BLANKET BOND INSURANCE AGREEMENT
THIS AGREEMENT is made as of the 3rd day of July, 2013, 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 $23,000,000 ("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 $21,925,000 ("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 Exchange-Traded Fund
First Trust Exchange-Traded Fund II
First Trust Exchange-Traded AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX(R) Fund II
First Trust Exchange-Traded Fund IV
First Trust Exchange-Traded Fund VI
First Trust Exchange-Traded Fund III
First Defined Portfolio Fund, LLC
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
EXCHANGE-TRADED FUNDS
First Trust Exchange-Traded Fund
First Trust Dow Xxxxx Select MicroCap Index(SM) Fund
First Trust Morningstar Dividend Leaders(SM) Index Fund
First Trust US IPO Index Fund
First Trust NASDAQ-100 Equal Weighted Index(SM) Fund
First Trust NASDAQ-100-Technology Sector Index(SM) Fund
First Trust NYSE Arca Biotechnology Index Fund
First Trust Dow Xxxxx Internet Index(SM) 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(SM) 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 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 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 Exchange-Traded Fund IV
First Trust North American Energy Infrastructure Fund
First Trust High Yield Long/Short ETF
First Trust Senior Loan Fund
First Trust Exchange-Traded Fund III
First Trust Preferred Securities and Income ETF
First Trust Exchange-Traded Fund VI
Multi-Asset Diversified Income Index Fund
First Trust NASDAQ Technology Dividend Index Fund
OPEN END FUNDS
First Defined Portfolio Fund, LLC
Global Dividend Target 15 Portfolio
NASDAQ(R) Target 15 Portfolio
S&P Target 24 Portfolio
Target Managed VIP Portfolio
The Dow(R) DART 10 Portfolio
The Dow(R) Target Dividend Portfolio
Value Line(R) Target 25 Portfolio
First Trust Target Focus Four Portfolio
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
APPENDIX B
FIRST DEFINED PORTFOLIO FUND
Global Dividend Target 15 Portfolio N/A
First Trust Target Focus Four Portfolio N/A
NASDAQ(R) Target 15 Portfolio N/A
S&P Target 24 Portfolio N/A
Target Managed VIP Portfolio N/A
The Dow(R) DART 10 Portfolio N/A
The Dow(R) Target Dividend Portfolio N/A
Value Line(R) Target 25 Portfolio N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $525,000
FIRST TRUST CLOSED-END FUNDS
First Trust Energy Income and Growth Fund $1,000,000
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 $450,000
First Trust High Income Long/Short Fund $1,000,000
First Trust Energy Infrastructure Fund $900,000
First Trust MLP and Energy Income Fund $1,250,000
First Trust Intermediate Duration Preferred & Income Fund $1,700,000
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $11,400,000
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Xxxxx Select MicroCap Index(SM) Fund N/A
First Trust Morningstar Dividend Leaders(SM) Index Fund N/A
First Trust US IPO Index Fund N/A
First Trust NASDAQ-100 Equal Weighted Index(SM) Fund N/A
First Trust NASDAQ-100-Technology Sector Index(SM) Fund N/A
First Trust NYSE Arca Biotechnology Index Fund N/A
First Trust Dow Xxxxx Internet Index(SM) 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(SM) 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
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $900,000
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
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $900,000
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $400,000
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund N/A
First Trust High Yield Long/Short ETF N/A
First Trust Senior Loan Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $750,000
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi-Asset Diversified Income Index Fund N/A
First Trust NASDAQ Technology Dividend Index Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $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
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $400,000
GRAND TOTAL $21,925,000
APPENDIX C
PREMIUM
FIRST TRUST CLOSED-END FUNDS
First Trust Energy Infrastructure Fund $2,304
First Trust High Income Long/Short Fund $2,875
Macquarie/First Trust Global Opportunity Dividend & Income Fund $793
First Trust Senior Floating Rate Income Fund II $2,274
First Trust Energy Income and Growth Fund $2,824
First Trust Enhanced Equity Income Fund $1,156
First Trust/Aberdeen Global Opportunity Income Fund $1,738
First Trust Mortgage Income Fund $412
First Trust Strategic High Income Fund II $840
First Trust/Aberdeen Emerging Opportunity Fund $541
First Trust/Specialty Finance and Financial Opportunities Fund $593
First Trust Dividend and Income Fund $317
First Trust MLP and Energy Income Fund $487
First Trust Intermediate Duration Preferred & Income Fund $142
-----------------------------------------------------------------------------------------------------------------
Total $17,296
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Xxxxx Select MicroCap(SM) Index Fund $194
First Trust Morningstar Dividend Leaders(SM) Index Fund $2,737
First Trust US IPO Index Fund $100
First Trust NASDAQ-100 Equal Weighted Index(SM) Fund $361
First Trust NASDAQ-100 Technology Sector Index(SM) Fund $512
First Trust Dow Xxxxx Internet Index(SM) Fund $2,211
First Trust NYSE Arca Biotechnology Index Fund $1,123
First Trust Capital Strength ETF $137
First Trust NASDAQ-100 Ex-Technology Sector Index(SM) Fund $173
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund $66
First Trust NASDAQ(R) ABA Community Bank Index Fund $50
First Trust ISE Water Index Fund $302
First Trust ISE-Revere Natural Gas Index Fund $1,849
First Trust ISE Chindia Index Fund $284
First Trust S&P REIT Index Fund $1,699
First Trust Value Line Equity Allocation Index Fund $16
First Trust Value Line Dividend Index Fund $2,164
First Trust Value Line 100 Exchange-Traded Fund $203
First Trust CBOE S&P 500 VIX Tail Hedge Fund $11
-----------------------------------------------------------------------------------------------------------------
Total $14,192
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust Dow Xxxxx STOXX European Select Dividend $75
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate $415
First Trust Dow Xxxxx Global Select Dividend $913
First Trust ISE Global Wind Energy $88
First Trust ISE Global Engineering and Construction $75
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure $56
First Trust ISE Global Copper Index Fund $187
First Trust ISE Global Platinum Index Fund $35
First Trust XXXX Index Fund $189
First Trust NASDAQ CEA Smartphone Index Fund $53
First Trust NASDAQ Global Auto Index Fund $25
First Trust ISE Cloud Computing Index Fund $330
-----------------------------------------------------------------------------------------------------------------
Total $2,441
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
First Trust Large Cap Core AlphaDEX(R) Fund $1,486
First Trust Mid Cap Core AlphaDEX(R) Fund $1,329
First Trust Small Cap Core AlphaDEX(R) Fund $756
First Trust Large Cap Value AlphaDEX(R) Fund $1,165
First Trust Large Cap Growth AlphaDEX(R) Fund $558
First Trust Multi Cap Value AlphaDEX Fund $226
First Trust Multi Cap Growth AlphaDEX(R) Fund $134
First Trust Consumer Discretionary AlphaDEX(R) Fund $2,000
First Trust Consumer Staples AlphaDEX(R) Fund $1,573
First Trust Energy AlphaDEX(R) Fund $573
First Trust Financials AlphaDEX(R) Fund $810
First Trust Health Care AlphaDEX(R) Fund $2,750
First Trust Industrials AlphaDEX(R) Fund $516
First Trust Materials AlphaDEX(R) Fund $800
First Trust Technology AlphaDEX(R) Fund $927
First Trust Utilities AlphaDEX(R) Fund $637
First Trust Mid Cap Growth AlphaDEX(R) Fund $75
First Trust Mid Cap Value AlphaDEX(R) Fund $45
First Trust Small Cap Growth AlphaDEX(R) Fund $50
First Trust Small Cap Value AlphaDEX(R) Fund $37
First Trust Mega Cap AlphaDEX(R) Fund $48
-----------------------------------------------------------------------------------------------------------------
Total $16,495
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
First Trust Developed Markets Ex-US AlphaDEX(R) Fund $434
First Trust Emerging Markets AlphaDEX(R) Fund $515
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund $17
First Trust Europe AlphaDEX(R) Fund $37
First Trust Latin America AlphaDEX(R) Fund $24
First Trust Brazil AlphaDEX(R) Fund $25
First Trust China AlphaDEX(R) Fund $14
First Trust Japan AlphaDEX(R) Fund $11
First Trust South Korea AlphaDEX(R) Fund $6
First Trust Germany AlphaDEX(R) Fund $21
First Trust Canada AlphaDEX(R) Fund $24
First Trust Australia AlphaDEX(R) Fund $12
First Trust United Kingdom AlphaDEX(R) Fund $30
First Trust Taiwan AlphaDEX(R) Fund $11
First Trust Hong Kong AlphaDEX(R) Fund $12
First Trust Switzerland AlphaDEX(R) Fund $21
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund $11
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund $13
-----------------------------------------------------------------------------------------------------------------
Total $1,238
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF $13
-----------------------------------------------------------------------------------------------------------------
Total $13
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund $449
First Trust High Yield Long/Short ETF $5
First Trust Senior Loan Fund $3
-----------------------------------------------------------------------------------------------------------------
Total $457
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi Asset Diversified Income Index Fund $238
First Trust NASDAQ Technology Dividend Index Fund $140
-----------------------------------------------------------------------------------------------------------------
Total $378
FIRST TRUST OPEN-END FUNDS
FIRST DEFINED PORTFOLIO FUND
Target Managed VIP Portfolio $84
The Dow(R) DART 10 Portfolio $29
NASDAQ Target 15 Portfolio $15
S&P Target 24 Portfolio $34
Global Dividend Target 15 Portfolio $124
Value Line(R) Target 25 Portfolio $29
First Trust Target Focus Four Portfolio $26
The Dow(R) Target Dividend Portfolio $73
-----------------------------------------------------------------------------------------------------------------
Total $414
FIRST TRUST SERIES FUND
First Trust Preferred Securities and Income Fund $684
First Trust/Confluence Small Cap Value Fund $5
First Trust Short Duration High Income Fund $10
-----------------------------------------------------------------------------------------------------------------
Total $699
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Xxxxx Dividend & Income Allocation Portfolio $81
-----------------------------------------------------------------------------------------------------------------
Total $81
First Trust Advisors L.P. $31,329
First Trust Portfolios L.P. $4,476
-----------------------------------------------------------------------------------------------------------------
Total $89,509
