FUND
NAME |
TICKER
SYMBOL |
EXCHANGE |
FT Vest
U.S. Equity Deep Buffer ETF – April |
DAPR |
Cboe
BZX |
Portfolio
Turnover Rate
| |
Fiscal
Year Ended August 31, | |
2023 |
2022 |
0% |
0% |
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) |
257
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) |
257
Portfolios |
None |
Thomas R.
Kadlec
1957 |
Trustee |
•Indefinite
term
•Since
inception |
Retired;
President, ADM Investor
Services,
Inc. (Futures Commission
Merchant)
(2010 to July 2022) |
257
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) |
257
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) |
257
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) |
257
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 | |||||
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) |
233
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
inception |
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) |
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
•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 Fund
(1)
|
Total
Compensation from
the First
Trust Fund Complex (2)
|
Richard E.
Erickson |
$1,985 |
$523,750 |
Thomas R.
Kadlec |
$1,979 |
$524,280 |
Denise M.
Keefe |
$1,940 |
$504,158 |
Robert F.
Keith |
$1,982 |
$514,231 |
Niel B.
Nielson |
$1,988 |
$533,750 |
Bronwyn
Wright (3) |
$– |
$– |
Trustee |
Dollar
Range of
Equity
Securities
in the
Fund
(Number of
Shares
Held) |
Aggregate
Dollar
Range
of
Equity
Securities in All
Registered
Investment
Companies
Overseen
by Trustee in
the
First
Trust Fund
Complex |
Interested
Trustee | ||
James A.
Bowen |
None |
Over
$100,000 |
Independent
Trustees | ||
Richard E.
Erickson |
None |
Over
$100,000 |
Thomas R.
Kadlec |
None |
Over
$100,000 |
Denise M.
Keefe |
None |
Over
$100,000 |
Robert F.
Keith |
None |
Over
$100,000 |
Niel B.
Nielson |
None |
Over
$100,000 |
Bronwyn
Wright(1) |
None |
None |
Management
Fee |
Breakpoints |
0.85000% |
Fund
net assets up to and including $2.5 billion |
0.82875% |
Fund
net assets greater than $2.5 billion up to and including $5
billion |
0.80750% |
Fund
net assets greater than $5 billion up to and including $7.5
billion |
0.78625% |
Fund
net assets greater than $7.5 billion up to and including $10
billion |
0.76500% |
Fund
net assets greater than $10
billion |
Amount of
Unitary Fees
| |||
Inception
Date |
Fiscal Year
Ended
August
31, |
Fiscal
Period Ended
August
31,
2021 | |
2023 |
2022 | ||
4/16/2021 |
$2,480,095 |
$1,209,285 |
$294,064 |
Amount of
Sub-Advisory Fees
| |||
Inception
Date |
Fiscal Year
Ended
August
31, |
Fiscal
Period Ended
August
31,
2021 | |
2023 |
2022 | ||
4/16/2021 |
$1,063,454 |
$502,047 |
$111,839 |
Portfolio
Managers |
Registered
Investment
Companies
Number
of
Accounts
($
Assets) |
Other
Pooled
Investment
Vehicles
Number
of
Accounts
($
Assets) |
Other
Accounts
Number
of
Accounts
($
Assets) |
Registered
Investment
Companies
With
Performance
Fees
Number
of
Accounts
($
Assets) |
Other
Pooled
Investment
Vehicles
With
Performance
Fees
Number
of
Accounts
($
Assets) |
Other
Accounts
With
Performance
Fees
Number
of
Accounts
($
Assets) |
Karan
Sood |
67
($15,952,244,940) |
8
($153,506,515) |
N/A |
N/A |
N/A |
N/A |
Howard
Rubin |
67
($15,952,244,940) |
8
($153,506,515) |
N/A |
N/A |
N/A |
N/A |
Aggregate
Amount of Brokerage Commissions
| |||
Inception
Date |
Fiscal Year
Ended
August
31, |
Fiscal
Period Ended
August
31,
2021 | |
2023 |
2022 | ||
4/16/2021 |
$91,780 |
$60,084 |
$23,436 |
Total
Non-Expiring
Capital
Loss
Available |
$36,358,995 |
NAME OF
BENEFICIAL OWNER |
%
OF
OUTSTANDING
SHARES
OWNED |
FT
VEST U.S. EQUITY DEEP BUFFER ETF –
APRIL | |
BNYMellon/Re
ETF - UIT DTC/NSCC 0963 |
37.64% |
Charles
Schwab & Co., Inc. |
28.10% |
National
Financial Services LLC |
11.87% |
Pershing
LLC |
11.87% |