
Morgan
Stanley Smith Barney LLC |
19.41% |
Charles
Schwab & Co., Inc. |
11.96% |
National
Financial Services LLC |
9.42% |
LPL Financial
LLC |
8.21% |
Wells Fargo
Clearing Services, LLC |
7.79% |
Raymond James
& Associates, Inc. |
7.57% |
Pershing
LLC |
6.45% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated/8862 MLPF&S TS
SUB |
5.17%
|
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
FIRST
TRUST INDUSTRIALS/PRODUCER DURABLES ALPHADEX®
FUND | |
BNYMellon/Re
ETF - UIT DTC/NSCC 0963 |
40.07% |
Charles
Schwab & Co., Inc. |
8.61% |
Wells Fargo
Clearing Services, LLC |
8.61% |
Morgan
Stanley Smith Barney LLC |
8.58% |
LPL Financial
LLC |
5.36% |
National
Financial Services LLC |
5.29% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated/8862 MLPF&S TS
SUB |
5.18% |
FIRST
TRUST MATERIALS ALPHADEX®
FUND | |
Wells Fargo
Clearing Services, LLC |
12.84% |
Charles
Schwab & Co., Inc. |
11.99% |
National
Financial Services LLC |
10.37% |
Raymond James
& Associates, Inc. |
9.56% |
Morgan
Stanley Smith Barney LLC |
8.51% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated/8862 MLPF&S TS
SUB |
7.64% |
LPL Financial
LLC |
7.33% |
Pershing
LLC |
6.23% |
FIRST
TRUST TECHNOLOGY ALPHADEX®
FUND | |
Charles
Schwab & Co., Inc. |
16.45% |
Morgan
Stanley Smith Barney LLC |
11.51% |
Wells Fargo
Clearing Services, LLC |
11.41% |
National
Financial Services LLC |
10.23% |
Raymond James
& Associates, Inc. |
9.18% |
LPL Financial
LLC |
7.52% |
Pershing
LLC |
5.50% |
FIRST
TRUST UTILITIES ALPHADEX®
FUND | |
Morgan
Stanley Smith Barney LLC |
20.80% |
Charles
Schwab & Co., Inc. |
18.46% |
National
Financial Services LLC |
12.20% |
LPL Financial
LLC |
9.51% |
Pershing
LLC |
7.75% |
Wells Fargo
Clearing Services, LLC |
6.32% |
FIRST
TRUST LARGE CAP CORE ALPHADEX®
FUND | |
Charles
Schwab & Co., Inc. |
17.83% |
Morgan
Stanley Smith Barney LLC |
14.54% |
National
Financial Services LLC |
12.00% |
LPL Financial
LLC |
9.63% |
Raymond James
& Associates, Inc. |
8.27% |
Wells Fargo
Clearing Services, LLC |
7.60%
|
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
FIRST
TRUST LARGE CAP GROWTH ALPHADEX®
FUND | |
LPL Financial
LLC |
15.24% |
Morgan
Stanley Smith Barney LLC |
12.98% |
National
Financial Services LLC |
11.07% |
Charles
Schwab & Co., Inc. |
10.71% |
Pershing
LLC |
8.07% |
Raymond James
& Associates, Inc. |
6.84% |
Wells Fargo
Clearing Services, LLC |
6.41% |
FIRST
TRUST LARGE CAP VALUE ALPHADEX®
FUND | |
Morgan
Stanley Smith Barney LLC |
18.67% |
Charles
Schwab & Co., Inc. |
11.91% |
National
Financial Services LLC |
11.83% |
LPL Financial
LLC |
11.33% |
Pershing
LLC |
8.55% |
UBS Financial
Services Inc. |
8.43% |
Raymond James
& Associates, Inc. |
6.60% |
FIRST
TRUST MID CAP CORE ALPHADEX®
FUND | |
Morgan
Stanley Smith Barney LLC |
16.45% |
Wells Fargo
Clearing Services, LLC |
12.67% |
LPL Financial
LLC |
11.85% |
National
Financial Services LLC |
10.22% |
Raymond James
& Associates, Inc. |
9.16% |
Charles
Schwab & Co., Inc. |
8.79% |
Pershing
LLC |
6.25% |
UBS Financial
Services Inc. |
5.02% |
FIRST
TRUST MID CAP GROWTH ALPHADEX®
FUND | |
LPL Financial
LLC |
27.82% |
Wells Fargo
Clearing Services, LLC |
15.52% |
Morgan
Stanley Smith Barney LLC |
8.34% |
Charles
Schwab & Co., Inc. |
8.04% |
Pershing
LLC |
7.81% |
UBS Financial
Services Inc. |
7.72% |
Raymond James
& Associates, Inc. |
6.97% |
National
Financial Services LLC |
5.23% |
FIRST
TRUST MID CAP VALUE ALPHADEX®
FUND | |
Charles
Schwab & Co., Inc. |
30.19% |
National
Financial Services LLC |
15.90% |
LPL Financial
LLC |
12.52% |
Wells Fargo
Clearing Services, LLC |
8.65% |
Morgan
Stanley Smith Barney LLC |
6.32%
|
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
FIRST
TRUST MULTI CAP GROWTH ALPHADEX®
FUND | |
Raymond James
& Associates, Inc. |
15.85% |
National
Financial Services LLC |
12.88% |
Charles
Schwab & Co., Inc. |
10.61% |
Morgan
Stanley Smith Barney LLC |
10.45% |
LPL Financial
LLC |
9.67% |
Pershing
LLC |
5.45% |
Edward
Jones |
5.21% |
FIRST
TRUST MULTI CAP VALUE ALPHADEX®
FUND | |
LPL Financial
LLC |
13.32% |
Pershing
LLC |
11.41% |
Raymond James
& Associates, Inc. |
10.43% |
National
Financial Services LLC |
8.81% |
Wells Fargo
Clearing Services, LLC |
8.09% |
Morgan
Stanley Smith Barney LLC |
7.60% |
Janney
Montgomery Scott LLC |
7.31% |
Charles
Schwab & Co., Inc. |
7.15% |
Stifel,
Nicolaus & Company, Incorporated |
6.14% |
FIRST
TRUST SMALL CAP CORE ALPHADEX®
FUND | |
LPL Financial
LLC |
14.50% |
Morgan
Stanley Smith Barney LLC |
11.11% |
Wells Fargo
Clearing Services, LLC |
10.40% |
Charles
Schwab & Co., Inc. |
10.01% |
National
Financial Services LLC |
9.55% |
Raymond James
& Associates, Inc. |
7.97% |
Pershing
LLC |
6.61% |
UBS Financial
Services Inc. |
5.60% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated/8862 MLPF&S TS
SUB |
5.41% |
RBC Capital
Markets, LLC |
5.20% |
FIRST
TRUST SMALL CAP GROWTH ALPHADEX®
FUND | |
Charles
Schwab & Co., Inc. |
16.14% |
LPL Financial
LLC |
14.85% |
Raymond James
& Associates, Inc. |
10.63% |
Pershing
LLC |
9.45% |
National
Financial Services LLC |
8.30% |
Morgan
Stanley Smith Barney LLC |
7.63% |
Merrill
Lynch, Pierce, Fenner & Smith Incorporated/8862 MLPF&S TS
SUB |
5.39%
|
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
FIRST
TRUST SMALL CAP VALUE ALPHADEX®
FUND | |
Charles
Schwab & Co., Inc. |
17.94% |
LPL Financial
LLC |
14.30% |
Wells Fargo
Clearing Services, LLC |
12.76% |
National
Financial Services LLC |
10.78% |
Pershing
LLC |
8.46% |
Morgan
Stanley Smith Barney LLC |
7.95% |
Raymond James
& Associates, Inc. |
7.06% |
RBC Capital
Markets, LLC |
6.00% |