Book 1
First Trust NASDAQ Technology Dividend Index Fund (TDIV)
Multi-Asset Diversified Income Index Fund (MDIV)
First Trust S&P International Dividend Aristocrats ETF (FID)
First Trust BuyWrite Income ETF (FTHI)
First Trust
Nasdaq BuyWrite Income ETF (FTQI)
(formerlyFirst Trust Hedged BuyWrite Income
ETF (FTLB))
First Trust Rising Dividend Achievers ETF (RDVY)
First Trust Dorsey Wright Focus 5 ETF (FV)
First Trust RBA American Industrial Renaissance® ETF (AIRR)
First Trust Dorsey Wright Momentum & Dividend ETF (DDIV)
First Trust Dorsey Wright International Focus 5 ETF (IFV)
First Trust Dorsey Wright Dynamic Focus 5 ETF (FVC)
First Trust Indxx Innovative Transaction & Process ETF (LEGR)
First Trust Nasdaq Artificial Intelligence and Robotics ETF (ROBT)
First Trust International Developed Capital Strength ETF (FICS)
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2 |
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3 |
Fund Performance Overview | |
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4 |
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6 |
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8 |
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11 |
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14 |
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18 |
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20 |
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22 |
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24 |
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26 |
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28 |
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30 |
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32 |
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34 |
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36 |
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37 |
Portfolio of Investments | |
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39 |
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41 |
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47 |
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50 |
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56 |
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60 |
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62 |
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63 |
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64 |
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66 |
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67 |
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68 |
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72 |
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76 |
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78 |
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82 |
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86 |
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92 |
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106 |
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124 |
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127 |
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138 |
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140 |
Performance | ||||||||
Average Annual Total Returns | Cumulative Total Returns | |||||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
10
Years Ended 9/30/22 |
Inception (8/13/12) to 9/30/22 |
5
Years Ended 9/30/22 |
10
Years Ended 9/30/22 |
Inception (8/13/12) to 9/30/22 | ||
Fund Performance | ||||||||
NAV | -20.93% | 8.61% | 10.97% | 10.74% | 51.16% | 183.23% | 181.19% | |
Market Price | -20.90% | 8.63% | 10.97% | 10.74% | 51.23% | 183.12% | 181.22% | |
Index Performance | ||||||||
Nasdaq Technology Dividend IndexTM | -20.54% | 9.30% | 11.68% | 11.45% | 55.98% | 201.83% | 199.88% | |
S&P 500® Index | -15.47% | 9.24% | 11.70% | 11.86% | 55.55% | 202.44% | 211.22% | |
S&P 500® Information Technology Index | -20.00% | 16.74% | 17.09% | 17.13% | 116.78% | 384.27% | 396.21% |
Performance | ||||||||
Average Annual Total Returns | Cumulative Total Returns | |||||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
10
Years Ended 9/30/22 |
Inception (8/13/12) to 9/30/22 |
5
Years Ended 9/30/22 |
10
Years Ended 9/30/22 |
Inception (8/13/12) to 9/30/22 | ||
Fund Performance | ||||||||
NAV | -6.25% | 0.30% | 2.71% | 2.79% | 1.52% | 30.59% | 32.14% | |
Market Price | -6.25% | 0.35% | 2.71% | 2.80% | 1.75% | 30.62% | 32.23% | |
Index Performance | ||||||||
Nasdaq US Multi-Asset Diversified Income IndexSM | -5.80% | 0.84% | 3.34% | 3.43% | 4.29% | 38.87% | 40.71% | |
S&P 500® Index | -15.47% | 9.24% | 11.70% | 11.86% | 55.55% | 202.44% | 211.22% | |
Dow Jones U.S. Select DividendTM Index* | -3.10% | 6.89% | 10.53% | 10.53% | 39.56% | 172.03% | 175.69% |
* | The Dow Jones U.S. Select DividendTM Index represents 100 of the United States’ leading stocks by dividend yield. |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (8/22/13) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (8/22/13) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -18.39% | -1.73% | 0.53% | -8.34% | 4.93% | |
Market Price | -18.15% | -1.80% | 0.54% | -8.69% | 4.99% | |
Index Performance | ||||||
S&P International Dividend Aristocrats Index(1) | -17.19% | N/A | N/A | N/A | N/A | |
Dow Jones EPAC Select DividendTM Index(2) | -20.66% | -1.91% | 0.95% | -9.21% | 8.95% | |
MSCI World ex USA Index | -23.91% | -0.39% | 2.33% | -1.96% | 23.34% |
(1) | On August 30, 2018, the Fund’s underlying index changed from the Nasdaq International Multi-Asset Diversified Income IndexSM to the S&P International Dividend Aristocrats Index (the “Index”). Therefore, the Fund’s performance and historical returns shown for the periods prior to August 30, 2018, are not necessarily indicative of the performance that the Fund, based on its current index, would have generated. Since the Index had an inception date of April 30, 2018, it was not in existence for all of the periods disclosed. The old index was terminated on November 23, 2018, so performance data does not exist for these time periods. |
(2) | The Dow Jones EPAC Select DividendTM Index measures the performance of a selected group of companies, from non-U.S. developed markets (Europe, Pacific Asia, and Canada), that have provided relatively high dividend yields on a consistent basis over time. |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (1/6/14) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (1/6/14) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -7.60% | 1.07% | 3.97% | 5.49% | 40.53% | |
Market Price | -7.40% | 1.11% | 4.01% | 5.67% | 40.90% | |
Index Performance | ||||||
CBOE S&P 500 BuyWrite Monthly Index(1) | -11.21% | 1.94% | 4.28% | 10.11% | 44.16% | |
S&P 500® Index | -15.47% | 9.24% | 10.12% | 55.55% | 131.98% |
(1) | The CBOE S&P 500 BuyWrite Monthly Index is a benchmark index designed to track the performance of a hypothetical buy-write strategy on the S&P 500® Index. |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (1/6/14) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (1/6/14) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -9.00% | -0.44% | 2.45% | -2.16% | 23.53% | |
Market Price | -8.89% | -0.47% | 2.47% | -2.31% | 23.76% | |
Index Performance | ||||||
CBOE S&P 500 95-110 Collar IndexSM(1) | -10.92% | 9.69% | 7.82% | 58.82% | 93.06% | |
S&P 500® Index | -15.47% | 9.24% | 10.12% | 55.55% | 131.98% | |
CBOE Nasdaq-100 Buywrite IndexSM(2) | -18.19% | 2.40% | 4.91% | 12.61% | 52.02% | |
Nasdaq-100 Index®(3) | -24.72% | 13.95% | 15.09% | 92.16% | 241.03% |
(1) | The CBOE S&P 500 95-110 Collar IndexSM is designed to protect an investment in S&P 500® stocks against market declines. The passive collar strategy reflected by the index entails: holding the stocks in the S&P 500® Index; buying three-month S&P 500® put options to protect this S&P 500® portfolio from market decreases; and selling one-month S&P 500® call options to help finance the cost of the put options. |
(2) | The Cboe Nasdaq-100 BuyWrite IndexSM is a benchmark index designed to track the performance of a hypothetical buy-write strategy on the Nasdaq-100 Index®. The index is a passive total return index based on (1) buying the Nasdaq-100 Index® stock index portfolio, and (2) “writing” (or selling) the near-term Nasdaq-100 Index® “covered” call option. |
(3) | On May 11, 2022, the Fund’s primary benchmark changed from the S&P 500® Index to the Nasdaq-100 Index®, because the Advisor believes that the Nasdaq-100 Index® better reflects the investment strategies of the Fund. |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (1/6/14) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (1/6/14) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -16.76% | 8.61% | 9.86% | 51.12% | 127.27% | |
Market Price | -16.72% | 8.59% | 9.86% | 51.00% | 127.32% | |
Index Performance | ||||||
Nasdaq US Rising Dividend AchieversTM Index | -16.41% | 9.18% | 10.44% | 55.16% | 137.99% | |
Dow Jones U.S. Select DividendTM Index* | -3.10% | 6.89% | 9.07% | 39.56% | 113.38% |
* | The Dow Jones U.S. Select DividendTM Index represents 100 of the United States’ leading stocks by dividend yield. |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (3/5/14) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (3/5/14) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -9.32% | 9.95% | 9.23% | 60.71% | 113.19% | |
Market Price | -9.32% | 9.94% | 9.22% | 60.59% | 113.03% | |
Index Performance | ||||||
Dorsey Wright Focus FiveTM Index | -8.95% | 10.27% | 9.61% | 63.01% | 119.57% | |
S&P 500® Index | -15.47% | 9.24% | 9.94% | 55.55% | 125.34% |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (3/10/14) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (3/10/14) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -6.41% | 8.16% | 8.12% | 48.01% | 95.10% | |
Market Price | -6.38% | 8.18% | 8.14% | 48.15% | 95.36% | |
Index Performance | ||||||
Richard Bernstein Advisors American Industrial Renaissance® Index | -5.74% | 8.93% | 8.94% | 53.34% | 108.12% | |
S&P 500® Index | -15.47% | 9.24% | 9.93% | 55.55% | 124.86% | |
S&P 500® Industrials Index | -13.87% | 4.87% | 7.32% | 26.87% | 83.13% | |
Russell 2500® Index | -21.11% | 5.45% | 6.46% | 30.40% | 70.93% |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (3/10/14) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (3/10/14) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -11.08% | 4.76% | 6.34% | 26.17% | 69.30% | |
Market Price | -11.02% | 4.73% | 6.35% | 26.02% | 69.38% | |
Index Performance | ||||||
Dorsey Wright Momentum Plus Dividend YieldTM Index(1) | -10.57% | N/A | N/A | N/A | N/A | |
Dow Jones U.S. Select DividendTM Index(2) | -3.10% | 6.89% | 8.91% | 39.56% | 107.69% | |
S&P 500® Index | -15.47% | 9.24% | 9.93% | 55.55% | 124.86% |
(1) | On September 6, 2018, the Fund’s underlying index changed from the Richard Bernstein Advisors Quality Income Index to the Dorsey Wright Momentum Plus Dividend YieldTM Index (the “Index”). Therefore, the Fund’s performance and historical returns shown for the periods prior to September 6, 2018, are not necessarily indicative of the performance that the Fund, based on its current index, would have generated. Since the Index had an inception date of July 2, 2018, it was not in existence for all of the periods disclosed. |
(2) | The Dow Jones U.S. Select DividendTM Index represents 100 of the United States’ leading stocks by dividend yield. |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (7/22/14) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (7/22/14) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -26.89% | -3.39% | -0.93% | -15.85% | -7.38% | |
Market Price | -26.81% | -3.38% | -0.92% | -15.79% | -7.31% | |
Index Performance | ||||||
Dorsey Wright International Focus FiveTM Index | -26.69% | -2.91% | -0.52% | -13.72% | -4.16% | |
MSCI ACWI ex USA Index | -25.17% | -0.81% | 0.49% | -4.00% | 4.10% |
Performance | ||||||
Average Annual Total Returns | Cumulative Total Returns | |||||
1
Year Ended 9/30/22 |
5
Years Ended 9/30/22 |
Inception (3/17/16) to 9/30/22 |
5
Years Ended 9/30/22 |
Inception (3/17/16) to 9/30/22 | ||
Fund Performance | ||||||
NAV | -4.18% | 7.11% | 8.76% | 40.98% | 73.15% | |
Market Price | -4.01% | 7.13% | 8.78% | 41.13% | 73.41% | |
Index Performance | ||||||
Dorsey Wright Dynamic Focus FiveTM Index | -3.74% | 7.44% | 9.11% | 43.15% | 76.82% | |
S&P 500® Index | -15.47% | 9.24% | 11.03% | 55.55% | 98.24% |
Performance | |||
Average
Annual Total Returns |
Cumulative Total Returns | ||
1
Year Ended 9/30/22 |
Inception
(1/24/18) to 9/30/22 |
Inception
(1/24/18) to 9/30/22 | |
Fund Performance | |||
NAV | -25.55% | 2.14% | 10.42% |
Market Price | -25.97% | 2.08% | 10.09% |
Index Performance | |||
Indxx Blockchain Index | -25.03% | 3.11% | 15.40% |
S&P 500® Index | -15.47% | 7.01% | 37.31% |
Performance | |||
Average
Annual Total Returns |
Cumulative Total Returns | ||
1
Year Ended 9/30/22 |
Inception
(2/21/18) to 9/30/22 |
Inception
(2/21/18) to 9/30/22 | |
Fund Performance | |||
NAV | -36.76% | 2.87% | 13.93% |
Market Price | -36.85% | 2.86% | 13.86% |
Index Performance | |||
Nasdaq CTA Artificial Intelligence and Robotics IndexSM | -36.54% | 3.58% | 17.56% |
S&P 500® Index | -15.47% | 8.24% | 43.97% |
Performance | |||
Average
Annual Total Returns |
Cumulative Total Returns | ||
1
Year Ended 9/30/22 |
Inception
(12/15/20) to 9/30/22 |
Inception
(12/15/20) to 9/30/22 | |
Fund Performance | |||
NAV | -22.50% | -6.56% | -11.45% |
Market Price | -22.33% | -6.34% | -11.08% |
Index Performance | |||
The International Developed Capital Strength IndexSM | -21.93% | -5.38% | -9.43% |
MSCI World ex USA Index | -23.91% | -8.86% | -15.32% |
Beginning Account Value April 1, 2022 |
Ending Account Value September 30, 2022 |
Annualized Expense Ratio Based on the Six-Month Period |
Expenses Paid During the Six-Month Period (a) | |
First Trust NASDAQ Technology Dividend Index Fund (TDIV) | ||||
Actual | $1,000.00 | $750.00 | 0.50% | $2.19 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,022.56 | 0.50% | $2.54 |
Multi-Asset Diversified Income Index Fund (MDIV) (b) | ||||
Actual | $1,000.00 | $885.30 | 0.49% | $2.32 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,022.61 | 0.49% | $2.48 |
First Trust S&P International Dividend Aristocrats ETF (FID) | ||||
Actual | $1,000.00 | $799.80 | 0.60% | $2.71 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,022.06 | 0.60% | $3.04 |
First Trust BuyWrite Income ETF (FTHI) | ||||
Actual | $1,000.00 | $841.30 | 0.85% | $3.92 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,020.81 | 0.85% | $4.31 |
First Trust Nasdaq BuyWrite Income ETF (FTQI) | ||||
Actual | $1,000.00 | $837.40 | 0.85% | $3.92 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,020.81 | 0.85% | $4.31 |
Beginning Account Value April 1, 2022 |
Ending Account Value September 30, 2022 |
Annualized Expense Ratio Based on the Six-Month Period |
Expenses Paid During the Six-Month Period (a) | |
First Trust Rising Dividend Achievers ETF (RDVY) | ||||
Actual | $1,000.00 | $802.00 | 0.50% | $2.26 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,022.56 | 0.50% | $2.54 |
First Trust Dorsey Wright Focus 5 ETF (FV) (b) | ||||
Actual | $1,000.00 | $867.70 | 0.30% | $1.40 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,023.56 | 0.30% | $1.52 |
First Trust RBA American Industrial Renaissance® ETF (AIRR) | ||||
Actual | $1,000.00 | $903.90 | 0.70% | $3.34 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,021.56 | 0.70% | $3.55 |
First Trust Dorsey Wright Momentum & Dividend ETF (DDIV) | ||||
Actual | $1,000.00 | $813.80 | 0.60% | $2.73 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,022.06 | 0.60% | $3.04 |
First Trust Dorsey Wright International Focus 5 ETF (IFV) (b) | ||||
Actual | $1,000.00 | $784.10 | 0.30% | $1.34 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,023.56 | 0.30% | $1.52 |
First Trust Dorsey Wright Dynamic Focus 5 ETF (FVC) (b) | ||||
Actual | $1,000.00 | $916.70 | 0.30% | $1.44 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,023.56 | 0.30% | $1.52 |
First Trust Indxx Innovative Transaction & Process ETF (LEGR) | ||||
Actual | $1,000.00 | $772.10 | 0.65% | $2.89 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,021.81 | 0.65% | $3.29 |
First Trust Nasdaq Artificial Intelligence and Robotics ETF (ROBT) | ||||
Actual | $1,000.00 | $714.00 | 0.65% | $2.79 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,021.81 | 0.65% | $3.29 |
First Trust International Developed Capital Strength ETF (FICS) | ||||
Actual | $1,000.00 | $798.60 | 0.70% | $3.16 |
Hypothetical (5% return before expenses) | $1,000.00 | $1,021.56 | 0.70% | $3.55 |
(a) | Expenses are equal to the annualized expense ratios as indicated in the table multiplied by the average account value over the period (April 1, 2022 through September 30, 2022), multiplied by 183/365 (to reflect the six-month period). |
(b) | Annualized expense ratio and expenses paid during the six-month period do not include fees and expenses of the underlying funds in which the Fund invests. |
Shares/ Units |
Description | Value | ||
MASTER LIMITED PARTNERSHIPS – 20.2% | ||||
Energy Equipment & Services – 1.2% | ||||
302,427 |
USA Compression Partners, L.P.
|
$5,262,230 | ||
Industrial Conglomerates – 1.5% | ||||
133,447 |
Icahn Enterprises, L.P.
|
6,628,312 | ||
Oil, Gas & Consumable Fuels – 17.5% | ||||
251,368 |
Black Stone Minerals, L.P.
|
3,933,909 | ||
62,324 |
Cheniere Energy Partners, L.P.
|
3,325,609 | ||
163,844 |
Crestwood Equity Partners, L.P.
|
4,549,948 | ||
208,406 |
CrossAmerica Partners, L.P.
|
3,895,108 | ||
57,227 |
DCP Midstream, L.P.
|
2,150,018 | ||
52,426 |
Delek Logistics Partners, L.P.
|
2,670,581 | ||
160,184 |
Dorchester Minerals, L.P.
|
4,001,396 | ||
263,607 |
Energy Transfer, L.P.
|
2,907,585 | ||
199,635 |
EnLink Midstream, LLC (a)
|
1,774,755 | ||
121,532 |
Enterprise Products Partners, L.P.
|
2,890,031 | ||
135,213 |
Global Partners, L.P.
|
3,346,522 | ||
214,221 |
Holly Energy Partners, L.P.
|
3,515,367 | ||
256,583 |
Kimbell Royalty Partners, L.P. (a)
|
4,356,779 | ||
342,361 |
KNOT Offshore Partners, L.P. (a)
|
4,786,207 | ||
71,941 |
Magellan Midstream Partners, L.P.
|
3,417,917 | ||
147,560 |
MPLX, L.P.
|
4,428,276 | ||
62,993 |
Natural Resource Partners, L.P.
|
2,787,440 | ||
305,395 |
NuStar Energy, L.P.
|
4,122,833 | ||
282,470 |
Plains All American Pipeline, L.P.
|
2,971,584 | ||
273,312 |
Plains GP Holdings, L.P., Class A (a)
|
2,981,834 | ||
92,726 |
Sunoco, L.P.
|
3,613,532 | ||
114,461 |
Viper Energy Partners, L.P. (a)
|
3,280,452 | ||
100,987 |
Western Midstream Partners, L.P.
|
2,540,833 | ||
78,248,516 | ||||
Total Master Limited Partnerships
|
90,139,058 | |||
(Cost $74,218,615) | ||||
COMMON STOCKS – 19.7% | ||||
Banks – 4.5% | ||||
76,544 |
Associated Banc-Corp.
|
1,537,004 | ||
31,044 |
Citigroup, Inc.
|
1,293,604 | ||
73,553 |
First Financial Bancorp
|
1,550,497 | ||
61,164 |
First Hawaiian, Inc.
|
1,506,469 | ||
38,509 |
First Interstate BancSystem, Inc., Class A
|
1,553,838 | ||
129,769 |
FNB Corp.
|
1,505,320 | ||
133,112 |
Huntington Bancshares, Inc.
|
1,754,416 | ||
92,873 |
KeyCorp
|
1,487,826 | ||
152,414 |
Northwest Bancshares, Inc.
|
2,059,113 | ||
46,157 |
Pacific Premier Bancorp, Inc.
|
1,429,021 | ||
31,947 |
Truist Financial Corp.
|
1,390,972 | ||
32,951 |
US Bancorp
|
1,328,584 | ||
44,263 |
WesBanco, Inc.
|
1,477,056 | ||
19,873,720 | ||||
Biotechnology – 0.7% | ||||
11,042 |
AbbVie, Inc.
|
1,481,947 | ||
29,281 |
Gilead Sciences, Inc.
|
1,806,345 | ||
3,288,292 |
Shares/ Units |
Description | Value | ||
COMMON STOCKS (Continued) | ||||
Capital Markets – 1.4% | ||||
53,761 |
Lazard Ltd., Class A
|
$1,711,213 | ||
97,337 |
Moelis & Co., Class A
|
3,290,964 | ||
69,069 |
Virtu Financial, Inc., Class A
|
1,434,563 | ||
6,436,740 | ||||
Chemicals – 1.3% | ||||
39,778 |
Dow, Inc.
|
1,747,447 | ||
51,271 |
LyondellBasell Industries N.V., Class A
|
3,859,681 | ||
5,607,128 | ||||
Containers & Packaging – 0.3% | ||||
40,051 |
International Paper Co.
|
1,269,617 | ||
Diversified Telecommunication Services – 1.1% | ||||
186,628 |
AT&T, Inc.
|
2,862,874 | ||
51,083 |
Verizon Communications, Inc.
|
1,939,621 | ||
4,802,495 | ||||
Electric Utilities – 1.2% | ||||
27,065 |
ALLETE, Inc.
|
1,354,603 | ||
23,198 |
Edison International
|
1,312,543 | ||
37,967 |
OGE Energy Corp.
|
1,384,277 | ||
23,680 |
Pinnacle West Capital Corp.
|
1,527,597 | ||
5,579,020 | ||||
Food & Staples Retailing – 0.4% | ||||
53,062 |
Walgreens Boots Alliance, Inc.
|
1,666,147 | ||
Food Products – 0.3% | ||||
44,783 |
Kraft Heinz (The) Co.
|
1,493,513 | ||
Household Durables – 0.3% | ||||
43,247 |
Leggett & Platt, Inc.
|
1,436,665 | ||
Household Products – 0.3% | ||||
55,744 |
Energizer Holdings, Inc.
|
1,401,404 | ||
Industrial Conglomerates – 0.3% | ||||
12,870 |
3M Co.
|
1,422,135 | ||
Insurance – 2.6% | ||||
42,420 |
Fidelity National Financial, Inc.
|
1,535,604 | ||
258,624 |
Old Republic International Corp.
|
5,413,000 | ||
19,633 |
Principal Financial Group, Inc.
|
1,416,521 | ||
19,121 |
Prudential Financial, Inc.
|
1,640,199 | ||
17,798 |
Safety Insurance Group, Inc.
|
1,451,605 | ||
11,456,929 | ||||
IT Services – 0.8% | ||||
15,108 |
International Business Machines Corp.
|
1,794,981 | ||
143,647 |
Western Union (The) Co.
|
1,939,235 | ||
3,734,216 | ||||
Leisure Products – 0.4% | ||||
31,248 |
Sturm Ruger & Co., Inc.
|
1,587,086 | ||
Media – 0.3% | ||||
23,109 |
Omnicom Group, Inc.
|
1,457,947 |
Shares/ Units |
Description | Value | ||
COMMON STOCKS (Continued) | ||||
Multi-Utilities – 0.4% | ||||
32,801 |
NorthWestern Corp.
|
$1,616,433 | ||
Semiconductors & Semiconductor Equipment – 0.3% | ||||
47,960 |
Intel Corp.
|
1,235,929 | ||
Textiles, Apparel & Luxury Goods – 0.3% | ||||
41,415 |
VF Corp.
|
1,238,723 | ||
Thrifts & Mortgage Finance – 0.8% | ||||
252,107 |
New York Community Bancorp, Inc.
|
2,150,473 | ||
65,380 |
Provident Financial Services, Inc.
|
1,274,910 | ||
3,425,383 | ||||
Tobacco – 1.1% | ||||
70,127 |
Altria Group, Inc.
|
2,831,728 | ||
42,287 |
Universal Corp.
|
1,946,894 | ||
4,778,622 | ||||
Trading Companies & Distributors – 0.3% | ||||
25,440 |
Triton International Ltd.
|
1,392,331 | ||
Wireless Telecommunication Services – 0.3% | ||||
106,389 |
Telephone & Data Systems, Inc.
|
1,478,807 | ||
Total Common Stocks
|
87,679,282 | |||
(Cost $100,203,318) | ||||
REAL ESTATE INVESTMENT TRUSTS – 17.9% | ||||
Diversified REITs – 1.2% | ||||
101,445 |
Essential Properties Realty Trust, Inc.
|
1,973,105 | ||
104,779 |
STORE Capital Corp.
|
3,282,726 | ||
5,255,831 | ||||
Health Care REITs – 0.6% | ||||
241,104 |
Medical Properties Trust, Inc.
|
2,859,494 | ||
Mortgage REITs – 8.9% | ||||
264,072 |
Annaly Capital Management, Inc.
|
4,531,476 | ||
320,945 |
Arbor Realty Trust, Inc.
|
3,690,867 | ||
147,183 |
Blackstone Mortgage Trust, Inc., Class A
|
3,435,251 | ||
523,667 |
BrightSpire Capital, Inc.
|
3,304,339 | ||
913,978 |
Broadmark Realty Capital, Inc.
|
4,670,428 | ||
244,084 |
KKR Real Estate Finance Trust, Inc.
|
3,966,365 | ||
332,436 |
Ladder Capital Corp.
|
2,978,627 | ||
491,117 |
Ready Capital Corp.
|
4,979,926 | ||
188,836 |
Starwood Property Trust, Inc.
|
3,440,592 | ||
1,388,179 |
Two Harbors Investment Corp.
|
4,608,754 | ||
39,606,625 | ||||
Office REITs – 2.5% | ||||
28,826 |
Boston Properties, Inc.
|
2,161,085 | ||
276,044 |
Piedmont Office Realty Trust, Inc., Class A
|
2,915,025 | ||
151,998 |
SL Green Realty Corp.
|
6,104,240 | ||
11,180,350 | ||||
Retail REITs – 2.1% | ||||
100,019 |
Brixmor Property Group, Inc.
|
1,847,351 | ||
97,777 |
Getty Realty Corp.
|
2,629,223 |
Shares/ Units |
Description | Value | ||
REAL ESTATE INVESTMENT TRUSTS (Continued) | ||||
Retail REITs (Continued) | ||||
53,330 |
National Retail Properties, Inc.
|
$2,125,734 | ||
31,264 |
Simon Property Group, Inc.
|
2,805,944 | ||
9,408,252 | ||||
Specialized REITs – 2.6% | ||||
89,118 |
Four Corners Property Trust, Inc.
|
2,155,764 | ||
63,148 |
Gaming and Leisure Properties, Inc.
|
2,793,667 | ||
26,934 |
Lamar Advertising Co., Class A
|
2,221,786 | ||
341,379 |
Uniti Group, Inc.
|
2,372,584 | ||
68,002 |
VICI Properties, Inc.
|
2,029,860 | ||
11,573,661 | ||||
Total Real Estate Investment Trusts
|
79,884,213 | |||
(Cost $99,101,171) |
Shares | Description | Stated Rate |
Stated Maturity |
Value | ||||
$25 PAR PREFERRED SECURITIES – 20.8% | ||||||||
Banks – 4.0% | ||||||||
128,745 |
Citigroup Capital XIII, 3 Mo. LIBOR + 6.37%
(b)
|
9.18% | 10/30/40 | 3,591,986 | ||||
146,052 |
Citigroup, Inc., Series J (c)
|
7.13% | (d) | 3,743,313 | ||||
141,116 |
Citigroup, Inc., Series K (c)
|
6.88% | (d) | 3,616,803 | ||||
130,701 |
PNC Financial Services Group (The), Inc., Series
P, 3 Mo. LIBOR + 4.07% (b)
|
6.85% | (d) | 3,317,191 | ||||
141,435 |
Wells Fargo & Co., Series R (c)
|
6.63% | (d) | 3,585,377 | ||||
17,854,670 | ||||||||
Capital Markets – 1.7% | ||||||||
148,292 |
Morgan Stanley, Series E (c)
|
7.13% | (d) | 3,787,378 | ||||
143,737 |
Morgan Stanley, Series F (c)
|
6.88% | (d) | 3,604,924 | ||||
7,392,302 | ||||||||
Diversified Financial Services – 1.5% | ||||||||
144,200 |
Apollo Asset Management, Inc., Class A
|
6.38% | (d) | 3,492,524 | ||||
140,753 |
Apollo Asset Management, Inc., Series B
|
6.38% | (d) | 3,335,846 | ||||
6,828,370 | ||||||||
Diversified Telecommunication Services – 1.7% | ||||||||
162,185 |
Qwest Corp.
|
6.50% | 09/01/56 | 3,675,112 | ||||
164,937 |
Qwest Corp.
|
6.75% | 06/15/57 | 3,793,551 | ||||
7,468,663 | ||||||||
Food Products – 0.8% | ||||||||
140,544 |
CHS, Inc., Series 1
|
7.88% | (d) | 3,644,306 | ||||
Insurance – 1.5% | ||||||||
150,095 |
Axis Capital Holdings Ltd., Series E
|
5.50% | (d) | 3,164,002 | ||||
136,559 |
Reinsurance Group of America, Inc., 3 Mo. LIBOR +
4.37% (b)
|
7.66% | 09/15/42 | 3,444,018 | ||||
6,608,020 | ||||||||
Mortgage Real Estate Investment Trusts – 4.2% | ||||||||
165,611 |
AGNC Investment Corp., Series C (c)
|
7.00% | (d) | 3,858,736 | ||||
180,591 |
AGNC Investment Corp., Series E (c)
|
6.50% | (d) | 3,720,175 | ||||
178,895 |
AGNC Investment Corp., Series F (c)
|
6.13% | (d) | 3,445,518 | ||||
229,162 |
Chimera Investment Corp., Series B (c)
|
8.00% | (d) | 4,033,251 |
Shares | Description | Stated Rate |
Stated Maturity |
Value | ||||
$25 PAR PREFERRED SECURITIES (Continued) | ||||||||
Mortgage Real Estate Investment Trusts (Continued) | ||||||||
221,814 |
Two Harbors Investment Corp., Series B (c)
|
7.63% | (d) | $3,912,799 | ||||
18,970,479 | ||||||||
Multi-Utilities – 0.7% | ||||||||
134,545 |
NiSource, Inc., Series B (c)
|
6.50% | (d) | 3,320,571 | ||||
Oil, Gas & Consumable Fuels – 0.9% | ||||||||
161,100 |
NuStar Logistics L.P., 3 Mo. LIBOR + 6.73%
(b)
|
9.25% | 01/15/43 | 3,932,451 | ||||
Real Estate Management & Development – 2.7% | ||||||||
174,640 |
DigitalBridge Group, Inc., Class H
|
7.13% | (d) | 3,917,175 | ||||
177,214 |
DigitalBridge Group, Inc., Series I
|
7.15% | (d) | 3,962,505 | ||||
176,656 |
DigitalBridge Group, Inc., Series J
|
7.13% | (d) | 4,003,025 | ||||
11,882,705 | ||||||||
Trading Companies & Distributors – 1.1% | ||||||||
189,556 |
WESCO International, Inc., Series A (c)
|
10.63% | (d) | 5,108,534 | ||||
Total $25 Par Preferred Securities
|
93,011,071 | |||||||
(Cost $100,261,602) |
Shares | Description | Value | ||
EXCHANGE-TRADED FUNDS – 20.6% | ||||
2,396,347 |
First Trust Tactical High Yield ETF (e)
|
91,828,017 | ||
(Cost $113,970,109) | ||||
Total Investments – 99.2%
|
442,541,641 | |||
(Cost $487,754,815) | ||||
Net Other Assets and Liabilities – 0.8%
|
3,559,303 | |||
Net Assets – 100.0%
|
$446,100,944 |
(a) | This security is taxed as a “C” corporation for federal income tax purposes. |
(b) | Floating rate security. |
(c) | Fixed-to-floating or fixed-to-variable rate security. The interest rate shown reflects the fixed rate in effect at September 30, 2022. At a predetermined date, the fixed rate will change to a floating rate or a variable rate. |
(d) | Perpetual maturity. |
(e) | Investment in an affiliated fund. |
LIBOR | London Interbank Offered Rate |
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Master Limited Partnerships*
|
$ 90,139,058 | $ 90,139,058 | $ — | $ — |
Common Stocks*
|
87,679,282 | 87,679,282 | — | — |
Real Estate Investment Trusts*
|
79,884,213 | 79,884,213 | — | — |
$25 Par Preferred Securities*
|
93,011,071 | 93,011,071 | — | — |
Exchange-Traded Funds
|
91,828,017 | 91,828,017 | — | — |
Total Investments
|
$ 442,541,641 | $ 442,541,641 | $— | $— |
* | See Portfolio of Investments for industry breakout. |
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Common Stocks: | ||||
Banks | $ 3,250,417 | $ 1,048,609 | $ 2,201,808 | $ — |
Beverages | 875,115 | 875,115 | — | — |
Capital Markets | 1,666,560 | 386,348 | 1,280,212 | — |
Diversified Telecommunication Services | 2,501,917 | 1,268,414 | 1,233,503 | — |
Electric Utilities | 3,491,828 | 571,504 | 2,920,324 | — |
Independent Power & Renewable Electricity Producers | 1,911,290 | 980,780 | 930,510 | — |
Insurance | 5,913,624 | 1,548,328 | 4,365,296 | — |
Media | 480,544 | 480,544 | — | — |
Multi-Utilities | 1,333,180 | 1,333,180 | — | — |
Oil, Gas & Consumable Fuels | 3,407,758 | 2,339,586 | 1,068,172 | — |
Other Industry Categories* | 15,261,955 | — | 15,261,955 | — |
Real Estate Investment Trusts* | 3,420,335 | 1,033,448 | 2,386,887 | — |
Total Investments | $ 43,514,523 | $ 11,865,856 | $ 31,648,667 | $— |
* | See Portfolio of Investments for industry breakout. |
Shares | Description | Value | ||
COMMON STOCKS – 94.9% | ||||
Aerospace & Defense – 0.8% | ||||
1,627 |
Boeing (The) Co. (a)
|
$196,997 | ||
616 |
Lockheed Martin Corp.
|
237,955 | ||
3,384 |
Raytheon Technologies Corp.
|
277,014 | ||
711,966 | ||||
Air Freight & Logistics – 0.3% | ||||
1,645 |
United Parcel Service, Inc., Class B
|
265,733 | ||
Automobiles – 2.8% | ||||
44,320 |
Stellantis N.V.
|
524,749 | ||
7,335 |
Tesla, Inc. (a) (b)
|
1,945,609 | ||
2,470,358 | ||||
Banks – 3.2% | ||||
23,239 |
Bank of America Corp.
|
701,818 | ||
5,112 |
Citigroup, Inc.
|
213,017 | ||
4,232 |
HDFC Bank, Ltd., ADR
|
247,233 | ||
9,741 |
JPMorgan Chase & Co. (b)
|
1,017,935 | ||
3,466 |
Royal Bank of Canada
|
312,079 | ||
8,679 |
Wells Fargo & Co. (b)
|
349,069 | ||
2,841,151 | ||||
Beverages – 3.1% | ||||
9,961 |
Coca-Cola (The) Co.
|
558,015 | ||
31,096 |
Coca-Cola European Partners PLC (b)
|
1,325,312 | ||
2,998 |
MGP Ingredients, Inc.
|
318,268 | ||
3,567 |
PepsiCo, Inc.
|
582,348 | ||
2,783,943 | ||||
Biotechnology – 1.0% | ||||
4,733 |
AbbVie, Inc. (b)
|
635,216 | ||
1,230 |
Amgen, Inc.
|
277,242 | ||
912,458 | ||||
Building Products – 0.2% | ||||
2,741 |
UFP Industries, Inc.
|
197,791 | ||
Capital Markets – 2.7% | ||||
17,351 |
Artisan Partners Asset Management, Inc., Class
A
|
467,262 | ||
571 |
BlackRock, Inc.
|
314,210 | ||
3,607 |
Charles Schwab (The) Corp.
|
259,235 | ||
791 |
Goldman Sachs Group (The), Inc.
|
231,803 | ||
10,166 |
Moelis & Co., Class A
|
343,712 | ||
5,401 |
Morgan Stanley
|
426,733 | ||
1,323 |
S&P Global, Inc.
|
403,978 | ||
2,446,933 | ||||
Chemicals – 1.1% | ||||
6,443 |
Chemours (The) Co.
|
158,820 | ||
1,169 |
Linde PLC
|
315,151 | ||
8,832 |
Valvoline, Inc.
|
223,803 | ||
3,373 |
Westlake Corp.
|
293,046 | ||
990,820 | ||||
Communications Equipment – 0.9% | ||||
13,826 |
Cisco Systems, Inc.
|
553,040 |
Shares | Description | Value | ||
COMMON STOCKS (Continued) | ||||
Communications Equipment (Continued) | ||||
35,661 |
Telefonaktiebolaget LM Ericsson, ADR
|
$204,694 | ||
757,734 | ||||
Consumer Finance – 0.3% | ||||
1,920 |
American Express Co.
|
259,027 | ||
Containers & Packaging – 1.2% | ||||
18,919 |
Sonoco Products Co. (b)
|
1,073,275 | ||
Diversified Financial Services – 1.7% | ||||
5,777 |
Berkshire Hathaway, Inc., Class B (a) (b)
|
1,542,574 | ||
Diversified Telecommunication Services – 0.9% | ||||
15,622 |
AT&T, Inc. (b)
|
239,641 | ||
15,632 |
Verizon Communications, Inc.
|
593,547 | ||
833,188 | ||||
Electric Utilities – 2.4% | ||||
20,190 |
Avangrid, Inc.
|
841,923 | ||
7,306 |
IDACORP, Inc.
|
723,367 | ||
4,749 |
NextEra Energy, Inc.
|
372,369 | ||
3,697 |
Otter Tail Corp.
|
227,440 | ||
2,165,099 | ||||
Electrical Equipment – 0.4% | ||||
13,808 |
ABB, Ltd., ADR
|
354,313 | ||
Entertainment – 0.9% | ||||
1,107 |
Netflix, Inc. (a)
|
260,632 | ||
6,118 |
Walt Disney (The) Co. (a)
|
577,111 | ||
837,743 | ||||
Food & Staples Retailing – 1.5% | ||||
1,142 |
Costco Wholesale Corp.
|
539,332 | ||
6,465 |
Grocery Outlet Holding Corp. (a)
|
215,220 | ||
4,832 |
Walmart, Inc.
|
626,711 | ||
1,381,263 | ||||
Food Products – 2.6% | ||||
22,811 |
Cal-Maine Foods, Inc. (b)
|
1,268,064 | ||
32,331 |
Flowers Foods, Inc.
|
798,252 | ||
4,174 |
Mondelez International, Inc., Class A
|
228,860 | ||
2,295,176 | ||||
Health Care Equipment & Supplies – 3.1% | ||||
6,408 |
Abbott Laboratories
|
620,038 | ||
1,634 |
Intuitive Surgical, Inc. (a)
|
306,277 | ||
14,486 |
Koninklijke Philips N.V.
|
222,940 | ||
19,072 |
Lantheus Holdings, Inc. (a) (b)
|
1,341,334 | ||
2,986 |
Medtronic PLC
|
241,119 | ||
2,731,708 | ||||
Health Care Providers & Services – 2.9% | ||||
944 |
Cigna Corp.
|
261,932 | ||
3,026 |
CVS Health Corp. (b)
|
288,590 | ||
560 |
Elevance Health, Inc.
|
254,374 | ||
20,410 |
Patterson Cos., Inc.
|
490,248 |
Shares | Description | Value | ||
COMMON STOCKS (Continued) | ||||
Health Care Providers & Services (Continued) | ||||
2,635 |
UnitedHealth Group, Inc. (b)
|
$1,330,780 | ||
2,625,924 | ||||
Hotels, Restaurants & Leisure – 0.9% | ||||
1,809 |
McDonald’s Corp.
|
417,409 | ||
4,477 |
Starbucks Corp.
|
377,232 | ||
794,641 | ||||
Household Durables – 0.3% | ||||
4,766 |
Sony Group Corp., ADR
|
305,262 | ||
Household Products – 1.1% | ||||
7,933 |
Procter & Gamble (The) Co. (b)
|
1,001,541 | ||
Independent Power & Renewable Electricity Producers – 1.0% | ||||
15,766 |
Atlantica Sustainable Infrastructure PLC
|
414,646 | ||
6,564 |
Clearway Energy, Inc., Class C
|
209,063 | ||
10,570 |
Vistra Corp.
|
221,970 | ||
845,679 | ||||
Industrial Conglomerates – 0.8% | ||||
2,537 |
3M Co.
|
280,339 | ||
2,558 |
Honeywell International, Inc.
|
427,109 | ||
707,448 | ||||
Interactive Media & Services – 5.2% | ||||
19,324 |
Alphabet, Inc., Class A (a) (b)
|
1,848,341 | ||
17,785 |
Alphabet, Inc., Class C (a) (b)
|
1,710,028 | ||
7,764 |
Meta Platforms, Inc., Class A (a) (b)
|
1,053,419 | ||
4,611,788 | ||||
Internet & Direct Marketing Retail – 3.3% | ||||
26,473 |
Amazon.com, Inc. (a) (b)
|
2,991,449 | ||
IT Services – 3.7% | ||||
1,569 |
Accenture PLC, Class A
|
403,704 | ||
1,048 |
Automatic Data Processing, Inc.
|
237,047 | ||
13,632 |
Infosys Ltd., ADR
|
231,335 | ||
1,965 |
International Business Machines Corp.
|
233,462 | ||
2,866 |
Mastercard, Inc., Class A
|
814,918 | ||
4,684 |
PayPal Holdings, Inc. (a)
|
403,152 | ||
5,520 |
Visa, Inc., Class A (b)
|
980,628 | ||
3,304,246 | ||||
Life Sciences Tools & Services – 1.4% | ||||
2,314 |
Danaher Corp.
|
597,683 | ||
1,309 |
Thermo Fisher Scientific, Inc. (b)
|
663,912 | ||
1,261,595 | ||||
Machinery – 0.5% | ||||
1,382 |
Caterpillar, Inc.
|
226,758 | ||
746 |
Deere & Co.
|
249,082 | ||
475,840 | ||||
Media – 0.6% | ||||
16,857 |
Comcast Corp., Class A
|
494,416 |
Shares | Description | Value | ||
COMMON STOCKS (Continued) | ||||
Metals & Mining – 0.8% | ||||
2,846 |
Reliance Steel & Aluminum Co.
|
$496,371 | ||
3,213 |
Steel Dynamics, Inc.
|
227,962 | ||
724,333 | ||||
Multi-Utilities – 0.5% | ||||
12,080 |
Avista Corp.
|
447,564 | ||
Oil, Gas & Consumable Fuels – 9.6% | ||||
39,481 |
Antero Midstream Corp.
|
362,436 | ||
6,542 |
Antero Resources Corp. (a)
|
199,727 | ||
10,258 |
Archaea Energy, Inc. (a)
|
184,747 | ||
10,637 |
Chesapeake Energy Corp. (b)
|
1,002,112 | ||
5,164 |
Chevron Corp.
|
741,912 | ||
58,129 |
Comstock Resources, Inc. (a) (b)
|
1,005,050 | ||
2,654 |
ConocoPhillips
|
271,610 | ||
17,634 |
CVR Energy, Inc.
|
511,033 | ||
14,423 |
Delek US Holdings, Inc.
|
391,440 | ||
13,027 |
EQT Corp.
|
530,850 | ||
11,234 |
Exxon Mobil Corp. (b)
|
980,841 | ||
11,401 |
Magnolia Oil & Gas Corp., Class A
|
225,854 | ||
8,369 |
Murphy Oil Corp.
|
294,338 | ||
6,333 |
New Fortress Energy, Inc.
|
276,815 | ||
10,601 |
Ovintiv, Inc.
|
487,646 | ||
7,622 |
PBF Energy, Inc., Class A (a)
|
267,990 | ||
7,548 |
PDC Energy, Inc.
|
436,199 | ||
7,923 |
Range Resources Corp.
|
200,135 | ||
26,037 |
SFL Corp., Ltd.
|
237,197 | ||
8,607,932 | ||||
Personal Products – 0.5% | ||||
9,495 |
Unilever PLC, ADR
|
416,261 | ||
Pharmaceuticals – 5.5% | ||||
4,984 |
Bristol-Myers Squibb Co.
|
354,313 | ||
2,012 |
Eli Lilly & Co.
|
650,580 | ||
9,241 |
Johnson & Johnson (b)
|
1,509,610 | ||
6,361 |
Merck & Co., Inc.
|
547,809 | ||
10,932 |
Novartis AG, ADR
|
830,942 | ||
15,082 |
Pfizer, Inc.
|
659,988 | ||
9,418 |
Royalty Pharma PLC, Class A
|
378,415 | ||
4,931,657 | ||||
Professional Services – 0.2% | ||||
3,316 |
TransUnion
|
197,269 | ||
Road & Rail – 0.3% | ||||
1,382 |
Union Pacific Corp.
|
269,241 | ||
Semiconductors & Semiconductor Equipment – 3.8% | ||||
3,817 |
Advanced Micro Devices, Inc. (a)
|
241,845 | ||
1,589 |
Analog Devices, Inc.
|
221,411 | ||
3,694 |
Applied Materials, Inc.
|
302,650 | ||
1,039 |
Broadcom, Inc.
|
461,326 | ||
11,434 |
Intel Corp.
|
294,654 | ||
6,414 |
NVIDIA Corp. (b)
|
778,596 | ||
2,648 |
QUALCOMM, Inc.
|
299,171 | ||
5,632 |
Taiwan Semiconductor Manufacturing Co., Ltd.,
ADR
|
386,130 |
Shares | Description | Value | ||
COMMON STOCKS (Continued) | ||||
Semiconductors & Semiconductor Equipment (Continued) | ||||
2,842 |
Texas Instruments, Inc.
|
$439,885 | ||
3,425,668 | ||||
Software – 9.4% | ||||
1,810 |
Adobe, Inc. (a)
|
498,112 | ||
1,091 |
Intuit, Inc.
|
422,566 | ||
22,682 |
Microsoft Corp. (b)
|
5,282,638 | ||
1,401 |
Nice Ltd., ADR (a)
|
263,724 | ||
6,086 |
Oracle Corp.
|
371,672 | ||
3,705 |
salesforce.com, Inc. (a)
|
532,927 | ||
8,797 |
SAP SE, ADR
|
714,756 | ||
816 |
ServiceNow, Inc. (a)
|
308,130 | ||
8,394,525 | ||||
Specialty Retail – 2.2% | ||||
11,839 |
Buckle (The), Inc.
|
374,823 | ||
2,695 |
Home Depot (The), Inc. (b)
|
743,658 | ||
1,431 |
Lowe’s Cos., Inc.
|
268,756 | ||
2,054 |
Murphy USA, Inc.
|
564,665 | ||
1,951,902 | ||||
Technology Hardware, Storage & Peripherals – 7.1% | ||||
46,018 |
Apple, Inc. (b)
|
6,359,688 | ||
Textiles, Apparel & Luxury Goods – 0.5% | ||||
4,807 |
NIKE, Inc., Class B
|
399,558 | ||
Tobacco – 0.3% | ||||
3,591 |
Philip Morris International, Inc.
|
298,089 | ||
Trading Companies & Distributors – 1.0% | ||||
1,574 |
Veritiv Corp (a)
|
153,890 | ||
3,024 |
Watsco, Inc.
|
778,559 | ||
932,449 | ||||
Wireless Telecommunication Services – 0.4% | ||||
2,536 |
T-Mobile US, Inc. (a)
|
340,255 | ||
Total Common Stocks
|
84,968,473 | |||
(Cost $93,396,209) | ||||
REAL ESTATE INVESTMENT TRUSTS – 3.2% | ||||
Equity Real Estate Investment Trusts – 3.2% | ||||
1,829 |
American Tower Corp.
|
392,686 | ||
47,409 |
Apartment Investment and Management Co., Class
A
|
346,086 | ||
8,943 |
EPR Properties
|
320,696 | ||
23,074 |
Equity Commonwealth
|
562,083 | ||
13,921 |
Omega Healthcare Investors, Inc.
|
410,530 | ||
1,986 |
Prologis, Inc.
|
201,778 | ||
20,550 |
VICI Properties, Inc.
|
613,417 | ||
Total Real Estate Investment Trusts
|
2,847,276 | |||
(Cost $3,255,596) |
Units | Description | Value | ||
MASTER LIMITED PARTNERSHIPS – 0.5% | ||||
Oil, Gas & Consumable Fuels – 0.5% | ||||
15,020 |
Viper Energy Partners, L.P. (c)
|
$430,473 | ||
(Cost $446,751) | ||||
Total Investments – 98.6%
|
88,246,222 | |||
(Cost $97,098,556) |
Number of Contracts | Description | Notional Amount | Exercise Price | Expiration Date | Value | |||||
CALL OPTIONS WRITTEN – (0.1)% | ||||||||||
(16) |
S&P 500®
Index
|
$(5,736,992) | $3,950.00 | 10/21/22 | (6,912) | |||||
(13) |
S&P 500®
Index
|
(4,661,306) | 4,050.00 | 10/21/22 | (2,041) | |||||
(50) |
S&P 500®
Index
|
(17,928,100) | 4,100.00 | 10/21/22 | (4,750) | |||||
(18) |
S&P 500®
Index
|
(6,454,116) | 4,300.00 | 10/21/22 | (360) | |||||
(38) |
S&P 500®
Index
|
(13,625,356) | 4,325.00 | 10/21/22 | (855) | |||||
(16) |
S&P 500®
Index
|
(5,736,992) | 3,975.00 | 11/18/22 | (29,008) | |||||
(23) |
S&P 500®
Index
|
(8,246,926) | 4,000.00 | 11/18/22 | (35,420) | |||||
Total Call Options Written
|
(79,346) | |||||||||
(Premiums received $1,911,411) |
Net Other Assets and Liabilities – 1.5%
|
1,360,012 | ||
Net Assets – 100.0%
|
$89,526,888 |
(a) | Non-income producing security. |
(b) | All or a portion of this security is pledged to cover options written. |
(c) | This security is taxed as a “C” corporation for federal income tax purposes. |
ADR | American Depositary Receipt |
ASSETS TABLE | ||||
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Common Stocks*
|
$ 84,968,473 | $ 84,968,473 | $ — | $ — |
Real Estate Investment Trusts*
|
2,847,276 | 2,847,276 | — | — |
Master Limited Partnerships*
|
430,473 | 430,473 | — | — |
Total Investments
|
$ 88,246,222 | $ 88,246,222 | $— | $— |
LIABILITIES TABLE | ||||
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Call Options Written
|
$ (79,346) | $ (78,491) | $ (855) | $ — |
* | See Portfolio of Investments for industry breakout. |
Shares | Description | Value | ||
COMMON STOCKS – 97.6% | ||||
Aerospace & Defense – 0.5% | ||||
635 |
AeroVironment, Inc. (a)
|
$52,934 | ||
9,973 |
Rocket Lab USA, Inc. (a)
|
40,590 | ||
93,524 | ||||
Auto Components – 0.2% | ||||
5,059 |
Luminar Technologies, Inc. (a)
|
36,855 | ||
Automobiles – 4.5% | ||||
3,217 |
Tesla, Inc. (a) (b)
|
853,309 | ||
Banks – 3.4% | ||||
2,588 |
ConnectOne Bancorp, Inc.
|
59,679 | ||
690 |
Independent Bank Group, Inc.
|
42,359 | ||
2,184 |
Lakeland Financial Corp.
|
159,017 | ||
1,492 |
Live Oak Bancshares, Inc.
|
45,655 | ||
1,030 |
Triumph Bancorp, Inc. (a)
|
55,981 | ||
1,327 |
UMB Financial Corp.
|
111,853 | ||
4,540 |
Valley National Bancorp
|
49,032 | ||
2,080 |
Veritex Holdings, Inc.
|
55,307 | ||
1,154 |
Zions Bancorp N.A.
|
58,693 | ||
637,576 | ||||
Beverages – 2.4% | ||||
899 |
Coca-Cola (The) Co.
|
50,362 | ||
2,431 |
PepsiCo, Inc. (b)
|
396,885 | ||
447,247 | ||||
Biotechnology – 3.7% | ||||
2,351 |
Ascendis Pharma A.S., ADR (a)
|
242,764 | ||
4,410 |
Avidity Biosciences, Inc. (a)
|
72,015 | ||
1,805 |
Legend Biotech Corp., ADR (a)
|
73,644 | ||
2,435 |
Prometheus Biosciences, Inc. (a)
|
143,690 | ||
5,056 |
Relay Therapeutics, Inc. (a)
|
113,103 | ||
2,285 |
Xencor, Inc. (a)
|
59,364 | ||
704,580 | ||||
Capital Markets – 5.1% | ||||
37,754 |
BGC Partners, Inc., Class A
|
118,547 | ||
1,129 |
Coinbase Global, Inc., Class A (a)
|
72,809 | ||
877 |
MarketAxess Holdings, Inc.
|
195,124 | ||
928 |
Morningstar, Inc.
|
197,033 | ||
2,103 |
Northern Trust Corp.
|
179,933 | ||
19,113 |
Perella Weinberg Partners
|
120,985 | ||
3,825 |
Victory Capital Holdings, Inc., Class A
|
89,161 | ||
973,592 | ||||
Communications Equipment – 1.5% | ||||
6,998 |
Cisco Systems, Inc. (b)
|
279,920 | ||
Consumer Finance – 0.3% | ||||
13,521 |
SoFi Technologies, Inc. (a)
|
65,983 | ||
Diversified Telecommunication Services – 0.3% | ||||
1,387 |
Anterix, Inc. (a)
|
49,544 | ||
Electric Utilities – 3.1% | ||||
3,712 |
Alliant Energy Corp. (b)
|
196,699 | ||
2,727 |
MGE Energy, Inc. (b)
|
178,973 |
Shares | Description | Value | ||
COMMON STOCKS (Continued) | ||||
Electric Utilities (Continued) | ||||
3,401 |
Otter Tail Corp. (b)
|
$209,229 | ||
584,901 | ||||
Electrical Equipment – 0.5% | ||||
4,932 |
Enovix Corp. (a)
|
90,428 | ||
Financial Services – 1.2% | ||||
23,126 |
FTAC Hera Acquisition Corp., Class A (a)
(b)
|
229,526 | ||
Food & Staples Retailing – 2.2% | ||||
884 |
Costco Wholesale Corp. (b)
|
417,487 | ||
Health Care Equipment & Supplies – 1.6% | ||||
440 |
Insulet Corp. (a)
|
100,936 | ||
4,242 |
OrthoPediatrics Corp. (a)
|
195,726 | ||
296,662 | ||||
Health Care Providers & Services – 0.9% | ||||
3,233 |
Premier, Inc., Class A
|
109,728 | ||
106 |
UnitedHealth Group, Inc.
|
53,534 | ||
163,262 | ||||
Household Products – 1.4% | ||||
5,248 |
Central Garden & Pet Co., Class A (a)
|
179,272 | ||
709 |
Procter & Gamble (The) Co.
|
89,511 | ||
268,783 | ||||
Independent Power & Renewable Electricity Producers – 0.6% | ||||
6,473 |
Montauk Renewables, Inc. (a)
|
112,889 | ||
Interactive Media & Services – 6.8% | ||||
4,152 |
Alphabet, Inc., Class A (a) (b)
|
397,139 | ||
4,155 |
Alphabet, Inc., Class C (a) (b)
|
399,503 | ||
3,196 |
Kanzhun Ltd., ADR (a)
|
53,948 | ||
3,239 |
Meta Platforms, Inc., Class A (a) (b)
|
439,468 | ||
1,290,058 | ||||
Internet & Direct Marketing Retail – 4.2% | ||||
6,948 |
Amazon.com, Inc. (a) (b)
|
785,124 | ||
IT Services – 0.7% | ||||
2,329 |
GDS Holdings Ltd., ADR (a)
|
41,130 | ||
165 |
Mastercard, Inc., Class A
|
46,916 | ||
272 |
Visa, Inc., Class A
|
48,321 | ||
136,367 | ||||
Leisure Products – 0.3% | ||||
3,861 |
Clarus Corp.
|
52,008 | ||
Life Sciences Tools & Services – 0.5% | ||||
194 |
Danaher Corp.
|
50,108 | ||
101 |
Thermo Fisher Scientific, Inc.
|
51,226 | ||
101,334 | ||||
Machinery – 0.2% | ||||
18,043 |
Sarcos Technology and Robotics Corp. (a)
|
40,055 | ||
Media – 5.0% | ||||
9,153 |
Comcast Corp., Class A (b)
|
268,457 |
Shares | Description | Value | ||
COMMON STOCKS (Continued) | ||||
Media (Continued) | ||||
6,993 |
Fox Corp, Class B (b)
|
$199,301 | ||
2,058 |
Liberty Broadband Corp., Class A (a)
|
153,527 | ||
1,976 |
Liberty Broadband Corp., Class C (a)
|
145,829 | ||
12,008 |
News Corp., Class B
|
185,163 | ||
952,277 | ||||
Pharmaceuticals – 0.3% | ||||
394 |
Zoetis, Inc.
|
58,426 | ||
Real Estate Management & Development – 0.3% | ||||
1,684 |
Zillow Group, Inc., Class C (a)
|
48,179 | ||
Road & Rail – 0.7% | ||||
3,782 |
Werner Enterprises, Inc.
|
142,203 | ||
Semiconductors & Semiconductor Equipment – 10.7% | ||||
2,914 |
Advanced Micro Devices, Inc. (a) (b)
|
184,631 | ||
717 |
Broadcom, Inc. (b)
|
318,355 | ||
1,915 |
Canadian Solar, Inc. (a)
|
71,334 | ||
9,550 |
indie Semiconductor, Inc., Class A (a)
|
69,906 | ||
7,581 |
Intel Corp. (b)
|
195,362 | ||
6,933 |
Navitas Semiconductor Corp. (a)
|
33,625 | ||
2,291 |
Nova, Ltd. (a)
|
195,422 | ||
3,842 |
NVIDIA Corp. (b)
|
466,381 | ||
1,908 |
QUALCOMM, Inc. (b)
|
215,566 | ||
1,741 |
Texas Instruments, Inc. (b)
|
269,472 | ||
2,020,054 | ||||
Software – 16.2% | ||||
6,467 |
ACI Worldwide, Inc. (a)
|
135,160 | ||
864 |
Adobe, Inc. (a) (b)
|
237,773 | ||
1,805 |
Check Point Software Technologies Ltd. (a)
(b)
|
202,196 | ||
818 |
Intuit, Inc.
|
316,828 | ||
7,754 |
Microsoft Corp. (b)
|
1,805,907 | ||
273 |
MicroStrategy, Inc., Class A (a)
|
57,947 | ||
2,579 |
Paycor HCM, Inc. (a)
|
76,235 | ||
530 |
Paylocity Holding Corp. (a)
|
128,037 | ||
341 |
salesforce.com, Inc. (a)
|
49,050 | ||
122 |
ServiceNow, Inc. (a)
|
46,068 | ||
3,055,201 | ||||
Specialty Retail – 0.2% | ||||
7,544 |
Brilliant Earth Group, Inc., Class A (a)
|
43,227 | ||
Technology Hardware, Storage & Peripherals – 12.1% | ||||
16,504 |
Apple, Inc. (b)
|
2,280,853 | ||
Textiles, Apparel & Luxury Goods – 0.2% | ||||
502 |
NIKE, Inc., Class B
|
41,726 | ||
Thrifts & Mortgage Finance – 1.2% | ||||
10,096 |
Enact Holdings, Inc. (b)
|
223,828 | ||
Trading Companies & Distributors – 1.0% | ||||
4,180 |
Rush Enterprises, Inc., Class A
|
183,335 | ||
Water Utilities – 1.0% | ||||
2,494 |
Middlesex Water Co. (b)
|
192,537 |
Shares | Description | Value | ||
COMMON STOCKS (Continued) | ||||
Wireless Telecommunication Services – 2.6% | ||||
3,466 |
Shenandoah Telecommunications Co.
|
$58,991 | ||
2,293 |
T-Mobile US, Inc. (a)
|
307,652 | ||
10,692 |
Vodafone Group PLC, ADR
|
121,141 | ||
487,784 | ||||
Total Investments – 97.6%
|
18,440,644 | |||
(Cost $20,994,169) |
Number of Contracts | Description | Notional Amount | Exercise Price | Expiration Date | Value | |||||
CALL OPTIONS WRITTEN – (0.4)% | ||||||||||
(2) |
Nasdaq-100 Index®
|
$(2,194,244) | $11,500.00 | 10/21/22 | (30,200) | |||||
(2) |
Nasdaq-100 Index®
|
(2,194,244) | 12,000.00 | 10/21/22 | (9,460) | |||||
(2) |
Nasdaq-100 Index®
|
(2,194,244) | 12,500.00 | 10/21/22 | (3,780) | |||||
(2) |
Nasdaq-100 Index®
|
(2,194,244) | 13,000.00 | 10/21/22 | (612) | |||||
(2) |
Nasdaq-100 Index®
|
(2,194,244) | 13,250.00 | 10/21/22 | (360) | |||||
(2) |
Nasdaq-100 Index®
|
(2,194,244) | 12,250.00 | 11/18/22 | (22,260) | |||||
(1) |
Nasdaq-100 Index®
|
(1,097,122) | 12,500.00 | 11/18/22 | (6,835) | |||||
Total Call Options Written
|
(73,507) | |||||||||
(Premiums received $454,504) |
Net Other Assets and Liabilities – 2.8%
|
520,425 | ||
Net Assets – 100.0%
|
$18,887,562 |
(a) | Non-income producing security. |
(b) | All or a portion of this security is pledged to cover options written. |
ADR | American Depositary Receipt |
ASSETS TABLE | ||||
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Common Stocks*
|
$ 18,440,644 | $ 18,440,644 | $ — | $ — |
LIABILITIES TABLE | ||||
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Call Options Written
|
$ (73,507) | $ (50,887) | $ (22,620) | $ — |
* | See Portfolio of Investments for industry breakout. |
Shares | Description | Value | ||
COMMON STOCKS (Continued) | ||||
Technology
Hardware, Storage & Peripherals – 2.0% |
||||
1,047,546 | Apple, Inc. | $144,770,857 | ||
Total Investments – 99.8% | 7,274,674,575 | |||
(Cost $8,974,782,477) | ||||
Net Other Assets and Liabilities – 0.2% | 16,100,204 | |||
Net Assets – 100.0% | $7,290,774,779 |
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Common Stocks* | $ 7,274,674,575 | $ 7,274,674,575 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
Shares | Description | Value | ||
REAL ESTATE INVESTMENT TRUSTS (Continued) | ||||
Mortgage
Real Estate Investment Trusts (Continued) |
||||
153,673 | Starwood Property Trust, Inc. | $2,799,922 | ||
8,458,702 | ||||
Total Real Estate Investment Trusts | 28,630,621 | |||
(Cost $35,762,373) | ||||
Total Investments – 99.4% | 66,667,244 | |||
(Cost $77,322,459) | ||||
Net Other Assets and Liabilities – 0.6% | 432,947 | |||
Net Assets – 100.0% | $67,100,191 |
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Common Stocks* | $ 38,036,623 | $ 38,036,623 | $ — | $ — |
Real Estate Investment Trusts* | 28,630,621 | 28,630,621 | — | — |
Total Investments | $ 66,667,244 | $ 66,667,244 | $— | $— |
* | See Portfolio of Investments for industry breakout. |
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Common Stocks: | ||||
Aerospace & Defense
|
$ 2,346,161 | $ 1,530,619 | $ 815,542 | $ — |
Automobiles
|
3,171,252 | 1,488,181 | 1,683,071 | — |
Banks
|
24,563,511 | 6,975,430 | 17,587,544 | 537 |
Capital Markets
|
6,426,475 | 3,139,400 | 3,287,075 | — |
Communications Equipment
|
2,712,502 | 1,574,135 | 1,138,367 | — |
Diversified Telecommunication Services
|
6,151,457 | 2,131,037 | 4,020,420 | — |
Food & Staples Retailing
|
1,682,733 | 1,682,733 | — | — |
Household Durables
|
783,011 | 783,011 | — | — |
Industrial Conglomerates
|
2,124,487 | 1,261,124 | 863,363 | — |
Insurance
|
4,900,546 | 1,617,598 | 3,282,948 | — |
Interactive Media & Services
|
2,021,808 | 1,226,713 | 795,095 | — |
Internet & Direct Marketing Retail
|
3,693,469 | 3,693,469 | — | — |
IT Services
|
12,348,490 | 9,741,555 | 2,606,935 | — |
Metals & Mining
|
1,808,601 | 902,323 | 906,278 | — |
Oil, Gas & Consumable Fuels
|
879,039 | 865,227 | — | 13,812 |
Pharmaceuticals
|
1,327,344 | 1,327,344 | — | — |
Semiconductors & Semiconductor
Equipment
|
7,262,271 | 6,000,700 | 1,261,571 | — |
Software
|
7,212,211 | 5,853,687 | 1,358,524 | — |
Specialty Retail
|
834,443 | 834,443 | — | — |
Other industry categories*
|
7,547,426 | — | 7,547,426 | — |
Money Market Funds
|
805,392 | 805,392 | — | — |
Total Investments
|
$ 100,602,629 | $ 53,434,121 | $ 47,154,159 | $ 14,349 |
* | See Portfolio of Investments for industry breakout. |
Total Value at 9/30/2022 |
Level
1 Quoted Prices |
Level
2 Significant Observable Inputs |
Level
3 Significant Unobservable Inputs | |
Common Stocks: | ||||
Aerospace & Defense
|
$ 11,077,390 | $ 4,264,605 | $ 6,812,785 | $ — |
Auto Components
|
11,793,110 | 7,698,163 | 4,094,947 | — |
Electrical Equipment
|
6,045,803 | 1,825,348 | 4,220,455 | — |
Electronic Equipment, Instruments &
Components
|
22,936,224 | 8,095,555 | 14,840,669 | — |
Entertainment
|
633,533 | — | 633,533 | — |
Food & Staples Retailing
|
422,439 | — | 422,439 | — |
Household Durables
|
553,964 | — | 553,964 | — |
Industrial Conglomerates
|
661,328 | — | 661,328 | — |
Interactive Media & Services
|
2,730,094 | 1,169,010 | 1,561,084 | — |
IT Services
|
4,762,430 | 1,796,916 | 2,965,514 | — |
Life Sciences Tools & Services
|
4,845,431 | 3,610,129 | 1,235,302 | — |
Machinery
|
19,297,727 | 5,198,555 | 14,099,172 | — |
Semiconductors & Semiconductor
Equipment
|
13,428,580 | 12,259,118 | 1,169,462 | — |
Software
|
59,090,852 | 46,571,190 | 12,519,662 | — |
Technology Hardware, Storage &
Peripherals
|
1,158,337 | — | 1,158,337 | — |
Wireless Telecommunication Services
|
579,538 | — | 579,538 | — |
Other industry categories*
|
11,617,490 | 11,617,490 | — | — |
Real Estate Investment Trusts*
|
595,007 | 595,007 | — | — |
Money Market Funds
|
6,153,553 | 6,153,553 | — | — |
Total Investments
|
$ 178,382,830 | $ 110,854,639 | $ 67,528,191 | $— |
* | See Portfolio of Investments for industry breakout. |
First
Trust NASDAQ Technology Dividend Index Fund (TDIV) |
Multi-Asset Diversified Income Index Fund (MDIV) |
First
Trust S&P International Dividend Aristocrats ETF (FID) |
First
Trust BuyWrite Income ETF (FTHI) | ||||
ASSETS: | |||||||
Investments, at value - Unaffiliated
|
$ 1,427,157,335 | $ 350,713,624 | $ 43,514,523 | $ 88,246,222 | |||
Investments, at value - Affiliated
|
— | 91,828,017 | — | — | |||
Total investments, at value
|
1,427,157,335 | 442,541,641 | 43,514,523 | 88,246,222 | |||
Cash
|
1,581,370 | 1,542,143 | 8,194 | 1,341,384 | |||
Foreign currency
|
— | — | 9,566 | 247 | |||
Due from authorized participant
|
— | — | — | — | |||
Receivables: | |||||||
Dividends
|
2,308,990 | 2,222,561 | 258,424 | 71,210 | |||
Dividend reclaims
|
219,230 | — | 149,807 | 927 | |||
Fund shares sold
|
— | 1,441,353 | — | 918,369 | |||
Investment securities sold
|
— | 2,145,110 | 950,952 | — | |||
Securities lending income
|
— | — | — | — | |||
Miscellaneous
|
— | — | — | — | |||
Total Assets
|
1,431,266,925 | 449,892,808 | 44,891,466 | 90,578,359 | |||
LIABILITIES: | |||||||
Options written, at value
|
— | — | — | 79,346 | |||
Due to custodian
|
— | — | — | — | |||
Due to broker
|
— | — | — | 2,053 | |||
Due to authorized participant
|
— | — | — | — | |||
Payables: | |||||||
Investment advisory fees
|
655,968 | 199,759 | 23,970 | 64,075 | |||
Deferred foreign capital gains tax
|
— | — | — | — | |||
Fund shares redeemed
|
— | 2,162,029 | — | — | |||
Investment securities purchased
|
— | 1,430,076 | 955,978 | 905,997 | |||
Collateral for securities on loan
|
— | — | — | — | |||
Capital shares redeemed
|
— | — | — | — | |||
Other liabilities
|
— | — | — | — | |||
Total Liabilities
|
655,968 | 3,791,864 | 979,948 | 1,051,471 | |||
NET ASSETS
|
$1,430,610,957 | $446,100,944 | $43,911,518 | $89,526,888 | |||
NET ASSETS consist of: | |||||||
Paid-in capital
|
$ 1,839,952,802 | $ 723,079,576 | $ 60,572,188 | $ 117,073,821 | |||
Par value
|
328,050 | 309,500 | 32,000 | 48,742 | |||
Accumulated distributable earnings (loss)
|
(409,669,895) | (277,288,132) | (16,692,670) | (27,595,675) | |||
NET ASSETS
|
$1,430,610,957 | $446,100,944 | $43,911,518 | $89,526,888 | |||
NET ASSET VALUE, per share
|
$43.61 | $14.41 | $13.72 | $18.37 | |||
Number of shares outstanding (unlimited number of
shares authorized, par value $0.01 per share)
|
32,805,000 | 30,950,002 | 3,200,002 | 4,874,201 | |||
Investments, at cost - Unaffiliated
|
$1,601,923,830 | $373,784,707 | $54,504,444 | $97,098,556 | |||
Investments, at cost - Affiliated
|
$— | $113,970,108 | $— | $— | |||
Total investments, at cost
|
$1,601,923,830 | $487,754,815 | $54,504,444 | $97,098,556 | |||
Foreign currency, at cost (proceeds)
|
$— | $— | $9,633 | $262 | |||
Securities on loan, at value
|
$— | $— | $— | $— | |||
Premiums received on options written
|
$— | $— | $— | $1,911,411 |
First
Trust Nasdaq BuyWrite Income ETF (FTQI) |
First
Trust Rising Dividend Achievers ETF (RDVY) |
First
Trust Dorsey Wright Focus 5 ETF (FV) |
First
Trust RBA American Industrial Renaissance® ETF (AIRR) |
First
Trust Dorsey Wright Momentum & Dividend ETF (DDIV) | ||||
$ 18,440,644 | $ 7,274,674,575 | $— | $ 169,896,028 | $ 66,667,244 | ||||
— | — | 2,587,461,724 | — | — | ||||
18,440,644 | 7,274,674,575 | 2,587,461,724 | 169,896,028 | 66,667,244 | ||||
527,597 | 8,940,841 | 6,034,829 | 124,676 | 80,755 | ||||
— | — | — | — | — | ||||
— | 25,287,100 | — | — | — | ||||
4,429 | 10,494,847 | — | 72,005 | 385,827 | ||||
883 | — | — | — | 3,077 | ||||
— | — | — | — | — | ||||
— | 9,732,739 | — | — | — | ||||
— | — | — | — | — | ||||
— | — | — | — | — | ||||
18,973,553 | 7,329,130,102 | 2,593,496,553 | 170,092,709 | 67,136,903 | ||||
73,507 | — | — | — | — | ||||
— | — | — | — | — | ||||
321 | — | — | — | — | ||||
— | — | — | — | — | ||||
12,163 | 3,316,055 | 691,163 | 108,492 | 36,712 | ||||
— | — | — | — | — | ||||
— | 9,752,168 | — | — | — | ||||
— | — | — | — | — | ||||
— | — | — | — | — | ||||
— | 25,287,100 | — | — | — | ||||
— | — | — | — | — | ||||
85,991 | 38,355,323 | 691,163 | 108,492 | 36,712 | ||||
$ 18,887,562 | $ 7,290,774,779 | $ 2,592,805,390 | $ 169,984,217 | $ 67,100,191 | ||||
$ 23,620,593 | $ 9,221,052,680 | $ 3,372,604,160 | $ 225,214,721 | $ 101,039,746 | ||||
10,500 | 1,877,500 | 631,000 | 44,500 | 25,000 | ||||
(4,743,531) | (1,932,155,401) | (780,429,770) | (55,275,004) | (33,964,555) | ||||
$ 18,887,562 | $ 7,290,774,779 | $ 2,592,805,390 | $ 169,984,217 | $ 67,100,191 | ||||
$17.99 | $38.83 | $41.09 | $38.20 | $26.84 | ||||
1,050,002 | 187,750,002 | 63,100,002 | 4,450,002 | 2,500,002 | ||||
$20,994,169 | $8,974,782,477 | $— | $189,361,048 | $77,322,459 | ||||
$— | $— | $2,786,423,151 | $— | $— | ||||
$20,994,169 | $8,974,782,477 | $2,786,423,151 | $189,361,048 | $77,322,459 | ||||
$— | $— | $— | $— | $— | ||||
$— | $— | $— | $— | $— | ||||
$454,504 | $— | $— | $— | $— |
First
Trust Dorsey Wright International Focus 5 ETF (IFV) |
First
Trust Dorsey Wright Dynamic Focus 5 ETF (FVC) |
First
Trust Indxx Innovative Transaction & Process ETF (LEGR) |
First
Trust Nasdaq Artificial Intelligence and Robotics ETF (ROBT) |
First
Trust International Developed Capital Strength ETF (FICS) | |||||
ASSETS: | |||||||||
Investments, at value - Unaffiliated
|
$— | $— | $ 100,602,629 | $ 178,382,830 | $ 19,346,295 | ||||
Investments, at value - Affiliated
|
139,012,038 | 230,369,971 | — | — | — | ||||
Total investments, at value
|
139,012,038 | 230,369,971 | 100,602,629 | 178,382,830 | 19,346,295 | ||||
Cash
|
235,315 | 4,297 | 60,117 | 870,632 | — | ||||
Foreign currency
|
— | — | 36,745 | 416 | 5,388 | ||||
Due from authorized participant
|
— | — | — | — | 28,787 | ||||
Receivables: | |||||||||
Dividends
|
— | 169,373 | 92,541 | 152,271 | 30,802 | ||||
Dividend reclaims
|
— | — | 184,928 | 82,380 | 49,001 | ||||
Fund shares sold
|
1,597,638 | — | — | — | — | ||||
Investment securities sold
|
803,566 | — | — | — | 138,266 | ||||
Securities lending income
|
— | — | 323 | 13,370 | — | ||||
Miscellaneous
|
— | — | 54,209 | — | — | ||||
Total Assets
|
141,648,557 | 230,543,641 | 101,031,492 | 179,501,899 | 19,598,539 | ||||
LIABILITIES: | |||||||||
Options written, at value
|
— | — | — | — | — | ||||
Due to custodian
|
— | — | — | — | 24,121 | ||||
Due to broker
|
— | — | — | — | — | ||||
Due to authorized participant
|
— | — | — | — | 138,225 | ||||
Payables: | |||||||||
Investment advisory fees
|
36,938 | 58,040 | 59,045 | 100,472 | 11,537 | ||||
Deferred foreign capital gains tax
|
— | — | 37,326 | — | — | ||||
Fund shares redeemed
|
804,660 | — | — | — | — | ||||
Investment securities purchased
|
1,595,436 | — | — | — | 28,787 | ||||
Collateral for securities on loan
|
— | — | 805,392 | 6,153,553 | — | ||||
Capital shares redeemed
|
— | — | — | — | — | ||||
Other liabilities
|
— | 5,930 | — | — | — | ||||
Total Liabilities
|
2,437,034 | 63,970 | 901,763 | 6,254,025 | 202,670 | ||||
NET ASSETS
|
$139,211,523 | $230,479,671 | $100,129,729 | $173,247,874 | $19,395,869 | ||||
NET ASSETS consist of: | |||||||||
Paid-in capital
|
$ 306,241,995 | $ 301,099,494 | $ 132,003,549 | $ 272,121,814 | $ 26,252,388 | ||||
Par value
|
86,500 | 69,000 | 33,000 | 51,500 | 7,500 | ||||
Accumulated distributable earnings (loss)
|
(167,116,972) | (70,688,823) | (31,906,820) | (98,925,440) | (6,864,019) | ||||
NET ASSETS
|
$139,211,523 | $230,479,671 | $100,129,729 | $173,247,874 | $19,395,869 | ||||
NET ASSET VALUE, per share
|
$16.09 | $33.40 | $30.34 | $33.64 | $25.86 | ||||
Number of shares outstanding (unlimited number of
shares authorized, par value $0.01 per share)
|
8,650,002 | 6,900,002 | 3,300,002 | 5,150,002 | 750,002 | ||||
Investments, at cost - Unaffiliated
|
$— | $— | $126,215,477 | $249,844,007 | $25,006,262 | ||||
Investments, at cost - Affiliated
|
$161,210,119 | $239,271,421 | $— | $— | $— | ||||
Total investments, at cost
|
$161,210,119 | $239,271,421 | $126,215,477 | $249,844,007 | $25,006,262 | ||||
Foreign currency, at cost (proceeds)
|
$— | $— | $36,570 | $427 | $5,427 | ||||
Securities on loan, at value
|
$— | $— | $517,564 | $5,825,907 | $— | ||||
Premiums received on options written
|
$— | $— | $— | $— | $— |
First
Trust NASDAQ Technology Dividend Index Fund (TDIV) |
Multi-Asset Diversified Income Index Fund (MDIV) |
First
Trust S&P International Dividend Aristocrats ETF (FID) |
First
Trust BuyWrite Income ETF (FTHI) | |||||
INVESTMENT INCOME: | ||||||||
Dividends - Unaffiliated
|
$ 48,868,615 | $ 17,312,777 | $ 2,766,603 | $ 905,514 | ||||
Dividends - Affiliated
|
— | 6,142,722 | — | — | ||||
Interest
|
12,456 | 18,060 | — | (16,095) | ||||
Securities lending income (net of fees)
|
— | — | — | — | ||||
Foreign withholding tax
|
(1,219,327) | — | (265,262) | (2,516) | ||||
Other
|
35 | 146 | 7 | 171 | ||||
Total investment income
|
47,661,779 | 23,473,705 | 2,501,348 | 887,074 | ||||
EXPENSES: | ||||||||
Investment advisory fees
|
8,648,249 | 2,884,898 | 300,589 | 452,939 | ||||
Total expenses
|
8,648,249 | 2,884,898 | 300,589 | 452,939 | ||||
Fees waived by the investment advisor
|
— | (555,573) | — | — | ||||
Net expenses
|
8,648,249 | 2,329,325 | 300,589 | 452,939 | ||||
NET INVESTMENT INCOME (LOSS)
|
39,013,530 | 21,144,380 | 2,200,759 | 434,135 | ||||
NET REALIZED AND UNREALIZED GAIN (LOSS): | ||||||||
Net realized gain (loss) on: | ||||||||
Investments - Unaffiliated
|
(87,205,732) | 1,847,585 | (601,968) | (697,701) | ||||
Investments - Affiliated
|
— | (396,722) | — | — | ||||
In-kind redemptions - Unaffiliated
|
164,552,666 | 8,223,204 | 237,748 | 485,068 | ||||
In-kind redemptions - Affiliated
|
— | (296,207) | — | — | ||||
Purchased options contracts
|
— | — | — | — | ||||
Written options contracts
|
— | — | — | 1,445,968 | ||||
Foreign currency transactions
|
— | — | (43,377) | — | ||||
Foreign capital gains tax
|
— | — | — | — | ||||
Net realized gain (loss)
|
77,346,934 | 9,377,860 | (407,597) | 1,233,335 | ||||
Net increase from payment by the advisor
|
— | — | — | — | ||||
Net change in unrealized appreciation (depreciation) on: | ||||||||
Investments - Unaffiliated
|
(504,758,535) | (42,266,288) | (12,295,974) | (12,514,919) | ||||
Investments - Affiliated
|
— | (20,775,057) | — | — | ||||
Purchased options contracts
|
— | — | — | — | ||||
Written options contracts
|
— | — | — | 1,399,627 | ||||
Foreign currency translation
|
— | — | (20,053) | (15) | ||||
Deferred foreign capital gains tax
|
— | — | — | — | ||||
Net change in unrealized appreciation
(depreciation)
|
(504,758,535) | (63,041,345) | (12,316,027) | (11,115,307) | ||||
NET REALIZED AND UNREALIZED GAIN (LOSS)
|
(427,411,601) | (53,663,485) | (12,723,624) | (9,881,972) | ||||
NET INCREASE (DECREASE) IN NET ASSETS RESULTING
FROM OPERATIONS
|
$(388,398,071) | $(32,519,105) | $(10,522,865) | $(9,447,837) |
First
Trust Nasdaq BuyWrite Income ETF (FTQI) |
First
Trust Rising Dividend Achievers ETF (RDVY) |
First
Trust Dorsey Wright Focus 5 ETF (FV) |
First
Trust RBA American Industrial Renaissance® ETF (AIRR) |
First
Trust Dorsey Wright Momentum & Dividend ETF (DDIV) |
First
Trust Dorsey Wright International Focus 5 ETF (IFV) |
First
Trust Dorsey Wright Dynamic Focus 5 ETF (FVC) | |||||||
$136,921 | $195,126,307 | $— | $1,729,346 | $2,378,164 | $— | $— | |||||||
— | — | 36,928,638 | — | — | 6,445,800 | 2,730,563 | |||||||
(1,879) | 61,189 | 14,538 | 638 | 628 | 9,266 | 1,427 | |||||||
— | — | — | 689 | — | — | — | |||||||
(360) | (223,787) | — | — | (371) | — | — | |||||||
213 | — | — | — | — | — | — | |||||||
134,895 | 194,963,709 | 36,943,176 | 1,730,673 | 2,378,421 | 6,455,066 | 2,731,990 | |||||||
102,409 | 41,526,958 | 8,462,120 | 1,505,524 | 396,179 | 600,666 | 675,196 | |||||||
102,409 | 41,526,958 | 8,462,120 | 1,505,524 | 396,179 | 600,666 | 675,196 | |||||||
— | — | — | — | — | — | — | |||||||
102,409 | 41,526,958 | 8,462,120 | 1,505,524 | 396,179 | 600,666 | 675,196 | |||||||
32,486 | 153,436,751 | 28,481,056 | 225,149 | 1,982,242 | 5,854,400 | 2,056,794 | |||||||
(256,890) | (181,261,781) | — | (8,541,854) | (5,019,706) | — | — | |||||||
— | — | (58,995,234) | — | — | (13,718,074) | 929,491 | |||||||
241,835 | 444,981,704 | — | 19,634,159 | 5,220,009 | — | — | |||||||
— | — | 876,501,560 | — | — | 4,597,755 | 50,878,417 | |||||||
(31,942) | — | — | — | — | — | — | |||||||
575,553 | — | — | — | — | — | — | |||||||
— | — | — | — | — | — | — | |||||||
— | — | — | — | — | — | — | |||||||
528,556 | 263,719,923 | 817,506,326 | 11,092,305 | 200,303 | (9,120,319) | 51,807,908 | |||||||
— | — | — | — | — | — | — | |||||||
(2,985,751) | (2,185,334,312) | — | (26,897,678) | (12,779,877) | — | — | |||||||
— | — | (1,170,352,406) | — | — | (51,259,930) | (67,491,422) | |||||||
21,726 | — | — | — | — | — | — | |||||||
293,184 | — | — | — | — | — | — | |||||||
— | — | — | — | — | — | — | |||||||
— | — | — | — | — | — | — | |||||||
(2,670,841) | (2,185,334,312) | (1,170,352,406) | (26,897,678) | (12,779,877) | (51,259,930) | (67,491,422) | |||||||
(2,142,285) | (1,921,614,389) | (352,846,080) | (15,805,373) | (12,579,574) | (60,380,249) | (15,683,514) | |||||||
$(2,109,799) | $(1,768,177,638) | $(324,365,024) | $(15,580,224) | $(10,597,332) | $(54,525,849) | $(13,626,720) |
First
Trust Indxx Innovative Transaction & Process ETF (LEGR) |
First
Trust Nasdaq Artificial Intelligence and Robotics ETF (ROBT) |
First
Trust International Developed Capital Strength ETF (FICS) | ||||
INVESTMENT INCOME: | ||||||
Dividends - Unaffiliated
|
$ 5,230,203 | $ 1,747,398 | $ 745,989 | |||
Dividends - Affiliated
|
— | — | — | |||
Interest
|
1,836 | 2,405 | — | |||
Securities lending income (net of fees)
|
29,683 | 367,496 | — | |||
Foreign withholding tax
|
(393,285) | (157,060) | (74,200) | |||
Other
|
23 | 47 | 4 | |||
Total investment income
|
4,868,460 | 1,960,286 | 671,793 | |||
EXPENSES: | ||||||
Investment advisory fees
|
882,398 | 1,549,330 | 167,713 | |||
Total expenses
|
882,398 | 1,549,330 | 167,713 | |||
Fees waived by the investment advisor
|
— | — | — | |||
Net expenses
|
882,398 | 1,549,330 | 167,713 | |||
NET INVESTMENT INCOME (LOSS)
|
3,986,062 | 410,956 | 504,080 | |||
NET REALIZED AND UNREALIZED GAIN (LOSS): | ||||||
Net realized gain (loss) on: | ||||||
Investments - Unaffiliated
|
(3,897,325) | (19,712,624) | (1,262,455) | |||
Investments - Affiliated
|
— | — | — | |||
In-kind redemptions - Unaffiliated
|
2,428,899 | 17,419,636 | (723,956) | |||
In-kind redemptions - Affiliated
|
— | — | — | |||
Purchased options contracts
|
— | — | — | |||
Written options contracts
|
— | — | — | |||
Foreign currency transactions
|
(27,439) | 261,082 | 6,334 | |||
Foreign capital gains tax
|
(28,832) | — | — | |||
Net realized gain (loss)
|
(1,524,697) | (2,031,906) | (1,980,077) | |||
Net increase from payment by the advisor
|
— | 1,987 | — | |||
Net change in unrealized appreciation (depreciation) on: | ||||||
Investments - Unaffiliated
|
(40,992,272) | (103,811,853) | (5,646,939) | |||
Investments - Affiliated
|
— | — | — | |||
Purchased options contracts
|
— | — | — | |||
Written options contracts
|
— | — | — | |||
Foreign currency translation
|
(21,740) | (13,102) | (4,897) | |||
Deferred foreign capital gains tax
|
105,536 | — | — | |||
Net change in unrealized appreciation
(depreciation)
|
(40,908,476) | (103,824,955) | (5,651,836) | |||
NET REALIZED AND UNREALIZED GAIN (LOSS)
|
(42,433,173) | (105,854,874) | (7,631,913) | |||
NET INCREASE (DECREASE) IN NET ASSETS RESULTING
FROM OPERATIONS
|
$(38,447,111) | $(105,443,918) | $(7,127,833) |
First Trust NASDAQ Technology Dividend Index Fund (TDIV) |
Multi-Asset Diversified Income Index Fund (MDIV) | ||||||
Year Ended 9/30/2022 |
Year Ended 9/30/2021 |
Year Ended 9/30/2022 |
Year Ended 9/30/2021 | ||||
OPERATIONS: | |||||||
Net investment income (loss)
|
$ 39,013,530 | $ 30,828,737 | $ 21,144,380 | $ 14,299,976 | |||
Net realized gain (loss)
|
77,346,934 | 266,500,553 | 9,377,860 | 36,831,045 | |||
Net increase from payment by the advisor
|
— | — | — | — | |||
Net change in unrealized appreciation
(depreciation)
|
(504,758,535) | 71,094,267 | (63,041,345) | 60,843,085 | |||
Net increase (decrease) in net assets resulting
from operations
|
(388,398,071) | 368,423,557 | (32,519,105) | 111,974,106 | |||
DISTRIBUTIONS TO SHAREHOLDERS FROM: | |||||||
Investment operations
|
(37,869,712) | (29,861,800) | (28,972,326) | (18,794,700) | |||
Return of capital
|
— | — | (634,126) | (6,052,472) | |||
Total distributions to shareholders
|
(37,869,712) | (29,861,800) | (29,606,452) | (24,847,172) | |||
SHAREHOLDER TRANSACTIONS: | |||||||
Proceeds from shares sold
|
585,823,081 | 784,387,981 | 136,630,172 | 9,259,907 | |||
Cost of shares redeemed
|
(342,711,470) | (754,460,022) | (98,607,101) | (66,909,068) | |||
Net increase (decrease) in net assets resulting
from shareholder transactions
|
243,111,611 | 29,927,959 | 38,023,071 | (57,649,161) | |||
Total increase (decrease) in net assets
|
(183,156,172) | 368,489,716 | (24,102,486) | 29,477,773 | |||
NET ASSETS: | |||||||
Beginning of period
|
1,613,767,129 | 1,245,277,413 | 470,203,430 | 440,725,657 | |||
End of period
|
$1,430,610,957 | $1,613,767,129 | $446,100,944 | $470,203,430 | |||
CHANGES IN SHARES OUTSTANDING: | |||||||
Shares outstanding, beginning of period
|
28,605,000 | 28,405,000 | 28,750,002 | 32,600,002 | |||
Shares sold
|
10,150,000 | 14,150,000 | 8,450,000 | 550,000 | |||
Shares redeemed
|
(5,950,000) | (13,950,000) | (6,250,000) | (4,400,000) | |||
Shares outstanding, end of period
|
32,805,000 | 28,605,000 | 30,950,002 | 28,750,002 |
First Trust S&P International Dividend Aristocrats ETF (FID) |
First Trust BuyWrite Income ETF (FTHI) |
First Trust Nasdaq BuyWrite Income ETF (FTQI) | ||||||||
Year Ended 9/30/2022 |
Year Ended 9/30/2021 |
Year Ended 9/30/2022 |
Year Ended 9/30/2021 |
Year Ended 9/30/2022 |
Year Ended 9/30/2021 | |||||
$ 2,200,759 | $ 1,333,244 | $ 434,135 | $ 709,991 | $ 32,486 | $ 82,731 | |||||
(407,597) | 140,357 | 1,233,335 | 8,266,105 | 528,556 | 367,409 | |||||
— | — | — | — | — | — | |||||
(12,316,027) | 4,299,027 | (11,115,307) | 250,450 | (2,670,841) | 267,151 | |||||
(10,522,865) | 5,772,628 | (9,447,837) | 9,226,546 | (2,109,799) | 717,291 | |||||
(2,134,072) | (1,317,871) | (4,161,738) | (2,535,233) | (627,504) | (228,251) | |||||
— | — | — | — | (260,249) | — | |||||
(2,134,072) | (1,317,871) | (4,161,738) | (2,535,233) | (887,753) | (228,251) | |||||
17,543,449 | 19,294,526 | 58,793,688 | 18,094,504 | 15,486,123 | 7,205,917 | |||||
(3,114,320) | — | (2,232,301) | (37,943,500) | (3,127,943) | (2,974,588) | |||||
14,429,129 | 19,294,526 | 56,561,387 | (19,848,996) | 12,358,180 | 4,231,329 | |||||
1,772,192 | 23,749,283 | 42,951,812 | (13,157,683) | 9,360,628 | 4,720,369 | |||||
42,139,326 | 18,390,043 | 46,575,076 | 59,732,759 | 9,526,934 | 4,806,565 | |||||
$43,911,518 | $42,139,326 | $89,526,888 | $46,575,076 | $18,887,562 | $9,526,934 | |||||
2,400,002 | 1,300,002 | 2,174,201 | 3,124,201 | 450,002 | 250,002 | |||||
1,000,000 | 1,100,000 | 2,800,000 | 900,000 | 750,000 | 350,000 | |||||
(200,000) | — | (100,000) | (1,850,000) | (150,000) | (150,000) | |||||
3,200,002 | 2,400,002 | 4,874,201 | 2,174,201 | 1,050,002 | 450,002 |
First Trust Rising Dividend Achievers ETF (RDVY) |
First Trust Dorsey Wright Focus 5 ETF (FV) | ||||||
Year Ended 9/30/2022 |
Year Ended 9/30/2021 |
Year Ended 9/30/2022 |
Year Ended 9/30/2021 | ||||
OPERATIONS: | |||||||
Net investment income (loss)
|
$ 153,436,751 | $ 47,447,030 | $ 28,481,056 | $ 899,652 | |||
Net realized gain (loss)
|
263,719,923 | 284,110,410 | 817,506,326 | 406,561,570 | |||
Net increase from payment by the advisor
|
— | — | — | — | |||
Net change in unrealized appreciation
(depreciation)
|
(2,185,334,312) | 428,357,284 | (1,170,352,406) | 276,499,831 | |||
Net increase (decrease) in net assets resulting
from operations
|
(1,768,177,638) | 759,914,724 | (324,365,024) | 683,961,053 | |||
DISTRIBUTIONS TO SHAREHOLDERS FROM: | |||||||
Investment operations
|
(140,979,372) | (44,959,526) | (27,189,651) | (1,159,345) | |||
Return of capital
|
— | — | — | — | |||
Total distributions to shareholders
|
(140,979,372) | (44,959,526) | (27,189,651) | (1,159,345) | |||
SHAREHOLDER TRANSACTIONS: | |||||||
Proceeds from shares sold
|
5,962,228,272 | 5,044,833,796 | 2,838,226,345 | 650,797,839 | |||
Cost of shares redeemed
|
(2,501,951,722) | (1,312,230,974) | (2,588,053,448) | (686,904,053) | |||
Net increase (decrease) in net assets resulting
from shareholder transactions
|
3,460,276,550 | 3,732,602,822 | 250,172,897 | (36,106,214) | |||
Total increase (decrease) in net assets
|
1,551,119,540 | 4,447,558,020 | (101,381,778) | 646,695,494 | |||
NET ASSETS: | |||||||
Beginning of period
|
5,739,655,239 | 1,292,097,219 | 2,694,187,168 | 2,047,491,674 | |||
End of period
|
$7,290,774,779 | $5,739,655,239 | $2,592,805,390 | $2,694,187,168 | |||
CHANGES IN SHARES OUTSTANDING: | |||||||
Shares outstanding, beginning of period
|
120,900,002 | 39,550,002 | 58,850,002 | 60,050,002 | |||
Shares sold
|
120,450,000 | 111,000,000 | 59,550,000 | 14,950,000 | |||
Shares redeemed
|
(53,600,000) | (29,650,000) | (55,300,000) | (16,150,000) | |||
Shares outstanding, end of period
|
187,750,002 | 120,900,002 | 63,100,002 | 58,850,002 |
First Trust RBA American Industrial Renaissance® ETF (AIRR) |
First Trust Dorsey Wright Momentum & Dividend ETF (DDIV) |
First Trust Dorsey Wright International Focus 5 ETF (IFV) | ||||||||
Year Ended 9/30/2022 |
Year Ended 9/30/2021 |
Year Ended 9/30/2022 |
Year Ended 9/30/2021 |
Year Ended 9/30/2022 |
Year Ended 9/30/2021 | |||||
$ 225,149 | $ 102,277 | $ 1,982,242 | $ 926,527 | $ 5,854,400 | $ 2,372,763 | |||||
11,092,305 | 22,206,086 | 200,303 | 12,028,581 | (9,120,319) | 39,219,683 | |||||
— | — | — | — | — | — | |||||
(26,897,678) | 9,760,455 | (12,779,877) | (91,117) | (51,259,930) | 6,817,205 | |||||
(15,580,224) | 32,068,818 | (10,597,332) | 12,863,991 | (54,525,849) | 48,409,651 | |||||
(131,850) | (68,330) | (1,904,422) | (903,831) | (5,794,666) | (2,584,930) | |||||
— | — | — | — | — | — | |||||
(131,850) | (68,330) | (1,904,422) | (903,831) | (5,794,666) | (2,584,930) | |||||
67,434,447 | 204,119,512 | 79,279,112 | 58,983,424 | 2,531,736 | 29,789,512 | |||||
(102,287,438) | (63,084,042) | (38,540,592) | (61,564,516) | (67,969,588) | (29,096,455) | |||||
(34,852,991) | 141,035,470 | 40,738,520 | (2,581,092) | (65,437,852) | 693,057 | |||||
(50,565,065) | 173,035,958 | 28,236,766 | 9,379,068 | (125,758,367) | 46,517,778 | |||||
220,549,282 | 47,513,324 | 38,863,425 | 29,484,357 | 264,969,890 | 218,452,112 | |||||
$169,984,217 | $220,549,282 | $67,100,191 | $38,863,425 | $139,211,523 | $264,969,890 | |||||
5,400,002 | 1,850,002 | 1,250,002 | 1,400,002 | 11,650,002 | 11,600,002 | |||||
1,550,000 | 5,150,000 | 2,400,000 | 2,050,000 | 150,000 | 1,350,000 | |||||
(2,500,000) | (1,600,000) | (1,150,000) | (2,200,000) | (3,150,000) | (1,300,000) | |||||
4,450,002 | 5,400,002 | 2,500,002 | 1,250,002 | 8,650,002 | 11,650,002 |
First Trust Dorsey Wright Dynamic Focus 5 ETF (FVC) |
First Trust Indxx Innovative Transaction & Process ETF (LEGR) | ||||||
Year Ended 9/30/2022 |
Year Ended 9/30/2021 |
Year Ended 9/30/2022 |
Year Ended 9/30/2021 | ||||
OPERATIONS: | |||||||
Net investment income (loss)
|
$ 2,056,794 | $ 44,628 | $ 3,986,062 | $ 1,528,329 | |||
Net realized gain (loss)
|
51,807,908 | 33,942,853 | (1,524,697) | 2,447,567 | |||
Net increase from payment by the advisor
|
— | — | — | — | |||
Net change in unrealized appreciation
(depreciation)
|
(67,491,422) | 31,031,603 | (40,908,476) | 13,738,762 | |||
Net increase (decrease) in net assets resulting
from operations
|
(13,626,720) | 65,019,084 | (38,447,111) | 17,714,658 | |||
DISTRIBUTIONS TO SHAREHOLDERS FROM: | |||||||
Investment operations
|
(1,833,976) | (67,710) | (3,919,682) | (1,414,166) | |||
Return of capital
|
— | — | — | — | |||
Total distributions to shareholders
|
(1,833,976) | (67,710) | (3,919,682) | (1,414,166) | |||
SHAREHOLDER TRANSACTIONS: | |||||||
Proceeds from shares sold
|
250,484,774 | 49,813,076 | 23,904,823 | 73,931,252 | |||
Cost of shares redeemed
|
(217,153,179) | (125,909,677) | (13,920,351) | — | |||
Net increase (decrease) in net assets resulting
from shareholder transactions
|
33,331,595 | (76,096,601) | 9,984,472 | 73,931,252 | |||
Total increase (decrease) in net assets
|
17,870,899 | (11,145,227) | (32,382,321) | 90,231,744 | |||
NET ASSETS: | |||||||
Beginning of period
|
212,608,772 | 223,753,999 | 132,512,050 | 42,280,306 | |||
End of period
|
$230,479,671 | $212,608,772 | $100,129,729 | $132,512,050 | |||
CHANGES IN SHARES OUTSTANDING: | |||||||
Shares outstanding, beginning of period
|
6,050,002 | 8,550,002 | 3,150,002 | 1,350,002 | |||
Shares sold
|
6,900,000 | 1,500,000 | 550,000 | 1,800,000 | |||
Shares redeemed
|
(6,050,000) | (4,000,000) | (400,000) | — | |||
Shares outstanding, end of period
|
6,900,002 | 6,050,002 | 3,300,002 | 3,150,002 |
(a) | Inception date is December 15, 2020, which is consistent with the commencement of investment operations and is the date the initial creation units were established. |
First Trust Nasdaq Artificial Intelligence and Robotics ETF (ROBT) |
First Trust International Developed Capital Strength ETF (FICS) | |||||
Year Ended 9/30/2022 |
Year Ended 9/30/2021 |
Year Ended 9/30/2022 |
Period Ended 9/30/2021 (a) | |||
$ 410,956 | $ 225,235 | $ 504,080 | $ 43,782 | |||
(2,031,906) | 33,190,276 | (1,980,077) | 177,073 | |||
1,987 | — | — | — | |||
(103,824,955) | 14,737,527 | (5,651,836) | (13,221) | |||
(105,443,918) | 48,153,038 | (7,127,833) | 207,634 | |||
(369,695) | (333,100) | (503,611) | (39,101) | |||
— | — | — | — | |||
(369,695) | (333,100) | (503,611) | (39,101) | |||
64,515,646 | 178,221,700 | 31,655,094 | 11,708,531 | |||
(51,946,180) | (80,098,259) | (14,840,804) | (1,664,041) | |||
12,569,466 | 98,123,441 | 16,814,290 | 10,044,490 | |||
(93,244,147) | 145,943,379 | 9,182,846 | 10,213,023 | |||
266,492,021 | 120,548,642 | 10,213,023 | — | |||
$ 173,247,874 | $ 266,492,021 | $ 19,395,869 | $ 10,213,023 | |||
5,000,002 | 3,100,002 | 300,002 | — | |||
1,250,000 | 3,400,000 | 950,000 | 350,002 | |||
(1,100,000) | (1,500,000) | (500,000) | (50,000) | |||
5,150,002 | 5,000,002 | 750,002 | 300,002 |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 56.42 | $ 43.84 | $ 40.09 | $ 38.38 | $ 32.39 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
1.24 | 1.10 | 0.93 | 0.97 | 0.96 | ||||
Net realized and unrealized gain (loss)
|
(12.83) | 12.55 | 3.77 | 1.71 | 5.90 | ||||
Total from investment operations
|
(11.59) | 13.65 | 4.70 | 2.68 | 6.86 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(1.22) | (1.07) | (0.95) | (0.97) | (0.87) | ||||
Net asset value, end of period
|
$43.61 | $56.42 | $43.84 | $40.09 | $38.38 | ||||
Total return
(a)
|
(20.93)% | 31.29% | 11.91% | 7.21% | 21.37% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 1,430,611 | $ 1,613,767 | $ 1,245,277 | $ 1,010,557 | $ 948,172 | ||||
Ratio of total expenses to average net
assets
|
0.50% | 0.50% | 0.50% | 0.50% | 0.50% | ||||
Ratio of net investment income (loss) to average
net assets
|
2.26% | 2.08% | 2.28% | 2.59% | 2.70% | ||||
Portfolio turnover rate (b)
|
36% | 38% | 49% | 37% | 27% |
(a) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(b) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 16.35 | $ 13.52 | $ 18.43 | $ 18.54 | $ 19.22 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.72 | 0.49 | 0.57 | 0.83 | 0.87 | ||||
Net realized and unrealized gain (loss)
|
(1.67) | 3.18 | (4.52) | 0.18 | (0.36) | ||||
Total from investment operations
|
(0.95) | 3.67 | (3.95) | 1.01 | 0.51 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.97) | (0.64) | (0.79) | (0.77) | (0.76) | ||||
Return of capital
|
(0.02) | (0.20) | (0.17) | (0.35) | (0.43) | ||||
Total distributions
|
(0.99) | (0.84) | (0.96) | (1.12) | (1.19) | ||||
Net asset value, end of period
|
$14.41 | $16.35 | $13.52 | $18.43 | $18.54 | ||||
Total return
(a)
|
(6.25)% | 27.50% | (21.89)% | 5.74% | 2.82% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 446,101 | $ 470,203 | $ 440,726 | $ 715,985 | $ 683,960 | ||||
Ratio of total expenses to average net assets
(b)
|
0.60% | 0.60% | 0.60% | 0.60% | 0.60% | ||||
Ratio of net expenses to average net assets
(b)
|
0.48% | 0.48% | 0.47% | 0.48% | 0.48% | ||||
Ratio of net investment income (loss) to average
net assets
|
4.40% | 3.03% | 3.86% | 4.58% | 4.62% | ||||
Portfolio turnover rate (c)
|
85% | 100% | 106% | 73% | 84% |
(a) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. The total returns would have been lower if certain fees had not been waived and expenses reimbursed by the investment advisor. |
(b) | The Fund indirectly bears its proportionate share of fees and expenses incurred by the underlying funds in which the Fund invests. This ratio does not include these indirect fees and expenses. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 17.56 | $ 14.15 | $ 17.11 | $ 17.19 | $ 18.52 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.71 | 0.62 | 0.64 | 0.63 | 0.85 | ||||
Net realized and unrealized gain (loss)
|
(3.85) | 3.43 | (2.93) | (0.08) | (1.26) | ||||
Total from investment operations
|
(3.14) | 4.05 | (2.29) | 0.55 | (0.41) | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.70) | (0.64) | (0.67) | (0.63) | (0.92) | ||||
Net asset value, end of period
|
$13.72 | $17.56 | $14.15 | $17.11 | $17.19 | ||||
Total return
(a)
|
(18.39)% | 28.79% | (13.62)% | 3.38% | (2.35)% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 43,912 | $ 42,139 | $ 18,390 | $ 19,678 | $ 13,753 | ||||
Ratio of total expenses to average net
assets
|
0.60% | 0.60% | 0.60% | 0.60% | 0.69% (b) | ||||
Ratio of net investment income (loss) to average
net assets
|
4.39% | 4.10% | 4.03% | 4.01% | 4.70% | ||||
Portfolio turnover rate (c)
|
47% | 57% | 81% | 44% | 196% (d) |
(a) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(b) | On August 30, 2018, the Fund reduced the annual management fee payable to First Trust, from 0.70% of the Fund’s average daily net assets to 0.60% of the Fund’s average daily net assets. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
(d) | The variation in the portfolio turnover rate is due to the change in the Fund’s underlying index effective August 30, 2018, which resulted in a complete rebalance of the Fund’s portfolio. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 21.42 | $ 19.12 | $ 22.43 | $ 23.28 | $ 22.54 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.17 (a) | 0.12 | 0.23 | 0.40 | 0.35 | ||||
Net realized and unrealized gain (loss)
|
(1.64) | 3.14 | (2.58) | (0.29) | 1.35 | ||||
Total from investment operations
|
(1.47) | 3.26 | (2.35) | 0.11 | 1.70 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(1.58) | (0.96) | (0.23) | (0.86) | (0.96) | ||||
Return of capital
|
— | — | (0.73) | (0.10) | — | ||||
Total distributions
|
(1.58) | (0.96) | (0.96) | (0.96) | (0.96) | ||||
Net asset value, end of period
|
$18.37 | $21.42 | $19.12 | $22.43 | $23.28 | ||||
Total return
(b)
|
(7.60)% | 17.31% | (10.63)% | 0.72% | 8.12% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 89,527 | $ 46,575 | $ 59,733 | $ 80,155 | $ 66,898 | ||||
Ratio of total expenses to average net
assets
|
0.85% | 0.85% | 0.85% | 0.85% | 0.85% | ||||
Ratio of net investment income (loss) to average
net assets
|
0.81% | 1.29% | 1.10% | 1.43% | 1.34% | ||||
Portfolio turnover rate (c)
|
90% (d) | 199% | 210% | 209% | 239% |
(a) | Based on average shares outstanding. |
(b) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
(d) | The variation in the portfolio turnover rate is due to lower than expected portfolio rebalancing, which was impacted by high levels of equity volatility and a downtrend in the U.S. equity markets. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 21.17 | $ 19.23 | $ 22.30 | $ 22.92 | $ 22.27 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.06 (a) | 0.34 | 0.21 | 0.27 | 0.40 | ||||
Net realized and unrealized gain (loss)
|
(1.83) | 2.26 | (2.62) | (0.23) | 0.91 | ||||
Total from investment operations
|
(1.77) | 2.60 | (2.41) | 0.04 | 1.31 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.99) | (0.66) | (0.21) | (0.58) | (0.66) | ||||
Return of capital
|
(0.42) | — | (0.45) | (0.08) | — | ||||
Total distributions
|
(1.41) | (0.66) | (0.66) | (0.66) | (0.66) | ||||
Net asset value, end of period
|
$17.99 | $21.17 | $19.23 | $22.30 | $22.92 | ||||
Total return
(b)
|
(9.00)% | 13.66% | (10.98)% | 0.29% | 5.95% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 18,888 | $ 9,527 | $ 4,807 | $ 8,919 | $ 13,751 | ||||
Ratio of total expenses to average net
assets
|
0.85% | 0.85% | 0.85% | 0.85% | 0.85% | ||||
Ratio of net investment income (loss) to average
net assets
|
0.27% | 1.16% | 0.96% | 1.40% | 1.32% | ||||
Portfolio turnover rate (c)
|
107% (d) | 182% | 207% | 205% | 219% |
(a) | Based on average shares outstanding. |
(b) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
(d) | The variation in the portfolio turnover rate is due to the change in the Fund’s index and investment strategy effective May 11, 2022, which resulted in fewer portfolio transactions. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 47.47 | $ 32.67 | $ 31.82 | $ 31.54 | $ 27.84 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.82 | 0.59 | 0.58 | 0.54 | 0.41 | ||||
Net realized and unrealized gain (loss)
|
(8.70) | 14.79 | 0.86 | 0.27 | 3.68 | ||||
Total from investment operations
|
(7.88) | 15.38 | 1.44 | 0.81 | 4.09 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.76) | (0.58) | (0.59) | (0.53) | (0.39) | ||||
Net asset value, end of period
|
$38.83 | $47.47 | $32.67 | $31.82 | $31.54 | ||||
Total return
(a)
|
(16.76)% | 47.21% | 4.61% | 2.72% | 14.78% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 7,290,775 | $ 5,739,655 | $ 1,292,097 | $ 832,156 | $ 690,709 | ||||
Ratio of total expenses to average net
assets
|
0.50% | 0.50% | 0.50% | 0.50% | 0.50% | ||||
Ratio of net investment income (loss) to average
net assets
|
1.85% | 1.43% | 1.89% | 1.85% | 1.50% | ||||
Portfolio turnover rate (b)
|
59% | 45% | 62% | 63% | 40% |
(a) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(b) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 45.78 | $ 34.10 | $ 29.63 | $ 30.93 | $ 26.17 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.46 | 0.02 | 0.09 | 0.11 | 0.09 | ||||
Net realized and unrealized gain (loss)
|
(4.71) | 11.68 | 4.49 | (1.31) | 4.83 | ||||
Total from investment operations
|
(4.25) | 11.70 | 4.58 | (1.20) | 4.92 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.44) | (0.02) | (0.11) | (0.10) | (0.16) | ||||
Net asset value, end of period
|
$41.09 | $45.78 | $34.10 | $29.63 | $30.93 | ||||
Total return
(a)
|
(9.32)% | 34.31% | 15.50% | (3.92)% | 18.91% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 2,592,805 | $ 2,694,187 | $ 2,047,492 | $ 2,348,262 | $ 2,858,225 | ||||
Ratio of total expenses to average net assets
(b)
|
0.30% | 0.30% | 0.30% | 0.30% | 0.30% | ||||
Ratio of net investment income (loss) to average
net assets
|
1.01% | 0.04% | 0.30% | 0.34% | 0.30% | ||||
Portfolio turnover rate (c)
|
81% | 20% | 72% | 65% | 44% |
(a) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(b) | The Fund indirectly bears its proportionate share of fees and expenses incurred by the underlying funds in which the Fund invests. This ratio does not include these indirect fees and expenses. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 40.84 | $ 25.68 | $ 26.76 | $ 27.93 | $ 26.04 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.04 | 0.03 | (0.03) | 0.10 (a) | 0.09 | ||||
Net realized and unrealized gain (loss)
|
(2.66) | 15.16 | (0.98) | (1.21) | 1.88 | ||||
Total from investment operations
|
(2.62) | 15.19 | (1.01) | (1.11) | 1.97 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.02) | (0.03) | (0.07) | (0.06) | (0.08) | ||||
Net asset value, end of period
|
$38.20 | $40.84 | $25.68 | $26.76 | $27.93 | ||||
Total return
(b)
|
(6.41)% | 59.15% | (3.81)% | (3.95)% | 7.56% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 169,984 | $ 220,549 | $ 47,513 | $ 66,900 | $ 195,500 | ||||
Ratio of total expenses to average net
assets
|
0.70% | 0.70% | 0.70% | 0.70% | 0.70% | ||||
Ratio of net investment income (loss) to average
net assets
|
0.10% | 0.07% | (0.18)% | 0.40% | 0.32% | ||||
Portfolio turnover rate (c)
|
37% | 35% | 45% | 58% | 35% |
(a) | Based on average shares outstanding. |
(b) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 31.09 | $ 21.06 | $ 26.07 | $ 25.15 | $ 24.54 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.88 | 0.73 | 0.68 | 0.78 | 0.65 | ||||
Net realized and unrealized gain (loss)
|
(4.22) | 10.01 | (4.95) | 0.86 | 0.59 | ||||
Total from investment operations
|
(3.34) | 10.74 | (4.27) | 1.64 | 1.24 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.91) | (0.71) | (0.74) | (0.72) | (0.63) | ||||
Net asset value, end of period
|
$26.84 | $31.09 | $21.06 | $26.07 | $25.15 | ||||
Total return
(a)
|
(11.08)% | 51.29% | (16.49)% | 6.87% | 5.10% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 67,100 | $ 38,863 | $ 29,484 | $ 44,313 | $ 37,727 | ||||
Ratio of total expenses to average net
assets
|
0.60% | 0.60% | 0.60% | 0.60% | 0.69% (b) | ||||
Ratio of net investment income (loss) to average
net assets
|
3.00% | 2.54% | 2.81% | 3.50% | 2.79% | ||||
Portfolio turnover rate (c)
|
172% | 186% | 193% | 160% | 297% (d) |
(a) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(b) | On September 6, 2018, the Fund reduced the annual management fee payable to First Trust, from 0.70% of the Fund’s average daily net assets to 0.60% of the Fund’s average daily net assets. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
(d) | The variation in the portfolio turnover rate is due to the change in the Fund’s underlying index effective September 6, 2018, which resulted in a complete rebalance of the Fund’s portfolio. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 22.74 | $ 18.83 | $ 19.07 | $ 20.33 | $ 21.35 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.64 | 0.20 | 0.56 | 0.37 | 0.33 | ||||
Net realized and unrealized gain (loss)
|
(6.66) | 3.93 | (0.23) | (1.26) | (0.93) | ||||
Total from investment operations
|
(6.02) | 4.13 | 0.33 | (0.89) | (0.60) | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.63) | (0.22) | (0.57) | (0.35) | (0.42) | ||||
Return of capital
|
— | — | — | (0.02) | — | ||||
Total distributions
|
(0.63) | (0.22) | (0.57) | (0.37) | (0.42) | ||||
Net asset value, end of period
|
$16.09 | $22.74 | $18.83 | $19.07 | $20.33 | ||||
Total return
(a)
|
(26.89)% | 21.91% | 1.75% | (4.42)% | (2.91)% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 139,212 | $ 264,970 | $ 218,452 | $ 453,757 | $ 774,665 | ||||
Ratio of total expenses to average net assets
(b)
|
0.30% | 0.30% | 0.30% | 0.30% | 0.30% | ||||
Ratio of net investment income (loss) to average
net assets
|
2.92% | 0.87% | 3.19% | 1.89% | 1.57% | ||||
Portfolio turnover rate (c)
|
104% | 66% | 29% | 42% | 0% |
(a) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(b) | The Fund indirectly bears its proportionate share of fees and expenses incurred by the underlying funds in which the Fund invests. This ratio does not include these indirect fees and expenses. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year Ended September 30, | |||||||||
2022 | 2021 | 2020 | 2019 | 2018 | |||||
Net asset value, beginning of period
|
$ 35.14 | $ 26.17 | $ 26.45 | $ 28.80 | $ 24.36 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.31 | 0.01 | 0.13 | 0.22 | 0.08 | ||||
Net realized and unrealized gain (loss)
|
(1.77) | 8.97 | (0.25) | (2.37) | 4.51 | ||||
Total from investment operations
|
(1.46) | 8.98 | (0.12) | (2.15) | 4.59 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.28) | (0.01) | (0.16) | (0.20) | (0.15) | ||||
Net asset value, end of period
|
$33.40 | $35.14 | $26.17 | $26.45 | $28.80 | ||||
Total return
(a)
|
(4.18)% | 34.32% | (0.46)% | (7.46)% | 18.91% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 230,480 | $ 212,609 | $ 223,754 | $ 468,253 | $ 620,537 | ||||
Ratio of total expenses to average net assets
(b)
|
0.30% | 0.30% | 0.30% | 0.30% | 0.30% | ||||
Ratio of net investment income (loss) to average
net assets
|
0.91% | 0.02% | 0.54% | 0.79% | 0.32% | ||||
Portfolio turnover rate (c)
|
164% | 20% | 225% | 90% | 42% |
(a) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(b) | The Fund indirectly bears its proportionate share of fees and expenses incurred by the underlying funds in which the Fund invests. This ratio does not include these indirect fees and expenses. |
(c) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year Ended September 30, | Period Ended 9/30/2018 (a) | ||||||||
2022 | 2021 | 2020 | 2019 | ||||||
Net asset value, beginning of period
|
$ 42.07 | $ 31.32 | $ 29.32 | $ 30.31 | $ 29.99 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
1.15 | 0.61 | 0.35 | 0.59 | 0.26 | ||||
Net realized and unrealized gain (loss)
|
(11.75) | 10.70 | 2.02 | (0.93) | 0.29 | ||||
Total from investment operations
|
(10.60) | 11.31 | 2.37 | (0.34) | 0.55 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(1.13) | (0.56) | (0.37) | (0.65) | (0.23) | ||||
Net asset value, end of period
|
$30.34 | $42.07 | $31.32 | $29.32 | $30.31 | ||||
Total return
(b)
|
(25.55)% | 36.13% | 8.13% | (1.08)% | 1.87% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 100,130 | $ 132,512 | $ 42,280 | $ 41,048 | $ 50,017 | ||||
Ratio of total expenses to average net
assets
|
0.65% | 0.65% | 0.65% | 0.65% | 0.65% (c) | ||||
Ratio of net investment income (loss) to average
net assets
|
2.94% | 1.84% | 1.12% | 1.95% | 1.63% (c) | ||||
Portfolio turnover rate (d)
|
23% | 46% | 25% | 35% | 53% |
(a) | Inception date is January 24, 2018, which is consistent with the commencement of investment operations and is the date the initial creation units were established. |
(b) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(c) | Annualized. |
(d) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year Ended September 30, | Period Ended 9/30/2018 (a) | ||||||||
2022 | 2021 | 2020 | 2019 | ||||||
Net asset value, beginning of period
|
$ 53.30 | $ 38.89 | $ 31.51 | $ 32.23 | $ 29.91 | ||||
Income from investment operations: | |||||||||
Net investment income (loss)
|
0.08 | 0.05 | 0.04 | 0.17 | 0.12 | ||||
Net realized and unrealized gain (loss)
|
(19.67) (b) | 14.44 | 7.39 | (0.75) | 2.31 | ||||
Total from investment operations
|
(19.59) | 14.49 | 7.43 | (0.58) | 2.43 | ||||
Distributions paid to shareholders from: | |||||||||
Net investment income
|
(0.07) | (0.08) | (0.05) | (0.14) | (0.11) | ||||
Net asset value, end of period
|
$33.64 | $53.30 | $38.89 | $31.51 | $32.23 | ||||
Total return
(c)
|
(36.76)% (b) | 37.27% | 23.60% | (1.81)% | 8.15% | ||||
Ratios to average net assets/supplemental data: | |||||||||
Net assets, end of period (in 000’s)
|
$ 173,248 | $ 266,492 | $ 120,549 | $ 61,443 | $ 32,226 | ||||
Ratio of total expenses to average net
assets
|
0.65% | 0.65% | 0.65% | 0.65% | 0.65% (d) | ||||
Ratio of net investment income (loss) to average
net assets
|
0.17% | 0.10% | 0.15% | 0.68% | 0.62% (d) | ||||
Portfolio turnover rate (e)
|
36% | 31% | 34% | 43% | 67% |
(a) | Inception date is February 21, 2018, which is consistent with the commencement of investment operations and is the date the initial creation units were established. |
(b) | The Fund received a reimbursement from the advisor in the amount of $1,987 in connection with a trade error, which represents less than $0.01 per share. Since the advisor reimbursed the Fund, there was no effect on the Fund’s total return. |
(c) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(d) | Annualized. |
(e) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Year
Ended 9/30/2022 |
Period Ended 9/30/2021 (a) | ||
Net asset value, beginning of period
|
$ 34.04 | $ 30.09 | |
Income from investment operations: | |||
Net investment income (loss)
|
0.57 | 0.36 | |
Net realized and unrealized gain (loss)
|
(8.16) | 3.93 | |
Total from investment operations
|
(7.59) | 4.29 | |
Distributions paid to shareholders from: | |||
Net investment income
|
(0.59) | (0.34) | |
Net asset value, end of period
|
$25.86 | $34.04 | |
Total return
(b)
|
(22.50)% | 14.25% | |
Ratios to average net assets/supplemental data: | |||
Net assets, end of period (in 000’s)
|
$ 19,396 | $ 10,213 | |
Ratio of total expenses to average net
assets
|
0.70% | 0.70% (c) | |
Ratio of net investment income (loss) to average
net assets
|
2.10% | 1.29% (c) | |
Portfolio turnover rate (d)
|
77% | 23% |
(a) | Inception date is December 15, 2020, which is consistent with the commencement of investment operations and is the date the initial creation units were established. |
(b) | Total return is calculated assuming an initial investment made at the net asset value at the beginning of the period, reinvestment of all distributions at net asset value during the period, and redemption at net asset value on the last day of the period. The returns presented do not reflect the deduction of taxes that a shareholder would pay on Fund distributions or the redemption or sale of Fund shares. Total return is calculated for the time period presented and is not annualized for periods of less than a year. |
(c) | Annualized. |
(d) | Portfolio turnover is calculated for the time period presented and is not annualized for periods of less than a year and does not include securities received or delivered from processing creations or redemptions and in-kind transactions. |
Fund | Index |
First
Trust NASDAQ Technology Dividend Index Fund Multi-Asset Diversified Income Index Fund First Trust S&P International Dividend Aristocrats ETF First Trust Rising Dividend Achievers ETF First Trust Dorsey Wright Focus 5 ETF First Trust RBA American Industrial Renaissance® ETF First Trust Dorsey Wright Momentum & Dividend ETF First Trust Dorsey Wright International Focus 5 ETF First Trust Dorsey Wright Dynamic Focus 5 ETF First Trust Indxx Innovative Transaction & Process ETF First Trust Nasdaq Artificial Intelligence and Robotics ETF First Trust International Developed Capital Strength ETF |
Nasdaq
Technology Dividend IndexTM Nasdaq US Multi-Asset Diversified Income IndexSM S&P International Dividend Aristocrats Index Nasdaq US Rising Dividend AchieversTM Index Dorsey Wright Focus FiveTM Index Richard Bernstein Advisors American Industrial Renaissance® Index Dorsey Wright Momentum Plus Dividend YieldTM Index Dorsey Wright International Focus FiveTM Index Dorsey Wright Dynamic Focus FiveTM Index Indxx Blockchain Index Nasdaq CTA Artificial Intelligence and Robotics IndexSM The International Developed Capital Strength IndexSM |
1) | the credit conditions in the relevant market and changes thereto; |
2) | the liquidity conditions in the relevant market and changes thereto; |
3) | the interest rate conditions in the relevant market and changes thereto (such as significant changes in interest rates); |
4) | issuer-specific conditions (such as significant credit deterioration); and |
5) | any other market-based data the Advisor’s Pricing Committee considers relevant. In this regard, the Advisor’s Pricing Committee may use last-obtained market-based data to assist it when valuing portfolio securities using amortized cost. |
1) | the last sale price on the exchange on which they are principally traded or, for Nasdaq and AIM securities, the official closing price; |
2) | the type of security; |
3) | the size of the holding; |
4) | the initial cost of the security; |
5) | transactions in comparable securities; |
6) | price quotes from dealers and/or third-party pricing services; |
7) | relationships among various securities; |
8) | information obtained by contacting the issuer, analysts, or the appropriate stock exchange; |
9) | an analysis of the issuer’s financial statements; |
10) | the existence of merger proposals or tender offers that might affect the value of the security; and |
11) | other relevant factors. |
1) | the value of similar foreign securities traded on other foreign markets; |
2) | ADR trading of similar securities; |
3) | closed-end fund or exchange-traded fund trading of similar securities; |
4) | foreign currency exchange activity; |
5) | the trading prices of financial products that are tied to baskets of foreign securities; |
6) | factors relating to the event that precipitated the pricing problem; |
7) | whether the event is likely to recur; |
8) | whether the effects of the event are isolated or whether they affect entire markets, countries or regions; and |
9) | other relevant factors. |
• | Level 1 – Level 1 inputs are quoted prices in active markets for identical investments. An active market is a market in which transactions for the investment occur with sufficient frequency and volume to provide pricing information on an ongoing basis. |
• | Level 2 – Level 2 inputs are observable inputs, either directly or indirectly, and include the following: |
o | Quoted prices for similar investments in active markets. |
o | Quoted prices for identical or similar investments in markets that are non-active. A non-active market is a market where there are few transactions for the investment, the prices are not current, or price quotations vary substantially either over time or among market makers, or in which little information is released publicly. |
o | Inputs other than quoted prices that are observable for the investment (for example, interest rates and yield curves observable at commonly quoted intervals, volatilities, prepayment speeds, loss severities, credit risks, and default rates). |
o | Inputs that are derived principally from or corroborated by observable market data by correlation or other means. |
• | Level 3 – Level 3 inputs are unobservable inputs. Unobservable inputs may reflect the reporting entity’s own assumptions about the assumptions that market participants would use in pricing the investment. |
Security Name | Shares
at 9/30/2022 |
Value
at 9/30/2021 |
Purchases | Sales | Change
in Unrealized Appreciation (Depreciation) |
Realized Gain (Loss) |
Value
at 9/30/2022 |
Dividend Income |
First Trust Tactical High Yield ETF | 2,396,347 | $ 94,677,062 | $ 40,940,458 | $ (22,321,517) | $ (20,775,057) | $ (692,929) | $ 91,828,017 | $ 6,142,722 |
Security Name | Shares
at 9/30/2022 |
Value
at 9/30/2021 |
Purchases | Sales | Change
in Unrealized Appreciation (Depreciation) |
Realized Gain (Loss) |
Value
at 9/30/2022 |
Dividend Income | ||||||
First Trust Consumer Discretionary AlphaDEX® Fund | — | $552,125,467 | $489,487,672 | $ (977,311,520) | $ (184,912,166) | $120,610,547 | $ — | $2,332,656 | ||||||
First Trust Energy AlphaDEX® Fund | 37,233,368 | — | 726,588,423 | (140,809,237) | (449,929) | (4,116,382) | 581,212,875 | 9,631,857 | ||||||
First Trust Industrials/Producer Durables AlphaDEX® Fund | 11,002,143 | 552,378,296 | 554,528,798 | (474,853,062) | (122,819,764) | (3,685,797) | 505,548,471 | 4,524,721 | ||||||
First Trust Materials AlphaDEX® Fund | 8,230,205 | — | 756,865,736 | (197,537,048) | (128,236,435) | (4,191,520) | 426,900,733 | 5,632,668 | ||||||
First Trust Nasdaq Food & Beverage ETF | 21,438,168 | — | 622,090,618 | (18,971,846) | (69,879,781) | (714,898) | 532,524,093 | 3,715,674 | ||||||
First Trust Nasdaq Oil & Gas ETF | 22,047,884 | — | 1,123,919,311 | (693,393,430) | 76,138,600 | 34,611,071 | 541,275,552 | 9,808,801 | ||||||
First Trust Nasdaq Transportation ETF | — | 513,660,400 | 362,824,428 | (857,633,271) | (111,437,489) | 92,585,932 | — | 1,240,830 | ||||||
First Trust NASDAQ-100-Technology Sector Index Fund | — | 545,036,466 | 347,535,180 | (816,886,894) | (340,249,141) | 264,564,389 | — | 41,431 | ||||||
First Trust Technology AlphaDEX® Fund | — | 528,789,844 | 126,483,451 | (684,609,978) | (288,506,301) | 317,842,984 | — | — | ||||||
$2,691,990,473 | $5,110,323,617 | $(4,862,006,286) | $(1,170,352,406) | $817,506,326 | $2,587,461,724 | $36,928,638 |
Security Name | Shares
at 9/30/2022 |
Value
at 9/30/2021 |
Purchases | Sales | Change
in Unrealized Appreciation (Depreciation) |
Realized Gain (Loss) |
Value
at 9/30/2022 |
Dividend Income | ||||||
First Trust BICK Index Fund | 1,148,699 | $ 52,406,007 | $ 30,335,962 | $ (54,810,146) | $ (9,225,736) | $ 8,541,053 | $ 27,247,140 | $ 48,538 | ||||||
First Trust Chindia ETF | 788,140 | — | 32,950,175 | (2,490,543) | (3,006,866) | 53,320 | 27,506,086 | 46,949 | ||||||
First Trust Dow Jones Global Select Dividend Index Fund | 1,455,665 | — | 41,756,094 | (4,815,221) | (9,493,741) | (459,103) | 26,988,029 | 1,272,651 | ||||||
First Trust Eurozone AlphaDEX® Fund | — | — | 54,095,628 | (48,158,214) | — | (5,937,414) | — | 280,215 | ||||||
First Trust Germany AlphaDEX® Fund | — | 52,146,239 | 1,776,695 | (46,009,598) | (6,627,154) | (1,286,182) | — | 146,489 | ||||||
First Trust India NIFTY 50 Equal Weight ETF | 691,061 | 57,888,541 | 635,412 | (23,785,798) | (7,879,085) | 2,739,073 | 29,598,143 | 1,666,894 | ||||||
First Trust Latin America AlphaDEX® Fund | 1,765,963 | — | 42,270,056 | (6,550,570) | (7,315,963) | (730,883) | 27,672,640 | 1,371,007 | ||||||
First Trust Switzerland AlphaDEX® Fund | — | 50,668,510 | 1,607,980 | (44,869,379) | (10,736,246) | 3,329,135 | — | 240,132 | ||||||
First Trust United Kingdom AlphaDEX® Fund | — | 51,626,570 | 4,221,806 | (43,503,919) | 3,024,861 | (15,369,318) | — | 1,372,925 | ||||||
$264,735,867 | $209,649,808 | $(274,993,388) | $(51,259,930) | $(9,120,319) | $139,012,038 | $6,445,800 |
Security Name | Shares
at 9/30/2022 |
Value
at 9/30/2021 |
Purchases | Sales | Change
in Unrealized Appreciation (Depreciation) |
Realized Gain (Loss) |
Value
at 9/30/2022 |
Dividend Income | ||||||
First Trust Consumer Discretionary AlphaDEX® Fund | — | $43,565,016 | $37,286,547 | $ (75,949,685) | $ (15,174,892) | $10,273,014 | $ — | $178,597 | ||||||
First Trust Energy AlphaDEX® Fund | 2,000,658 | — | 71,385,000 | (40,927,478) | (94,476) | 867,225 | 31,230,271 | 498,208 | ||||||
First Trust Enhanced Short Maturity ETF | 1,539,755 | — | 157,866,525 | (66,124,344) | (257,253) | (146,661) | 91,338,267 | 681,203 | ||||||
First Trust Industrials/Producer Durables AlphaDEX® Fund | 591,177 | 43,584,937 | 55,819,497 | (64,677,952) | (7,174,983) | (386,916) | 27,164,583 | 270,838 | ||||||
First Trust Materials AlphaDEX® Fund | 442,231 | — | 71,268,328 | (42,348,912) | (5,308,534) | (672,360) | 22,938,522 | 287,735 | ||||||
First Trust Nasdaq Food & Beverage ETF | 1,151,936 | — | 62,524,664 | (29,924,196) | (2,899,246) | (1,087,132) | 28,614,090 | 174,632 | ||||||
First Trust Nasdaq Oil & Gas ETF | 1,184,694 | — | 99,553,465 | (81,550,151) | 3,002,389 | 8,078,535 | 29,084,238 | 540,837 | ||||||
First Trust Nasdaq Transportation ETF | — | 40,529,967 | 26,751,967 | (65,960,213) | (9,206,661) | 7,884,940 | — | 95,330 | ||||||
First Trust NASDAQ-100-Technology Sector Index Fund | — | 43,005,865 | 25,610,473 | (62,900,115) | (14,879,858) | 9,163,635 | — | 3,183 | ||||||
First Trust Technology AlphaDEX® Fund | — | 41,724,071 | 9,483,887 | (53,543,678) | (15,497,908) | 17,833,628 | — | — | ||||||
$212,409,856 | $617,550,353 | $(583,906,724) | $(67,491,422) | $51,807,908 | $230,369,971 | $2,730,563 |
Distributions paid from Ordinary Income |
Distributions paid from Capital Gains |
Distributions paid from Return of Capital | |||
First Trust NASDAQ Technology Dividend Index
Fund
|
$ 37,869,712 | $ — | $ — | ||
Multi-Asset Diversified Income Index Fund
|
28,972,326 | — | 634,126 | ||
First Trust S&P International Dividend
Aristocrats ETF
|
2,134,072 | — | — | ||
First Trust BuyWrite Income ETF
|
4,161,738 | — | — | ||
First Trust Nasdaq BuyWrite Income ETF
|
627,504 | — | 260,249 | ||
First Trust Rising Dividend Achievers ETF
|
140,979,372 | — | — | ||
First Trust Dorsey Wright Focus 5 ETF
|
27,189,651 | — | — | ||
First Trust RBA American Industrial
Renaissance®
ETF
|
131,850 | — | — | ||
First Trust Dorsey Wright Momentum & Dividend
ETF
|
1,904,422 | — | — | ||
First Trust Dorsey Wright International Focus 5
ETF
|
5,794,666 | — | — | ||
First Trust Dorsey Wright Dynamic Focus 5
ETF
|
1,833,976 | — | — | ||
First Trust Indxx Innovative Transaction &
Process ETF
|
3,919,682 | — | — | ||
First Trust Nasdaq Artificial Intelligence and
Robotics ETF
|
369,695 | — | — | ||
First Trust International Developed Capital
Strength ETF
|
503,611 | — | — |
Distributions paid from Ordinary Income |
Distributions paid from Capital Gains |
Distributions paid from Return of Capital | |||
First Trust NASDAQ Technology Dividend Index
Fund
|
$ 29,861,800 | $ — | $ — | ||
Multi-Asset Diversified Income Index Fund
|
18,794,700 | — | 6,052,472 | ||
First Trust S&P International Dividend
Aristocrats ETF
|
1,317,871 | — | — | ||
First Trust BuyWrite Income ETF
|
2,535,233 | — | — | ||
First Trust Nasdaq BuyWrite Income ETF
|
228,251 | — | — | ||
First Trust Rising Dividend Achievers ETF
|
44,959,526 | — | — | ||
First Trust Dorsey Wright Focus 5 ETF
|
1,159,345 | — | — | ||
First Trust RBA American Industrial
Renaissance®
ETF
|
68,330 | — | — | ||
First Trust Dorsey Wright Momentum & Dividend
ETF
|
903,831 | — | — | ||
First Trust Dorsey Wright International Focus 5
ETF
|
2,584,930 | — | — | ||
First Trust Dorsey Wright Dynamic Focus 5
ETF
|
67,710 | — | — | ||
First Trust Indxx Innovative Transaction &
Process ETF
|
1,414,166 | — | — | ||
First Trust Nasdaq Artificial Intelligence and
Robotics ETF
|
333,100 | — | — | ||
First Trust International Developed Capital
Strength ETF
|
39,101 | — | — |
Undistributed Ordinary Income |
Accumulated Capital and Other Gain (Loss) |
Net Unrealized Appreciation (Depreciation) | |||
First Trust NASDAQ Technology Dividend Index
Fund
|
$ 3,501,257 | $ (208,783,575) | $ (204,387,577) | ||
Multi-Asset Diversified Income Index Fund
|
— | (226,942,167) | (50,345,965) | ||
First Trust S&P International Dividend
Aristocrats ETF
|
164,542 | (5,293,852) | (11,563,360) | ||
First Trust BuyWrite Income ETF
|
— | (18,375,410) | (9,220,265) | ||
First Trust Nasdaq BuyWrite Income ETF
|
— | (2,123,105) | (2,620,426) | ||
First Trust Rising Dividend Achievers ETF
|
15,703,375 | (149,050,822) | (1,798,807,954) | ||
First Trust Dorsey Wright Focus 5 ETF
|
1,291,405 | (579,723,679) | (201,997,496) | ||
First Trust RBA American Industrial
Renaissance®
ETF
|
142,573 | (33,161,068) | (22,256,509) | ||
First Trust Dorsey Wright Momentum & Dividend
ETF
|
221,298 | (23,321,490) | (10,864,363) | ||
First Trust Dorsey Wright International Focus 5
ETF
|
81,382 | (144,990,579) | (22,207,775) | ||
First Trust Dorsey Wright Dynamic Focus 5
ETF
|
222,818 | (60,339,002) | (10,572,639) | ||
First Trust Indxx Innovative Transaction &
Process ETF
|
115,148 | (4,605,254) | (27,416,714) | ||
First Trust Nasdaq Artificial Intelligence and
Robotics ETF
|
319,975 | (23,210,981) | (76,034,434) | ||
First Trust International Developed Capital
Strength ETF
|
20,290 | (1,161,324) | (5,722,985) |
Non-Expiring Capital Loss Carryforward | |
First Trust NASDAQ Technology Dividend Index
Fund
|
$ 208,783,575 |
Multi-Asset Diversified Income Index Fund
|
226,942,167 |
First Trust S&P International Dividend
Aristocrats ETF
|
5,293,852 |
First Trust BuyWrite Income ETF
|
18,375,410 |
First Trust Nasdaq BuyWrite Income ETF
|
2,123,105 |
First Trust Rising Dividend Achievers ETF
|
149,050,822 |
First Trust Dorsey Wright Focus 5 ETF
|
579,723,679 |
First Trust RBA American Industrial
Renaissance®
ETF
|
33,161,068 |
First Trust Dorsey Wright Momentum & Dividend
ETF
|
23,321,490 |
First Trust Dorsey Wright International Focus 5
ETF
|
144,990,579 |
First Trust Dorsey Wright Dynamic Focus 5
ETF
|
60,339,002 |
First Trust Indxx Innovative Transaction &
Process ETF
|
4,605,254 |
First Trust Nasdaq Artificial Intelligence and
Robotics ETF
|
23,210,981 |
First Trust International Developed Capital
Strength ETF
|
1,161,324 |
Accumulated Net Investment Income (Loss) |
Accumulated Net Realized Gain (Loss) on Investments |
Paid-in Capital | |||
First Trust NASDAQ Technology Dividend Index
Fund
|
$ 242 | $ (160,295,622) | $ 160,295,380 | ||
Multi-Asset Diversified Income Index Fund
|
3,354,116 | (6,332,597) | 2,978,481 | ||
First Trust S&P International Dividend
Aristocrats ETF
|
(30,711) | (131,854) | 162,565 | ||
First Trust BuyWrite Income ETF
|
3,757,034 | (497,007) | (3,260,027) | ||
First Trust Nasdaq BuyWrite Income ETF
|
595,956 | (238,796) | (357,160) | ||
First Trust Rising Dividend Achievers ETF
|
— | (408,145,911) | 408,145,911 | ||
First Trust Dorsey Wright Focus 5 ETF
|
— | (871,252,353) | 871,252,353 | ||
First Trust RBA American Industrial
Renaissance®
ETF
|
— | (18,596,820) | 18,596,820 | ||
First Trust Dorsey Wright Momentum & Dividend
ETF
|
— | (5,165,221) | 5,165,221 | ||
First Trust Dorsey Wright International Focus 5
ETF
|
— | (4,556,264) | 4,556,264 | ||
First Trust Dorsey Wright Dynamic Focus 5
ETF
|
— | (50,177,178) | 50,177,178 | ||
First Trust Indxx Innovative Transaction &
Process ETF
|
(56,271) | (2,088,490) | 2,144,761 | ||
First Trust Nasdaq Artificial Intelligence and
Robotics ETF
|
305,363 | (16,580,301) | 16,274,938 | ||
First Trust International Developed Capital
Strength ETF
|
10,057 | 782,557 | (792,614) |
Tax Cost | Gross Unrealized Appreciation |
Gross Unrealized (Depreciation) |
Net
Unrealized Appreciation (Depreciation) | ||||
First Trust NASDAQ Technology Dividend Index
Fund
|
$ 1,631,544,912 | $ 79,409,827 | $ (283,797,404) | $ (204,387,577) | |||
Multi-Asset Diversified Income Index Fund
|
492,887,606 | 14,669,020 | (65,014,985) | (50,345,965) | |||
First Trust S&P International Dividend
Aristocrats ETF
|
55,057,084 | 594,676 | (12,137,237) | (11,542,561) | |||
First Trust BuyWrite Income ETF
|
97,387,126 | 1,067,506 | (10,287,756) | (9,220,250) | |||
First Trust Nasdaq BuyWrite Income ETF
|
20,987,563 | 182,297 | (2,802,723) | (2,620,426) | |||
First Trust Rising Dividend Achievers ETF
|
9,073,482,529 | 85,689,108 | (1,884,497,062) | (1,798,807,954) | |||
First Trust Dorsey Wright Focus 5 ETF
|
2,789,459,220 | 76,027,272 | (278,024,768) | (201,997,496) | |||
First Trust RBA American Industrial
Renaissance®
ETF
|
192,152,537 | 8,747,973 | (31,004,482) | (22,256,509) | |||
First Trust Dorsey Wright Momentum & Dividend
ETF
|
77,531,607 | 499,783 | (11,364,146) | (10,864,363) | |||
First Trust Dorsey Wright International Focus 5
ETF
|
161,219,813 | 538,507 | (22,746,282) | (22,207,775) | |||
First Trust Dorsey Wright Dynamic Focus 5
ETF
|
240,942,610 | 2,891,695 | (13,464,334) | (10,572,639) | |||
First Trust Indxx Innovative Transaction &
Process ETF
|
128,015,310 | 1,775,980 | (29,188,661) | (27,412,681) | |||
First Trust Nasdaq Artificial Intelligence and
Robotics ETF
|
254,404,770 | 5,374,643 | (81,396,583) | (76,021,940) | |||
First Trust International Developed Capital
Strength ETF
|
25,064,190 | 13,128 | (5,731,023) | (5,717,895) |
Fund | Licensor |
First Trust NASDAQ Technology Dividend Index Fund | Nasdaq, Inc. |
Multi-Asset Diversified Income Index Fund | Nasdaq, Inc. |
First Trust S&P International Dividend Aristocrats ETF | S&P Dow Jones Indices, LLC |
First Trust Rising Dividend Achievers ETF | Nasdaq, Inc. |
First Trust Dorsey Wright Focus 5 ETF | Dorsey, Wright & Associates, LLC |
First Trust RBA American Industrial Renaissance® ETF | Richard Bernstein Advisors LLC |
First Trust Dorsey Wright Momentum & Dividend ETF | Nasdaq, Inc. |
First Trust Dorsey Wright International Focus 5 ETF | Dorsey, Wright & Associates, LLC |
First Trust Dorsey Wright Dynamic Focus 5 ETF | Dorsey, Wright & Associates, LLC |
First Trust Indxx Innovative Transaction & Process ETF | Indxx Inc. |
First Trust Nasdaq Artificial Intelligence and Robotics ETF | Nasdaq, Inc. |
First Trust International Developed Capital Strength ETF | Nasdaq, Inc. |
Rate | |
First Trust NASDAQ Technology Dividend Index Fund | 0.50% |
Multi-Asset Diversified Income Index Fund | 0.60% |
First Trust S&P International Dividend Aristocrats ETF | 0.60% |
First Trust BuyWrite Income ETF | 0.85% |
First Trust Nasdaq BuyWrite Income ETF | 0.85% |
First Trust Rising Dividend Achievers ETF | 0.50% |
First Trust Dorsey Wright Focus 5 ETF | 0.30% |
First Trust RBA American Industrial Renaissance® ETF | 0.70% |
First Trust Dorsey Wright Momentum & Dividend ETF | 0.60% |
First Trust Dorsey Wright International Focus 5 ETF | 0.30% |
First Trust Dorsey Wright Dynamic Focus 5 ETF | 0.30% |
First Trust Indxx Innovative Transaction & Process ETF | 0.65% |
First Trust Nasdaq Artificial Intelligence and Robotics ETF | 0.65% |
First Trust International Developed Capital Strength ETF | 0.70% |
Purchases | Sales | ||
First Trust NASDAQ Technology Dividend Index Fund | $ 616,115,477 | $ 612,999,941 | |
Multi-Asset Diversified Income Index Fund | 402,578,657 | 400,871,685 | |
First Trust S&P International Dividend Aristocrats ETF | 24,601,157 | 22,959,637 | |
First Trust BuyWrite Income ETF | 48,589,467 | 50,792,045 | |
First Trust Nasdaq BuyWrite Income ETF | 12,875,068 | 12,938,229 | |
First Trust Rising Dividend Achievers ETF | 4,790,829,622 | 4,780,696,286 | |
First Trust Dorsey Wright Focus 5 ETF | 2,272,871,425 | 2,281,398,606 | |
First Trust RBA American Industrial Renaissance® ETF | 79,611,672 | 79,011,781 | |
First Trust Dorsey Wright Momentum & Dividend ETF | 110,797,167 | 110,261,522 | |
First Trust Dorsey Wright International Focus 5 ETF | 207,120,095 | 207,042,064 | |
First Trust Dorsey Wright Dynamic Focus 5 ETF | 367,185,448 | 367,269,130 | |
First Trust Indxx Innovative Transaction & Process ETF | 32,029,319 | 30,937,774 | |
First Trust Nasdaq Artificial Intelligence and Robotics ETF | 103,592,862 | 86,390,542 | |
First Trust International Developed Capital Strength ETF | 17,830,154 | 17,929,177 | |
Purchases | Sales | ||
First Trust NASDAQ Technology Dividend Index Fund | $ 583,961,573 | $ 343,724,649 | |
Multi-Asset Diversified Income Index Fund | 135,918,665 | 98,183,758 | |
First Trust S&P International Dividend Aristocrats ETF | 15,707,014 | 3,024,900 | |
First Trust BuyWrite Income ETF | 59,226,782 | 2,148,878 | |
First Trust Nasdaq BuyWrite Income ETF | 15,186,927 | 3,007,749 | |
First Trust Rising Dividend Achievers ETF | 5,941,936,015 | 2,490,251,103 | |
First Trust Dorsey Wright Focus 5 ETF | 2,837,452,192 | 2,580,607,680 | |
First Trust RBA American Industrial Renaissance® ETF | 67,375,750 | 102,388,655 | |
First Trust Dorsey Wright Momentum & Dividend ETF | 79,064,435 | 38,451,634 | |
First Trust Dorsey Wright International Focus 5 ETF | 2,529,713 | 67,951,324 | |
First Trust Dorsey Wright Dynamic Focus 5 ETF | 250,364,905 | 216,637,594 | |
First Trust Indxx Innovative Transaction & Process ETF | 21,472,250 | 12,690,709 | |
First Trust Nasdaq Artificial Intelligence and Robotics ETF | 47,186,813 | 50,794,243 | |
First Trust International Developed Capital Strength ETF | 31,745,144 | 14,884,394 |
Asset Derivatives | Liability Derivatives | |||||||||
Derivative Instrument |
Risk Exposure |
Statements
of Assets and Liabilities Location |
Value | Statements
of Assets and Liabilities Location |
Value | |||||
Options | Equity Risk | — | $ — | Options written, at value | $ 79,346 |
Asset Derivatives | Liability Derivatives | |||||||||
Derivative Instrument |
Risk Exposure |
Statements
of Assets and Liabilities Location |
Value | Statements
of Assets and Liabilities Location |
Value | |||||
Options | Equity Risk | — | $ — | Options written, at value | $ 73,507 |
Equity Risk | ||
Statements of Operations Location | FTHI | FTQI |
Net realized gain (loss) on Purchased options contracts | $— | $(31,942) |
Net realized gain (loss) on Written options contracts | 1,445,968 | 575,553 |
Net change in unrealized gain (loss) on Purchased options contracts | — | 21,726 |
Net change in unrealized gain (loss) on Written options contracts | 1,399,627 | 293,184 |
Individual Funds Included in the Trust | Statements of Changes in Net Assets | Financial Highlights |
First Trust NASDAQ Technology Dividend Index Fund | For the years ended September 30, 2022 and 2021 | For the years ended September 30, 2022, 2021, 2020, 2019 and 2018 |
Multi-Asset Diversified Income Index Fund | ||
First Trust S&P International Dividend Aristocrats ETF | ||
First Trust BuyWrite Income ETF | ||
First Trust Nasdaq BuyWrite Income ETF (formerly known as First Trust Hedged BuyWrite Income ETF) | ||
First Trust Rising Dividend Achievers ETF | ||
First Trust Dorsey Wright Focus 5 ETF | ||
First Trust RBA American Industrial Renaissance® ETF | ||
First Trust Dorsey Wright Momentum & Dividend ETF | ||
First Trust Dorsey Wright International Focus 5 ETF | ||
First Trust Dorsey Wright Dynamic Focus 5 ETF | ||
First Trust Indxx Innovative Transaction & Process ETF | For the years ended September 30, 2022 and 2021 | For the years ended September 30, 2022, 2021, 2020, 2019 and for the period from January 24, 2018 (commencement of operations) through September 30, 2018 |
First Trust Nasdaq Artificial Intelligence and Robotics ETF | For the years ended September 30, 2022 and 2021 | For the years ended September 30, 2022, 2021, 2020, 2019 and for the period from February 21, 2018 (commencement of operations) through September 30, 2018 |
First Trust International Developed Capital Strength ETF | For the year ended September 30, 2022 and for the period from December 15, 2020 (commencement of operations) through September 30, 2021 |
Dividends Received Deduction | |
First Trust NASDAQ Technology Dividend Index
Fund
|
100.00% |
Multi-Asset Diversified Income Index Fund
|
30.08% |
First Trust S&P International Dividend
Aristocrats ETF
|
0.00% |
First Trust BuyWrite Income ETF
|
19.08% |
First Trust Nasdaq BuyWrite Income ETF
|
19.25% |
First Trust Rising Dividend Achievers ETF
|
100.00% |
First Trust Dorsey Wright Focus 5 ETF
|
** |
First Trust RBA American Industrial
Renaissance®
ETF
|
100.00% |
First Trust Dorsey Wright Momentum & Dividend
ETF
|
65.29% |
First Trust Dorsey Wright International Focus 5
ETF
|
** |
First Trust Dorsey Wright Dynamic Focus 5
ETF
|
** |
First Trust Indxx Innovative Transaction &
Process ETF
|
19.63% |
First Trust Nasdaq Artificial Intelligence and
Robotics ETF
|
69.13% |
First Trust International Developed Capital
Strength ETF
|
0.00% |
Qualified Dividend Income | |
First Trust NASDAQ Technology Dividend Index
Fund
|
100.00% |
Multi-Asset Diversified Income Index Fund
|
29.85% |
First Trust S&P International Dividend
Aristocrats ETF
|
87.45% |
First Trust BuyWrite Income ETF
|
18.22% |
First Trust Nasdaq BuyWrite Income ETF
|
19.74% |
First Trust Rising Dividend Achievers ETF
|
100.00% |
First Trust Dorsey Wright Focus 5 ETF
|
** |
First Trust RBA American Industrial
Renaissance®
ETF
|
100.00% |
First Trust Dorsey Wright Momentum & Dividend
ETF
|
71.95% |
First Trust Dorsey Wright International Focus 5
ETF
|
** |
First Trust Dorsey Wright Dynamic Focus 5
ETF
|
** |
First Trust Indxx Innovative Transaction &
Process ETF
|
100.00% |
First Trust Nasdaq Artificial Intelligence and
Robotics ETF
|
100.00% |
First Trust International Developed Capital
Strength ETF
|
100.00% |
Gross Foreign Income | Foreign Taxes Paid | ||||||
Amount | Per Share | Amount | Per Share | ||||
First Trust S&P International Dividend
Aristocrats ETF
|
$ 2,766,582 | $ 0.86 | $ 263,783 | $ 0.08 | |||
First Trust Indxx Innovative Transaction &
Process ETF
|
4,087,700 | 1.24 | 356,094 | 0.11 | |||
First Trust International Developed Capital
Strength ETF
|
745,941 | 0.99 | 74,196 | 0.10 |
NOT FDIC INSURED | NOT BANK GUARANTEED | MAY LOSE VALUE |
Name, Year of Birth and Position with the 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 Past 5 Years |
INDEPENDENT TRUSTEES | ||||
Richard
E. Erickson, Trustee (1951) |
• Indefinite
Term • Since Inception |
Physician, Edward-Elmhurst Medical Group; Physician and Officer, Wheaton Orthopedics (1990 to 2021) | 221 | None |
Thomas
R. Kadlec, Trustee (1957) |
• Indefinite
Term • Since Inception |
Retired; President, ADM Investor Services, Inc. (Futures Commission Merchant) (2010 to July 2022) | 221 | Director, National Futures Association and ADMIS Singapore Ltd.; Formerly, Director of ADM Investor Services, Inc., ADM Investor Services International, ADMIS Hong Kong Ltd., and Futures Industry Association |
Denise
M. Keefe, Trustee (1964) |
• Indefinite
Term • Since 2021 |
Executive Vice President, Advocate Aurora Health and President, Advocate Aurora Continuing Health Division (Integrated Healthcare System) | 221 | 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 and Board Chair of RML Long Term Acute Care Hospitals; and Director of Senior Helpers (since 2021) |
Robert
F. Keith, Trustee (1956) |
• Indefinite
Term • Since Inception |
President, Hibs Enterprises (Financial and Management Consulting) | 221 | Formerly, Director of Trust Company of Illinois |
Niel
B. Nielson, Trustee (1954) |
• 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) | 221 | None |
INTERESTED TRUSTEE | ||||
James
A. Bowen(1),
Trustee and Chairman of the Board (1955) |
• 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) | 221 | None |
(1) | Mr. Bowen is deemed an “interested person” of the Trust due to his position as CEO of First Trust Advisors L.P., investment advisor of the Trust. |
Name and Year of Birth | Position and Offices with Trust | Term of Office and Length of Service | Principal
Occupations During Past 5 Years |
OFFICERS(2) | |||
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) |
Donald
P. Swade (1972) |
Treasurer, Chief Financial Officer and Chief Accounting Officer | • Indefinite
Term • Since 2016 |
Senior Vice President, First Trust Advisors L.P. and First Trust Portfolios L.P. |
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; 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. |
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. |
(2) | The term “officer” means the president, vice president, secretary, treasurer, controller or any other officer who performs a policy making function. |
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