First Trust Dow Jones Select MicroCap Index Fund (FDM)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 100.0% | |||||
Aerospace & Defense — 1.7% | |||||
36,351 | Ducommun, Inc. (a) | $1,581,632 | |||
14,049 | National Presto Industries, Inc. | 1,017,991 | |||
2,599,623 | |||||
Air Freight & Logistics — 0.4% | |||||
97,009 | Radiant Logistics, Inc. (a) | 548,101 | |||
Banks — 19.3% | |||||
47,639 | Amalgamated Financial Corp. | 820,344 | |||
40,659 | Bar Harbor Bankshares | 960,772 | |||
29,690 | BayCom Corp. | 570,345 | |||
63,231 | Business First Bancshares, Inc. | 1,186,214 | |||
36,012 | Capital City Bank Group, Inc. | 1,074,238 | |||
28,905 | Coastal Financial Corp. (a) | 1,240,313 | |||
24,494 | Codorus Valley Bancorp, Inc. | 456,568 | |||
115,044 | CrossFirst Bankshares, Inc. (a) | 1,160,794 | |||
18,045 | Esquire Financial Holdings, Inc. | 824,476 | |||
28,915 | First Financial Corp. | 977,616 | |||
31,481 | Five Star Bancorp | 631,509 | |||
18,722 | FS Bancorp, Inc. | 552,299 | |||
23,729 | Great Southern Bancorp, Inc. | 1,137,094 | |||
35,028 | HBT Financial, Inc. | 638,911 | |||
163,890 | Heritage Commerce Corp. | 1,388,148 | |||
41,932 | HomeTrust Bancshares, Inc. | 908,666 | |||
56,187 | Independent Bank Corp. | 1,030,470 | |||
176,695 | Kearny Financial Corp. | 1,224,496 | |||
16,756 | MainStreet Bancshares, Inc. | 344,168 | |||
39,534 | Mercantile Bank Corp. | 1,221,996 | |||
38,291 | MidWestOne Financial Group, Inc. | 778,456 | |||
31,394 | MVB Financial Corp. | 708,876 | |||
17,488 | Northeast Bank | 771,221 | |||
40,160 | Northeast Community Bancorp, Inc. | 592,762 | |||
14,994 | Northrim BanCorp, Inc. | 594,062 | |||
17,775 | Oak Valley Bancorp (b) | 445,797 | |||
107,865 | Old Second Bancorp, Inc. | 1,468,043 | |||
11,509 | Orange County Bancorp, Inc. (b) | 496,843 | |||
13,062 | Plumas Bancorp | 445,937 | |||
35,287 | Sierra Bancorp | 669,041 | |||
32,670 | South Plains Financial, Inc. | 863,795 | |||
25,532 | Southern Missouri Bancorp, Inc. | 987,833 | |||
21,717 | Timberland Bancorp, Inc. | 588,531 | |||
79,062 | Univest Financial Corp. | 1,374,098 | |||
29,134,732 | |||||
Biotechnology — 1.0% | |||||
90,570 | Cullinan Oncology, Inc. (a) | 819,658 | |||
83,620 | Voyager Therapeutics, Inc. (a) | 648,055 | |||
1,467,713 |
Shares | Description | Value | |||
Capital Markets — 1.5% | |||||
79,620 | Bridge Investment Group Holdings, Inc., Class A | $732,504 | |||
7,901 | Diamond Hill Investment Group, Inc. | 1,331,872 | |||
82,709 | Heritage Global, Inc. (a) | 258,052 | |||
2,322,428 | |||||
Chemicals — 1.6% | |||||
73,094 | American Vanguard Corp. | 798,918 | |||
19,618 | Core Molding Technologies, Inc. (a) | 558,917 | |||
70,442 | FutureFuel Corp. | 505,069 | |||
25,070 | Intrepid Potash, Inc. (a) | 630,761 | |||
2,493,665 | |||||
Commercial Services & Supplies — 3.9% | |||||
78,342 | CECO Environmental Corp. (a) | 1,251,122 | |||
60,105 | Liquidity Services, Inc. (a) | 1,059,050 | |||
82,481 | Quad Graphics, Inc. (a) | 414,880 | |||
56,012 | Viad Corp. (a) | 1,467,514 | |||
35,055 | VSE Corp. | 1,768,174 | |||
5,960,740 | |||||
Communications Equipment — 0.8% | |||||
30,693 | Aviat Networks, Inc. (a) | 957,622 | |||
32,586 | Cambium Networks Corp. (a) | 238,855 | |||
1,196,477 | |||||
Construction & Engineering — 1.1% | |||||
26,566 | Limbach Holdings, Inc. (a) | 842,939 | |||
26,865 | Northwest Pipe Co. (a) | 810,517 | |||
1,653,456 | |||||
Consumer Finance — 1.4% | |||||
12,389 | Atlanticus Holdings Corp. (a) | 375,511 | |||
139,775 | EZCORP, Inc., Class A (a) | 1,153,144 | |||
24,015 | Regional Management Corp. | 664,735 | |||
2,193,390 | |||||
Containers & Packaging — 1.2% | |||||
98,751 | Myers Industries, Inc. | 1,770,605 | |||
Diversified Consumer Services — 1.1% | |||||
35,733 | Carriage Services, Inc. | 1,009,457 | |||
76,556 | Lincoln Educational Services Corp. (a) | 646,898 | |||
1,656,355 | |||||
Diversified REITs — 0.5% | |||||
42,875 | One Liberty Properties, Inc. | 809,051 | |||
Diversified Telecommunication Services — 0.8% | |||||
53,908 | IDT Corp., Class B (a) | 1,188,671 |
First Trust Dow Jones Select MicroCap Index Fund (FDM)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Electric Utilities — 0.6% | |||||
58,331 | Genie Energy Ltd., Class B | $859,216 | |||
Electrical Equipment — 2.9% | |||||
37,764 | Allient, Inc. | 1,167,663 | |||
71,537 | LSI Industries, Inc. | 1,136,007 | |||
24,501 | Powell Industries, Inc. | 2,031,133 | |||
4,334,803 | |||||
Electronic Equipment, Instruments & Components — 4.4% | |||||
26,826 | Bel Fuse, Inc., Class B | 1,280,137 | |||
10,664 | Climb Global Solutions, Inc. | 458,659 | |||
66,328 | Kimball Electronics, Inc. (a) | 1,816,061 | |||
66,800 | ScanSource, Inc. (a) | 2,024,708 | |||
33,751 | Vishay Precision Group, Inc. (a) | 1,133,358 | |||
6,712,923 | |||||
Energy Equipment & Services — 4.0% | |||||
53,021 | DMC Global, Inc. (a) | 1,297,424 | |||
25,591 | Forum Energy Technologies, Inc. (a) | 614,696 | |||
36,533 | KLX Energy Services Holdings, Inc. (a) (b) | 432,916 | |||
61,735 | Mammoth Energy Services, Inc. (a) | 286,450 | |||
37,602 | Ranger Energy Services, Inc. | 533,196 | |||
77,673 | Solaris Oilfield Infrastructure, Inc., Class A | 827,994 | |||
312,809 | TETRA Technologies, Inc. (a) | 1,995,722 | |||
5,988,398 | |||||
Entertainment — 1.3% | |||||
56,925 | Sciplay Corp., Class A (a) | 1,296,182 | |||
98,257 | Vivid Seats, Inc., Class A (a) | 630,810 | |||
1,926,992 | |||||
Financial Services — 1.7% | |||||
62,876 | NewtekOne, Inc. (b) | 927,421 | |||
14,829 | Ocwen Financial Corp. (a) | 383,774 | |||
249,801 | UWM Holdings Corp. (b) | 1,211,535 | |||
2,522,730 | |||||
Ground Transportation — 0.4% | |||||
113,170 | Daseke, Inc. (a) | 580,562 | |||
Health Care Equipment & Supplies — 0.8% | |||||
196,952 | OraSure Technologies, Inc. (a) | 1,167,925 | |||
Health Care Providers & Services — 0.7% | |||||
341,291 | Community Health Systems, Inc. (a) | 989,744 |
Shares | Description | Value | |||
Hotels, Restaurants & Leisure — 4.2% | |||||
24,756 | Bluegreen Vacations Holding Corp. | $908,050 | |||
148,794 | Denny’s Corp. (a) | 1,260,285 | |||
72,515 | El Pollo Loco Holdings, Inc. | 649,009 | |||
65,709 | Inspired Entertainment, Inc. (a) | 785,880 | |||
7,443 | Nathan’s Famous, Inc. | 525,923 | |||
67,018 | ONE Group Hospitality (The), Inc. (a) | 368,599 | |||
64,495 | Potbelly Corp. (a) | 503,061 | |||
23,250 | RCI Hospitality Holdings, Inc. | 1,410,345 | |||
6,411,152 | |||||
Household Durables — 0.4% | |||||
30,023 | Landsea Homes Corp. (a) | 269,907 | |||
18,977 | Legacy Housing Corp. (a) | 368,343 | |||
638,250 | |||||
Household Products — 1.3% | |||||
25,558 | Central Garden & Pet Co. (a) | 1,128,130 | |||
13,693 | Oil-Dri Corp. of America | 845,543 | |||
1,973,673 | |||||
Insurance — 1.7% | |||||
121,538 | Ambac Financial Group, Inc. (a) | 1,465,748 | |||
72,395 | Greenlight Capital Re Ltd., Class A (a) | 777,523 | |||
49,975 | Kingsway Financial Services, Inc. (a) | 377,311 | |||
2,620,582 | |||||
Interactive Media & Services — 0.1% | |||||
19,711 | Travelzoo (a) | 114,915 | |||
IT Services — 1.3% | |||||
66,444 | Hackett Group (The), Inc. | 1,567,414 | |||
80,766 | Information Services Group, Inc. | 353,755 | |||
1,921,169 | |||||
Leisure Products — 1.5% | |||||
17,782 | Johnson Outdoors, Inc., Class A | 972,498 | |||
32,363 | Marine Products Corp. | 459,878 | |||
40,833 | MasterCraft Boat Holdings, Inc. (a) | 907,309 | |||
2,339,685 | |||||
Machinery — 2.8% | |||||
61,660 | Douglas Dynamics, Inc. | 1,860,899 | |||
27,806 | Gencor Industries, Inc. (a) | 392,899 | |||
28,449 | Mayville Engineering Co., Inc. (a) | 312,085 | |||
30,706 | Miller Industries, Inc. | 1,203,982 | |||
22,088 | Park-Ohio Holdings Corp. | 439,772 | |||
4,209,637 |
First Trust Dow Jones Select MicroCap Index Fund (FDM)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Marine Transportation — 1.4% | |||||
114,037 | Genco Shipping & Trading Ltd. | $1,595,378 | |||
92,247 | Pangaea Logistics Solutions Ltd. (b) | 542,412 | |||
2,137,790 | |||||
Media — 0.6% | |||||
162,454 | Entravision Communications Corp., Class A | 592,957 | |||
32,341 | Townsquare Media, Inc., Class A | 282,014 | |||
874,971 | |||||
Metals & Mining — 4.7% | |||||
126,169 | Gatos Silver, Inc. (a) | 653,555 | |||
34,156 | Haynes International, Inc. | 1,588,937 | |||
26,283 | Olympic Steel, Inc. | 1,477,368 | |||
95,399 | Ramaco Resources, Inc., Class A | 1,048,435 | |||
224,694 | SunCoke Energy, Inc. | 2,280,644 | |||
7,048,939 | |||||
Mortgage REITs — 0.3% | |||||
42,809 | AFC Gamma, Inc. | 502,578 | |||
Oil, Gas & Consumable Fuels — 9.5% | |||||
96,184 | Amplify Energy Corp. (a) | 706,952 | |||
180,650 | Berry Corp. | 1,481,330 | |||
34,557 | Centrus Energy Corp., Class A (a) | 1,961,455 | |||
189,512 | Crescent Energy, Inc., Class A (b) | 2,395,432 | |||
81,219 | Evolution Petroleum Corp. | 555,538 | |||
65,794 | Hallador Energy Co. (a) | 948,750 | |||
152,246 | Overseas Shipholding Group, Inc., Class A (a) | 668,360 | |||
40,588 | REX American Resources Corp. (a) | 1,652,743 | |||
115,299 | Ring Energy, Inc. (a) | 224,833 | |||
84,294 | SandRidge Energy, Inc. | 1,320,044 | |||
285,645 | VAALCO Energy, Inc. | 1,253,982 | |||
259,358 | W&T Offshore, Inc. (a) | 1,135,988 | |||
14,305,407 | |||||
Paper & Forest Products — 1.1% | |||||
44,836 | Clearwater Paper Corp. (a) | 1,625,305 | |||
Pharmaceuticals — 1.6% | |||||
249,793 | Assertio Holdings, Inc. (a) | 639,470 | |||
168,625 | Omeros Corp. (a) (b) | 492,385 | |||
54,561 | Phibro Animal Health Corp., Class A | 696,744 | |||
104,883 | SIGA Technologies, Inc. | 550,636 | |||
2,379,235 |
Shares | Description | Value | |||
Professional Services — 2.5% | |||||
18,055 | Barrett Business Services, Inc. | $1,629,283 | |||
18,784 | CRA International, Inc. | 1,892,676 | |||
15,192 | RCM Technologies, Inc. (a) | 296,852 | |||
3,818,811 | |||||
Real Estate Management & Development — 0.6% | |||||
38,532 | RMR Group (The), Inc., Class A | 944,805 | |||
Retail REITs — 0.8% | |||||
126,208 | Whitestone REIT | 1,215,383 | |||
Semiconductors & Semiconductor Equipment — 1.8% | |||||
123,944 | ACM Research, Inc., Class A (a) | 2,244,006 | |||
30,657 | inTEST Corp. (a) | 465,067 | |||
2,709,073 | |||||
Software — 0.2% | |||||
16,856 | CoreCard Corp. (a) | 337,120 | |||
Specialty Retail — 2.8% | |||||
109,827 | Arhaus, Inc. (a) | 1,021,391 | |||
60,232 | Big 5 Sporting Goods Corp. (b) | 422,226 | |||
35,075 | Build-A-Bear Workshop, Inc. | 1,031,556 | |||
36,032 | Haverty Furniture Cos., Inc. | 1,037,001 | |||
27,731 | OneWater Marine, Inc., Class A (a) | 710,468 | |||
4,222,642 | |||||
Technology Hardware, Storage & Peripherals — 0.7% | |||||
43,516 | CompoSecure, Inc. (a) (b) | 280,678 | |||
183,358 | Eastman Kodak Co. (a) | 771,937 | |||
1,052,615 | |||||
Trading Companies & Distributors — 2.7% | |||||
36,797 | DXP Enterprises, Inc. (a) | 1,285,687 | |||
104,689 | Hudson Technologies, Inc. (a) | 1,392,364 | |||
54,120 | Titan Machinery, Inc. (a) | 1,438,509 | |||
4,116,560 | |||||
Water Utilities — 1.5% | |||||
25,201 | Artesian Resources Corp., Class A | 1,058,190 | |||
40,122 | Consolidated Water Co., Ltd. | 1,141,070 | |||
2,199,260 | |||||
Wireless Telecommunication Services — 0.8% | |||||
53,569 | Spok Holdings, Inc. | 764,430 | |||
382,133 | Tingo Group, Inc. (a) (b) | 391,686 | |||
1,156,116 | |||||
Total Common Stocks | 150,953,973 | ||||
(Cost $155,914,103) |
First Trust Dow Jones Select MicroCap Index Fund (FDM)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
MONEY MARKET FUNDS — 0.8% | |||||
1,289,194 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 5.19% (c) (d) | $1,289,194 | |||
(Cost $1,289,194) |
Principal Value | Description | Value | |||
REPURCHASE AGREEMENTS — 2.5% | |||||
$3,793,765 | BNP Paribas S.A., 5.20% (c), dated 09/29/23, due 10/02/23, with a maturity value of $3,795,409. Collateralized by U.S. Treasury Securities, interest rates of 4.00% to 5.44%, due 07/31/24 to 02/15/26. The value of the collateral including accrued interest is $3,869,231. (d) | 3,793,765 | |||
(Cost $3,793,765) | |||||
Total Investments — 103.3% | 156,036,932 | ||||
(Cost $160,997,062) | |||||
Net Other Assets and Liabilities — (3.3)% | (5,024,043 ) | ||||
Net Assets — 100.0% | $151,012,889 |
(a) | Non-income producing security. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities, including those sold and pending settlement, is $4,935,892 and the total value of the collateral held by the Fund is $5,082,959. |
(c) | Rate shown reflects yield as of September 30, 2023. |
(d) | This security serves as collateral for securities on loan. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of September 30, 2023 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 9/30/2023 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 150,953,973 | $ 150,953,973 | $ — | $ — |
Money Market Funds | 1,289,194 | 1,289,194 | — | — |
Repurchase Agreements | 3,793,765 | — | 3,793,765 | — |
Total Investments | $156,036,932 | $152,243,167 | $3,793,765 | $— |
* | See Portfolio of Investments for industry breakout. |
First Trust Morningstar Dividend Leaders Index Fund (FDL)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 99.8% | |||||
Automobiles — 1.9% | |||||
6,365,897 | Ford Motor Co. | $79,064,441 | |||
Banks — 17.1% | |||||
245,119 | Associated Banc-Corp. | 4,193,986 | |||
102,179 | Atlantic Union Bankshares Corp. | 2,940,712 | |||
129,297 | Bank OZK | 4,793,040 | |||
252,199 | Cadence Bank | 5,351,663 | |||
88,070 | Cathay General Bancorp | 3,061,313 | |||
3,250,820 | Citigroup, Inc. | 133,706,227 | |||
957,217 | Citizens Financial Group, Inc. | 25,653,416 | |||
482,806 | Columbia Banking System, Inc. | 9,800,962 | |||
261,714 | Comerica, Inc. | 10,874,217 | |||
196,730 | CVB Financial Corp. | 3,259,816 | |||
166,174 | East West Bancorp, Inc. | 8,759,031 | |||
1,100,756 | Fifth Third Bancorp | 27,882,149 | |||
236,424 | First Hawaiian, Inc. | 4,267,453 | |||
877,721 | First Horizon Corp. | 9,672,485 | |||
217,144 | First Interstate BancSystem, Inc., Class A | 5,415,571 | |||
498,900 | FNB Corp. | 5,383,131 | |||
163,823 | Glacier Bancorp, Inc. | 4,668,955 | |||
2,670,869 | Huntington Bancshares, Inc. | 27,777,038 | |||
58,699 | Independent Bank Corp. | 2,881,534 | |||
2,253,453 | KeyCorp | 24,247,154 | |||
230,777 | M&T Bank Corp. | 29,181,752 | |||
1,349,179 | New York Community Bancorp, Inc. | 15,299,690 | |||
355,959 | Old National Bancorp | 5,175,644 | |||
681,254 | PNC Financial Services Group (The), Inc. | 83,637,554 | |||
1,620,808 | Regions Financial Corp. | 27,877,898 | |||
193,092 | Simmons First National Corp., Class A | 3,274,840 | |||
236,590 | Synovus Financial Corp. | 6,577,202 | |||
3,037,556 | Truist Financial Corp. | 86,904,477 | |||
2,416,277 | U.S. Bancorp | 79,882,118 | |||
217,468 | United Bankshares, Inc. | 5,999,942 | |||
133,653 | United Community Banks, Inc. | 3,396,123 | |||
675,301 | Valley National Bancorp | 5,780,576 | |||
218,747 | Webster Financial Corp. | 8,817,691 | |||
227,302 | Zions Bancorp N.A. | 7,930,567 | |||
694,325,927 | |||||
Biotechnology — 8.6% | |||||
2,337,398 | AbbVie, Inc. | 348,412,546 | |||
Capital Markets — 2.0% | |||||
306,681 | Carlyle Group (The), Inc. | 9,249,499 | |||
29,217 | Cohen & Steers, Inc. | 1,831,614 | |||
427,564 | Franklin Resources, Inc. | 10,509,523 | |||
247,136 | Janus Henderson Group PLC | 6,381,051 |
Shares | Description | Value | |||
Capital Markets (Continued) | |||||
266,831 | Northern Trust Corp. | $18,539,418 | |||
320,283 | T. Rowe Price Group, Inc. | 33,588,078 | |||
80,099,183 | |||||
Chemicals — 2.0% | |||||
148,342 | Eastman Chemical Co. | 11,380,798 | |||
379,381 | International Flavors & Fragrances, Inc. | 25,862,403 | |||
414,747 | LyondellBasell Industries N.V., Class A | 39,276,541 | |||
65,550 | Scotts Miracle-Gro (The) Co. | 3,387,624 | |||
79,907,366 | |||||
Construction & Engineering — 0.1% | |||||
298,577 | MDU Resources Group, Inc. | 5,846,138 | |||
Consumer Finance — 0.3% | |||||
420,111 | Ally Financial, Inc. | 11,208,561 | |||
117,553 | Navient Corp. | 2,024,263 | |||
13,232,824 | |||||
Consumer Staples Distribution & Retail — 1.1% | |||||
1,978,989 | Walgreens Boots Alliance, Inc. | 44,012,715 | |||
Containers & Packaging — 0.4% | |||||
7,296 | Greif, Inc., Class B | 485,622 | |||
101,208 | Packaging Corp. of America | 15,540,488 | |||
16,026,110 | |||||
Diversified Telecommunication Services — 8.3% | |||||
10,460,738 | Verizon Communications, Inc. | 339,032,519 | |||
Electric Utilities — 8.7% | |||||
92,735 | ALLETE, Inc. | 4,896,408 | |||
118,827 | Avangrid, Inc. | 3,585,010 | |||
1,176,837 | Duke Energy Corp. | 103,867,634 | |||
543,565 | Edison International | 34,402,229 | |||
314,226 | Entergy Corp. | 29,065,905 | |||
343,964 | Evergy, Inc. | 17,438,975 | |||
788,366 | FirstEnergy Corp. | 26,946,350 | |||
297,962 | NRG Energy, Inc. | 11,477,496 | |||
324,839 | OGE Energy Corp. | 10,826,884 | |||
169,266 | Pinnacle West Capital Corp. | 12,471,519 | |||
1,501,727 | Southern (The) Co. | 97,191,771 | |||
352,170,181 | |||||
Financial Services — 0.3% | |||||
906,744 | Western Union (The) Co. | 11,950,886 | |||
Gas Utilities — 0.5% | |||||
88,072 | Southwest Gas Holdings, Inc. | 5,320,430 | |||
84,437 | Spire, Inc. | 4,777,445 | |||
409,434 | UGI Corp. | 9,416,982 | |||
19,514,857 |
First Trust Morningstar Dividend Leaders Index Fund (FDL)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Hotels, Restaurants & Leisure — 0.1% | |||||
101,029 | Bloomin’ Brands, Inc. | $2,484,303 | |||
50,100 | Cracker Barrel Old Country Store, Inc. | 3,366,720 | |||
5,851,023 | |||||
Household Durables — 0.4% | |||||
92,509 | MDC Holdings, Inc. | 3,814,146 | |||
90,392 | Whirlpool Corp. | 12,085,410 | |||
15,899,556 | |||||
Industrial Conglomerates — 2.3% | |||||
1,014,017 | 3M Co. | 94,932,272 | |||
Insurance — 3.1% | |||||
377,431 | Fidelity National Financial, Inc. | 15,587,900 | |||
354,639 | Lincoln National Corp. | 8,756,037 | |||
689,899 | MetLife, Inc. | 43,401,546 | |||
630,508 | Prudential Financial, Inc. | 59,828,904 | |||
127,574,387 | |||||
IT Services — 4.6% | |||||
1,326,998 | International Business Machines Corp. | 186,177,819 | |||
Leisure Products — 0.3% | |||||
163,028 | Hasbro, Inc. | 10,782,672 | |||
Metals & Mining — 0.3% | |||||
70,375 | Arch Resources, Inc. | 12,010,197 | |||
Multi-Utilities — 0.3% | |||||
137,993 | Avista Corp. | 4,466,834 | |||
101,505 | Black Hills Corp. | 5,135,138 | |||
100,586 | Northwestern Energy Group, Inc. | 4,834,163 | |||
14,436,135 | |||||
Oil, Gas & Consumable Fuels — 17.4% | |||||
2,102,493 | Chevron Corp. | 354,522,370 | |||
54,472 | CVR Energy, Inc. | 1,853,682 | |||
1,125,860 | Devon Energy Corp. | 53,703,522 | |||
132,007 | HF Sinclair Corp. | 7,515,158 | |||
875,055 | ONEOK, Inc. | 55,504,739 | |||
538,413 | Phillips 66 | 64,690,322 | |||
421,580 | Pioneer Natural Resources Co. | 96,773,689 | |||
2,099,755 | Williams (The) Cos., Inc. | 70,740,746 | |||
705,304,228 | |||||
Pharmaceuticals — 7.2% | |||||
8,777,768 | Pfizer, Inc. | 291,158,565 | |||
Professional Services — 0.1% | |||||
64,028 | ManpowerGroup, Inc. | 4,694,533 | |||
Specialty Retail — 0.7% | |||||
28,907 | Advance Auto Parts, Inc. | 1,616,768 |
Shares | Description | Value | |||
Specialty Retail (Continued) | |||||
316,482 | Best Buy Co., Inc. | $21,986,005 | |||
219,306 | Foot Locker, Inc. | 3,804,959 | |||
27,407,732 | |||||
Technology Hardware, Storage & Peripherals — 0.1% | |||||
217,130 | Xerox Holdings Corp. | 3,406,770 | |||
Textiles, Apparel & Luxury Goods — 0.1% | |||||
54,983 | Carter’s, Inc. | 3,802,074 | |||
Tobacco — 11.5% | |||||
5,024,345 | Altria Group, Inc. | 211,273,707 | |||
2,746,622 | Philip Morris International, Inc. | 254,282,265 | |||
465,555,972 | |||||
Total Investments — 99.8% | 4,052,589,628 | ||||
(Cost $4,354,447,681) | |||||
Net Other Assets and Liabilities — 0.2% | 9,982,100 | ||||
Net Assets — 100.0% | $4,062,571,728 |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of September 30, 2023 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 9/30/2023 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 4,052,589,628 | $ 4,052,589,628 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust US Equity Opportunities ETF (FPX)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 100.0% | |||||
Aerospace & Defense — 1.0% | |||||
412,612 | Leonardo DRS, Inc. (a) | $6,890,620 | |||
Air Freight & Logistics — 0.2% | |||||
18,733 | GXO Logistics, Inc. (a) | 1,098,691 | |||
Automobile Components — 0.7% | |||||
126,882 | Mobileye Global, Inc., Class A (a) | 5,271,947 | |||
Automobiles — 2.0% | |||||
597,269 | Rivian Automotive, Inc., Class A (a) | 14,501,691 | |||
Beverages — 0.1% | |||||
26,665 | Vita Coco (The) Co., Inc. (a) | 694,357 | |||
Biotechnology — 6.2% | |||||
18,544 | Apellis Pharmaceuticals, Inc. (a) | 705,414 | |||
15,232 | Arcellx, Inc. (a) | 546,524 | |||
53,509 | Legend Biotech Corp., ADR (a) | 3,594,199 | |||
15,095 | Morphic Holding, Inc. (a) | 345,826 | |||
42,743 | Regeneron Pharmaceuticals, Inc. (a) | 35,175,779 | |||
17,195 | REVOLUTION Medicines, Inc. (a) | 475,958 | |||
121,538 | Roivant Sciences Ltd. (a) | 1,419,564 | |||
29,562 | Vaxcyte, Inc. (a) | 1,507,071 | |||
43,770,335 | |||||
Building Products — 7.5% | |||||
23,523 | AZEK (The) Co., Inc. (a) | 699,574 | |||
923,398 | Carrier Global Corp. | 50,971,569 | |||
67,126 | Hayward Holdings, Inc. (a) | 946,477 | |||
40,219 | Masterbrand, Inc. (a) | 488,661 | |||
53,106,281 | |||||
Capital Markets — 0.7% | |||||
11,696 | AssetMark Financial Holdings, Inc. (a) | 293,336 | |||
61,378 | Blue Owl Capital Corp. (b) | 850,085 | |||
34,413 | StepStone Group, Inc., Class A | 1,086,762 | |||
97,388 | TPG, Inc. | 2,933,327 | |||
5,163,510 | |||||
Commercial Services & Supplies — 0.1% | |||||
50,635 | ACV Auctions, Inc., Class A (a) | 768,639 | |||
Communications Equipment — 0.1% | |||||
20,480 | Extreme Networks, Inc. (a) | 495,821 | |||
Construction Materials — 0.1% | |||||
17,818 | Knife River Corp. (a) | 870,053 |
Shares | Description | Value | |||
Consumer Staples Distribution & Retail — 0.1% | |||||
23,506 | Maplebear, Inc. (a) (b) | $697,893 | |||
Diversified Consumer Services — 1.5% | |||||
65,415 | Duolingo, Inc. (a) | 10,850,386 | |||
Electric Utilities — 3.9% | |||||
253,231 | Constellation Energy Corp. | 27,622,438 | |||
Electrical Equipment — 1.5% | |||||
118,958 | Array Technologies, Inc. (a) | 2,639,678 | |||
11,906 | Atkore, Inc. (a) | 1,776,256 | |||
27,890 | Fluence Energy, Inc. (a) | 641,191 | |||
75,685 | NEXTracker, Inc., Class A (a) | 3,039,510 | |||
59,929 | Vertiv Holdings Co. | 2,229,359 | |||
10,325,994 | |||||
Electronic Equipment, Instruments & Components — 1.0% | |||||
11,206 | Insight Enterprises, Inc. (a) | 1,630,473 | |||
170,584 | Vontier Corp. | 5,274,457 | |||
6,904,930 | |||||
Energy Equipment & Services — 4.1% | |||||
31,498 | Atlas Energy Solutions, Inc., Class A | 700,200 | |||
795,027 | Baker Hughes Co. | 28,080,354 | |||
28,780,554 | |||||
Entertainment — 2.2% | |||||
111,016 | Endeavor Group Holdings, Inc., Class A | 2,209,218 | |||
97,134 | ROBLOX Corp., Class A (a) | 2,813,001 | |||
959,629 | Warner Bros Discovery, Inc. (a) | 10,421,571 | |||
15,443,790 | |||||
Financial Services — 3.0% | |||||
144,119 | Block, Inc. (a) | 6,378,707 | |||
100,155 | Corebridge Financial, Inc. | 1,978,061 | |||
25,197 | Enact Holdings, Inc. | 686,114 | |||
18,943 | Flywire Corp. (a) | 604,092 | |||
28,538 | Remitly Global, Inc. (a) | 719,729 | |||
311,388 | Rocket Cos., Inc., Class A (a) (b) | 2,547,154 | |||
12,925 | Shift4 Payments, Inc., Class A (a) | 715,657 | |||
421,772 | Toast, Inc., Class A (a) | 7,899,790 | |||
21,529,304 | |||||
Ground Transportation — 8.3% | |||||
1,287,296 | Uber Technologies, Inc. (a) | 59,202,743 | |||
Health Care Equipment & Supplies — 4.6% | |||||
220,921 | Bausch + Lomb Corp. (a) | 3,744,611 |
First Trust US Equity Opportunities ETF (FPX)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Health Care Equipment & Supplies (Continued) | |||||
358,151 | GE HealthCare Technologies, Inc. | $24,368,594 | |||
15,325 | Glaukos Corp. (a) | 1,153,206 | |||
17,365 | Shockwave Medical, Inc. (a) | 3,457,372 | |||
32,723,783 | |||||
Health Care Providers & Services — 0.7% | |||||
67,428 | HealthEquity, Inc. (a) | 4,925,615 | |||
Hotels, Restaurants & Leisure — 13.2% | |||||
407,751 | Airbnb, Inc., Class A (a) | 55,947,515 | |||
216,786 | DoorDash, Inc., Class A (a) | 17,227,983 | |||
674,816 | DraftKings, Inc., Class A (a) | 19,866,583 | |||
30,885 | Life Time Group Holdings, Inc. (a) | 469,761 | |||
93,511,842 | |||||
Insurance — 0.9% | |||||
19,768 | F&G Annuities & Life, Inc. | 554,690 | |||
122,943 | Ryan Specialty Holdings, Inc. (a) | 5,950,441 | |||
6,505,131 | |||||
IT Services — 2.9% | |||||
52,636 | Cloudflare, Inc., Class A (a) | 3,318,173 | |||
72,095 | Kyndryl Holdings, Inc. (a) | 1,088,635 | |||
103,847 | Snowflake, Inc., Class A (a) | 15,864,706 | |||
21,351 | Squarespace, Inc., Class A (a) | 618,539 | |||
20,890,053 | |||||
Machinery — 5.4% | |||||
8,944 | Crane Co. | 794,585 | |||
75,920 | Esab Corp. | 5,331,102 | |||
259,376 | Otis Worldwide Corp. | 20,830,487 | |||
350,153 | Symbotic, Inc. (a) (b) | 11,705,615 | |||
38,661,789 | |||||
Oil, Gas & Consumable Fuels — 0.7% | |||||
29,534 | Civitas Resources, Inc. | 2,388,415 | |||
178,265 | Permian Resources Corp. | 2,488,579 | |||
4,876,994 | |||||
Personal Care Products — 2.3% | |||||
103,506 | BellRing Brands, Inc. (a) | 4,267,552 | |||
603,136 | Kenvue, Inc. | 12,110,971 | |||
16,378,523 | |||||
Pharmaceuticals — 0.0% | |||||
26,447 | Neumora Therapeutics, Inc. (a) (b) | 373,167 | |||
Professional Services — 0.3% | |||||
37,168 | Parsons Corp. (a) | 2,020,081 |
Shares | Description | Value | |||
Retail REITs — 0.6% | |||||
124,674 | Phillips Edison & Co., Inc. | $4,181,566 | |||
Semiconductors & Semiconductor Equipment — 7.0% | |||||
30,297 | Allegro MicroSystems, Inc. (a) | 967,686 | |||
23,629 | Credo Technology Group Holding Ltd. (a) | 360,342 | |||
174,075 | GLOBALFOUNDRIES, Inc. (a) (b) | 10,129,425 | |||
407,758 | ON Semiconductor Corp. (a) | 37,901,106 | |||
49,358,559 | |||||
Software — 16.3% | |||||
109,546 | AppLovin Corp., Class A (a) | 4,377,458 | |||
34,598 | Asana, Inc., Class A (a) | 633,489 | |||
468,320 | Aurora Innovation, Inc. (a) | 1,100,552 | |||
307,137 | Bentley Systems, Inc., Class B | 15,405,992 | |||
46,712 | Braze, Inc., Class A (a) | 2,182,852 | |||
38,100 | Clearwater Analytics Holdings, Inc., Class A (a) | 736,854 | |||
47,629 | Confluent, Inc., Class A (a) | 1,410,295 | |||
28,207 | Crowdstrike Holdings, Inc., Class A (a) | 4,721,288 | |||
92,465 | Freshworks, Inc., Class A (a) | 1,841,903 | |||
170,541 | Gitlab, Inc., Class A (a) | 7,711,864 | |||
90,713 | Informatica, Inc., Class A (a) | 1,911,323 | |||
22,677 | Instructure Holdings, Inc. (a) | 575,996 | |||
76,332 | Intapp, Inc. (a) | 2,558,648 | |||
67,759 | Klaviyo, Inc., Class A (a) | 2,337,685 | |||
338,881 | Palantir Technologies, Inc., Class A (a) | 5,422,096 | |||
179,389 | Procore Technologies, Inc. (a) | 11,717,689 | |||
1,684,937 | Samsara, Inc., Class A (a) | 42,477,262 | |||
42,596 | Sprinklr, Inc., Class A (a) | 589,529 | |||
120,779 | Unity Software, Inc. (a) | 3,791,253 | |||
167,658 | Vertex, Inc., Class A (a) | 3,872,900 | |||
115,376,928 | |||||
Technology Hardware, Storage & Peripherals — 0.1% | |||||
63,813 | IonQ, Inc. (a) (b) | 949,537 | |||
Trading Companies & Distributors — 0.7% | |||||
178,133 | Core & Main, Inc., Class A (a) | 5,139,137 | |||
Total Common Stocks | 709,862,682 | ||||
(Cost $661,090,763) |
First Trust US Equity Opportunities ETF (FPX)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Principal Value | Description | Value | |||
REPURCHASE AGREEMENTS — 2.3% | |||||
$8,249,849 | Bank of America Corp., 5.29% (c), dated 09/29/23, due 10/02/23, with a maturity value of $8,254,698. Collateralized by U.S. Treasury Securities, interest rates of 1.38% to 4.00%, due 11/15/40 to 02/15/53. The value of the collateral including accrued interest is $8,414,848. (d) | $8,249,849 | |||
7,926,325 | JPMorgan Chase & Co., 5.30% (c), dated 09/29/23, due 10/02/23, with a maturity value of $7,930,993. Collateralized by U.S. Treasury Securities, interest rates of 1.25% to 4.38%, due 05/15/24 to 08/15/28. The value of the collateral including accrued interest is $8,084,852. (d) | 7,926,325 | |||
Total Repurchase Agreements | 16,176,174 | ||||
(Cost $16,176,174) | |||||
Total Investments — 102.3% | 726,038,856 | ||||
(Cost $677,266,937) | |||||
Net Other Assets and Liabilities — (2.3)% | (16,355,851 ) | ||||
Net Assets — 100.0% | $709,683,005 |
(a) | Non-income producing security. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities, including those sold and pending settlement, is $15,804,336 and the total value of the collateral held by the Fund is $16,176,174. |
(c) | Rate shown reflects yield as of September 30, 2023. |
(d) | This security serves as collateral for securities on loan. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of September 30, 2023 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 9/30/2023 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 709,862,682 | $ 709,862,682 | $ — | $ — |
Repurchase Agreements | 16,176,174 | — | 16,176,174 | — |
Total Investments | $726,038,856 | $709,862,682 | $16,176,174 | $— |
* | See Portfolio of Investments for industry breakout. |
First Trust NYSE® Arca® Biotechnology Index Fund (FBT)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 100.0% | |||||
Biotechnology — 82.1% | |||||
1,469,998 | ACADIA Pharmaceuticals, Inc. (a) | $30,634,758 | |||
1,645,200 | Agios Pharmaceuticals, Inc. (a) | 40,718,700 | |||
1,418,416 | Alkermes PLC (a) | 39,729,832 | |||
226,299 | Alnylam Pharmaceuticals, Inc. (a) | 40,077,553 | |||
192,811 | Amgen, Inc. | 51,819,884 | |||
82,555 | Argenx SE, ADR (a) | 40,586,515 | |||
163,605 | Biogen, Inc. (a) | 42,048,121 | |||
516,140 | BioMarin Pharmaceutical, Inc. (a) | 45,668,067 | |||
416,944 | BioNTech SE, ADR (a) | 45,296,796 | |||
476,438 | Exact Sciences Corp. (a) | 32,502,600 | |||
2,299,435 | Exelixis, Inc. (a) | 50,242,655 | |||
1,088,625 | Genmab A/S, ADR (a) (b) | 38,395,804 | |||
561,458 | Gilead Sciences, Inc. | 42,075,663 | |||
4,357,641 | Grifols S.A., ADR (a) | 39,828,839 | |||
705,783 | Incyte Corp. (a) | 40,773,084 | |||
1,113,796 | Ionis Pharmaceuticals, Inc. (a) | 50,521,787 | |||
358,110 | Moderna, Inc. (a) | 36,989,182 | |||
458,303 | Neurocrine Biosciences, Inc. (a) | 51,559,087 | |||
61,632 | Regeneron Pharmaceuticals, Inc. (a) | 50,720,671 | |||
427,657 | Sarepta Therapeutics, Inc. (a) | 51,840,582 | |||
232,603 | Seagen, Inc. (a) | 49,346,726 | |||
1,048,054 | Ultragenyx Pharmaceutical, Inc. (a) | 37,363,125 | |||
182,389 | United Therapeutics Corp. (a) | 41,196,203 | |||
124,914 | Vertex Pharmaceuticals, Inc. (a) | 43,437,594 | |||
1,033,373,828 | |||||
Life Sciences Tools & Services — 17.9% | |||||
506,327 | Bio-Techne Corp. | 34,465,679 | |||
219,383 | Charles River Laboratories International, Inc. (a) | 42,994,680 | |||
237,681 | Illumina, Inc. (a) | 32,628,848 | |||
198,353 | IQVIA Holdings, Inc. (a) | 39,025,953 | |||
33,247 | Mettler-Toledo International, Inc. (a) | 36,840,003 | |||
970,961 | QIAGEN N.V. (a) | 39,323,921 | |||
225,279,084 | |||||
Total Common Stocks | 1,258,652,912 | ||||
(Cost $1,211,853,824) | |||||
MONEY MARKET FUNDS — 0.3% | |||||
3,932,658 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 5.19% (c) (d) | 3,932,658 | |||
(Cost $3,932,658) |
Principal Value | Description | Value | |||
REPURCHASE AGREEMENTS — 0.9% | |||||
$11,572,798 | BNP Paribas S.A., 5.20% (c), dated 09/29/23, due 10/02/23, with a maturity value of $11,577,813. Collateralized by U.S. Treasury Securities, interest rates of 4.00% to 5.44%, due 07/31/24 to 02/15/26. The value of the collateral including accrued interest is $11,803,007. (d) | $11,572,798 | |||
(Cost $11,572,798) | |||||
Total Investments — 101.2% | 1,274,158,368 | ||||
(Cost $1,227,359,280) | |||||
Net Other Assets and Liabilities — (1.2)% | (15,485,985 ) | ||||
Net Assets — 100.0% | $1,258,672,383 |
(a) | Non-income producing security. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities, including those sold and pending settlement, is $15,095,560 and the total value of the collateral held by the Fund is $15,505,456. |
(c) | Rate shown reflects yield as of September 30, 2023. |
(d) | This security serves as collateral for securities on loan. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of September 30, 2023 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 9/30/2023 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 1,258,652,912 | $ 1,258,652,912 | $ — | $ — |
Money Market Funds | 3,932,658 | 3,932,658 | — | — |
Repurchase Agreements | 11,572,798 | — | 11,572,798 | — |
Total Investments | $1,274,158,368 | $1,262,585,570 | $11,572,798 | $— |
* | See Portfolio of Investments for industry breakout. |
First Trust Dow Jones Internet Index Fund (FDN)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 100.0% | |||||
Broadline Retail — 12.8% | |||||
4,047,171 | Amazon.com, Inc. (a) | $514,476,378 | |||
2,866,715 | eBay, Inc. | 126,393,464 | |||
1,140,164 | Etsy, Inc. (a) | 73,631,791 | |||
714,501,633 | |||||
Communications Equipment — 11.3% | |||||
875,647 | Arista Networks, Inc. (a) | 161,057,753 | |||
1,554,211 | Ciena Corp. (a) | 73,452,012 | |||
5,344,750 | Cisco Systems, Inc. | 287,333,760 | |||
9,033,581 | CommScope Holding Co., Inc. (a) | 30,352,832 | |||
2,898,717 | Juniper Networks, Inc. | 80,555,345 | |||
632,751,702 | |||||
Entertainment — 4.3% | |||||
636,964 | Netflix, Inc. (a) | 240,517,606 | |||
Financial Services — 3.3% | |||||
3,183,540 | PayPal Holdings, Inc. (a) | 186,109,748 | |||
Health Care Technology — 3.2% | |||||
2,492,788 | Teladoc Health, Inc. (a) | 46,340,929 | |||
655,407 | Veeva Systems, Inc., Class A (a) | 133,342,554 | |||
179,683,483 | |||||
Hotels, Restaurants & Leisure — 5.5% | |||||
1,331,090 | Airbnb, Inc., Class A (a) | 182,638,859 | |||
1,568,727 | DoorDash, Inc., Class A (a) | 124,666,735 | |||
307,305,594 | |||||
Interactive Media & Services — 24.0% | |||||
2,378,635 | Alphabet, Inc., Class A (a) | 311,268,176 | |||
2,023,373 | Alphabet, Inc., Class C (a) | 266,781,730 | |||
2,131,088 | Match Group, Inc. (a) | 83,485,372 | |||
1,449,127 | Meta Platforms, Inc., Class A (a) | 435,042,417 | |||
3,886,399 | Pinterest, Inc., Class A (a) | 105,049,365 | |||
8,951,976 | Snap, Inc., Class A (a) | 79,762,106 | |||
3,746,620 | ZoomInfo Technologies, Inc. (a) | 61,444,568 | |||
1,342,833,734 | |||||
IT Services — 11.0% | |||||
1,026,143 | Akamai Technologies, Inc. (a) | 109,325,275 | |||
1,794,537 | Cloudflare, Inc., Class A (a) | 113,127,612 | |||
2,130,321 | Fastly, Inc., Class A (a) | 40,838,254 | |||
1,219,770 | GoDaddy, Inc., Class A (a) | 90,848,470 | |||
1,139,801 | Okta, Inc. (a) | 92,905,180 | |||
1,116,060 | Snowflake, Inc., Class A (a) | 170,500,486 | |||
617,545,277 | |||||
Real Estate Management & Development — 2.0% | |||||
12,000,402 | Opendoor Technologies, Inc. (a) | 31,681,061 |
Shares | Description | Value | |||
Real Estate Management & Development (Continued) | |||||
438,038 | Zillow Group, Inc., Class A (a) | $19,619,722 | |||
1,313,129 | Zillow Group, Inc., Class C (a) | 60,614,035 | |||
111,914,818 | |||||
Software — 21.6% | |||||
695,825 | Atlassian Corp., Class A (a) | 140,215,696 | |||
2,194,438 | Box, Inc., Class A (a) | 53,127,344 | |||
2,240,658 | Confluent, Inc., Class A (a) | 66,345,883 | |||
1,424,929 | Datadog, Inc., Class A (a) | 129,796,783 | |||
1,700,484 | DocuSign, Inc. (a) | 71,420,328 | |||
2,717,302 | Dropbox, Inc., Class A (a) | 73,992,133 | |||
2,280,228 | Nutanix, Inc., Class A (a) | 79,534,353 | |||
1,332,586 | Salesforce, Inc. (a) | 270,221,789 | |||
1,643,014 | Smartsheet, Inc., Class A (a) | 66,476,346 | |||
706,258 | Workday, Inc., Class A (a) | 151,739,531 | |||
1,545,857 | Zoom Video Communications, Inc., Class A (a) | 108,117,239 | |||
1,210,987,425 | |||||
Specialty Retail — 1.0% | |||||
1,258,123 | Carvana Co. (a) (b) | 52,816,004 | |||
Total Common Stocks | 5,596,967,024 | ||||
(Cost $6,763,644,012) | |||||
MONEY MARKET FUNDS — 0.1% | |||||
3,510,305 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 5.19% (c) (d) | 3,510,305 | |||
3,630,752 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 5.20% (c) | 3,630,752 | |||
Total Money Market Funds | 7,141,057 | ||||
(Cost $7,141,057) |
First Trust Dow Jones Internet Index Fund (FDN)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Principal Value | Description | Value | |||
REPURCHASE AGREEMENTS — 0.2% | |||||
$10,329,920 | BNP Paribas S.A., 5.20% (c), dated 09/29/23, due 10/02/23, with a maturity value of $10,334,397. Collateralized by U.S. Treasury Securities, interest rates of 4.00% to 5.44%, due 07/31/24 to 02/15/26. The value of the collateral including accrued interest is $10,535,406. (d) | $10,329,920 | |||
(Cost $10,329,920) | |||||
Total Investments — 100.3% | 5,614,438,001 | ||||
(Cost $6,781,114,989) | |||||
Net Other Assets and Liabilities — (0.3)% | (18,123,655 ) | ||||
Net Assets — 100.0% | $5,596,314,346 |
(a) | Non-income producing security. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities, including those sold and pending settlement, is $13,756,846 and the total value of the collateral held by the Fund is $13,840,225. |
(c) | Rate shown reflects yield as of September 30, 2023. |
(d) | This security serves as collateral for securities on loan. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of September 30, 2023 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 9/30/2023 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 5,596,967,024 | $ 5,596,967,024 | $ — | $ — |
Money Market Funds | 7,141,057 | 7,141,057 | — | — |
Repurchase Agreements | 10,329,920 | — | 10,329,920 | — |
Total Investments | $5,614,438,001 | $5,604,108,081 | $10,329,920 | $— |
* | See Portfolio of Investments for industry breakout. |
First Trust Capital Strength ETF (FTCS)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 99.9% | |||||
Aerospace & Defense — 6.0% | |||||
808,684 | General Dynamics Corp. | $178,694,904 | |||
383,163 | Lockheed Martin Corp. | 156,698,340 | |||
384,293 | Northrop Grumman Corp. | 169,161,936 | |||
504,555,180 | |||||
Beverages — 5.6% | |||||
2,790,622 | Coca-Cola (The) Co. | 156,219,019 | |||
2,999,083 | Monster Beverage Corp. (a) | 158,801,445 | |||
916,320 | PepsiCo, Inc. | 155,261,261 | |||
470,281,725 | |||||
Biotechnology — 6.1% | |||||
1,212,239 | AbbVie, Inc. | 180,696,345 | |||
2,160,797 | Gilead Sciences, Inc. | 161,930,127 | |||
480,735 | Vertex Pharmaceuticals, Inc. (a) | 167,170,789 | |||
509,797,261 | |||||
Capital Markets — 1.8% | |||||
487,021 | Moody’s Corp. | 153,981,430 | |||
Chemicals — 1.9% | |||||
575,563 | Air Products and Chemicals, Inc. | 163,114,554 | |||
Commercial Services & Supplies — 2.0% | |||||
3,823,718 | Copart, Inc. (a) | 164,764,009 | |||
Communications Equipment — 2.1% | |||||
3,310,786 | Cisco Systems, Inc. | 177,987,855 | |||
Consumer Staples Distribution & Retail — 4.2% | |||||
312,349 | Costco Wholesale Corp. | 176,464,691 | |||
1,100,253 | Walmart, Inc. | 175,963,462 | |||
352,428,153 | |||||
Electronic Equipment, Instruments & Components — 2.1% | |||||
2,083,794 | Amphenol Corp., Class A | 175,017,858 | |||
Financial Services — 4.1% | |||||
438,364 | Mastercard, Inc., Class A | 173,552,691 | |||
728,303 | Visa, Inc., Class A | 167,516,973 | |||
341,069,664 | |||||
Food Products — 1.9% | |||||
2,121,336 | Archer-Daniels-Midland Co. | 159,991,161 | |||
Ground Transportation — 3.9% | |||||
5,368,041 | CSX Corp. | 165,067,261 | |||
803,795 | Union Pacific Corp. | 163,676,776 | |||
328,744,037 |
Shares | Description | Value | |||
Health Care Equipment & Supplies — 3.7% | |||||
1,524,598 | Abbott Laboratories | $147,657,317 | |||
589,486 | Stryker Corp. | 161,088,839 | |||
308,746,156 | |||||
Health Care Providers & Services — 4.0% | |||||
904,758 | Cencora, Inc. | 162,829,297 | |||
344,002 | UnitedHealth Group, Inc. | 173,442,369 | |||
336,271,666 | |||||
Household Durables — 4.1% | |||||
1,644,303 | Garmin Ltd. | 172,980,675 | |||
27,906 | NVR, Inc. (a) | 166,411,850 | |||
339,392,525 | |||||
Household Products — 3.9% | |||||
2,257,378 | Colgate-Palmolive Co. | 160,522,150 | |||
1,139,391 | Procter & Gamble (The) Co. | 166,191,571 | |||
326,713,721 | |||||
Industrial Conglomerates — 3.9% | |||||
1,579,320 | General Electric Co. | 174,593,826 | |||
835,313 | Honeywell International, Inc. | 154,315,724 | |||
328,909,550 | |||||
Insurance — 10.5% | |||||
2,406,390 | Aflac, Inc. | 184,690,433 | |||
2,117,988 | Arch Capital Group Ltd. (a) | 168,824,823 | |||
2,447,283 | Brown & Brown, Inc. | 170,918,245 | |||
910,235 | Marsh & McLennan Cos., Inc. | 173,217,721 | |||
2,830,058 | W.R. Berkley Corp. | 179,680,382 | |||
877,331,604 | |||||
IT Services — 2.0% | |||||
553,516 | Accenture PLC, Class A | 169,990,299 | |||
Machinery — 3.9% | |||||
681,800 | Illinois Tool Works, Inc. | 157,025,358 | |||
1,982,107 | PACCAR, Inc. | 168,518,737 | |||
325,544,095 | |||||
Oil, Gas & Consumable Fuels — 2.2% | |||||
1,098,034 | Chevron Corp. | 185,150,493 | |||
Pharmaceuticals — 10.0% | |||||
2,693,982 | Bristol-Myers Squibb Co. | 156,358,715 | |||
377,121 | Eli Lilly & Co. | 202,563,003 | |||
1,023,834 | Johnson & Johnson | 159,462,145 | |||
1,578,466 | Merck & Co., Inc. | 162,503,075 | |||
4,659,004 | Pfizer, Inc. | 154,539,163 | |||
835,426,101 | |||||
Professional Services — 4.0% | |||||
733,083 | Automatic Data Processing, Inc. | 176,365,108 | |||
1,411,934 | Paychex, Inc. | 162,838,348 | |||
339,203,456 |
First Trust Capital Strength ETF (FTCS)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Specialty Retail — 4.1% | |||||
543,722 | Home Depot (The), Inc. | $164,291,039 | |||
2,036,069 | TJX (The) Cos., Inc. | 180,965,813 | |||
345,256,852 | |||||
Technology Hardware, Storage & Peripherals — 1.9% | |||||
907,816 | Apple, Inc. | 155,427,177 | |||
Total Investments — 99.9% | 8,375,096,582 | ||||
(Cost $8,157,434,783) | |||||
Net Other Assets and Liabilities — 0.1% | 8,924,973 | ||||
Net Assets — 100.0% | $8,384,021,555 |
(a) | Non-income producing security. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of September 30, 2023 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 9/30/2023 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 8,375,096,582 | $ 8,375,096,582 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Value Line® Dividend Index Fund (FVD)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 99.8% | |||||
Aerospace & Defense — 3.1% | |||||
303,655 | General Dynamics Corp. | $67,098,645 | |||
382,416 | L3Harris Technologies, Inc. | 66,586,274 | |||
161,300 | Lockheed Martin Corp. | 65,965,248 | |||
156,500 | Northrop Grumman Corp. | 68,889,735 | |||
924,375 | RTX Corp. | 66,527,269 | |||
335,067,171 | |||||
Air Freight & Logistics — 1.2% | |||||
778,142 | C.H. Robinson Worldwide, Inc. | 67,021,370 | |||
431,604 | United Parcel Service, Inc., Class B | 67,274,116 | |||
134,295,486 | |||||
Automobiles — 0.6% | |||||
360,322 | Toyota Motor Corp., ADR | 64,767,880 | |||
Banks — 3.0% | |||||
774,793 | Bank of Montreal | 65,369,285 | |||
1,658,398 | Canadian Imperial Bank of Commerce | 64,030,747 | |||
454,771 | JPMorgan Chase & Co. | 65,950,891 | |||
744,232 | Royal Bank of Canada | 65,075,646 | |||
1,087,717 | Toronto-Dominion (The) Bank | 65,545,826 | |||
325,972,395 | |||||
Beverages — 2.4% | |||||
1,168,437 | Coca-Cola (The) Co. | 65,409,103 | |||
435,585 | Diageo PLC, ADR | 64,980,570 | |||
2,050,532 | Keurig Dr Pepper, Inc. | 64,735,295 | |||
382,044 | PepsiCo, Inc. | 64,733,536 | |||
259,858,504 | |||||
Biotechnology — 1.8% | |||||
430,653 | AbbVie, Inc. | 64,193,136 | |||
249,574 | Amgen, Inc. | 67,075,508 | |||
890,037 | Gilead Sciences, Inc. | 66,699,373 | |||
197,968,017 | |||||
Building Products — 1.2% | |||||
1,033,058 | A.O. Smith Corp. | 68,316,126 | |||
1,208,950 | Johnson Controls International PLC | 64,328,229 | |||
132,644,355 | |||||
Capital Markets — 2.5% | |||||
331,601 | CME Group, Inc. | 66,393,152 | |||
202,536 | Goldman Sachs Group (The), Inc. | 65,534,573 | |||
1,369,273 | Nasdaq, Inc. | 66,532,975 | |||
628,611 | T. Rowe Price Group, Inc. | 65,922,436 | |||
264,383,136 | |||||
Chemicals — 3.7% | |||||
229,966 | Air Products and Chemicals, Inc. | 65,172,364 | |||
977,277 | International Flavors & Fragrances, Inc. | 66,620,973 |
Shares | Description | Value | |||
Chemicals (Continued) | |||||
145,025 | NewMarket Corp. | $65,992,176 | |||
504,366 | PPG Industries, Inc. | 65,466,707 | |||
1,102,122 | Sensient Technologies Corp. | 64,452,095 | |||
887,186 | Stepan Co. | 66,512,334 | |||
394,216,649 | |||||
Commercial Services & Supplies — 1.2% | |||||
1,184,655 | Brady Corp., Class A | 65,061,253 | |||
423,785 | Waste Management, Inc. | 64,601,785 | |||
129,663,038 | |||||
Communications Equipment — 1.2% | |||||
1,245,344 | Cisco Systems, Inc. | 66,949,694 | |||
2,387,136 | Juniper Networks, Inc. | 66,338,509 | |||
133,288,203 | |||||
Consumer Finance — 0.6% | |||||
434,651 | American Express Co. | 64,845,583 | |||
Consumer Staples Distribution & Retail — 0.6% | |||||
1,457,031 | Kroger (The) Co. | 65,202,137 | |||
Containers & Packaging — 2.5% | |||||
359,914 | Avery Dennison Corp. | 65,745,490 | |||
441,503 | Packaging Corp. of America | 67,792,786 | |||
1,536,360 | Silgan Holdings, Inc. | 66,232,480 | |||
1,225,415 | Sonoco Products Co. | 66,601,305 | |||
266,372,061 | |||||
Diversified Telecommunication Services — 0.6% | |||||
3,945,568 | TELUS Corp. | 64,470,581 | |||
Electric Utilities — 11.7% | |||||
1,196,574 | ALLETE, Inc. | 63,179,107 | |||
1,304,627 | Alliant Energy Corp. | 63,209,178 | |||
846,477 | American Electric Power Co., Inc. | 63,672,000 | |||
2,019,440 | Avangrid, Inc. | 60,926,505 | |||
713,759 | Duke Energy Corp. | 62,996,369 | |||
692,606 | Entergy Corp. | 64,066,055 | |||
1,249,782 | Evergy, Inc. | 63,363,947 | |||
1,077,513 | Eversource Energy | 62,657,381 | |||
1,652,637 | Exelon Corp. | 62,453,152 | |||
1,661,705 | Fortis, Inc. | 63,128,173 | |||
682,463 | IDACORP, Inc. | 63,912,660 | |||
906,385 | MGE Energy, Inc. | 62,096,436 | |||
987,126 | NextEra Energy, Inc. | 56,552,449 | |||
1,898,011 | OGE Energy Corp. | 63,260,707 | |||
874,259 | Otter Tail Corp. | 66,373,743 | |||
860,370 | Pinnacle West Capital Corp. | 63,392,062 | |||
1,487,628 | PNM Resources, Inc. | 66,363,085 | |||
1,544,550 | Portland General Electric Co. | 62,523,384 |
First Trust Value Line® Dividend Index Fund (FVD)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Electric Utilities (Continued) | |||||
961,189 | Southern (The) Co. | $62,208,152 | |||
1,119,534 | Xcel Energy, Inc. | 64,059,736 | |||
1,260,394,281 | |||||
Electrical Equipment — 0.6% | |||||
678,910 | Emerson Electric Co. | 65,562,339 | |||
Electronic Equipment, Instruments & Components — 0.6% | |||||
541,340 | TE Connectivity Ltd. | 66,871,730 | |||
Food Products — 7.9% | |||||
861,594 | Archer-Daniels-Midland Co. | 64,981,420 | |||
2,354,229 | Conagra Brands, Inc. | 64,552,959 | |||
2,933,968 | Flowers Foods, Inc. | 65,075,410 | |||
1,028,113 | General Mills, Inc. | 65,788,951 | |||
323,355 | Hershey (The) Co. | 64,696,868 | |||
1,710,790 | Hormel Foods Corp. | 65,061,344 | |||
676,362 | Ingredion, Inc. | 66,554,021 | |||
404,700 | J & J Snack Foods Corp. | 66,229,155 | |||
526,495 | J.M. Smucker (The) Co. | 64,711,501 | |||
1,119,534 | Kellogg Co. | 66,623,468 | |||
402,035 | Lancaster Colony Corp. | 66,347,836 | |||
881,430 | McCormick & Co., Inc. | 66,671,365 | |||
955,397 | Mondelez International, Inc., Class A | 66,304,552 | |||
853,598,850 | |||||
Gas Utilities — 2.9% | |||||
602,833 | Atmos Energy Corp. | 63,858,099 | |||
619,605 | Chesapeake Utilities Corp. | 60,566,389 | |||
1,571,890 | New Jersey Resources Corp. | 63,865,891 | |||
911,593 | ONE Gas, Inc. | 62,243,570 | |||
1,137,705 | Spire, Inc. | 64,371,349 | |||
314,905,298 | |||||
Ground Transportation — 1.8% | |||||
597,260 | Canadian National Railway Co. | 64,701,176 | |||
328,279 | Norfolk Southern Corp. | 64,647,984 | |||
319,464 | Union Pacific Corp. | 65,052,454 | |||
194,401,614 | |||||
Health Care Equipment & Supplies — 1.8% | |||||
683,305 | Abbott Laboratories | 66,178,090 | |||
1,776,030 | Baxter International, Inc. | 67,027,372 | |||
832,831 | Medtronic PLC | 65,260,637 | |||
198,466,099 | |||||
Health Care Providers & Services — 1.2% | |||||
917,752 | CVS Health Corp. | 64,077,445 | |||
535,806 | Quest Diagnostics, Inc. | 65,293,319 | |||
129,370,764 |
Shares | Description | Value | |||
Hotels, Restaurants & Leisure — 1.8% | |||||
246,872 | McDonald’s Corp. | $65,035,960 | |||
718,155 | Starbucks Corp. | 65,546,007 | |||
532,943 | Yum! Brands, Inc. | 66,585,898 | |||
197,167,865 | |||||
Household Durables — 0.6% | |||||
631,887 | Garmin Ltd. | 66,474,512 | |||
Household Products — 3.7% | |||||
504,330 | Clorox (The) Co. | 66,097,490 | |||
922,195 | Colgate-Palmolive Co. | 65,577,286 | |||
539,364 | Kimberly-Clark Corp. | 65,182,139 | |||
442,061 | Procter & Gamble (The) Co. | 64,479,018 | |||
2,564,539 | Reynolds Consumer Products, Inc. | 65,729,135 | |||
331,487 | WD-40 Co. | 67,371,418 | |||
394,436,486 | |||||
Industrial Conglomerates — 1.2% | |||||
702,614 | 3M Co. | 65,778,723 | |||
347,137 | Honeywell International, Inc. | 64,130,089 | |||
129,908,812 | |||||
Insurance — 5.5% | |||||
867,319 | Aflac, Inc. | 66,566,733 | |||
577,935 | Allstate (The) Corp. | 64,387,738 | |||
450,984 | Assurant, Inc. | 64,752,283 | |||
313,822 | Chubb Ltd. | 65,331,464 | |||
225,249 | Erie Indemnity Co., Class A | 66,175,904 | |||
588,817 | Hanover Insurance Group (The), Inc. | 65,346,911 | |||
1,340,876 | Sun Life Financial, Inc. | 65,434,749 | |||
396,811 | Travelers (The) Cos., Inc. | 64,803,204 | |||
311,363 | Willis Towers Watson PLC | 65,062,412 | |||
587,861,398 | |||||
IT Services — 1.8% | |||||
771,379 | Amdocs Ltd. | 65,173,812 | |||
955,123 | Cognizant Technology Solutions Corp., Class A | 64,700,032 | |||
3,782,008 | Infosys Ltd., ADR | 64,710,157 | |||
194,584,001 | |||||
Machinery — 3.7% | |||||
242,831 | Caterpillar, Inc. | 66,292,863 | |||
287,679 | Cummins, Inc. | 65,723,144 | |||
1,106,700 | Donaldson Co., Inc. | 66,003,588 | |||
284,051 | Illinois Tool Works, Inc. | 65,419,786 | |||
259,866 | Snap-on, Inc. | 66,281,422 | |||
819,000 | Toro (The) Co. | 68,058,900 | |||
397,779,703 | |||||
Media — 0.6% | |||||
1,484,315 | Comcast Corp., Class A | 65,814,527 |
First Trust Value Line® Dividend Index Fund (FVD)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Multi-Utilities — 5.9% | |||||
837,223 | Ameren Corp. | $62,649,397 | |||
1,985,726 | Avista Corp. | 64,277,951 | |||
1,238,627 | Black Hills Corp. | 62,662,140 | |||
1,190,586 | CMS Energy Corp. | 63,232,022 | |||
738,125 | Consolidated Edison, Inc. | 63,131,831 | |||
630,336 | DTE Energy Co. | 62,579,758 | |||
1,321,976 | Northwestern Energy Group, Inc. | 63,534,167 | |||
1,104,678 | Public Service Enterprise Group, Inc. | 62,867,225 | |||
929,408 | Sempra | 63,227,626 | |||
786,041 | WEC Energy Group, Inc. | 63,315,603 | |||
631,477,720 | |||||
Personal Care Products — 0.6% | |||||
1,338,717 | Unilever PLC, ADR | 66,132,620 | |||
Pharmaceuticals — 4.3% | |||||
966,081 | AstraZeneca PLC, ADR | 65,423,005 | |||
1,125,780 | Bristol-Myers Squibb Co. | 65,340,271 | |||
415,581 | Johnson & Johnson | 64,726,741 | |||
629,262 | Merck & Co., Inc. | 64,782,523 | |||
654,175 | Novartis AG, ADR | 66,634,265 | |||
2,019,440 | Pfizer, Inc. | 66,984,825 | |||
1,225,415 | Sanofi, ADR | 65,731,261 | |||
459,622,891 | |||||
Professional Services — 4.3% | |||||
277,485 | Automatic Data Processing, Inc. | 66,757,341 | |||
616,165 | Booz Allen Hamilton Holding Corp. | 67,328,350 | |||
359,837 | Broadridge Financial Solutions, Inc. | 64,428,815 | |||
1,299,284 | CSG Systems International, Inc. | 66,419,398 | |||
582,431 | Paychex, Inc. | 67,171,767 | |||
901,848 | Robert Half, Inc. | 66,087,422 | |||
529,167 | Thomson Reuters Corp. | 64,727,707 | |||
462,920,800 | |||||
Semiconductors & Semiconductor Equipment — 1.9% | |||||
379,642 | Analog Devices, Inc. | 66,471,518 | |||
772,277 | Taiwan Semiconductor Manufacturing Co., Ltd., ADR | 67,110,871 | |||
413,928 | Texas Instruments, Inc. | 65,818,691 | |||
199,401,080 | |||||
Software — 1.2% | |||||
1,871,350 | Open Text Corp. | 65,684,385 | |||
504,742 | SAP SE, ADR | 65,273,235 | |||
130,957,620 |
Shares | Description | Value | |||
Specialized REITs — 1.9% | |||||
401,885 | American Tower Corp. | $66,089,988 | |||
721,493 | Crown Castle, Inc. | 66,399,001 | |||
252,535 | Public Storage | 66,548,023 | |||
199,037,012 | |||||
Specialty Retail — 1.8% | |||||
217,298 | Home Depot (The), Inc. | 65,658,763 | |||
313,419 | Lowe’s Cos., Inc. | 65,141,005 | |||
322,756 | Tractor Supply Co. | 65,535,606 | |||
196,335,374 | |||||
Tobacco — 0.6% | |||||
1,582,354 | Altria Group, Inc. | 66,537,986 | |||
Trading Companies & Distributors — 1.9% | |||||
1,215,568 | Fastenal Co. | 66,418,636 | |||
697,396 | MSC Industrial Direct Co., Inc., Class A | 68,449,417 | |||
184,995 | Watsco, Inc. | 69,876,311 | |||
204,744,364 | |||||
Water Utilities — 1.2% | |||||
824,782 | American States Water Co. | 64,893,848 | |||
979,428 | Middlesex Water Co. | 64,887,105 | |||
129,780,953 | |||||
Wireless Telecommunication Services — 0.6% | |||||
1,655,923 | Rogers Communications, Inc., Class B | 63,570,884 | |||
Total Investments — 99.8% | 10,761,132,779 | ||||
(Cost $10,605,394,247) | |||||
Net Other Assets and Liabilities — 0.2% | 22,280,115 | ||||
Net Assets — 100.0% | $10,783,412,894 |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of September 30, 2023 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 9/30/2023 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 10,761,132,779 | $ 10,761,132,779 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Exchange-Traded Fund
Additional Information
September 30, 2023 (Unaudited)
Additional Information
September 30, 2023 (Unaudited)
Valuation Inputs
The Funds are subject to fair value accounting standards that define fair value, establish the framework for measuring fair value and provide a three-level hierarchy for fair valuation based upon the inputs to the valuation as of the measurement date. The three levels of the fair value hierarchy are as follows:
• Level 1 – Level 1 inputs are quoted prices in active markets for identical investments.
• Level 2 – Level 2 inputs are observable inputs, either directly or indirectly. (Quoted prices for similar investments, valuations based on interest rates and yield curves, or valuations derived from observable market data.)
• Level 3 – Level 3 inputs are unobservable inputs that may reflect the reporting entity’s own assumptions about the assumptions that market participants would use in pricing the investment.
The inputs or methodologies used for valuing investments are not necessarily an indication of the risk associated with investing in those investments.
Licensing Information
Dow Jones®, Dow Jones Internet Composite IndexSM and Dow Jones Select MicroCap IndexSM (“S&P Dow Jones Indexes”) are products of S&P Dow Jones Indices LLC or its affiliates (“SPDJI”) and have been licensed for use by First Trust. S&P® is a registered trademark of Standard & Poor’s Financial Services LLC (“S&P”); Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC (“Dow Jones”); and these trademarks have been licensed for use by SPDJI and sublicensed for certain purposes by First Trust. The Funds are not sponsored, endorsed, sold or promoted by SPDJI, Dow Jones, S&P, or their respective affiliates and none of such parties make any representation regarding the advisability of investing in such products nor do they have any liability for any errors, omissions, or interruptions of the S&P Dow Jones Indexes.
Morningstar® and Morningstar® Dividend Leaders IndexSM are registered trademarks and service marks of Morningstar, Inc. (“Morningstar”) and have been licensed for use by First Trust on behalf of the Fund. The Fund is not sponsored, endorsed, issued, sold or promoted by Morningstar and Morningstar makes no representation regarding the advisability of investing in the Fund.
IPOX® and IPOX®-100 U.S. Index are registered international trademarks and service marks of IPOX® Schuster LLC (“IPOX”) and have been licensed for use by First Trust. The Fund is not sponsored, endorsed, sold or promoted by IPOX, and IPOX makes no representation regarding the advisability of trading in such Fund. IPOX® is an international trademark of IPOX Schuster LLC. Index of Initial Public Offerings (IPOX) and IPOX Derivatives Patent No. US 7,698,197.
Source ICE Data Indices, LLC (“ICE Data”), is used with permission. “NYSE®” and “NYSE® Arca®” are service/trademarks of ICE Data Indices, LLC or its affiliates. These trademarks have been licensed, along with the NYSE® Arca® Biotechnology Index (the “Index”) for use by First Trust Advisors L.P. in connection with First Trust NYSE® Arca® Biotechnology Index Fund (the “Product”). Neither First Trust Advisors L.P., First Trust Exchange-Traded Fund (the “Trust”) nor the Product, as applicable, is sponsored, endorsed, sold or promoted by ICE Data Indices, LLC, its affiliates or its Third Party Suppliers (“ICE Data and its Suppliers”). ICE Data and its Suppliers make no representations or warranties regarding the advisability of investing in securities generally, in the Product particularly, the Trust or the ability of the Index to track general market performance. Past performance of an Index is not an indicator of or a guarantee of future results.
ICE DATA AND ITS SUPPLIERS DISCLAIM ANY AND ALL WARRANTIES AND REPRESENTATIONS, EXPRESS AND/OR IMPLIED, INCLUDING ANY WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OR USE, INCLUDING THE INDICES, INDEX DATA AND ANY INFORMATION INCLUDED IN, RELATED TO, OR DERIVED THEREFROM (“INDEX DATA”). ICE DATA AND ITS SUPPLIERS SHALL NOT BE SUBJECT TO ANY DAMAGES OR LIABILITY WITH RESPECT TO THE ADEQUACY, ACCURACY, TIMELINESS OR COMPLETENESS OF THE INDICES AND THE INDEX DATA, WHICH ARE PROVIDED ON AN “AS IS” BASIS AND YOUR USE IS AT YOUR OWN RISK.
Nasdaq® and The Capital StrengthTM Index are registered trademarks and service marks of Nasdaq, Inc. (together with its affiliates hereinafter referred to as the “Corporations”) and are licensed for use by First Trust. The Funds have not been passed on by the Corporations as to their legality or suitability. The Funds are not issued, endorsed, sold or promoted by the Corporations. THE CORPORATIONS MAKE NO WARRANTIES AND BEAR NO LIABILITY WITH RESPECT TO THE FUNDS.
First Trust Exchange-Traded Fund
Additional Information (Continued)
September 30, 2023 (Unaudited)
Additional Information (Continued)
September 30, 2023 (Unaudited)
Value Line® and Value Line® Dividend Index are trademarks or registered trademarks of Value Line, Inc. (“Value Line”) and have been licensed for use for certain purposes by First Trust. The Fund is not sponsored, endorsed, recommended, sold or promoted by Value Line and Value Line makes no representation regarding the advisability of investing in products utilizing such strategy.