Grundläggande statistik
| LEI | 549300PGRVU1P76W4537 |
| CIK | 1383496 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to First Trust Exchange-Traded AlphaDEX Fund - First Trust Energy AlphaDEX Fund
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| July 11, 2025 |
As filed with the Securities and Exchange Commission on July 11, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 13, 2025 |
As filed with the Securities and Exchange Commission on May 13, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 6, 2025 |
First Trust Large Cap Core AlphaDEX® Fund (FEX) Portfolio of Investments October 31, 2024 (Unaudited) Shares Description Value COMMON STOCKS — 99. |
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| February 6, 2025 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2024 (Unaudited) Shares Description Value COMMON STOCKS — 100. |
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| January 31, 2025 |
Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 24, 2025 |
Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 7, 2025 |
Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| July 12, 2024 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| July 12, 2024 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Small Cap Growth AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33737M300 - (CUSIP Number) June 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check |
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| March 14, 2024 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
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| January 24, 2024 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| January 24, 2024 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* First Trust Industrials/Producer Durables AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X150 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
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| January 24, 2024 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 24, 2024 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 23, 2024 |
SC 13G/A 1 fxga112324.htm J ARNOLD WEALTH MANAGEMENT CO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND (Name of Issuer) First Trust Consumer Staples AlphaDEX Fund (ETF) (Title of Class of Securities) 33734X119 (CUSIP Number) December 31, 2023 (Date of Event w |
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| January 22, 2024 |
SC 13G 1 fyc12224.htm J ARNOLD WEALTH MANAGEMENT CO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND (Name of Issuer) First Trust Small Cap Growth AlphaDEX Fund (ETF) (Title of Class of Securities) 33737M300 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of |
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| November 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND (Name of Issuer) First Trust Consumer Staples AlphaDEX Fund (ETF) (Title of Class of Securities) 33734X119 (CUSIP Number) October 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designa |
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| November 8, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) October 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| November 8, 2023 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| October 10, 2023 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Financials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X135 - (CUSIP Number) September 30, 2023 - (Date of Event Which Requires Filing of this Statement) Check t |
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| October 10, 2023 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| September 8, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Small Cap Growth AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33737M300 - (CUSIP Number) August 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| September 8, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| July 10, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* First Trust Materials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X168 - (CUSIP Number) June 30, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| July 10, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| April 10, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| April 10, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) March 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| March 10, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Financials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X135 - (CUSIP Number) February 28, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| March 10, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| March 10, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| March 10, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Energy AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X127 - (CUSIP Number) February 28, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| February 3, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 3, 2023 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* First Trust Industrials/Producer Durables AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X150 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this |
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| February 3, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* First Trust Small Cap Growth AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33737M300 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| February 3, 2023 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| February 1, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 1, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Energy AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X127 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| February 1, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 1, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* First Trust Materials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X168 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
NPORT-EX 2 290048FT103122.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 3.5% 43,670 Alaska Air Group, Inc. (a) $ 1,941,568 51,024 Copa Holdings S.A., Class A (a) 3,838,536 91,390 Delta Air Lines, Inc. (a) 3,100,863 128,926 JetBlue Airways Corp. (a) 1,036,565 55,432 Southwes |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
NPORT-EX 2 290046FT103122.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 3.5% 43,670 Alaska Air Group, Inc. (a) $ 1,941,568 51,024 Copa Holdings S.A., Class A (a) 3,838,536 91,390 Delta Air Lines, Inc. (a) 3,100,863 128,926 JetBlue Airways Corp. (a) 1,036,565 55,432 Southwes |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
NPORT-EX 2 290044FT103122.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 3.5% 43,670 Alaska Air Group, Inc. (a) $ 1,941,568 51,024 Copa Holdings S.A., Class A (a) 3,838,536 91,390 Delta Air Lines, Inc. (a) 3,100,863 128,926 JetBlue Airways Corp. (a) 1,036,565 55,432 Southwes |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
NPORT-EX 2 290072FT103122.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 3.5% 43,670 Alaska Air Group, Inc. (a) $ 1,941,568 51,024 Copa Holdings S.A., Class A (a) 3,838,536 91,390 Delta Air Lines, Inc. (a) 3,100,863 128,926 JetBlue Airways Corp. (a) 1,036,565 55,432 Southwes |
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| December 28, 2022 |
NPORT-EX 2 290042FT103122.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 3.5% 43,670 Alaska Air Group, Inc. (a) $ 1,941,568 51,024 Copa Holdings S.A., Class A (a) 3,838,536 91,390 Delta Air Lines, Inc. (a) 3,100,863 128,926 JetBlue Airways Corp. (a) 1,036,565 55,432 Southwes |
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| December 28, 2022 |
NPORT-EX 2 290043FT103122.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 3.5% 43,670 Alaska Air Group, Inc. (a) $ 1,941,568 51,024 Copa Holdings S.A., Class A (a) 3,838,536 91,390 Delta Air Lines, Inc. (a) 3,100,863 128,926 JetBlue Airways Corp. (a) 1,036,565 55,432 Southwes |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 28, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2022 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 9, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| December 9, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| December 9, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Materials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X168 - (CUSIP Number) November 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| December 9, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* First Trust Industrials/Producer Durables AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X150 - (CUSIP Number) November 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
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| June 24, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100. |
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| June 24, 2022 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Components |
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| June 24, 2022 |
NPORT-EX 2 290024FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
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| June 24, 2022 |
NPORT-EX 2 290025FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
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| June 24, 2022 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Components |
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| June 24, 2022 |
NPORT-EX 2 290048FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
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| June 24, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100. |
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| June 24, 2022 |
NPORT-EX 2 290047FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
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| June 24, 2022 |
NPORT-EX 2 290020FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
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| June 24, 2022 |
NPORT-EX 2 290072FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
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| June 24, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100. |
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| June 24, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100. |
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| June 24, 2022 |
NPORT-EX 2 290019FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
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| June 24, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100. |
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| June 24, 2022 |
NPORT-EX 2 290042FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
|
| June 24, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100. |
|
| June 24, 2022 |
NPORT-EX 2 290027FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
|
| June 24, 2022 |
NPORT-EX 2 290073FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
|
| June 24, 2022 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100. |
|
| June 24, 2022 |
NPORT-EX 2 290022FT043022.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2022 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 3.0% 115,423 Alaska Air Group, Inc. (a) $ 6,277,857 132,180 Delta Air Lines, Inc. (a) 5,687,705 223,918 JetBlue Airways Corp. (a) 2,465,337 73,069 Southwest Airlines Co. (a) 3,413,784 17,844,683 Auto Com |
|
| May 6, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| May 6, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Materials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X168 - (CUSIP Number) April 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| May 6, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) April 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
|
| May 6, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| April 6, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) March 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
|
| April 6, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Materials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X168 - (CUSIP Number) March 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
|
| April 6, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| April 6, 2022 |
FXN / First Trust Energy AlphaDEX Fund / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Energy AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X127 - (CUSIP Number) March 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| April 6, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 24, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Small Cap Growth AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33737M300 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| January 24, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 20, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Industrials/Producer Durables AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X150 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
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| January 20, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 20, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
|
| January 20, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 10, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* First Trust Technology AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X176 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 23, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.2% 117,080 Delta Air Lines, Inc. (a) $ 4,581,341 Auto Components — 4.6% 104,648 Aptiv PLC (a) 18,092,593 601,315 BorgWarner, Inc. 27,101,267 630,272 Gentex Corp. 22,305,326 132,837 Lear Corp. 22,828,038 90,32 |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
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| December 23, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.2% 117,080 Delta Air Lines, Inc. (a) $ 4,581,341 Auto Components — 4.6% 104,648 Aptiv PLC (a) 18,092,593 601,315 BorgWarner, Inc. 27,101,267 630,272 Gentex Corp. 22,305,326 132,837 Lear Corp. 22,828,038 90,32 |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.2% 117,080 Delta Air Lines, Inc. (a) $ 4,581,341 Auto Components — 4.6% 104,648 Aptiv PLC (a) 18,092,593 601,315 BorgWarner, Inc. 27,101,267 630,272 Gentex Corp. 22,305,326 132,837 Lear Corp. 22,828,038 90,32 |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.2% 117,080 Delta Air Lines, Inc. (a) $ 4,581,341 Auto Components — 4.6% 104,648 Aptiv PLC (a) 18,092,593 601,315 BorgWarner, Inc. 27,101,267 630,272 Gentex Corp. 22,305,326 132,837 Lear Corp. 22,828,038 90,32 |
|
| December 23, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.2% 117,080 Delta Air Lines, Inc. (a) $ 4,581,341 Auto Components — 4.6% 104,648 Aptiv PLC (a) 18,092,593 601,315 BorgWarner, Inc. 27,101,267 630,272 Gentex Corp. 22,305,326 132,837 Lear Corp. 22,828,038 90,32 |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.2% 117,080 Delta Air Lines, Inc. (a) $ 4,581,341 Auto Components — 4.6% 104,648 Aptiv PLC (a) 18,092,593 601,315 BorgWarner, Inc. 27,101,267 630,272 Gentex Corp. 22,305,326 132,837 Lear Corp. 22,828,038 90,32 |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| December 23, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| August 23, 2021 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com August 23, 2021 VIA EDGAR CORRESPONDENCE John F. Kernan United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Trust Exchange-Traded AlphaDEX? Fund Registration Nos. 333-140895 and 811-22019 Dear Mr. Kernan: This letter responds to comments provided by the |
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| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.3% 250,567 JetBlue Airways Corp. (a) $ 5,101,544 Auto Components — 4.6% 147,836 Aptiv PLC (a) 21,272,122 574,637 BorgWarner, Inc. 27,915,866 571,508 Gentex Corp. 20,105,651 84,362 Lear Corp. 15,509,110 84,802,7 |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.3% 250,567 JetBlue Airways Corp. (a) $ 5,101,544 Auto Components — 4.6% 147,836 Aptiv PLC (a) 21,272,122 574,637 BorgWarner, Inc. 27,915,866 571,508 Gentex Corp. 20,105,651 84,362 Lear Corp. 15,509,110 84,802,7 |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.3% 250,567 JetBlue Airways Corp. (a) $ 5,101,544 Auto Components — 4.6% 147,836 Aptiv PLC (a) 21,272,122 574,637 BorgWarner, Inc. 27,915,866 571,508 Gentex Corp. 20,105,651 84,362 Lear Corp. 15,509,110 84,802,7 |
|
| June 24, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.3% 250,567 JetBlue Airways Corp. (a) $ 5,101,544 Auto Components — 4.6% 147,836 Aptiv PLC (a) 21,272,122 574,637 BorgWarner, Inc. 27,915,866 571,508 Gentex Corp. 20,105,651 84,362 Lear Corp. 15,509,110 84,802,7 |
|
| June 24, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.3% 250,567 JetBlue Airways Corp. (a) $ 5,101,544 Auto Components — 4.6% 147,836 Aptiv PLC (a) 21,272,122 574,637 BorgWarner, Inc. 27,915,866 571,508 Gentex Corp. 20,105,651 84,362 Lear Corp. 15,509,110 84,802,7 |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 0.3% 250,567 JetBlue Airways Corp. (a) $ 5,101,544 Auto Components — 4.6% 147,836 Aptiv PLC (a) 21,272,122 574,637 BorgWarner, Inc. 27,915,866 571,508 Gentex Corp. 20,105,651 84,362 Lear Corp. 15,509,110 84,802,7 |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| June 24, 2021 |
First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value Common Stocks — 99. |
|
| May 10, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| May 10, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) April 30, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
|
| April 7, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Industrials/Producer Durables AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X150 - (CUSIP Number) March 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
|
| April 7, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| February 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* First Trust Small Cap Value Fund 33737M409 December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be fill |
|
| February 10, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Industrials/Producer Durables AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X150 - (CUSIP Number) January 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig |
|
| February 10, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| February 5, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| February 5, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* First Trust Technology AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X176 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
|
| February 5, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
|
| January 21, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 21, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Small Cap Growth AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33737M300 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| December 28, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value Common Stocks — 99.9% Airlines — 1.8% 171,792 Alaska Air Group, Inc. $ 6,509,199 555,403 JetBlue Airways Corp. (a) 6,648,174 80,407 Southwest Airlines Co. 3,178,489 86,770 United Airlines Holdings, Inc. (a) 2,938,032 19,273,894 Auto Components |
|
| October 6, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| October 6, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Energy AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X127 - (CUSIP Number) September 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
|
| September 10, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) August 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| September 10, 2020 |
FYT / First Trust Small Cap Value AlphaDEX Fund / TRUIST FINANCIAL CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* First Trust Small Cap Value AlphaDEX Fund 33737MA409 August 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall |
|
| September 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| July 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| July 10, 2020 |
FXN / First Trust Energy AlphaDEX Fund / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Energy AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X127 - (CUSIP Number) June 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
|
| July 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| July 10, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Consumer Discretionary AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X101 - (CUSIP Number) June 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
|
| July 10, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Utilities AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X184 - (CUSIP Number) June 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
|
| July 10, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Health Care AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X143 - (CUSIP Number) June 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
|
| July 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| July 10, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| June 24, 2020 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value Common Stocks — 100.0% Airlines — 6.1% 65,788 Alaska Air Group, Inc. $ 2,139,426 24,812 Copa Holdings S.A., Class A 1,096,938 65,654 Delta Air Lines, Inc. 1,701,095 209,283 JetBlue Airways Corp. (a) 2,038,416 40,397 Southwest Airlines Co. 1,262, |
|
| April 7, 2020 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
|
| April 7, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Financials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X135 - (CUSIP Number) March 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| April 7, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| April 7, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Health Care AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X143 - (CUSIP Number) March 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| February 14, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| February 14, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Utilities AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X184 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 14, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* First Trust Technology AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X176 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 14, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 14, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 14, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Financials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X135 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| January 29, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 29, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Small Cap Growth AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33737M300 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| December 24, 2019 |
Proof - adexnport.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 5.6% 22,062 Aptiv PLC $ 1,975,652 137,160 BorgWarner, Inc. 5,716,829 109,628 Gentex Corp. 3,075,065 267,765 Goodyear Tire & Rubber (The) Co. 4,249,431 42,673 Lear Corp. 5,025,599 20,042,576 Automobiles — |
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| October 10, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| October 10, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Financials AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X135 - (CUSIP Number) September 30, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| June 25, 2019 |
FXU / First Trust Utilities AlphaDEX® Fund NPORT-EX - - Proof - adexnportex.htm First Trust Consumer Discretionary AlphaDEX® Fund (FXD) Portfolio of Investments April 30, 2019 (Unaudited) Shares Description Value Common Stocks — 99.9% Auto Components — 8.7% 25,557 Aptiv PLC $ 2,190,235 138,519 BorgWarner, Inc. 5,785,939 206,870 Garrett Motion, Inc. (a) 3,889,156 196,466 Gentex Corp. 4,524,612 293,139 Goodyear Tire & Rubber (The) Co. 5,631,200 39,205 Le |
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| May 10, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Utilities AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X184 - (CUSIP Number) April 30, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| May 10, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| May 10, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Health Care AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X143 - (CUSIP Number) April 30, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| May 10, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| May 10, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* First Trust Technology AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X176 - (CUSIP Number) April 30, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| February 11, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 11, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Technology AlphaDEX(R) Fund - (Name of Issuer) Common - (Title of Class of Securities) 33734X176 - (CUSIP Number) December 31, 2018 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
