BLANKET BOND INSURANCE AGREEMENT
THIS AGREEMENT is made as of the 16th day of October, 2019, 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 $33,000,000 ("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 $31,875,000 ("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 to 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/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities 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 Dynamic Europe Equity Income Fund
First Trust Senior Floating Rate 2022 Target Term 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 Fund VIII
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
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust/Aberdeen Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust Senior Floating Rate Income Fund II
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust New Opportunities MLP & Energy Fund
First Trust Senior Floating Rate 2022 Target Term Fund
First Trust Intermediate Duration Preferred & Income Fund
First Trust Dynamic Europe Equity Income 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 Equity Opportunities ETF
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 Total US Market AlphaDEX(R) ETF
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 Chindia ETF
First Trust Natural Gas ETF
First Trust Water ETF
First Trust Value Line(R) 100 Exchange-Traded Fund
First Trust NASDAQ(R) ABA Community Bank Index Fund
First Trust Xxxxxx Xxxxxx People's Portfolio ETF
First Trust Dow 30 Equal Weight ETF
First Trust Xxxx U.S. Factor Rotation ETF
First Trust Exchange-Traded Fund II
First Trust STOXX(R) European Select Dividend Index Fund
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund
First Trust Dow Xxxxx Global Select Dividend Index Fund
First Trust Global Wind Energy ETF
First Trust Global Engineering and Construction ETF
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund
First Trust Indxx Global Natural Resources Income ETF
First Trust Indxx Global Agriculture ETF
First Trust XXXX Index Fund
First Trust Indxx NextG ETF
First Trust NASDAQ Global Auto Index Fund
First Trust Cloud Computing ETF
First Trust International Equity Opportunities ETF
First Trust Nasdaq Cybersecurity ETF
First Trust IPOX(R) Europe Equity Opportunities ETF
First Trust Dow Xxxxx International Internet ETF
First Trust Exchange-Traded AlphaDEX(R) Fund
First Trust Large Cap Core AlphaDEX(R) Fund
First Trust Mid Cap Core AlphaDEX(R) Fund
First Trust Small Cap Core 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 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 Mid Cap Growth AlphaDEX(R) Fund
First Trust Mid Cap Value AlphaDEX(R) Fund
First Trust Small Cap Growth AlphaDEX(R) Fund
First Trust Small Cap Value AlphaDEX(R) Fund
First Trust Mega Cap AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX(R) Fund II
First Trust Developed Markets ex-US AlphaDEX(R) Fund
First Trust Emerging Markets AlphaDEX(R) Fund
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 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 India NIFTY 50 Equal Weight ETF
First Trust Hong Kong AlphaDEX(R) Fund
First Trust Switzerland AlphaDEX(R) Fund
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund
First Trust Emerging Markets 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 RiverFront Dynamic Asia Pacific ETF
First Trust RiverFront Dynamic Developed International ETF
First Trust RiverFront Dynamic Europe ETF
First Trust RiverFront Dynamic Emerging Markets ETF
First Trust Horizon Managed Volatility Domestic ETF
First Trust Horizon Managed Volatility Developed International ETF
First Trust California Municipal High Income ETF
First Trust Institutional Preferred Securities and Income ETF
First Trust Municipal High Income ETF
First Trust Ultra Short Duration Municipal ETF
First Trust Short Duration Managed Municipal 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 Opportunities ETF
First Trust SSI Strategic Convertible Securities ETF
First Trust EIP Carbon Impact ETF
First Trust Long Duration Opportunities ETF
First Trust Exchange-Traded Fund V
First Trust Managed Futures Strategy Fund
First Trust Exchange-Traded Fund VI
First Trust NASDAQ Technology Dividend Index Fund
Multi-Asset Diversified Income Index Fund
First Trust S&P International Dividend Aristocrats ETF
First Trust BuyWrite Income ETF
First Trust Hedged BuyWrite Income ETF
First Trust Rising Dividend Achievers ETF
First Trust Xxxxxx Xxxxxx Focus 5 ETF
First Trust RBA American Industrial Renaissance(R) ETF
First Trust Xxxxxx Xxxxxx Momentum & Dividend ETF
First Trust Xxxxxx Xxxxxx International Focus 5 ETF
First Trust Xxxxxx Xxxxxx Dynamic Focus 5 ETF
First Trust XXXX Cap Rising Dividend Achievers ETF
First Trust Indxx Innovative Transaction & Process ETF
First Trust Nasdaq Artificial Intelligence and Robotics ETF
First Trust Nasdaq Bank ETF
First Trust Nasdaq Food & Beverage ETF
First Trust Nasdaq Oil & Gas ETF
First Trust Nasdaq Pharmaceuticals ETF
First Trust Nasdaq Retail ETF
First Trust Nasdaq Semiconductor ETF
First Trust Nasdaq Transportation ETF
Developed International Equity Select ETF
Emerging Markets Equity Select ETF
Large Cap US Equity Select ETF
Mid Cap US Equity Select ETF
Small Cap US Equity Select ETF
US Equity Dividend Select ETF
First Trust Xxxxxx Xxxxxx DALI 1 ETF
First Trust Xxxxxx Xxxxxx Momentum & Value ETF
First Trust Xxxxxx Xxxxxx Momentum & Low Volatility ETF
First Trust Exchange-Traded Fund VII
First Trust Global Tactical Commodity Strategy Fund
First Trust Alternative Absolute Return Strategy ETF
First Trust Exchange-Traded Fund VIII
First Trust CEF Income Opportunity ETF
First Trust Municipal CEF Income Opportunity ETF
First Trust TCW Opportunistic Fixed Income ETF
EquityCompass Risk Manager ETF
EquityCompass Tactical Risk Manager ETF
First Trust TCW Unconstrained Plus Bond ETF
First Trust Low Duration Strategic Focus ETF
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
First Trust Xxxxxx Xxxxxx Tactical Core Portfolio
APPENDIX B
FIRST TRUST CLOSED-END FUNDS
First Trust Senior Floating Rate Income Fund II $900,000
First Trust Energy Income and Growth Fund $900,000
First Trust Enhanced Equity Income Fund $750,000
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund $525,000
First Trust/Aberdeen Global Opportunity Income Fund $600,000
First Trust Mortgage Income Fund $400,000
First Trust/Aberdeen Emerging Opportunity Fund $450,000
First Trust Specialty Finance and Financial Opportunities Fund $525,000
First Trust High Income Long/Short Fund $900,000
First Trust Energy Infrastructure Fund $750,000
First Trust MLP and Energy Income Fund $1,000,000
First Trust Intermediate Duration Preferred & Income Fund $1,250,000
First Trust New Opportunities MLP & Energy Fund $750,000
First Trust Dynamic Europe Equity Income Fund $750,000
First Trust Senior Floating Rate 2022 Target Term Fund $750,000
-------------------------------------------------------------------------------------------- --------------
Sub-Total $11,200,000
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 Equity Opportunities ETF 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 Total US Market AlphaDEX(R) ETF 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 Water ETF N/A
First Trust Natural Gas ETF N/A
First Trust Chindia ETF N/A
First Trust Value Line(R) 100 Exchange-Traded Fund N/A
First Trust NASDAQ(R) ABA Community Bank Index Fund N/A
First Trust Xxxxxx Xxxxxx People's Portfolio ETF N/A
First Trust Dow 30 Equal Weight ETF N/A
First Trust Xxxx U.S. Factor Rotation ETF 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 Mid Cap Value 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 Growth AlphaDEX(R) Fund N/A
First Trust Multi Cap Value AlphaDEX(R) Fund N/A
First Trust Multi Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Value 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 Global Wind Energy ETF N/A
First Trust Global Engineering and Construction ETF N/A
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund N/A
First Trust Indxx Global Natural Resources Income ETF N/A
First Trust Indxx Global Agriculture ETF N/A
First Trust XXXX Index Fund N/A
First Trust Cloud Computing ETF N/A
First Trust Indxx NextG ETF N/A
First Trust NASDAQ Global Auto Index Fund N/A
First Trust International Equity Opportunities ETF N/A
First Trust Nasdaq Cybersecurity ETF N/A
First Trust IPOX(R) Europe Equity Opportunities ETF N/A
First Trust Dow Xxxxx International Internet ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
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 India NIFTY 50 Equal Weight ETF 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 $1,900,000
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
First Trust Horizon Managed Volatility Domestic ETF N/A
First Trust Horizon Managed Volatility Developed International ETF N/A
First Trust RiverFront Dynamic Asia Pacific ETF N/A
First Trust RiverFront Dynamic Developed International ETF N/A
First Trust RiverFront Dynamic Europe ETF N/A
First Trust RiverFront Dynamic Emerging Markets ETF N/A
First Trust California Municipal High Income ETF N/A
First Trust Institutional Preferred Securities and Income ETF N/A
First Trust Municipal High Income ETF N/A
First Trust Ultra Short Duration Municipal ETF N/A
First Trust Short Duration Managed Municipal ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
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 Opportunities ETF N/A
First Trust SSI Strategic Convertible Securities ETF N/A
First Trust EIP Carbon Impact ETF N/A
First Trust Long Duration Opportunities ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Managed Futures Strategy Fund N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $175,000
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi-Asset Diversified Income Index Fund N/A
First Trust NASDAQ Technology Dividend Index Fund N/A
First Trust S&P International Dividend Aristocrats ETF N/A
First Trust BuyWrite Income ETF N/A
First Trust Hedged BuyWrite Income ETF N/A
First Trust Rising Dividend Achievers ETF N/A
First Trust Xxxxxx Xxxxxx Focus 5 ETF N/A
First Trust RBA American Industrial Renaissance(R) ETF N/A
First Trust Xxxxxx Xxxxxx Momentum & Dividend ETF N/A
First Trust Xxxxxx Xxxxxx International Focus 5 ETF N/A
First Trust Xxxxxx Xxxxxx Dynamic Focus 5 ETF N/A
First Trust Nasdaq Bank ETF N/A
First Trust Nasdaq Food & Beverage ETF N/A
First Trust Nasdaq Oil & Gas ETF N/A
First Trust Nasdaq Pharmaceuticals ETF N/A
First Trust Nasdaq Retail ETF N/A
First Trust Nasdaq Semiconductor ETF N/A
First Trust Nasdaq Transportation ETF N/A
Developed International Equity Select ETF N/A
Emerging Markets Equity Select ETF N/A
Large Cap US Equity Select ETF N/A
Mid Cap US Equity Select ETF N/A
Small Cap US Equity Select ETF N/A
US Equity Dividend Select ETF N/A
First Trust Indxx Innovative Transaction & Process ETF N/A
First Trust XXXX Cap Rising Dividend Achievers ETF N/A
First Trust Nasdaq Artificial Intelligence and Robotics ETF N/A
First Trust Xxxxxx Xxxxxx DALI 1 ETF N/A
First Trust Xxxxxx Xxxxxx Momentum & Low Volatility ETF N/A
First Trust Xxxxxx Xxxxxx Momentum & Value ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund N/A
First Trust Alternative Absolute Return Strategy ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $600,000
FIRST TRUST EXCHANGE-TRADED FUND VIII
First Trust CEF Income Opportunity ETF N/A
First Trust Municipal CEF Income Opportunity ETF N/A
First Trust TCW Opportunistic Fixed Income ETF N/A
EquityCompass Risk Manager ETF N/A
EquityCompass Tactical Risk Manager ETF N/A
First Trust TCW Unconstrained Plus Bond ETF N/A
First Trust Low Duration Strategic Focus ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $1,250,000
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
First Trust Xxxxxx Xxxxxx Tactical Core Portfolio N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $1,000,000
GRAND TOTAL $31,875,000
APPENDIX C
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Xxxxx Dividend & Income Allocation Portfolio $807
First Trust Multi Income Allocation Portfolio $26
First Trust Xxxxxx Xxxxxx Tactical Core Portfolio $44
-------------------------------------------------------------------------------------------- --------------
Total $877
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Xxxxx Select MicroCap Index Fund $123
First Trust Morningstar Dividend Leaders Index Fund $1,477
First Trust US Equity Opportunities ETF $1,095
First Trust NASDAQ-100 Equal Weighted Index Fund $593
First Trust NASDAQ-100-Technology Sector Index Fund $2,184
First Trust NYSE Arca Biotechnology Index Fund $1,445
First Trust Dow Xxxxx Internet Index Fund $7,093
First Trust Capital Strength ETF $2,520
First Trust Total US Market AlphaDEX(R) ETF $15
First Trust Value Line(R) Dividend Index Fund $6,924
First Trust NASDAQ-100 Ex-Technology Sector Index Fund $82
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund $100
First Trust S&P REIT Index Fund $163
First Trust Chindia ETF $82
First Trust Natural Gas ETF $66
First Trust Water ETF $412
First Trust Value Line(R) 100 Exchange-Traded Fund $35
First Trust NASDAQ(R) ABA Community Bank Index Fund $128
First Trust Xxxxxx Xxxxxx People's Portfolio ETF $48
First Trust Dow 30 Equal Weight ETF $43
First Trust Xxxx U.S. Factor Rotation ETF $42
-------------------------------------------------------------------------------------------- --------------
Total $24,670
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust STOXX(R) European Select Dividend Index Fund $259
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund $50
First Trust Dow Xxxxx Global Select Dividend Index Fund $469
First Trust Global Wind Energy ETF $66
First Trust Global Engineering and Construction ETF $8
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund $24
First Trust Indxx Global Natural Resources Income ETF $7
First Trust Indxx Global Agriculture ETF $3
First Trust XXXX Index Fund $103
First Trust Indxx NextG ETF $173
First Trust NASDAQ Global Auto Index Fund $16
First Trust Cloud Computing ETF $1,909
First Trust International Equity Opportunities ETF $27
First Trust Nasdaq Cybersecurity ETF $862
First Trust IPOX(R) Europe Equity Opportunities ETF $2
First Trust Dow Xxxxx International Internet ETF $4
-------------------------------------------------------------------------------------------- --------------
Total $3,982
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Large Cap Core AlphaDEX(R) Fund $1,169
First Trust Mid Cap Core AlphaDEX(R) Fund $742
First Trust Small Cap Core AlphaDEX(R) Fund $500
First Trust Large Cap Value AlphaDEX(R) Fund $971
First Trust Large Cap Growth AlphaDEX(R) Fund $908
First Trust Multi Cap Value AlphaDEX(R) Fund $73
First Trust Multi Cap Growth AlphaDEX(R) Fund $158
First Trust Consumer Discretionary AlphaDEX(R) Fund $285
First Trust Consumer Staples AlphaDEX(R) Fund $328
First Trust Energy AlphaDEX(R) Fund $89
First Trust Financials AlphaDEX(R) Fund $1,581
First Trust Health Care AlphaDEX(R) Fund $925
First Trust Industrials/Producer Durables AlphaDEX(R) Fund $271
First Trust Materials AlphaDEX(R) Fund $107
First Trust Technology AlphaDEX(R) Fund $1,950
First Trust Utilities AlphaDEX(R) Fund $1,152
First Trust Mid Cap Growth AlphaDEX(R) Fund $256
First Trust Mid Cap Value AlphaDEX(R) Fund $46
First Trust Small Cap Growth AlphaDEX(R) Fund $216
First Trust Small Cap Value AlphaDEX(R) Fund $49
First Trust Mega Cap AlphaDEX(R) Fund $21
-------------------------------------------------------------------------------------------- --------------
Total $11,797
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets ex-US AlphaDEX(R) Fund $599
First Trust Emerging Markets AlphaDEX(R) Fund $515
First Trust Asia Pacific ex-Japan AlphaDEX(R) Fund $26
First Trust Europe AlphaDEX(R) Fund $453
First Trust Latin America AlphaDEX(R) Fund $100
First Trust Brazil AlphaDEX(R) Fund $96
First Trust China AlphaDEX(R) Fund $8
First Trust Japan AlphaDEX(R) Fund $71
First Trust South Korea AlphaDEX(R) Fund $3
First Trust Germany AlphaDEX(R) Fund $111
First Trust Canada AlphaDEX(R) Fund $4
First Trust Australia AlphaDEX(R) Fund $1
First Trust United Kingdom AlphaDEX(R) Fund $8
First Trust India NIFTY 50 Equal Weight ETF $3
First Trust Hong Kong AlphaDEX(R) Fund $3
First Trust Switzerland AlphaDEX(R) Fund $116
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund $8
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund $117
First Trust Eurozone AlphaDEX(R) ETF $43
-------------------------------------------------------------------------------------------- --------------
Total $2,285
FIRST TRUST OPEN-END FUNDS
First Trust Preferred Securities and Income Fund $241
First Trust/Confluence Small Cap Value Fund $23
First Trust Short Duration High Income Fund $142
-------------------------------------------------------------------------------------------- --------------
Total $406
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF $3,895
First Trust Managed Municipal ETF $937
First Trust Long/Short Equity ETF $200
First Trust Emerging Markets Local Currency Bond ETF $125
First Trust RiverFront Dynamic Asia Pacific ETF $24
First Trust RiverFront Dynamic Developed International ETF $225
First Trust RiverFront Dynamic Europe ETF $33
First Trust RiverFront Dynamic Emerging Markets ETF $72
First Trust Horizon Managed Volatility Domestic ETF $214
First Trust Horizon Managed Volatility Developed International ETF $117
First Trust California Municipal High Income ETF $44
First Trust Institutional Preferred Securities and Income ETF $187
First Trust Municipal High Income ETF $63
First Trust Ultra Short Duration Municipal ETF $18
First Trust Short Duration Managed Municipal ETF $17
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Total $6,171
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund $2,289
First Trust Tactical High Yield ETF $1,227
First Trust Senior Loan Fund $1,414
First Trust Enhanced Short Maturity ETF $4,306
First Trust Strategic Income ETF $78
First Trust Low Duration Opportunities ETF $3,126
First Trust SSI Strategic Convertible Securities ETF $168
First Trust EIP Carbon Impact ETF $2
First Trust Long Duration Opportunities ETF $10
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Total $12,620
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Managed Futures Strategy Fund $8
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Total $8
FIRST TRUST EXCHANGE-TRADED FUND VI
First Trust NASDAQ Technology Dividend Index Fund $890
Multi-Asset Diversified Income Index Fund $630
First Trust S&P International Dividend Aristocrats ETF $17
First Trust BuyWrite Income ETF $71
First Trust Hedged BuyWrite Income ETF $8
First Trust Rising Dividend Achievers ETF $733
First Trust Xxxxxx Xxxxxx Focus 5 ETF $2,068
First Trust RBA American Industrial Renaissance(R) ETF $59
First Trust Xxxxxx Xxxxxx Momentum & Dividend ETF $37
First Trust Xxxxxx Xxxxxx International Focus 5 ETF $399
First Trust Xxxxxx Xxxxxx Dynamic Focus 5 ETF $412
First Trust XXXX Cap Rising Dividend Achievers ETF $6
First Trust Indxx Innovative Transaction & Process ETF $36
First Trust Nasdaq Artificial Intelligence and Robotics ETF $54
First Trust Nasdaq Bank ETF $123
First Trust Nasdaq Food & Beverage ETF $5
First Trust Nasdaq Oil & Gas ETF $8
First Trust Nasdaq Pharmaceuticals ETF $6
First Trust Nasdaq Retail ETF $7
First Trust Nasdaq Semiconductor ETF $27
First Trust Nasdaq Transportation ETF $2
Developed International Equity Select ETF $24
Emerging Markets Equity Select ETF $9
Large Cap US Equity Select ETF $16
Mid Cap US Equity Select ETF $12
Small Cap US Equity Select ETF $6
US Equity Dividend Select ETF $5
First Trust Xxxxxx Xxxxxx DALI 1 ETF $62
First Trust Xxxxxx Xxxxxx Momentum & Value ETF $17
First Trust Xxxxxx Xxxxxx Momentum & Low Volatility ETF $115
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Total $5,864
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund $144
First Trust Alternative Absolute Return Strategy ETF $40
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Total $184
FIRST TRUST EXCHANGE-TRADED FUND VIII
First Trust CEF Income Opportunity ETF $33
First Trust Municipal CEF Income Opportunity ETF $9
First Trust TCW Opportunistic Fixed Income ETF $798
EquityCompass Risk Manager ETF $19
EquityCompass Tactical Risk Manager ETF $27
First Trust TCW Unconstrained Plus Bond ETF $185
First Trust Low Duration Strategic Focus ETF $49
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Total $1,120
FIRST TRUST CLOSED-END FUNDS
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund $117
First Trust Energy Income and Growth Fund $513
First Trust Enhanced Equity Income Fund $279
First Trust/Aberdeen Global Opportunity Income Fund $186
First Trust Mortgage Income Fund $55
First Trust/Aberdeen Emerging Opportunity Fund $72
First Trust Specialty Finance and Financial Opportunities Fund $97
First Trust Senior Floating Rate Income Fund II $461
First Trust High Income Long/Short Fund $514
First Trust Energy Infrastructure Fund $374
First Trust MLP and Energy Income Fund $688
First Trust New Opportunities MLP & Energy Fund $305
First Trust Senior Floating Rate 2022 Target Term Fund $416
First Trust Intermediate Duration Preferred & Income Fund $1,854
First Trust Dynamic Europe Equity Income Fund $310
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Total $6,241
First Trust Advisors L.P. $44,464
First Trust Portfolios L.P. $6,352
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Total $127,041
