BLANKET BOND INSURANCE AGREEMENT
THIS AGREEMENT is made as of the 18th day of April, 2016, 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 $30,000,000 ("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 $27,300,000 ("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 Dynamic Europe Equity Income 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
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 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 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 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 Indxx Global Natural Resources Income ETF
First Trust Indxx Global Agriculture ETF
First Trust XXXX Index Fund
First Trust ISE Cloud Computing Index Fund
First Trust Nasdaq Smartphone Index Fund
First Trust NASDAQ Global Auto Index Fund
First Trust International IPO ETF
First Trust Nasdaq Cybersecurity 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 SSI Strategic Convertible Securities ETF
First Trust Xxxxxxx Global Prime Real Estate 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 RenaissanceTM ETF
First Trust RBA Quality Income ETF
First Trust Xxxxxx Xxxxxx International Focus 5 ETF
First Trust Xxxxxx Xxxxxx Dynamic 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 AQA(R) Equity 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 Energy Income and Growth Fund $900,000
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 $400,000
First Trust Strategic High Income Fund II $600,000
First Trust/Aberdeen Emerging Opportunity Fund $450,000
First Trust Specialty Finance and Financial Opportunities Fund $525,000
First Trust Dividend and Income Fund $450,000
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
--------------------------------------------------------------------------------------------- -------------------
SUB-TOTAL $11,725,000
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 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 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 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 ISE Cloud Computing Index Fund N/A
First Trust Nasdaq Smartphone Index Fund N/A
First Trust NASDAQ Global Auto Index Fund N/A
First Trust International IPO ETF N/A
First Trust Nasdaq Cybersecurity 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 $1,000,000
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 $1,2500,000
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
First Trust SSI Strategic Convertible Securities ETF N/A
First Trust Xxxxxxx Global Prime Real Estate ETF N/A
--------------------------------------------------------------------------------------------- -------------------
SUB-TOTAL $2,300,000
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Morningstar 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
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 Dynamic Focus 5 ETF N/A
--------------------------------------------------------------------------------------------- -------------------
SUB-TOTAL $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund N/A
--------------------------------------------------------------------------------------------- -------------------
SUB-TOTAL $600,000
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
First Trust AQA(R) Equity 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 $750,000
GRAND TOTAL $27,300,000
APPENDIX C
PREMIUM
FIRST TRUST CLOSED-END FUNDS
First Trust Energy Infrastructure Fund $728
First Trust High Income Long/Short Fund $1,021
Macquarie/First Trust Global Opportunity Dividend & Income Fund $265
First Trust Senior Floating Rate Income Fund II $903
First Trust Energy Income and Growth Fund $1,123
First Trust Enhanced Equity Income Fund $468
First Trust/Aberdeen Global Opportunity Income Fund $492
First Trust Mortgage Income Fund $123
First Trust Strategic High Income Fund II $277
First Trust/Aberdeen Emerging Opportunity Fund $147
First Trust/ Specialty Finance and Financial Opportunities Fund $181
First Trust Dividend and Income Fund $156
First Trust MLP and Energy Income Fund $1,654
First Trust Intermediate Duration Preferred & Income Fund $3,453
First Trust New Opportunities MLP & Energy Fund $720
First Trust Dynamic Europe Equity Income Fund $525
----------------------------------------------------------------------------------------------- -----------------
Total $12,236
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Xxxxx Select MicroCap Index Fund $82
First Trust Morningstar Dividend Leaders Index Fund $1,273
First Trust US IPO Index Fund $1,225
First Trust NASDAQ-100 Equal Weighted Index Fund $862
First Trust NASDAQ-100 Technology Sector Index Fund $446
First Trust Dow Xxxxx Internet Index Fund $5,451
First Trust NYSE Arca Biotechnology Index Fund $4,842
First Trust Capital Strength ETF $204
First Trust NASDAQ-100 Ex-Technology Sector Index Fund $232
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund $105
First Trust NASDAQ(R) ABA Community Bank Index Fund $177
First Trust ISE Water Index Fund $170
First Trust ISE-Revere Natural Gas Index Fund $263
First Trust ISE Chindia Index Fund $350
First Trust S&P REIT Index Fund $325
First Trust Total US Market AlphaDEX(R) ETF $12
First Trust Value Line(R) Dividend Index Fund $1,797
First Trust Value Line(R) 100 Exchange-Traded Fund $86
First Trust CBOE S&P 500 VIX Tail Hedge Fund $6
----------------------------------------------------------------------------------------------- -----------------
Total $17,908
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust STOXX(R) European Select Dividend Index Fund $271
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Fund $162
First Trust Dow Xxxxx Global Select Dividend $671
First Trust ISE Global Wind Energy Index Fund $66
First Trust ISE Global Engineering and Construction Index Fund $25
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund $18
First Trust Indxx Global Natural Resources Income ETF $21
First Trust Indxx Global Agriculture ETF $9
First Trust XXXX Index Fund $12
First Trust Nasdaq Smartphone Index Fund $17
First Trust NASDAQ Global Auto Index Fund $51
First Trust ISE Cloud Computing Index Fund $770
First Trust International IPO ETF $2
First Trust Nasdaq Cybersecurity ETF $127
----------------------------------------------------------------------------------------------- -----------------
Total $2,222
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Large Cap Core AlphaDEX(R) Fund $2,722
First Trust Mid Cap Core AlphaDEX(R) Fund $1,390
First Trust Small Cap Core AlphaDEX(R) Fund $969
First Trust Large Cap Value AlphaDEX(R) Fund $1,667
First Trust Large Cap Growth AlphaDEX(R) Fund $1,018
First Trust Multi Cap Value AlphaDEX(R) Fund $224
First Trust Multi Cap Growth AlphaDEX(R) Fund $140
First Trust Consumer Discretionary AlphaDEX(R) Fund $3,857
First Trust Consumer Staples AlphaDEX(R) Fund $4,278
First Trust Energy AlphaDEX(R) Fund $359
First Trust Financials AlphaDEX(R) Fund $1,422
First Trust Health Care AlphaDEX(R) Fund $5,452
First Trust Industrials AlphaDEX(R) Fund $452
First Trust Materials AlphaDEX(R) Fund $186
First Trust Technology AlphaDEX(R) Fund $1,084
First Trust Utilities AlphaDEX(R) Fund $256
First Trust Mid Cap Growth AlphaDEX(R) Fund $178
First Trust Mid Cap Value AlphaDEX(R) Fund $107
First Trust Small Cap Growth AlphaDEX(R) Fund $107
First Trust Small Cap Value AlphaDEX(R) Fund $93
First Trust Mega Cap AlphaDEX(R) Fund $26
----------------------------------------------------------------------------------------------- -----------------
Total $25,987
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets Ex-US AlphaDEX(R) Fund $234
First Trust Emerging Markets AlphaDEX(R) Fund $209
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund $56
First Trust Europe AlphaDEX(R) Fund $617
First Trust Latin America AlphaDEX(R) Fund $7
First Trust Brazil AlphaDEX(R) Fund $3
First Trust China AlphaDEX(R) Fund $30
First Trust Japan AlphaDEX(R) Fund $122
First Trust South Korea AlphaDEX(R) Fund $6
First Trust Germany AlphaDEX(R) Fund $311
First Trust Canada AlphaDEX(R) Fund $21
First Trust Australia AlphaDEX(R) Fund $2
First Trust United Kingdom AlphaDEX(R) Fund $365
First Trust Taiwan AlphaDEX(R) Fund $10
First Trust Hong Kong AlphaDEX(R) Fund $245
First Trust Switzerland AlphaDEX(R) Fund $304
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund $10
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund $47
First Trust Eurozone AlphaDEX(R) ETF $17
----------------------------------------------------------------------------------------------- -----------------
Total $2,616
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF $613
First Trust Managed Municipal ETF $39
First Trust Long/Short Equity ETF $41
First Trust Emerging Markets Local Currency Bond ETF $7
----------------------------------------------------------------------------------------------- -----------------
Total $700
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund $1,391
First Trust Tactical High Yield ETF $794
First Trust Senior Loan Fund $572
First Trust Enhanced Short Maturity ETF $285
First Trust Strategic Income ETF $31
First Trust Low Duration Mortgage Opportunities ETF $13
First Trust SSI Strategic Convertible Securities ETF $0
First Trust Xxxxxxx Global Prime Real Estate ETF $0
----------------------------------------------------------------------------------------------- -----------------
Total $3,086
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Morningstar Managed Futures Strategy Fund $21
----------------------------------------------------------------------------------------------- -----------------
Total $21
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi Asset Diversified Income Index Fund $1,460
First Trust NASDAQ Technology Dividend Index Fund $767
International Multi-Asset Diversified Income Index Fund $21
First Trust High Income ETF $11
First Trust Low Beta Income ETF $8
First Trust NASDAQ Rising Dividend Achievers ETF $47
First Trust Xxxxxx Xxxxxx Focus 5 ETF $6,693
First Trust RBA American Industrial Renaissance(TM) ETF $73
First Trust RBA Quality Income ETF $17
First Trust Xxxxxx Xxxxxx International Focus 5 ETF $1,032
First Trust Xxxxxx Xxxxxx Dynamic Focus 5 ETF $0
----------------------------------------------------------------------------------------------- -----------------
Total $10,129
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund $326
----------------------------------------------------------------------------------------------- -----------------
Total $326
FIRST TRUST OPEN-END FUNDS
First Trust Preferred Securities and Income Fund $266
First Trust/Confluence Small Cap Value Fund $7
First Trust Short Duration High Income Fund $281
First Trust AQA(R) Equity Fund $0
----------------------------------------------------------------------------------------------- -----------------
Total $554
First Trust/Dow Xxxxx Dividend & Income Allocation Portfolio $388
First Trust Multi Income Allocation Portfolio $20
First Trust Xxxxxx Xxxxxx Tactical Core Portfolio $0
----------------------------------------------------------------------------------------------- -----------------
Total $408
FIRST TRUST ADVISORS L.P. $44,447
FIRST TRUST PORTFOLIOS L.P. $6,350
----------------------------------------------------------------------------------------------- -----------------
GRAND TOTAL $126,990
