BLANKET BOND INSURANCE AGREEMENT
THIS AGREEMENT is made as of the 6th day of January, 2015, by and among
the investment companies listed in Appendix A (collectively referred to herein
as the "Funds"), First Trust Advisors L.P. (the "Advisor") and First Trust
Portfolios L.P. (collectively, with the Advisor and the Funds referred to as the
"Parties").
WITNESSETH:
WHEREAS, the Parties have agreed to acquire a joint insured policy (the
"Policy") issued by ICI Mutual Insurance Company containing broker's blanket
bond coverage ("Blanket Bond Coverage") which shall cover all Parties;
WHEREAS, the total amount of the Blanket Bond Coverage under the Policy
will be $28,000,000 ("Bond Amount") based upon the determination of each Fund's
Board of Trustees that such insured Parties should have an amount of coverage,
in the aggregate, of at least $26,450,000 ("Basic Bond Coverage") as provided in
Appendix B;
WHEREAS, the Parties desire to provide herein for an allocation of the
premiums for the Blanket Bond Coverage and a manner of allocating any loss
proceeds received under the Policy.
The Parties, therefore, agree that:
1. Allocation of Blanket Bond Coverage Premium. Each Party shall pay a
proportionate share of the Blanket Bond Coverage annual premium based on the
allocation as set forth in Appendix C.
2. Losses.
(a) General. The Policy is a "claims made" insurance policy and a Policy
Year is the period from October 9th through the next succeeding October 9th (or
any modification of that period as may be agreed by the Parties and the
insurer). The insured loss (including all related expenses) of a Party which
relates to a claim made by that Party relating to a particular Policy Year under
the Blanket Bond Coverage is hereinafter referred to as a "Blanket Bond Loss."
Party includes the trustees and officers of an insured Party and other insured
agents or employees of such a Party.
(b) Blanket Bond Loss. If only one insured Party incurs a Blanket Bond
Loss relating to a Policy Year, the proceeds of the Blanket Bond Coverage for
that Policy Year will be allocated to that Party. If more than one insured Party
incurs a Blanket Bond Loss relating to a particular Policy Year, the proceeds of
the Blanket Bond Coverage for that Policy Year will first be allocated among
those insured Parties in proportion to their respective premiums paid under
Paragraph 1 hereof for Blanket Bond Coverage. If, for that particular Policy
Year, after initial allocation, there are remaining proceeds of the Blanket Bond
Coverage and there are then insured Parties whose Blanket Bond Losses have not
been paid in full, such proceeds shall be further allocated among such insured
Parties in proportion to their respective premiums paid for such Coverage
(repeating this further allocation procedure as each of such insured Parties is
paid in full, until all proceeds have been allocated). If all Blanket Bond
Losses relating to a particular Policy Year are not paid at the same time, the
insured Parties who claim such Losses for that Policy Year shall make such
provisions as they deem suitable to the particular circumstances (taking into
account the size of any payment received, the size, nature and expected result
of any remaining claims, and all other relevant factors) to permit a later
re-allocation of amounts first paid. In no event shall any insured Party that
incurs a Blanket Bond Loss relating to a Policy Year which equals or exceeds its
Basic Bond Coverage be allocated proceeds of the Blanket Bond Coverage for that
particular Policy Year in an amount less than its Basic Bond Coverage.
3. Notices. Each Party agrees to give promptly to the insurer all notices
required under the Policy.
4. Agent. The Advisor is hereby appointed as the agent for all of the
Parties for the purpose of making, adjusting, receiving and enforcing payment of
all claims under the Policy and otherwise dealing with the insurer with respect
to the Policy. All expenses incurred by the Advisor in its capacity as agent for
claims shall be shared by the Parties (including the Advisor) in the same manner
as above provided for the sharing of Losses.
5. Modification and Termination. This Agreement may be modified or amended
from time to time by mutual written agreement among all of the Parties. It may
be terminated with respect to any one Party by not less than 60 days' written
notice to the other Parties which are still parties to the Agreement. It shall
terminate with respect to any Party as of the date that Party ceases to be an
insured under the Policy; provided that such termination shall not affect that
Party's rights and obligations hereunder with respect to any claims on behalf of
that Party which are paid under the Policy by the insurer after the date the
Party ceases to be an insured under the Policy.
6. Further Assurances. Each Party agrees to perform such further acts and
execute such further documents as are necessary to effectuate the purposes
hereof.
IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed
as of the day and year first above written.
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust Senior Floating Rate Income Fund II
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
First Trust/Aberdeen Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust Strategic High Income Fund II
First Trust/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust Dividend and Income Fund
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust Intermediate Duration Preferred & Income Fund
First Trust New Opportunities MLP & Energy Fund
First Trust Exchange-Traded Fund
First Trust Exchange-Traded Fund II
First Trust Exchange-Traded Fund III
First Trust Exchange-Traded Fund IV
First Trust Exchange-Traded Fund V
First Trust Exchange-Traded Fund VI
First Trust Exchange-Traded Fund VII
First Trust Exchange-Traded AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX(R) Fund II
First Trust Series Fund
First Trust Variable Insurance Trust
By /s/ Xxxxxx X. Xxxxx
----------------------------------------
Xxxxxx X. Xxxxx, Assistant Secretary
First Trust Advisors L.P.
First Trust Portfolios L.P.
By /s/ Xxxxxx X. Xxxxx
----------------------------------------
Xxxxxx X. Xxxxx, Deputy General Counsel
APPENDIX A
CLOSED-END FUNDS
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust Senior Floating Rate Income Fund II
Macquarie/First Trust Global Infrastructure/Utilities
Dividend & Income Fund
First Trust/Aberdeen Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust Strategic High Income Fund II
First Trust/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust Dividend and Income Fund
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust Intermediate Duration Preferred & Income Fund
First Trust New Opportunities MLP & Energy Fund
EXCHANGE-TRADED FUNDS
First Trust Exchange-Traded Fund
First Trust Dow Xxxxx Select MicroCap Index Fund
First Trust Morningstar Dividend Leaders Index Fund
First Trust US IPO Index Fund
First Trust NASDAQ-100 Equal Weighted Index Fund
First Trust NASDAQ-100-Technology Sector Index Fund
First Trust NYSE Arca Biotechnology Index Fund
First Trust Dow Xxxxx Internet Index Fund
First Trust Capital Strength ETF
First Trust Value Line(R) Equity Allocation Index Fund
First Trust Value Line(R) Dividend Index Fund
First Trust NASDAQ-100 Ex-Technology Sector Index Fund
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund
First Trust S&P REIT Index Fund
First Trust ISE Water Index Fund
First Trust ISE Revere Natural Gas Index Fund
First Trust ISE Chindia Index Fund
First Trust Value Line(R) 100 Exchange-Traded Fund
First Trust NASDAQ ABA Community Bank Index Fund
First Trust CBOE S&P 500 VIX Tail Hedge Index Fund
First Trust Exchange-Traded Fund II
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund
First Trust STOXX(R) European Select Dividend Index Fund
First Trust Dow Xxxxx Global Select Dividend Index Fund
First Trust ISE Global Wind Energy Index Fund
First Trust ISE Global Engineering and Construction Index Fund
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund
First Trust ISE Global Copper Index Fund
First Trust ISE Global Platinum Index Fund
First Trust XXXX Index Fund
First Trust ISE Cloud Computing Index Fund
First Trust NASDAQ CEA Smartphone Index Fund
First Trust NASDAQ Global Auto Index Fund
First Trust International IPO ETF
First Trust Exchange-Traded AlphaDEX(R) Fund
First Trust Consumer Discretionary AlphaDEX(R) Fund
First Trust Consumer Staples AlphaDEX(R) Fund
First Trust Energy AlphaDEX(R) Fund
First Trust Financials AlphaDEX(R) Fund
First Trust Health Care AlphaDEX(R) Fund
First Trust Industrials/Producer Durables AlphaDEX(R) Fund
First Trust Materials AlphaDEX(R) Fund
First Trust Technology AlphaDEX(R) Fund
First Trust Utilities AlphaDEX(R) Fund
First Trust Large Cap Core AlphaDEX(R) Fund
First Trust Mid Cap Core AlphaDEX(R) Fund
First Trust Mid Cap Growth AlphaDEX(R) Fund
First Trust Mid Cap Value AlphaDEX(R) Fund
First Trust Small Cap Core AlphaDEX(R) Fund
First Trust Small Cap Value AlphaDEX(R) Fund
First Trust Small Cap Growth AlphaDEX(R) Fund
First Trust Large Cap Value AlphaDEX(R) Fund
First Trust Large Cap Growth AlphaDEX(R) Fund
First Trust Multi Cap Value AlphaDEX(R) Fund
First Trust Multi Cap Growth AlphaDEX(R) Fund
First Trust Mega Cap AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX(R) Fund II
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund
First Trust Europe AlphaDEX(R) Fund
First Trust Latin America AlphaDEX(R) Fund
First Trust Brazil AlphaDEX(R) Fund
First Trust China AlphaDEX(R) Fund
First Trust Japan AlphaDEX(R) Fund
First Trust South Korea AlphaDEX(R) Fund
First Trust Developed Markets Ex-US AlphaDEX(R) Fund
First Trust Emerging Markets AlphaDEX(R) Fund
First Trust Germany AlphaDEX(R) Fund
First Trust Canada AlphaDEX(R) Fund
First Trust Australia AlphaDEX(R) Fund
First Trust United Kingdom AlphaDEX(R) Fund
First Trust Taiwan AlphaDEX(R) Fund
First Trust Hong Kong AlphaDEX(R) Fund
First Trust Switzerland AlphaDEX(R) Fund
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund
First Trust Eurozone AlphaDEX(R) ETF
First Trust Exchange-Traded Fund III
First Trust Preferred Securities and Income ETF
First Trust Managed Municipal ETF
First Trust Long/Short Equity ETF
First Trust Emerging Markets Local Currency Bond ETF
First Trust Exchange-Traded Fund IV
First Trust North American Energy Infrastructure Fund
First Trust Tactical High Yield ETF
First Trust Senior Loan Fund
First Trust Enhanced Short Maturity ETF
First Trust Strategic Income ETF
First Trust Low Duration Mortgage Opportunities ETF
First Trust Exchange-Traded Fund V
First Trust Morningstar Managed Futures Strategy Fund
First Trust Exchange-Traded Fund VI
Multi-Asset Diversified Income Index Fund
First Trust NASDAQ Technology Dividend Index Fund
International Multi-Asset Diversified Income Index Fund
First Trust High Income ETF
First Trust Low Beta Income ETF
First Trust NASDAQ Rising Dividend Achievers ETF
First Trust Xxxxxx Xxxxxx Focus 5 ETF
First Trust RBA American Industrial Renaissance(TM) ETF
First Trust RBA Quality Income ETF
First Trust Xxxxxx Xxxxxx International Focus 5 ETF
First Trust Exchange-Traded Fund VII
First Trust Global Tactical Commodity Strategy Fund
OPEN END FUNDS
First Trust Series Fund
First Trust Preferred Securities and Income Fund
First Trust/Confluence Small Cap Value Fund
First Trust Short Duration High Income Fund
First Trust Variable Insurance Trust
First Trust/Dow Xxxxx Dividend & Income Allocation Portfolio
First Trust Multi Income Allocation Portfolio
APPENDIX B
FIRST TRUST CLOSED-END FUNDS
First Trust Energy Income and Growth Fund $1,250,000
First Trust Enhanced Equity Income Fund $750,000
First Trust Senior Floating Rate Income Fund II $900,000
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund $600,000
First Trust/Aberdeen Global Opportunity Income Fund $750,000
First Trust Mortgage Income Fund $450,000
First Trust Strategic High Income Fund II $600,000
First Trust/Aberdeen Emerging Opportunity Fund $525,000
First Trust Specialty Finance and Financial Opportunities Fund $525,000
First Trust Dividend and Income Fund $525,000
First Trust High Income Long/Short Fund $1,000,000
First Trust Energy Infrastructure Fund $900,000
First Trust MLP and Energy Income Fund $1,500,000
First Trust Intermediate Duration Preferred & Income Fund $1,250,000
First Trust New Opportunities MLP & Energy Fund $900,000
--------------------------------------------------------------------------------------------- ---------------
SUB-TOTAL $12,425,000
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Xxxxx Select MicroCap Index Fund N/A
First Trust Morningstar Dividend Leaders Index Fund N/A
First Trust US IPO Index Fund N/A
First Trust NASDAQ-100 Equal Weighted Index Fund N/A
First Trust NASDAQ-100-Technology Sector Index Fund N/A
First Trust NYSE Arca Biotechnology Index Fund N/A
First Trust Dow Xxxxx Internet Index Fund N/A
First Trust Capital Strength ETF N/A
First Trust Value Line(R) Equity Allocation Index Fund N/A
First Trust Value Line(R) Dividend Index Fund N/A
First Trust NASDAQ-100 Ex-Technology Sector Index Fund N/A
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund N/A
First Trust S&P REIT Index Fund N/A
First Trust ISE Water Index Fund N/A
First Trust ISE Revere Natural Gas Index Fund N/A
First Trust ISE Chindia Index Fund N/A
First Trust Value Line(R) 100 Exchange-Traded Fund N/A
First Trust NASDAQ ABA Community Bank Index Fund N/A
First Trust CBOE S&P 500 VIX Tail Hedge Fund N/A
--------------------------------------------------------------------------------------------- ---------------
SUB-TOTAL $2,500,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Consumer Discretionary AlphaDEX(R) Fund N/A
First Trust Consumer Staples AlphaDEX(R) Fund N/A
First Trust Energy AlphaDEX(R) Fund N/A
First Trust Financials AlphaDEX(R) Fund N/A
First Trust Health Care AlphaDEX(R) Fund N/A
First Trust Industrials/Producer Durables AlphaDEX(R) Fund N/A
First Trust Materials AlphaDEX(R) Fund N/A
First Trust Technology AlphaDEX(R) Fund N/A
First Trust Utilities AlphaDEX(R) Fund N/A
First Trust Large Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Growth AlphaDEX(R) Fund N/A
First Trust Small Cap Core AlphaDEX(R) Fund N/A
First Trust Small Cap Value AlphaDEX(R) Fund N/A
First Trust Small Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Value AlphaDEX(R) Fund N/A
First Trust Large Cap Growth AlphaDEX(R) Fund N/A
First Trust Mega Cap AlphaDEX(R) Fund N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund N/A
First Trust STOXX(R) European Select Dividend Index Fund N/A
First Trust Dow Xxxxx Global Select Dividend Index Fund N/A
First Trust ISE Global Wind Energy Index Fund N/A
First Trust ISE Global Engineering and Construction Index Fund N/A
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund N/A
First Trust ISE Global Copper Index Fund N/A
First Trust ISE Global Platinum Index Fund N/A
First Trust XXXX Index Fund N/A
First Trust ISE Cloud Computing Index Fund N/A
First Trust NASDAQ CEA Smartphone Index Fund N/A
First Trust NASDAQ Global Auto Index Fund N/A
First Trust International IPO ETF N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $1,250,000
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF N/A
First Trust Managed Municipal ETF N/A
First Trust Long/Short Equity ETF N/A
First Trust Emerging Markets Local Currency Bond ETF N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $525,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets Ex-US AlphaDEX(R) Fund N/A
First Trust Emerging Markets AlphaDEX(R) Fund N/A
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund N/A
First Trust Europe AlphaDEX(R) Fund N/A
First Trust Latin America AlphaDEX(R) Fund N/A
First Trust Brazil AlphaDEX(R) Fund N/A
First Trust China AlphaDEX(R) Fund N/A
First Trust Japan AlphaDEX(R) Fund N/A
First Trust South Korea AlphaDEX(R) Fund N/A
First Trust Germany AlphaDEX(R) Fund N/A
First Trust Canada AlphaDEX(R) Fund N/A
First Trust Australia AlphaDEX(R) Fund N/A
First Trust United Kingdom AlphaDEX(R) Fund N/A
First Trust Taiwan AlphaDEX(R) Fund N/A
First Trust Hong Kong AlphaDEX(R) Fund N/A
First Trust Switzerland AlphaDEX(R) Fund N/A
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund N/A
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund N/A
First Trust Eurozone AlphaDEX(R) ETF N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $1,500,000
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund N/A
First Trust Tactical High Yield ETF N/A
First Trust Senior Loan Fund N/A
First Trust Enhanced Short Maturity ETF N/A
First Trust Strategic Income ETF N/A
First Trust Low Duration Mortgage Opportunities ETF N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $1,700,000
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Morningstar Managed Futures Strategy Fund N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $200,000
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $600,000
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi-Asset Diversified Income Index Fund N/A
First Trust NASDAQ Technology Dividend Index Fund N/A
International Multi-Asset Diversified Income Index Fund N/A
First Trust High Income ETF N/A
First Trust Low Beta Income ETF N/A
First Trust NASDAQ Rising Dividend Achievers ETF N/A
First Trust Xxxxxx Xxxxxx Focus 5 ETF N/A
First Trust RBA American Industrial Renaissance(TM) ETF N/A
First Trust RBA Quality Income ETF N/A
First Trust Xxxxxx Xxxxxx International Focus 5 ETF N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $1,900,000
FIRST TRUST SERIES FUND
First Trust Preferred Securities and Income Fund N/A
First Trust/Confluence Small Cap Value Fund N/A
First Trust Short Duration High Income Fund N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $750,000
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Xxxxx Dividend & Income Allocation Portfolio N/A
First Trust Multi Income Allocation Portfolio N/A
--------------------------------------------------------------------------------------------- ---------------
Sub-Total $600,000
GRAND TOTAL $26,450,000
APPENDIX C
PREMIUM
FIRST TRUST CLOSED-END FUNDS
First Trust Energy Infrastructure Fund $1,142
First Trust High Income Long/Short Fund $1,265
Macquarie/First Trust Global Opportunity Dividend & Income Fund $364
First Trust Senior Floating Rate Income Fund II $1,023
First Trust Energy Income and Growth Fund $1,768
First Trust Enhanced Equity Income Fund $575
First Trust/Aberdeen Global Opportunity Income Fund $647
First Trust Mortgage Income Fund $147
First Trust Strategic High Income Fund II $361
First Trust/Aberdeen Emerging Opportunity Fund $207
First Trust Specialty Finance and Financial Opportunities Fund $247
First Trust Dividend and Income Fund $195
First Trust MLP and Energy Income Fund $2,560
First Trust Intermediate Duration Preferred & Income Fund $3,894
First Trust New Opportunities MLP & Energy Fund $1,168
-------------------------------------------------------------------------------------------------------------
Total $15,563
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Xxxxx Select MicroCap Index Fund $93
First Trust Morningstar Dividend Leaders Index Fund $1,438
First Trust US IPO Index Fund $965
First Trust NASDAQ-100 Equal Weighted Index Fund $837
First Trust NASDAQ-100 Technology Sector Index Fund $494
First Trust Dow Xxxxx Internet Index Fund $3,194
First Trust NYSE Arca Biotechnology Index Fund $2,833
First Trust Capital Strength ETF $142
First Trust NASDAQ-100 Ex-Technology Sector Index Fund $169
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund $224
First Trust NASDAQ(R) ABA Community Bank Index Fund $162
First Trust ISE Water Index Fund $337
First Trust ISE-Revere Natural Gas Index Fund $745
First Trust ISE Chindia Index Fund $127
First Trust S&P REIT Index Fund $485
First Trust Value Line(R) Equity Allocation Index Fund $9
First Trust Value Line(R) Dividend Index Fund $1,665
First Trust Value Line(R) 100 Exchange-Traded Fund $112
First Trust CBOE S&P 500 VIX Tail Hedge Fund $6
-------------------------------------------------------------------------------------------------------------
Total $14,037
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust STOXX(R) European Select Dividend Index Fund $303
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Fund $198
First Trust Dow Xxxxx Global Select Dividend $1,024
First Trust ISE Global Wind Energy Index Fund $156
First Trust ISE Global Engineering and Construction Index Fund $31
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund $23
First Trust ISE Global Copper Index Fund $48
First Trust ISE Global Platinum Index Fund $19
First Trust XXXX Index Fund $33
First Trust NASDAQ CEA Smartphone Index Fund $20
First Trust NASDAQ Global Auto Index Fund $117
First Trust ISE Cloud Computing Index Fund $613
-------------------------------------------------------------------------------------------------------------
Total $2,585
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Large Cap Core AlphaDEX(R) Fund $2,389
First Trust Mid Cap Core AlphaDEX(R) Fund $1,624
First Trust Small Cap Core AlphaDEX(R) Fund $936
First Trust Large Cap Value AlphaDEX(R) Fund $2,094
First Trust Large Cap Growth AlphaDEX(R) Fund $716
First Trust Multi Cap Value AlphaDEX(R) Fund $318
First Trust Multi Cap Growth AlphaDEX(R) Fund $125
First Trust Consumer Discretionary AlphaDEX(R) Fund $2,465
First Trust Consumer Staples AlphaDEX(R) Fund $2,612
First Trust Energy AlphaDEX(R) Fund $1,224
First Trust Financials AlphaDEX(R) Fund $1,618
First Trust Health Care AlphaDEX(R) Fund $4,287
First Trust Industrials AlphaDEX(R) Fund $2,086
First Trust Materials AlphaDEX(R) Fund $1,136
First Trust Technology AlphaDEX(R) Fund $1,484
First Trust Utilities AlphaDEX(R) Fund $384
First Trust Mid Cap Growth AlphaDEX(R) Fund $83
First Trust Mid Cap Value AlphaDEX(R) Fund $126
First Trust Small Cap Growth AlphaDEX(R) Fund $69
First Trust Small Cap Value AlphaDEX(R) Fund $110
First Trust Mega Cap AlphaDEX(R) Fund $27
-------------------------------------------------------------------------------------------------------------
Total $25,913
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets Ex-US AlphaDEX(R) Fund $227
First Trust Emerging Markets AlphaDEX(R) Fund $794
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund $261
First Trust Europe AlphaDEX(R) Fund $1,251
First Trust Latin America AlphaDEX(R) Fund $12
First Trust Brazil AlphaDEX(R) Fund $8
First Trust China AlphaDEX(R) Fund $13
First Trust Japan AlphaDEX(R) Fund $73
First Trust South Korea AlphaDEX(R) Fund $8
First Trust Germany AlphaDEX(R) Fund $87
First Trust Canada AlphaDEX(R) Fund $343
First Trust Australia AlphaDEX(R) Fund $3
First Trust United Kingdom AlphaDEX(R) Fund $129
First Trust Taiwan AlphaDEX(R) Fund $45
First Trust Hong Kong AlphaDEX(R) Fund $26
First Trust Switzerland AlphaDEX(R) Fund $307
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund $10
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund $151
First Trust Eurozone AlphaDEX(R) ETF $14
-------------------------------------------------------------------------------------------------------------
Total $3,762
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF $148
First Trust Managed Municipal ETF $37
First Trust Long/Short Equity ETF $5
-------------------------------------------------------------------------------------------------------------
Total $190
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund $1,561
First Trust Tactical High Yield ETF $337
First Trust Senior Loan Fund $363
First Trust Enhanced Short Maturity ETF $39
First Trust Strategic Income ETF $36
-------------------------------------------------------------------------------------------------------------
Total $2,336
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Morningstar Managed Futures Strategy Fund $23
-------------------------------------------------------------------------------------------------------------
Total $23
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi Asset Diversified Income Index Fund $1,417
First Trust NASDAQ Technology Dividend Index Fund $1,220
International Multi-Asset Diversified Income Index Fund $24
First Trust High Income ETF $5
First Trust Low Beta Income ETF $4
First Trust NASDAQ Rising Dividend Achievers ETF $13
First Trust Xxxxxx Xxxxxx Focus 5 ETF $1,043
First Trust RBA American Industrial Renaissance(TM) ETF $144
First Trust RBA Quality Income ETF $9
First Trust Xxxxxx Xxxxxx International Focus 5 ETF $58
-------------------------------------------------------------------------------------------------------------
Total $3,937
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund $334
-------------------------------------------------------------------------------------------------------------
Total $334
FIRST TRUST OPEN-END FUNDS
FIRST TRUST SERIES FUND
First Trust Preferred Securities and Income Fund $276
First Trust/Confluence Small Cap Value Fund $6
First Trust Short Duration High Income Fund $304
-------------------------------------------------------------------------------------------------------------
Total $586
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Xxxxx Dividend & Income Allocation Portfolio $252
First Trust Multi Income Allocation Portfolio $5
-------------------------------------------------------------------------------------------------------------
Total $257
First Trust Advisors L.P. $40,555
First Trust Portfolios L.P. $5,793
-------------------------------------------------------------------------------------------------------------
GRAND TOTAL $115,871
