Blanket Bond Insurance Agreement
Blanket Bond Insurance Agreement
This Agreement is made as of the 9th day of October, 2022, by and among the investment companies listed in Appendix A (collectively referred to herein as the “Funds”), First Trust Advisors L.P. (the “Advisor”) and First Trust Portfolios L.P. (collectively, with the Advisor and the Funds referred to as the “Parties”).
Witnesseth:
Whereas, the Parties have agreed to acquire a joint insured policy (the “Policy”) issued by ICI Mutual Insurance Company containing broker’s blanket bond coverage (“Blanket Bond Coverage”) which shall cover all Parties;
Whereas, the total amount of the Blanket Bond Coverage under the Policy will be $37,000,000 (“Bond Amount”) based upon the determination of each Fund’s Board of Trustees that such insured Parties should have an amount of coverage, in the aggregate, of at least $33,750,000 (“Basic Bond Coverage”) as provided in Appendix B;
Whereas, the Parties desire to provide herein for an allocation of the premiums for the Blanket Bond Coverage and a manner of allocating any loss proceeds received under the Policy.
The Parties, therefore, agree that:
1. Allocation of Blanket Bond Coverage Premium. Each Party shall pay a proportionate share of the Blanket Bond Coverage annual premium based on the allocation as set forth in Appendix C.
2. Losses.
(a) General. The Policy is a “claims made” insurance policy and a Policy Year is the period from October 9th to the next succeeding October 9th (or any modification of that period as may be agreed by the Parties and the insurer). The insured loss (including all related expenses) of a Party which relates to a claim made by that Party relating to a particular Policy Year under the Blanket Bond Coverage is hereinafter referred to as a “Blanket Bond Loss.” Party includes the trustees and officers of an insured Party and other insured agents or employees of such a Party.
(b) Blanket Bond Loss. If only one insured Party incurs a Blanket Bond Loss relating to a Policy Year, the proceeds of the Blanket Bond Coverage for that Policy Year will be allocated to that Party. If more than one insured Party incurs a Blanket Bond Loss relating to a particular Policy Year, the proceeds of the Blanket Bond Coverage for that Policy Year will first be allocated among those insured Parties in proportion to their respective premiums paid under Paragraph 1 hereof for Blanket Bond Coverage. If, for that particular Policy Year, after initial allocation, there are remaining proceeds of the Blanket Bond Coverage and there are then insured Parties whose Blanket Bond Losses have not been paid in full, such proceeds shall be further allocated among such insured Parties in proportion to their respective premiums paid for such Coverage (repeating this further allocation procedure as each of such insured Parties is paid in full, until all proceeds have been allocated). If all Blanket Bond Losses relating to a particular Policy Year are not paid at the same time, the insured Parties who claim such Losses for that Policy Year shall make such provisions as they deem suitable to the particular circumstances (taking into account the size of any payment received, the size, nature and expected result of any remaining claims, and all other relevant factors) to permit a later re-allocation of amounts first paid. In no event shall any insured Party that incurs a Blanket Bond Loss relating to a Policy Year which equals or exceeds its Basic Bond Coverage be allocated proceeds of the Blanket Bond Coverage for that particular Policy Year in an amount less than its Basic Bond Coverage.
3. Notices. Each Party agrees to give promptly to the insurer all notices required under the Policy.
4. Agent. The Advisor is hereby appointed as the agent for all of the Parties for the purpose of making, adjusting, receiving and enforcing payment of all claims under the Policy and otherwise dealing with the insurer with respect to the Policy. All expenses incurred by the Advisor in its capacity as agent for claims shall be shared by the Parties (including the Advisor) in the same manner as above provided for the sharing of Losses.
5. Modification and Termination. This Agreement may be modified or amended from time to time by mutual written agreement among all of the Parties. It may be terminated with respect to any one Party by not less than 60 days’ written notice to the other Parties which are still parties to the Agreement. It shall terminate with respect to any Party as of the date that Party ceases to be an insured under the Policy; provided that such termination shall not affect that Party’s rights and obligations hereunder with respect to any claims on behalf of that Party which are paid under the Policy by the insurer after the date the Party ceases to be an insured under the Policy.
6. Further Assurances. Each Party agrees to perform such further acts and execute such further documents as are necessary to effectuate the purposes hereof.
In Witness Whereof, the Parties have caused this Agreement to be executed as of the day and year first above written.
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust Senior Floating Rate Income Fund II
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
First Trust/abrdn Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust Intermediate Duration Preferred & Income Fund
First Trust New Opportunities MLP & Energy Fund
First Trust Dynamic Europe Equity Income Fund
First Trust High Yield Opportunities 2027 Term Fund
First Trust Exchange-Traded Fund
First Trust Exchange-Traded Fund II
First Trust Exchange-Traded Fund III
First Trust Exchange-Traded Fund IV
First Trust Exchange-Traded Fund V
First Trust Exchange-Traded Fund VI
First Trust Exchange-Traded Fund VII
First Trust Exchange-Traded Fund VIII
First Trust Exchange-Traded AlphaDEX® Fund
First Trust Exchange-Traded AlphaDEX® Fund II
First Trust Series Fund
First Trust Variable Insurance Trust
By __/s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇___________________________
▇▇▇▇▇▇ ▇. ▇▇▇▇▇, Assistant Secretary
First Trust Advisors L.P.
First Trust Portfolios L.P.
By __/s/ ▇▇▇▇▇▇ ▇. ▇▇▇▇▇___________________________
▇▇▇▇▇▇ ▇. ▇▇▇▇▇, Deputy General Counsel
Appendix A
Closed-End Funds
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust/abrdn Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust/abrdn Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust Senior Floating Rate Income Fund II
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust New Opportunities MLP & Energy Fund
First Trust Intermediate Duration Preferred & Income Fund
First Trust Dynamic Europe Equity Income Fund
First Trust High Yield Opportunities 2027 Term Fund
Exchange-Traded Funds
First Trust Exchange-Traded Fund
First Trust Dow ▇▇▇▇▇ Select MicroCap Index Fund
First Trust Morningstar Dividend Leaders Index Fund
First Trust US Equity Opportunities ETF
First Trust NASDAQ-100 Equal Weighted Index Fund
First Trust NASDAQ-100-Technology Sector Index Fund
First Trust NYSE® Arca® Biotechnology Index Fund
First Trust Dow ▇▇▇▇▇ Internet Index Fund
First Trust Capital Strength ETF
First Trust Dividend Strength ETF
First Trust Value Line® Dividend Index Fund
First Trust NASDAQ-100 Ex-Technology Sector Index Fund
First Trust NASDAQ® Clean Edge® Green Energy Index Fund
First Trust S&P REIT Index Fund
First Trust Natural Gas ETF
First Trust Water ETF
First Trust NASDAQ® ABA Community Bank Index Fund
First Trust Dow 30 Equal Weight ETF
First Trust ▇▇▇▇ U.S. Factor Rotation ETF
FT Cboe Vest Gold Strategy Quarterly Buffer ETF
FT Cboe Vest Gold Strategy Target Income ETF®
First Trust Growth Strength ETF
First Trust Indxx Aerospace & Defense ETF
First Trust Exchange-Traded Fund II
First Trust STOXX® European Select Dividend Index Fund
First Trust Alerian Disruptive Technology Real Estate ETF
First Trust Global Wind Energy ETF
First Trust Alerian U.S. NextGen Infrastructure ETF
First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund
First Trust Indxx Global Natural Resources Income ETF
First Trust Indxx Global Agriculture ETF
First Trust ▇▇▇▇ Index Fund
First Trust Indxx NextG ETF
First Trust S-Network Future Vehicles & technology ETF
First Trust Cloud Computing ETF
First Trust International Equity Opportunities ETF
First Trust Nasdaq Cybersecurity ETF
First Trust IPOX® Europe Equity Opportunities ETF
First Trust Dow ▇▇▇▇▇ International Internet ETF
First Trust Nasdaq Lux Digital Health Solutions ETF
First Trust Indxx Metaverse ETF
First Trust Bloomberg Emerging Market Democracies ETF
First Trust Dow ▇▇▇▇▇ Global Select Dividend Index Fund
First Trust Exchange-Traded AlphaDEX® Fund
First Trust Large Cap Core AlphaDEX® Fund
First Trust Mid Cap Core AlphaDEX® Fund
First Trust Small Cap Core AlphaDEX® Fund
First Trust Large Cap Value AlphaDEX® Fund
First Trust Large Cap Growth AlphaDEX® Fund
First Trust Multi Cap Value AlphaDEX® Fund
First Trust Multi Cap Growth AlphaDEX® Fund
First Trust Consumer Discretionary AlphaDEX®Fund
First Trust Consumer Staples AlphaDEX® Fund
First Trust Energy AlphaDEX® Fund
First Trust Financials AlphaDEX® Fund
First Trust Health Care AlphaDEX® Fund
First Trust Industrials/Producer Durables AlphaDEX® Fund
First Trust Materials AlphaDEX® Fund
First Trust Technology AlphaDEX® Fund
First Trust Utilities AlphaDEX® Fund
First Trust Mid Cap Growth AlphaDEX® Fund
First Trust Mid Cap Value AlphaDEX® Fund
First Trust Small Cap Growth AlphaDEX® Fund
First Trust Small Cap Value AlphaDEX® Fund
First Trust Exchange-Traded AlphaDEX® Fund II
First Trust Developed Markets ex-US AlphaDEX® Fund
First Trust Emerging Markets AlphaDEX® Fund
First Trust Asia Pacific ex-Japan AlphaDEX® Fund
First Trust Europe AlphaDEX® Fund
First Trust Latin America AlphaDEX® Fund
First Trust Brazil AlphaDEX® Fund
First Trust China AlphaDEX® Fund
First Trust Japan AlphaDEX® Fund
First Trust Germany AlphaDEX® Fund
First Trust United Kingdom AlphaDEX® Fund
First Trust India NIFTY 50 Equal Weight ETF
First Trust Switzerland AlphaDEX® Fund
First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund
First Trust Emerging Markets Small Cap AlphaDEX® Fund
First Trust Eurozone AlphaDEX® ETF
First Trust Exchange-Traded Fund III
First Trust Preferred Securities and Income ETF
First Trust Managed Municipal ETF
First Trust Long/Short Equity ETF
First Trust Emerging Markets Local Currency Bond ETF
First Trust RiverFront Dynamic Developed International ETF
First Trust RiverFront Dynamic Europe ETF
First Trust RiverFront Dynamic Emerging Markets ETF
First Trust Horizon Managed Volatility Domestic ETF
First Trust Horizon Managed Volatility Developed International ETF
First Trust California Municipal High Income ETF
First Trust Institutional Preferred Securities and Income ETF
First Trust Municipal High Income ETF
First Trust Ultra Short Duration Municipal ETF
First Trust Short Duration Managed Municipal ETF
First Trust Merger Arbitrage ETF
First Trust Horizon Managed Volatility Small/Mid ETF
First Trust New York Municipal High Income ETF
First Trust Exchange-Traded Fund IV
First Trust North American Energy Infrastructure Fund
First Trust Tactical High Yield ETF
First Trust Senior Loan Fund
First Trust Enhanced Short Maturity ETF
First Trust High Income Strategic Focus ETF
First Trust Low Duration Opportunities ETF
First Trust SSI Strategic Convertible Securities ETF
First Trust EIP Carbon Impact ETF
First Trust Long Duration Opportunities ETF
FT Cboe Vest S&P 500 ® Dividend Aristocrats Target Income ETF ®
First Trust Limited Duration Investment Grade Corporate ETF
FT Energy Income Partners Strategy ETF
First Trust Exchange-Traded Fund V
First Trust Managed Futures Strategy Fund
First Trust Exchange-Traded Fund VI
First Trust NASDAQ Technology Dividend Index Fund
Multi-Asset Diversified Income Index Fund
First Trust S&P International Dividend Aristocrats ETF
First Trust BuyWrite Income ETF
First Trust Nasdaq BuyWrite Income ETF
First Trust Rising Dividend Achievers ETF
First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Focus 5 ETF
First Trust RBA American Industrial Renaissance® ETF
First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Dividend ETF
First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ International Focus 5 ETF
First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Dynamic Focus 5 ETF
First Trust S-Network E-Commerce ETF
First Trust ▇▇▇▇ Cap Rising Dividend Achievers ETF
First Trust Indxx Innovative Transaction & Process ETF
First Trust Nasdaq Artificial Intelligence and Robotics ETF
First Trust Nasdaq Bank ETF
First Trust Nasdaq Food & Beverage ETF
First Trust Nasdaq Oil & Gas ETF
First Trust Nasdaq Pharmaceuticals ETF
First Trust Nasdaq Semiconductor ETF
First Trust Nasdaq Transportation ETF
Developed International Equity Select ETF
Emerging Markets Equity Select ETF
Large Cap US Equity Select ETF
Mid Cap US Equity Select ETF
Small Cap US Equity Select ETF
US Equity Dividend Select ETF
First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ DALI 1 ETF
First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Value ETF
First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Low Volatility ETF
First Trust International Developed Capital Strength ETF
First Trust Indxx Medical Devices ETF
First Trust S-Network Streaming & Gaming ETF
First Trust Exchange-Traded Fund VII
First Trust Global Tactical Commodity Strategy Fund
First Trust Alternative Absolute Return Strategy ETF
First Trust Exchange-Traded Fund VIII
First Trust Flexible Municipal High Income ETF
First Trust Income Opportunities ETF
First Trust TCW Opportunistic Fixed Income ETF
EquityCompass Risk Manager ETF
First Trust TCW Unconstrained Plus Bond ETF
First Trust Low Duration Strategic Focus ETF
FT Cboe Vest Fund of Buffer ETFs
FT Cboe Vest U.S. Equity Buffer ETF - August
FT Cboe Vest U.S. Equity Deep Buffer ETF - August
FT Cboe Vest U.S. Equity Buffer ETF - November
FT Cboe Vest U.S. Equity Deep Buffer ETF - November
FT Cboe Vest U.S. Equity Buffer ETF - February
FT Cboe Vest U.S. Equity Deep Buffer ETF - February
FT Cboe Vest U.S. Equity Buffer ETF - May
FT Cboe Vest U.S. Equity Deep Buffer ETF - May
FT Cboe Vest U.S. Equity Buffer ETF - June
FT Cboe Vest U.S. Equity Deep Buffer ETF - June
FT Cboe Vest U.S. Equity Buffer ETF - July
FT Cboe Vest U.S. Equity Deep Buffer ETF - July
FT Cboe Vest U.S. Equity Buffer ETF - September
FT Cboe Vest U.S. Equity Deep Buffer ETF - September
First Trust Multi-Manager Large Growth ETF
First Trust TCW Securitized Plus ETF
First Trust Active Factor Large Cap ETF
First Trust Active Factor Mid Cap ETF
First Trust Active Factor Small Cap ETF
FT Cboe Vest U.S. Equity Buffer ETF - October
FT Cboe Vest U.S. Equity Deep Buffer ETF - October
FT Cboe Vest U.S. Equity Buffer ETF - December
FT Cboe Vest U.S. Equity Deep Buffer ETF - December
FT Cboe Vest Nasdaq-100® Buffer ETF - December
FT Cboe Vest International Equity Buffer ETF - December
FT Cboe Vest Fund of Deep Buffer ETFs
FT Cboe Vest U.S. Equity Deep Buffer ETF - January
FT Cboe Vest U.S. Equity Buffer ETF - January
First Trust TCW Emerging Markets Debt ETF
FT Cboe Vest U.S. Equity Buffer ETF - March
FT Cboe Vest U.S. Equity Deep Buffer ETF - March
FT Cboe Vest Nasdaq-100® Buffer ETF - March
FT Cboe Vest International Equity Buffer ETF - March
FT Cboe Vest U.S. Equity Buffer ETF - April
FT Cboe Vest U.S. Equity Deep Buffer ETF - April
First Trust Innovation Leaders ETF
First Trust Expanded Technology ETF
FT Cboe Vest International Equity Buffer ETF - June
FT Cboe Vest Nasdaq-100® Buffer ETF - June
FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF - June
First Trust SkyBridge Crypto Industry and Digital Economy ETF
FT Cboe Vest Nasdaq-100® Buffer ETF - September
FT Cboe Vest International Equity Buffer ETF - September
First Trust Multi-Manager Small Cap Opportunities ETF
FT Cboe Vest Buffered Allocation Defensive ETF
FT Cboe Vest Buffered Allocation Growth ETF
FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF - December
FT Cboe Vest Fund of Nasdaq-100® Buffer ETFs
First Trust Multi-Strategy Alternative ETF
FT Cboe Vest Rising Dividend Achievers Target Income ETF
FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF - September
FT Cboe Vest U.S. Equity Moderate Buffer ETF - January
FT Cboe Vest U.S. Equity Moderate Buffer ETF - February
Open End Funds
First Trust Series Fund
First Trust Preferred Securities and Income Fund
First Trust/Confluence Small Cap Value Fund
First Trust Short Duration High Income Fund
First Trust Managed Municipal Fund
First Trust Variable Insurance Trust
First Trust/Dow ▇▇▇▇▇ Dividend & Income Allocation Portfolio
First Trust Multi Income Allocation Portfolio
First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Tactical Core Portfolio
First Trust Capital Strength Portfolio
First Trust International Developed Capital Strength Portfolio
Appendix B
| First Trust Series Fund | ||
| First Trust Preferred Securities and Income Fund | N/A | |
| First Trust/Confluence Small Cap Value Fund | N/A | |
| First Trust Short Duration High Income Fund | N/A | |
| First Trust Managed Municipal Fund | N/A | |
| Sub-Total | $750,000 | |
| First Trust Variable Insurance Trust | ||
| First Trust Dow ▇▇▇▇▇ Dividend & Income Allocation Portfolio | N/A | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Tactical Core Portfolio | N/A | |
| First Trust Capital Strength Portfolio | N/A | |
| First Trust International Developed Capital Strength Portfolio | N/A | |
| First Trust Multi Income Allocation Portfolio | N/A | |
| Sub-Total | $1,250,000 | |
| First Trust Closed-End Funds | ||
| First Trust Senior Floating Rate Income Fund II | $750,000 | |
| First Trust Energy Income and Growth Fund | $750,000 | |
| First Trust Enhanced Equity Income Fund | $750,000 | |
| Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund | $450,000 | |
| First Trust /abrdn Global Opportunity Income Fund | $450,000 | |
| First Trust Mortgage Income Fund | $400,000 | |
| First Trust Specialty Finance and Financial Opportunities Fund | $400,000 | |
| First Trust High Income Long/Short Fund | $900,000 | |
| First Trust Energy Infrastructure Fund | $750,000 | |
| First Trust MLP and Energy Income Fund | $900,000 | |
| First Trust Intermediate Duration Preferred & Income Fund | $1,250,000 | |
| First Trust New Opportunities MLP & Energy Fund | $600,000 | |
| First Trust Dynamic Europe Equity Income Fund | $600,000 | |
| First Trust High Yield Opportunities 2027 Term Fund | $900,000 | |
| Sub-Total | $9,850,000 | |
| First Trust Exchange-Traded Fund | ||
| First Trust Dow ▇▇▇▇▇ Select MicroCap Index Fund | N/A | |
| First Trust Morningstar Dividend Leaders Index Fund | N/A | |
| First Trust US Equity Opportunities ETF | N/A | |
| First Trust NASDAQ-100 Equal Weighted Index Fund | N/A | |
| First Trust NASDAQ-100-Technology Sector Index Fund | N/A | |
| First Trust NYSE® Arca® Biotechnology Index Fund | N/A | |
| First Trust Dow ▇▇▇▇▇ Internet Index Fund | N/A | |
| First Trust Capital Strength ETF | N/A | |
| First Trust Dividend Strength ETF | N/A | |
| First Trust Value Line® Dividend Index Fund | N/A | |
| First Trust NASDAQ-100 Ex-Technology Sector Index Fund | N/A | |
| First Trust NASDAQ® Clean Edge® Green Energy Index Fund | N/A | |
| First Trust S&P REIT Index Fund | N/A | |
| First Trust Natural Gas ETF | N/A | |
| First Trust Water ETF | N/A | |
| First Trust NASDAQ® ABA Community Bank Index Fund | N/A | |
| First Trust Dow 30 Equal Weight ETF | N/A | |
| First Trust ▇▇▇▇ U.S. Factor Rotation ETF | N/A | |
| FT Cboe Vest Gold Strategy Quarterly Buffer ETF | N/A | |
| FT Cboe Vest Gold Strategy Target Income ETF® | N/A | |
| First Trust Growth Strength ETF | N/A | |
| First Trust Indxx Aerospace & Defense ETF | N/A | |
| Sub-Total | $2,500,000 | |
| First Trust Exchange-Traded AlphaDEX® Fund | ||
| First Trust Large Cap Core AlphaDEX® Fund | N/A | |
| First Trust Mid Cap Core AlphaDEX® Fund | N/A | |
| First Trust Small Cap Core AlphaDEX® Fund | N/A | |
| First Trust Large Cap Value AlphaDEX® Fund | N/A | |
| First Trust Large Cap Growth AlphaDEX® Fund | N/A | |
| First Trust Multi Cap Value AlphaDEX® Fund | N/A | |
| First Trust Multi Cap Growth AlphaDEX® Fund | N/A | |
| First Trust Consumer Discretionary AlphaDEX® Fund | N/A | |
| First Trust Consumer Staples AlphaDEX® Fund | N/A | |
| First Trust Energy AlphaDEX® Fund | N/A | |
| First Trust Financials AlphaDEX® Fund | N/A | |
| First Trust Health Care AlphaDEX® Fund | N/A | |
| First Trust Industrials/Producer Durables AlphaDEX® Fund | N/A | |
| First Trust Materials AlphaDEX® Fund | N/A | |
| First Trust Technology AlphaDEX® Fund | N/A | |
| First Trust Utilities AlphaDEX® Fund | N/A | |
| First Trust Mid Cap Growth AlphaDEX® Fund | N/A | |
| First Trust Mid Cap Value AlphaDEX® Fund | N/A | |
| First Trust Small Cap Growth AlphaDEX® Fund | N/A | |
| First Trust Small Cap Value AlphaDEX® Fund | N/A | |
| Sub-Total | $2,500,000 | |
| First Trust Exchange-Traded Fund II | ||
| First Trust STOXX® European Select Dividend Index Fund | N/A | |
| First Trust Alerian Disruptive Technology Real Estate ETF | N/A | |
| First Trust Dow ▇▇▇▇▇ Global Select Dividend Index Fund | N/A | |
| First Trust Global Wind Energy ETF | N/A | |
| First Trust Alerian U.S. NextGen Infrastructure ETF | N/A | |
| First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund | N/A | |
| First Trust Indxx Global Natural Resources Income ETF | N/A | |
| First Trust Indxx Global Agriculture ETF | N/A | |
| First Trust ▇▇▇▇ Index Fund | N/A | |
| First Trust Indxx NextG ETF | N/A | |
| First Trust S-Network Future Vehicles & Technology ETF | N/A | |
| First Trust Cloud Computing ETF | N/A | |
| First Trust International Equity Opportunities ETF | N/A | |
| First Trust Nasdaq Cybersecurity ETF | N/A | |
| First Trust IPOX® Europe Equity Opportunities ETF | N/A | |
| First Trust Dow ▇▇▇▇▇ International Internet ETF | N/A | |
| First Trust Nasdaq Lux Digital Health Solutions ETF | N/A | |
| First Trust Indxx Metaverse ETF | N/A | |
| Sub-Total | $2,500,000 | |
| First Trust Exchange-Traded AlphaDEX® Fund II | ||
| First Trust Developed Markets ex-US AlphaDEX® Fund | N/A | |
| First Trust Emerging Markets AlphaDEX® Fund | N/A | |
| First Trust Asia Pacific ex-Japan AlphaDEX® Fund | N/A | |
| First Trust Europe AlphaDEX® Fund | N/A | |
| First Trust Latin America AlphaDEX® Fund | N/A | |
| First Trust Brazil AlphaDEX® Fund | N/A | |
| First Trust China AlphaDEX® Fund | N/A | |
| First Trust Japan AlphaDEX® Fund | N/A | |
| First Trust Germany AlphaDEX® Fund | N/A | |
| First Trust United Kingdom AlphaDEX® Fund | N/A | |
| First Trust India NIFTY 50 Equal Weight ETF | N/A | |
| First Trust Switzerland AlphaDEX® Fund | N/A | |
| First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund | N/A | |
| First Trust Emerging Markets Small Cap AlphaDEX® Fund | N/A | |
| First Trust Eurozone AlphaDEX® ETF | N/A | |
| Sub-Total | $1,500,000 | |
| First Trust Exchange-Traded Fund III | ||
| First Trust Preferred Securities and Income ETF | N/A | |
| First Trust Managed Municipal ETF | N/A | |
| First Trust Long/Short Equity ETF | N/A | |
| First Trust Emerging Markets Local Currency Bond ETF | N/A | |
| First Trust RiverFront Dynamic Developed International ETF | N/A | |
| First Trust RiverFront Dynamic Europe ETF | N/A | |
| First Trust RiverFront Dynamic Emerging Markets ETF | N/A | |
| First Trust Horizon Managed Volatility Domestic ETF | N/A | |
| First Trust Horizon Managed Volatility Developed International ETF | N/A | |
| First Trust California Municipal High Income ETF | N/A | |
| First Trust Institutional Preferred Securities and Income ETF | N/A | |
| First Trust Municipal High Income ETF | N/A | |
| First Trust Short Duration Managed Municipal ETF | N/A | |
| First Trust Ultra Short Duration Municipal ETF | N/A | |
| First Trust Merger Arbitrage ETF | N/A | |
| First Trust Horizon Managed Volatility Small/Mid ETF | N/A | |
| First Trust New York Municipal High Income ETF | N/A | |
| Sub-Total | $2,500,000 | |
| First Trust Exchange-Traded Fund IV | ||
| First Trust North American Energy Infrastructure Fund | N/A | |
| First Trust Tactical High Yield ETF | N/A | |
| First Trust Senior Loan Fund | N/A | |
| First Trust Enhanced Short Maturity ETF | N/A | |
| First Trust Low Duration Opportunities ETF | N/A | |
| First Trust Long Duration Opportunities ETF | N/A | |
| First Trust SSI Strategic Convertible Securities ETF | N/A | |
| First Trust EIP Carbon Impact ETF | N/A | |
| FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF® | N/A | |
| First Trust Limited Duration Investment Grade Corporate ETF | N/A | |
| First Trust High Income Strategic Focus ETF | N/A | |
| FT Cboe Vest Rising Dividend Achievers Target Income ETF | N/A | |
| FT Energy Income Partners Strategy ETF | N/A | |
| Sub-Total | $2,500,000 | |
| First Trust Exchange-Traded Fund V | ||
| First Trust Managed Futures Strategy Fund | N/A | |
| Sub-Total | $600,000 | |
| First Trust Exchange-Traded Fund VI | ||
| First Trust NASDAQ Technology Dividend Index Fund | N/A | |
| Multi-Asset Diversified Income Index Fund | N/A | |
| First Trust S&P International Dividend Aristocrats ETF | N/A | |
| First Trust BuyWrite Income ETF | N/A | |
| First Trust Nasdaq BuyWrite Income ETF | N/A | |
| First Trust Rising Dividend Achievers ETF | N/A | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Focus 5 ETF | N/A | |
| First Trust RBA American Industrial Renaissance® ETF | N/A | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Dividend ETF | N/A | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ International Focus 5 ETF | N/A | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Dynamic Focus 5 ETF | N/A | |
| First Trust ▇▇▇▇ Cap Rising Dividend Achievers ETF | N/A | |
| First Trust Indxx Innovative Transaction & Process ETF | N/A | |
| First Trust Nasdaq Artificial Intelligence and Robotics ETF | N/A | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Low Volatility ETF | N/A | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Value ETF | N/A | |
| First Trust Nasdaq Bank ETF | N/A | |
| First Trust Nasdaq Food & Beverage ETF | N/A | |
| First Trust Nasdaq Oil & Gas ETF | N/A | |
| First Trust Nasdaq Pharmaceuticals ETF | N/A | |
| First Trust S-Network E-Commerce ETF | N/A | |
| First Trust Nasdaq Semiconductor ETF | N/A | |
| First Trust Nasdaq Transportation ETF | N/A | |
| Developed International Equity Select ETF | N/A | |
| Emerging Markets Equity Select ETF | N/A | |
| Large Cap US Equity Select ETF | N/A | |
| Mid Cap US Equity Select ETF | N/A | |
| Small Cap US Equity Select ETF | N/A | |
| US Equity Dividend Select ETF | N/A | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ DALI 1 ETF | N/A | |
| First Trust International Developed Capital Strength ETF | N/A | |
| First Trust Indxx Medical Devices ETF | N/A | |
| First Trust S-Network Streaming & Gaming ETF | N/A | |
| Sub-Total | $2,500,000 | |
| First Trust Exchange-Traded Fund VII | ||
| First Trust Global Tactical Commodity Strategy Fund | N/A | |
| First Trust Alternative Absolute Return Strategy ETF | N/A | |
| Sub-Total | $2,300,000 | |
| First Trust Exchange-Traded Fund VIII | ||
| First Trust Income Opportunities ETF | N/A | |
| First Trust Flexible Municipal High Income ETF | N/A | |
| First Trust TCW Opportunistic Fixed Income ETF | N/A | |
| EquityCompass Risk Manager ETF | N/A | |
| First Trust TCW Unconstrained Plus Bond ETF | N/A | |
| First Trust Low Duration Strategic Focus ETF | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - August | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - August | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - November | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - November | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - February | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - February | N/A | |
| First Trust Active Factor Large Cap ETF | N/A | |
| First Trust Active Factor Mid Cap ETF | N/A | |
| First Trust Active Factor Small Cap ETF | N/A | |
| First Trust TCW Securitized Plus ETF | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - May | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - May | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - June | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - June | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - July | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - July | N/A | |
| First Trust Multi-Manager Large Growth ETF | N/A | |
| FT Cboe Vest Fund of Buffer ETFs | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF- September | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF- September | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF- October | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF- October | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - December | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - December | N/A | |
| FT Cboe Vest Nasdaq-100® Buffer ETF - December | N/A | |
| FT Cboe Vest International Equity Buffer ETF - December | N/A | |
| FT Cboe Vest Fund of Deep Buffer ETFs | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - January | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - January | N/A | |
| First Trust TCW Emerging Markets Debt ETF | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - March | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - March | N/A | |
| FT Cboe Vest Nasdaq-100® Buffer ETF - March | N/A | |
| FT Cboe Vest International Equity Buffer ETF - March | N/A | |
| FT Cboe Vest U.S. Equity Buffer ETF - April | N/A | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - April | N/A | |
| First Trust Innovation Leaders ETF | N/A | |
| First Trust Expanded Technology ETF | N/A | |
| FT Cboe Vest International Equity Buffer ETF- June | N/A | |
| FT Cboe Vest Nasdaq-100® Buffer ETF - June | N/A | |
| FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF - June | N/A | |
| First Trust SkyBridge Crypto Industry and Digital Economy ETF | N/A | |
| FT Cboe Vest Nasdaq-100® Buffer ETF- September | N/A | |
| FT Cboe Vest International Equity Buffer ETF- September | N/A | |
| First Trust Multi-Manager Small Cap Opportunities ETF | N/A | |
| FT Cboe Vest Buffered Allocation Defensive ETF | N/A | |
| FT Cboe Vest Buffered Allocation Growth ETF | N/A | |
| FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF - December | N/A | |
| FT Cboe Vest Fund of Nasdaq-100® Buffer ETFs | N/A | |
| FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF- September | N/A | |
| FT Cboe Vest U.S. Equity Moderate Buffer ETF – January | N/A | |
| First Trust Multi-Strategy Alternative ETF | N/A | |
| FT Cboe Vest U.S. Equity Moderate Buffer ETF – February | N/A | |
| Sub-Total | $2,500,000 | |
| GRAND TOTAL | $33,750,000 |
Appendix C
|
First Trust Variable Insurance Trust
|
||
| First Trust/Dow ▇▇▇▇▇ Dividend & Income Allocation Portfolio | $600 | |
| First Trust Multi Income Allocation Portfolio | $25 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Tactical Core Portfolio | $33 | |
| First Trust Capital Strength Portfolio | $49 | |
| First Trust International Developed Capital Strength Portfolio | $3 | |
| Total | $710 | |
|
First Trust Exchange-Traded Fund
|
||
| First Trust Dow ▇▇▇▇▇ Select MicroCap Index Fund | $94 | |
| First Trust Morningstar Dividend Leaders Index Fund | $2,274 | |
| First Trust US Equity Opportunities ETF | $651 | |
| First Trust NASDAQ-100 Equal Weighted Index Fund | $739 | |
| First Trust NASDAQ-100-Technology Sector Index Fund | $1,004 | |
| First Trust NYSE Arca Biotechnology Index Fund | $880 | |
| First Trust Dow ▇▇▇▇▇ Internet Index Fund | $2,682 | |
| First Trust Capital Strength ETF | $5,253 | |
| First Trust Dividend Strength ETF | $11 | |
| First Trust Value Line® Dividend Index Fund | $7,679 | |
| First Trust NASDAQ-100 Ex-Technology Sector Index Fund | $84 | |
| First Trust NASDAQ® Clean Edge® Green Energy Index Fund | $1,391 | |
| First Trust S&P REIT Index Fund | $104 | |
| First Trust Chindia ETF | $73 | |
| First Trust Natural Gas ETF | $656 | |
| First Trust Water ETF | $815 | |
| First Trust NASDAQ® ABA Community Bank Index Fund | $57 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ People’s Portfolio ETF | $3 | |
| First Trust Dow 30 Equal Weight ETF | $82 | |
| First Trust ▇▇▇▇ U.S. Factor Rotation ETF | $215 | |
| FT Cboe Vest Gold Strategy Quarterly Buffer ETF | $9 | |
| FT Cboe Vest Gold Strategy Target Income ETF | $25 | |
| Total | $24,781 | |
|
First Trust Exchange-Traded Fund II
|
||
| First Trust STOXX® European Select Dividend Index Fund | $110 | |
| First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund | $24 | |
| First Trust Dow ▇▇▇▇▇ Global Select Dividend Index Fund | $349 | |
| First Trust Global Wind Energy ETF | $168 | |
| First Trust Alerian U.S. NextGen Infrastructure ETF | $6 | |
| First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund | $375 | |
| First Trust Indxx Global Natural Resources Income ETF | $147 | |
| First Trust Indxx Global Agriculture ETF | $16 | |
| First Trust ▇▇▇▇ Index Fund | $32 | |
| First Trust Indxx NextG ETF | $331 | |
| First Trust S-Network Future Vehicles & Technology ETF | $28 | |
| First Trust Cloud Computing ETF | $2,090 | |
| First Trust International Equity Opportunities ETF | $226 | |
| First Trust Nasdaq Cybersecurity ETF | $3,362 | |
| First Trust IPOX® Europe Equity Opportunities ETF | $4 | |
| First Trust Dow ▇▇▇▇▇ International Internet ETF | $20 | |
| First Trust Nasdaq Lux Digital Health Solutions ETF | $1 | |
| First Trust Indxx Metaverse ETF | $1 | |
| Total | $7,290 | |
|
First Trust Exchange-Traded AlphaDEX® Fund
|
||
| First Trust Large Cap Core AlphaDEX® Fund | $703 | |
| First Trust Mid Cap Core AlphaDEX® Fund | $616 | |
| First Trust Small Cap Core AlphaDEX® Fund | $518 | |
| First Trust Large Cap Value AlphaDEX® Fund | $726 | |
| First Trust Large Cap Growth AlphaDEX® Fund | $586 | |
| First Trust Multi Cap Value AlphaDEX® Fund | $120 | |
| First Trust Multi Cap Growth AlphaDEX® Fund | $109 | |
| First Trust Consumer Discretionary AlphaDEX® Fund | $231 | |
| First Trust Consumer Staples AlphaDEX® Fund | $406 | |
| First Trust Energy AlphaDEX® Fund | $1,262 | |
| First Trust Financials AlphaDEX® Fund | $750 | |
| First Trust Health Care AlphaDEX® Fund | $975 | |
| First Trust Industrials/Producer Durables AlphaDEX® Fund | $970 | |
| First Trust Materials AlphaDEX® Fund | $887 | |
| First Trust Technology AlphaDEX® Fund | $671 | |
| First Trust Utilities AlphaDEX® Fund | $292 | |
| First Trust Mid Cap Growth AlphaDEX® Fund | $176 | |
| First Trust Mid Cap Value AlphaDEX® Fund | $140 | |
| First Trust Small Cap Growth AlphaDEX® Fund | $135 | |
| First Trust Small Cap Value AlphaDEX® Fund | $123 | |
| Total | $10,396 | |
|
First Trust Exchange-Traded AlphaDEX® Fund II
|
||
| First Trust Developed Markets ex-US AlphaDEX® Fund | $252 | |
| First Trust Emerging Markets AlphaDEX® Fund | $207 | |
| First Trust Asia Pacific ex-Japan AlphaDEX® Fund | $8 | |
| First Trust Europe AlphaDEX® Fund | $169 | |
| First Trust Latin America AlphaDEX® Fund | $31 | |
| First Trust Brazil AlphaDEX® Fund | $4 | |
| First Trust China AlphaDEX® Fund | $5 | |
| First Trust Japan AlphaDEX® Fund | $20 | |
| First Trust Germany AlphaDEX® Fund | $8 | |
| First Trust United Kingdom AlphaDEX® Fund | $19 | |
| First Trust India NIFTY 50 Equal Weight ETF | $31 | |
| First Trust Switzerland AlphaDEX® Fund | $19 | |
| First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund | $5 | |
| First Trust Emerging Markets Small Cap AlphaDEX® Fund | $78 | |
| First Trust Eurozone AlphaDEX® ETF | $11 | |
| Total | $867 | |
|
First Trust Open-End Funds
|
||
| First Trust Preferred Securities and Income Fund | $164 | |
| First Trust/Confluence Small Cap Value Fund | $18 | |
| First Trust Short Duration High Income Fund | $97 | |
| First Trust Managerd Municipal Fund | $31 | |
| Total | $310 | |
|
First Trust Exchange-Traded Fund III
|
||
| First Trust Preferred Securities and Income ETF | $4,316 | |
| First Trust Managed Municipal ETF | $1,239 | |
| First Trust Long/Short Equity ETF | $340 | |
| First Trust Emerging Markets Local Currency Bond ETF | $88 | |
| First Trust RiverFront Dynamic Developed International ETF | $81 | |
| First Trust RiverFront Dynamic Europe ETF | $12 | |
| First Trust RiverFront Dynamic Emerging Markets ETF | $20 | |
| First Trust Horizon Managed Volatility Domestic ETF | $58 | |
| First Trust Horizon Managed Volatility Developed International ETF | $25 | |
| First Trust California Municipal High Income ETF | $83 | |
| First Trust Institutional Preferred Securities and Income ETF | $433 | |
| First Trust Municipal High Income ETF | $208 | |
| First Trust Ultra Short Duration Municipal ETF | $216 | |
| First Trust Short Duration Managed Municipal ETF | $258 | |
| First Trust Horizon Managed Volatility Small/Mid ETF | $10 | |
| First Trust Merger Arbitrage ETF | $59 | |
| First Trust New York Municipal High Income ETF | $7 | |
| Total | $7,453 | |
|
First Trust Exchange-Traded Fund IV
|
||
| First Trust North American Energy Infrastructure Fund | $1,664 | |
| First Trust Tactical High Yield ETF | $1,110 | |
| First Trust Senior Loan Fund | $2,112 | |
| First Trust Enhanced Short Maturity ETF | $4,574 | |
| First Trust Low Duration Opportunities ETF | $3,504 | |
| First Trust SSI Strategic Convertible Securities ETF | $123 | |
| First Trust EIP Carbon Impact ETF | $19 | |
| First Trust Long Duration Opportunities ETF | $13 | |
| FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF® | $325 | |
| First Trust Limited Duration Investment Grade Corporate ETF | $11 | |
| First Trust High Income Strategic Focus ETF | $29 | |
| Total | $13,484 | |
|
First Trust Exchange-Traded Fund V
|
||
| First Trust Managed Futures Strategy Fund | $140 | |
| Total | ||
|
First Trust Exchange-Traded Fund VI
|
||
| First Trust NASDAQ Technology Dividend Index Fund | $1,013 | |
| Multi-Asset Diversified Income Index Fund | $315 | |
| First Trust S&P International Dividend Aristocrats ETF | $31 | |
| First Trust BuyWrite Income ETF | $70 | |
| First Trust Nasdaq BuyWrite Income ETF | $13 | |
| First Trust Rising Dividend Achievers ETF | $5,242 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Focus 5 ETF | $1,917 | |
| First Trust RBA American Industrial Renaissance® ETF | $123 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Dividend ETF | $47 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ International Focus 5 ETF | $99 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Dynamic Focus 5 ETF | $167 | |
| First Trust ▇▇▇▇ Cap Rising Dividend Achievers ETF | $594 | |
| First Trust Indxx Innovative Transaction & Process ETF | $70 | |
| First Trust Nasdaq Artificial Intelligence and Robotics ETF | $123 | |
| First Trust Nasdaq Bank ETF | $143 | |
| First Trust Nasdaq Food & Beverage ETF | $582 | |
| First Trust Nasdaq Oil & Gas ETF | $802 | |
| First Trust Nasdaq Pharmaceuticals ETF | $25 | |
| First Trust S-Network E-Commerce ETF | $3 | |
| First Trust Nasdaq Semiconductor ETF | $47 | |
| First Trust Nasdaq Transportation ETF | $49 | |
| Developed International Equity Select ETF | $11 | |
| Emerging Markets Equity Select ETF | $6 | |
| Large Cap US Equity Select ETF | $12 | |
| Mid Cap US Equity Select ETF | $11 | |
| Small Cap US Equity Select ETF | $17 | |
| US Equity Dividend Select ETF | $12 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ DALI 1 ETF | $106 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Value ETF | $15 | |
| First Trust ▇▇▇▇▇▇ ▇▇▇▇▇▇ Momentum & Low Volatility ETF | $50 | |
| First Trust International Developed Capital Strength ETF | $14 | |
| First Trust Indxx Medical Devices ETF | $1 | |
| First Trust S-Network Streaming & Gaming ETF | $2 | |
| Total | $11,732 | |
|
First Trust Exchange-Traded Fund VII
|
||
| First Trust Global Tactical Commodity Strategy Fund | $2,920 | |
| First Trust Alternative Absolute Return Strategy ETF | $141 | |
| Total | $3,061 | |
|
First Trust Exchange-Traded Fund VIII
|
||
| First Trust Income Opportunity ETF | $17 | |
| First Trust Flexible Municipal High Income ETF | $9 | |
| First Trust TCW Opportunistic Fixed Income ETF | $2,323 | |
| EquityCompass Risk Manager ETF | $12 | |
| First Trust TCW Unconstrained Plus Bond ETF | $893 | |
| First Trust Low Duration Strategic Focus ETF | $141 | |
| FT Cboe Vest U.S. Equity Buffer ETF - August | $201 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - August | $165 | |
| FT Cboe Vest U.S. Equity Buffer ETF - November | $192 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - November | $281 | |
| First Trust Active Factor Large Cap ETF | $3 | |
| First Trust Active Factor Mid Cap ETF | $1 | |
| First Trust Active Factor Small Cap ETF | $1 | |
| FT Cboe Vest U.S. Equity Buffer ETF - February | $172 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - February | $206 | |
| FT Cboe Vest U.S. Equity Buffer ETF - May | $236 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - May | $134 | |
| FT Cboe Vest U.S. Equity Buffer ETF - June | $205 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF -June | $121 | |
| FT Cboe Vest U.S. Equity Buffer ETF - July | $148 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF -July | $110 | |
| First Trust TCW Securitized Plus ETF | $99 | |
| First Trust Multi-Manager Large Growth ETF | $40 | |
| FT Cboe Vest Fund of Buffer ETFs | $481 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - September | $135 | |
| FT Cboe Vest U.S. Equity Buffer ETF - September | $142 | |
| FT Cboe Vest U.S. Equity Buffer ETF- October | $120 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF- October | $90 | |
| FT Cboe Vest U.S. Equity Buffer ETF - December | $145 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - December | $180 | |
| FT Cboe Vest Growth-100 Buffer ETF - December | $45 | |
| FT Cboe Vest International Equity Buffer ETF - December | $7 | |
| FT Cboe Vest Fund of Deep Buffer ETFs | $371 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - January | $113 | |
| FT Cboe Vest U.S. Equity Buffer ETF - January | $98 | |
| FT TCW Emerging Markets Debt ETF | $5 | |
| FT Cboe Vest U.S. Equity Buffer ETF - March | $108 | |
| FT Cboe Vest U.S. Equity Deep Buffer ETF - March | $145 | |
| FT Cboe Vest Growth-100 Buffer ETF - March | $29 | |
| FT Cboe Vest International Equity Buffer ETF - March | $22 | |
| FT Cboe Vest U.S. Equity Buffer ETF - April | $179 | |
| FT Cboe Vest U.S. Equity Deep Buffer - April | $182 | |
| First Trust Innovation Leaders ETF | $2 | |
| First Trust TCW ESG Premier Equity ETF | $1 | |
| First Trust Expanded Technology ETF | $11 | |
| FT Cboe Vest International Equity Buffer ETF- June | $30 | |
| FT Cboe Vest Growth- 100 Buffer ETF - June | $66 | |
| FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF - June | $93 | |
| First Trust SkyBridge Crypto Industry and Digital Economy ETF | $16 | |
| FT Cboe Vest Nasdaq-100 Buffer ETF- September | $26 | |
| FT Cboe Vest International Equity Buffer ETF- September | $11 | |
| First Trust Multi-Manager Small Cap Opportunities ETF | $1 | |
| FT Cboe Vest Buffered Allocation Defensive ETF | $110 | |
| FT Cboe Vest Buffered Allocation Growth ETF | $106 | |
| FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF - December | $54 | |
| FT Cboe Vest Fund of Nasdaq-100 Buffer ETFs | $8 | |
| FT Cboe Vest U.S. Equity Enhance & Moderate Buffer ETF- September | $38 | |
| Total | $8,880 | |
|
First Trust Closed-End Funds
|
||
| Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund | $50 | |
| First Trust Energy Income and Growth Fund | $196 | |
| First Trust Enhanced Equity Income Fund | $218 | |
| First Trust/abrdn Global Opportunity Income Fund | $44 | |
| First Trust Mortgage Income Fund | $36 | |
| First Trust/abrdn Emerging Opportunity Fund | $32 | |
| First Trust Specialty Finance and Financial Opportunities Fund | $33 | |
| First Trust Senior Floating Rate Income Fund II | $196 | |
| First Trust High Income Long/Short Fund | $289 | |
| First Trust Energy Infrastructure Fund | $173 | |
| First Trust MLP and Energy Income Fund | $266 | |
| First Trust New Opportunities MLP & Energy Fund | $107 | |
| First Trust Intermediate Duration Preferred & Income Fund | $787 | |
| First Trust Dynamic Europe Equity Income Fund | $131 | |
| First Trust High Yield Opportunities 2027 Term Fund | $405 | |
| Total | $2,963 | |
| $92,067 | ||
| First Trust Advisors L.P. | $53,705 | |
| First Trust Portfolios L.P. | $7,672 | |
| Total | $153,444 | |