First Trust Dividend Strength ETF (FTDS)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 100.0% | |||||
Aerospace & Defense — 4.0% | |||||
1,831 | General Dynamics Corp. | $404,596 | |||
1,704 | Huntington Ingalls Industries, Inc. | 348,604 | |||
753,200 | |||||
Air Freight & Logistics — 1.8% | |||||
4,002 | C.H. Robinson Worldwide, Inc. | 344,692 | |||
Banks — 9.2% | |||||
7,505 | Commerce Bancshares, Inc. | 360,090 | |||
3,449 | Cullen/Frost Bankers, Inc. | 314,583 | |||
6,703 | East West Bancorp, Inc. | 353,315 | |||
2,862 | M&T Bank Corp. | 361,900 | |||
20,008 | Regions Financial Corp. | 344,138 | |||
1,734,026 | |||||
Capital Markets — 2.0% | |||||
6,145 | Stifel Financial Corp. | 377,549 | |||
Chemicals — 7.8% | |||||
4,992 | CF Industries Holdings, Inc. | 428,014 | |||
4,146 | FMC Corp. | 277,658 | |||
10,232 | Mosaic (The) Co. | 364,259 | |||
4,245 | RPM International, Inc. | 402,468 | |||
1,472,399 | |||||
Consumer Staples Distribution & Retail — 1.8% | |||||
5,247 | Sysco Corp. | 346,564 | |||
Containers & Packaging — 4.5% | |||||
2,212 | Avery Dennison Corp. | 404,066 | |||
2,873 | Packaging Corp. of America | 441,149 | |||
845,215 | |||||
Distributors — 1.9% | |||||
2,524 | Genuine Parts Co. | 364,415 | |||
Food Products — 4.1% | |||||
4,804 | Archer-Daniels-Midland Co. | 362,317 | |||
3,763 | Bunge Ltd. | 407,345 | |||
769,662 | |||||
Ground Transportation — 3.7% | |||||
1,693 | Norfolk Southern Corp. | 333,402 | |||
1,820 | Union Pacific Corp. | 370,607 | |||
704,009 | |||||
Health Care Providers & Services — 1.8% | |||||
2,733 | Quest Diagnostics, Inc. | 333,043 |
Shares | Description | Value | |||
Hotels, Restaurants & Leisure — 3.7% | |||||
3,405 | Texas Roadhouse, Inc. | $327,221 | |||
5,267 | Wyndham Hotels & Resorts, Inc. | 366,267 | |||
693,488 | |||||
Industrial REITs — 1.9% | |||||
7,494 | First Industrial Realty Trust, Inc. | 356,640 | |||
Insurance — 8.3% | |||||
5,449 | Aflac, Inc. | 418,211 | |||
5,320 | Hartford Financial Services Group (The), Inc. | 377,241 | |||
2,283 | Travelers (The) Cos., Inc. | 372,837 | |||
8,100 | Unum Group | 398,439 | |||
1,566,728 | |||||
Machinery — 9.8% | |||||
2,894 | AGCO Corp. | 342,302 | |||
1,531 | Caterpillar, Inc. | 417,963 | |||
1,525 | Cummins, Inc. | 348,402 | |||
4,488 | PACCAR, Inc. | 381,570 | |||
1,432 | Snap-on, Inc. | 365,246 | |||
1,855,483 | |||||
Oil, Gas & Consumable Fuels — 17.7% | |||||
2,486 | Chevron Corp. | 419,189 | |||
3,495 | ConocoPhillips | 418,701 | |||
14,772 | Coterra Energy, Inc. | 399,583 | |||
7,550 | Devon Energy Corp. | 360,135 | |||
2,794 | Diamondback Energy, Inc. | 432,735 | |||
3,166 | EOG Resources, Inc. | 401,322 | |||
8,059 | HF Sinclair Corp. | 458,799 | |||
9,350 | Ovintiv, Inc. | 444,779 | |||
3,335,243 | |||||
Pharmaceuticals — 1.9% | |||||
6,100 | Bristol-Myers Squibb Co. | 354,044 | |||
Professional Services — 1.9% | |||||
5,017 | Robert Half, Inc. | 367,646 | |||
Semiconductors & Semiconductor Equipment — 3.7% | |||||
3,164 | QUALCOMM, Inc. | 351,394 | |||
3,492 | Skyworks Solutions, Inc. | 344,276 | |||
695,670 | |||||
Specialty Retail — 6.5% | |||||
1,231 | Home Depot (The), Inc. | 371,959 | |||
1,829 | Tractor Supply Co. | 371,378 | |||
3,064 | Williams-Sonoma, Inc. | 476,146 | |||
1,219,483 |
First Trust Dividend Strength ETF (FTDS)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Technology Hardware, Storage & Peripherals — 2.0% | |||||
4,962 | NetApp, Inc. | $376,517 | |||
Total Common Stocks | 18,865,716 | ||||
(Cost $19,441,834) | |||||
MONEY MARKET FUNDS — 0.1% | |||||
25,580 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 5.20% (a) | 25,580 | |||
(Cost $25,580) | |||||
Total Investments — 100.1% | 18,891,296 | ||||
(Cost $19,467,414) | |||||
Net Other Assets and Liabilities — (0.1)% | (16,313 ) | ||||
Net Assets — 100.0% | $18,874,983 |
(a) | Rate shown reflects yield as of September 30, 2023. |
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* | $ 18,865,716 | $ 18,865,716 | $ — | $ — |
Money Market Funds | 25,580 | 25,580 | — | — |
Total Investments | $18,891,296 | $18,891,296 | $— | $— |
* | See Portfolio of Investments for industry breakout. |
First Trust Dow 30 Equal Weight ETF (EDOW)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 99.9% | |||||
Aerospace & Defense — 3.1% | |||||
37,851 | Boeing (The) Co. (a) | $7,255,280 | |||
Banks — 3.5% | |||||
55,599 | JPMorgan Chase & Co. | 8,062,967 | |||
Beverages — 3.3% | |||||
137,098 | Coca-Cola (The) Co. | 7,674,746 | |||
Biotechnology — 3.6% | |||||
30,825 | Amgen, Inc. | 8,284,527 | |||
Capital Markets — 3.4% | |||||
24,566 | Goldman Sachs Group (The), Inc. | 7,948,821 | |||
Chemicals — 3.3% | |||||
148,890 | Dow, Inc. | 7,676,768 | |||
Communications Equipment — 3.3% | |||||
141,114 | Cisco Systems, Inc. | 7,586,289 | |||
Consumer Finance — 3.3% | |||||
50,796 | American Express Co. | 7,578,255 | |||
Consumer Staples Distribution & Retail — 6.9% | |||||
363,660 | Walgreens Boots Alliance, Inc. | 8,087,798 | |||
48,830 | Walmart, Inc. | 7,809,382 | |||
15,897,180 | |||||
Diversified Telecommunication Services — 3.3% | |||||
239,070 | Verizon Communications, Inc. | 7,748,259 | |||
Entertainment — 3.4% | |||||
98,025 | Walt Disney (The) Co. (a) | 7,944,926 | |||
Financial Services — 3.2% | |||||
32,338 | Visa, Inc., Class A | 7,438,063 | |||
Health Care Providers & Services — 3.6% | |||||
16,634 | UnitedHealth Group, Inc. | 8,386,696 | |||
Hotels, Restaurants & Leisure — 3.2% | |||||
28,640 | McDonald’s Corp. | 7,544,922 | |||
Household Products — 3.3% | |||||
52,291 | Procter & Gamble (The) Co. | 7,627,165 | |||
Industrial Conglomerates — 6.5% | |||||
75,272 | 3M Co. | 7,046,964 | |||
43,339 | Honeywell International, Inc. | 8,006,447 | |||
15,053,411 | |||||
Insurance — 3.5% | |||||
50,015 | Travelers (The) Cos., Inc. | 8,167,950 | |||
IT Services — 3.3% | |||||
54,150 | International Business Machines Corp. | 7,597,245 |
Shares | Description | Value | |||
Machinery — 3.3% | |||||
28,330 | Caterpillar, Inc. | $7,734,090 | |||
Oil, Gas & Consumable Fuels — 3.5% | |||||
47,825 | Chevron Corp. | 8,064,251 | |||
Pharmaceuticals — 6.6% | |||||
49,807 | Johnson & Johnson | 7,757,440 | |||
73,333 | Merck & Co., Inc. | 7,549,633 | |||
15,307,073 | |||||
Semiconductors & Semiconductor Equipment — 3.2% | |||||
210,390 | Intel Corp. | 7,479,365 | |||
Software — 6.4% | |||||
23,923 | Microsoft Corp. | 7,553,687 | |||
35,580 | Salesforce, Inc. (a) | 7,214,913 | |||
14,768,600 | |||||
Specialty Retail — 3.2% | |||||
24,328 | Home Depot (The), Inc. | 7,350,948 | |||
Technology Hardware, Storage & Peripherals — 3.3% | |||||
44,881 | Apple, Inc. | 7,684,076 | |||
Textiles, Apparel & Luxury Goods — 3.4% | |||||
81,877 | NIKE, Inc., Class B | 7,829,079 | |||
Total Investments — 99.9% | 231,690,952 | ||||
(Cost $234,728,578) | |||||
Net Other Assets and Liabilities — 0.1% | 179,474 | ||||
Net Assets — 100.0% | $231,870,426 |
(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* | $ 231,690,952 | $ 231,690,952 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Lunt U.S. Factor Rotation ETF (FCTR)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 99.9% | |||||
Aerospace & Defense — 4.2% | |||||
13,299 | Axon Enterprise, Inc. (a) | $2,646,368 | |||
2,169 | Boeing (The) Co. (a) | 415,754 | |||
10,023 | Howmet Aerospace, Inc. | 463,564 | |||
1,490 | TransDigm Group, Inc. (a) | 1,256,263 | |||
4,781,949 | |||||
Automobiles — 2.2% | |||||
102,318 | Rivian Automotive, Inc., Class A (a) | 2,484,281 | |||
Banks — 3.1% | |||||
15,540 | Citizens Financial Group, Inc. | 416,472 | |||
20,412 | Fifth Third Bancorp | 517,036 | |||
48,655 | Huntington Bancshares, Inc. | 506,012 | |||
64,986 | KeyCorp | 699,249 | |||
24,714 | Regions Financial Corp. | 425,081 | |||
17,084 | Truist Financial Corp. | 488,773 | |||
14,774 | U.S. Bancorp | 488,429 | |||
3,541,052 | |||||
Beverages — 0.8% | |||||
10,217 | Brown-Forman Corp., Class B | 589,419 | |||
1,537 | PepsiCo, Inc. | 260,429 | |||
849,848 | |||||
Biotechnology — 1.9% | |||||
6,976 | AbbVie, Inc. | 1,039,843 | |||
4,360 | Alnylam Pharmaceuticals, Inc. (a) | 772,156 | |||
873 | Vertex Pharmaceuticals, Inc. (a) | 303,577 | |||
2,115,576 | |||||
Broadline Retail — 0.3% | |||||
5,200 | Etsy, Inc. (a) | 335,816 | |||
Building Products — 1.1% | |||||
1,301 | Carlisle Cos., Inc. | 337,297 | |||
5,794 | Carrier Global Corp. | 319,829 | |||
3,020 | Trane Technologies PLC | 612,788 | |||
1,269,914 | |||||
Capital Markets — 5.6% | |||||
5,371 | Ares Management Corp., Class A | 552,515 | |||
6,385 | Blackstone, Inc. | 684,089 | |||
15,456 | Carlyle Group (The), Inc. | 466,153 | |||
11,504 | Charles Schwab (The) Corp. | 631,570 | |||
1,609 | FactSet Research Systems, Inc. | 703,551 | |||
9,244 | KKR & Co., Inc. | 569,430 | |||
4,132 | LPL Financial Holdings, Inc. | 981,970 | |||
2,191 | MSCI, Inc. | 1,124,158 | |||
5,198 | Nasdaq, Inc. | 252,571 | |||
6,212 | State Street Corp. | 415,955 | |||
6,381,962 |
Shares | Description | Value | |||
Chemicals — 0.9% | |||||
4,555 | Celanese Corp. | $571,744 | |||
11,774 | Mosaic (The) Co. | 419,154 | |||
990,898 | |||||
Commercial Services & Supplies — 2.0% | |||||
1,018 | Cintas Corp. | 489,668 | |||
17,102 | Copart, Inc. (a) | 736,925 | |||
7,135 | Waste Management, Inc. | 1,087,660 | |||
2,314,253 | |||||
Communications Equipment — 1.5% | |||||
8,037 | Arista Networks, Inc. (a) | 1,478,245 | |||
1,015 | Motorola Solutions, Inc. | 276,324 | |||
1,754,569 | |||||
Construction & Engineering — 0.6% | |||||
3,483 | Quanta Services, Inc. | 651,565 | |||
Consumer Finance — 0.5% | |||||
17,984 | Synchrony Financial | 549,771 | |||
Distributors — 0.5% | |||||
4,096 | Genuine Parts Co. | 591,381 | |||
Electrical Equipment — 0.9% | |||||
4,235 | AMETEK, Inc. | 625,763 | |||
1,197 | Hubbell, Inc. | 375,152 | |||
1,000,915 | |||||
Electronic Equipment, Instruments & Components — 2.1% | |||||
17,910 | Amphenol Corp., Class A | 1,504,261 | |||
3,268 | CDW Corp. | 659,352 | |||
471 | Teledyne Technologies, Inc. (a) | 192,441 | |||
2,356,054 | |||||
Energy Equipment & Services — 1.7% | |||||
16,238 | Baker Hughes Co. | 573,526 | |||
18,313 | Halliburton Co. | 741,676 | |||
11,216 | Schlumberger N.V. | 653,893 | |||
1,969,095 | |||||
Entertainment — 0.8% | |||||
6,672 | Live Nation Entertainment, Inc. (a) | 554,043 | |||
12,400 | ROBLOX Corp., Class A (a) | 359,104 | |||
913,147 | |||||
Financial Services — 7.0% | |||||
22,754 | Apollo Global Management, Inc. | 2,042,399 | |||
13,078 | Block, Inc. (a) | 578,832 | |||
11,912 | Fidelity National Information Services, Inc. | 658,376 | |||
3,378 | Fiserv, Inc. (a) | 381,579 |
First Trust Lunt U.S. Factor Rotation ETF (FCTR)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Financial Services (Continued) | |||||
4,372 | Jack Henry & Associates, Inc. | $660,784 | |||
5,300 | Mastercard, Inc., Class A | 2,098,323 | |||
6,350 | Visa, Inc., Class A | 1,460,564 | |||
7,880,857 | |||||
Food Products — 1.5% | |||||
5,251 | Bunge Ltd. | 568,421 | |||
3,253 | General Mills, Inc. | 208,159 | |||
4,451 | Hershey (The) Co. | 890,556 | |||
1,667,136 | |||||
Ground Transportation — 0.8% | |||||
2,352 | Old Dominion Freight Line, Inc. | 962,297 | |||
Health Care Equipment & Supplies — 2.7% | |||||
9,983 | Dexcom, Inc. (a) | 931,414 | |||
2,268 | IDEXX Laboratories, Inc. (a) | 991,728 | |||
3,544 | Insulet Corp. (a) | 565,233 | |||
1,911 | Intuitive Surgical, Inc. (a) | 558,566 | |||
3,046,941 | |||||
Health Care Providers & Services — 0.6% | |||||
1,349 | UnitedHealth Group, Inc. | 680,152 | |||
Health Care Technology — 0.5% | |||||
2,502 | Veeva Systems, Inc., Class A (a) | 509,032 | |||
Hotels, Restaurants & Leisure — 3.5% | |||||
3,486 | Darden Restaurants, Inc. | 499,265 | |||
2,012 | Domino’s Pizza, Inc. | 762,125 | |||
9,903 | Las Vegas Sands Corp. | 453,954 | |||
1,907 | McDonald’s Corp. | 502,380 | |||
13,361 | MGM Resorts International | 491,150 | |||
7,349 | Royal Caribbean Cruises Ltd. (a) | 677,137 | |||
5,015 | Yum! Brands, Inc. | 626,574 | |||
4,012,585 | |||||
Household Durables — 0.7% | |||||
130 | NVR, Inc. (a) | 775,229 | |||
Household Products — 0.6% | |||||
4,381 | Procter & Gamble (The) Co. | 639,013 | |||
Insurance — 2.2% | |||||
2,659 | Aon PLC, Class A | 862,101 | |||
839 | Arthur J. Gallagher & Co. | 191,233 | |||
4,980 | Brown & Brown, Inc. | 347,803 | |||
4,003 | Marsh & McLennan Cos., Inc. | 761,771 | |||
4,591 | W.R. Berkley Corp. | 291,483 | |||
2,454,391 | |||||
IT Services — 3.4% | |||||
2,362 | Accenture PLC, Class A | 725,394 |
Shares | Description | Value | |||
IT Services (Continued) | |||||
10,878 | Cloudflare, Inc., Class A (a) | $685,749 | |||
2,623 | MongoDB, Inc. (a) | 907,190 | |||
4,770 | Snowflake, Inc., Class A (a) | 728,713 | |||
3,945 | VeriSign, Inc. (a) | 798,981 | |||
3,846,027 | |||||
Life Sciences Tools & Services — 1.7% | |||||
5,654 | Illumina, Inc. (a) | 776,181 | |||
793 | Mettler-Toledo International, Inc. (a) | 878,700 | |||
919 | Waters Corp. (a) | 251,999 | |||
1,906,880 | |||||
Machinery — 2.0% | |||||
3,986 | IDEX Corp. | 829,168 | |||
4,646 | Illinois Tool Works, Inc. | 1,070,020 | |||
1,236 | Snap-on, Inc. | 315,254 | |||
2,214,442 | |||||
Metals & Mining — 2.7% | |||||
13,828 | Freeport-McMoRan, Inc. | 515,646 | |||
6,500 | Nucor Corp. | 1,016,275 | |||
3,818 | Reliance Steel & Aluminum Co. | 1,001,194 | |||
5,121 | Steel Dynamics, Inc. | 549,074 | |||
3,082,189 | |||||
Oil, Gas & Consumable Fuels — 6.1% | |||||
17,061 | APA Corp. | 701,207 | |||
19,965 | Coterra Energy, Inc. | 540,053 | |||
4,413 | EOG Resources, Inc. | 559,392 | |||
2,968 | Exxon Mobil Corp. | 348,977 | |||
3,932 | Hess Corp. | 601,596 | |||
24,035 | Marathon Oil Corp. | 642,936 | |||
6,155 | Marathon Petroleum Corp. | 931,498 | |||
19,039 | Ovintiv, Inc. | 905,685 | |||
2,290 | Pioneer Natural Resources Co. | 525,670 | |||
387 | Texas Pacific Land Corp. | 705,718 | |||
3,053 | Valero Energy Corp. | 432,641 | |||
6,895,373 | |||||
Pharmaceuticals — 1.9% | |||||
1,536 | Eli Lilly & Co. | 825,032 | |||
27,296 | Pfizer, Inc. | 905,408 | |||
2,643 | Zoetis, Inc. | 459,829 | |||
2,190,269 | |||||
Professional Services — 1.7% | |||||
1,287 | Automatic Data Processing, Inc. | 309,627 | |||
10,131 | Paychex, Inc. | 1,168,408 | |||
1,804 | Paycom Software, Inc. | 467,723 | |||
1,945,758 |
First Trust Lunt U.S. Factor Rotation ETF (FCTR)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Residential REITs — 0.9% | |||||
6,842 | Equity LifeStyle Properties, Inc. | $435,904 | |||
4,485 | Mid-America Apartment Communities, Inc. | 576,995 | |||
1,012,899 | |||||
Semiconductors & Semiconductor Equipment — 8.4% | |||||
4,716 | Analog Devices, Inc. | 825,725 | |||
5,288 | Applied Materials, Inc. | 732,124 | |||
431 | Broadcom, Inc. | 357,980 | |||
6,379 | Enphase Energy, Inc. (a) | 766,437 | |||
12,848 | First Solar, Inc. (a) | 2,076,108 | |||
14,915 | Intel Corp. | 530,228 | |||
1,608 | KLA Corp. | 737,525 | |||
15,857 | Marvell Technology, Inc. | 858,339 | |||
1,469 | Monolithic Power Systems, Inc. | 678,678 | |||
2,018 | NVIDIA Corp. | 877,810 | |||
11,437 | ON Semiconductor Corp. (a) | 1,063,069 | |||
9,504,023 | |||||
Software — 12.1% | |||||
1,210 | Adobe, Inc. (a) | 616,979 | |||
2,151 | ANSYS, Inc. (a) | 640,030 | |||
4,977 | Autodesk, Inc. (a) | 1,029,791 | |||
6,209 | Cadence Design Systems, Inc. (a) | 1,454,769 | |||
4,093 | Crowdstrike Holdings, Inc., Class A (a) | 685,086 | |||
8,568 | Datadog, Inc., Class A (a) | 780,459 | |||
15,588 | DocuSign, Inc. (a) | 654,696 | |||
841 | Fair Isaac Corp. (a) | 730,434 | |||
14,099 | Fortinet, Inc. (a) | 827,329 | |||
1,151 | HubSpot, Inc. (a) | 566,868 | |||
397 | Intuit, Inc. | 202,843 | |||
1,060 | Microsoft Corp. | 334,695 | |||
5,909 | Oracle Corp. | 625,881 | |||
2,604 | Palo Alto Networks, Inc. (a) | 610,482 | |||
2,572 | Salesforce, Inc. (a) | 521,550 | |||
1,162 | ServiceNow, Inc. (a) | 649,512 | |||
5,562 | Splunk, Inc. (a) | 813,443 | |||
2,528 | Synopsys, Inc. (a) | 1,160,276 | |||
5,414 | Zscaler, Inc. (a) | 842,364 | |||
13,747,487 | |||||
Specialized REITs — 2.6% | |||||
2,661 | American Tower Corp. | 437,602 | |||
3,376 | Crown Castle, Inc. | 310,693 | |||
12,989 | Gaming and Leisure Properties, Inc. | 591,649 | |||
3,846 | Public Storage | 1,013,498 | |||
3,042 | SBA Communications Corp. | 608,917 | |||
2,962,359 |
Shares | Description | Value | |||
Specialty Retail — 1.4% | |||||
971 | Home Depot (The), Inc. | $293,397 | |||
424 | O’Reilly Automotive, Inc. (a) | 385,357 | |||
5,823 | TJX (The) Cos., Inc. | 517,548 | |||
989 | Tractor Supply Co. | 200,816 | |||
535 | Ulta Beauty, Inc. (a) | 213,706 | |||
1,610,824 | |||||
Technology Hardware, Storage & Peripherals — 0.3% | |||||
1,718 | Apple, Inc. | 294,139 | |||
Tobacco — 0.9% | |||||
25,072 | Altria Group, Inc. | 1,054,278 | |||
Trading Companies & Distributors — 2.8% | |||||
12,295 | Fastenal Co. | 671,799 | |||
1,295 | United Rentals, Inc. | 575,718 | |||
2,847 | W.W. Grainger, Inc. | 1,969,668 | |||
3,217,185 | |||||
Water Utilities — 0.2% | |||||
6,547 | Essential Utilities, Inc. | 224,759 | |||
Total Common Stocks | 113,188,570 | ||||
(Cost $117,016,040) | |||||
MONEY MARKET FUNDS — 0.1% | |||||
99,049 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 5.20% (b) | 99,049 | |||
(Cost $99,049) | |||||
Total Investments — 100.0% | 113,287,619 | ||||
(Cost $117,115,089) | |||||
Net Other Assets and Liabilities — 0.0% | 39,190 | ||||
Net Assets — 100.0% | $113,326,809 |
(a) | Non-income producing security. |
(b) | Rate shown reflects yield as of September 30, 2023. |
First Trust Lunt U.S. Factor Rotation ETF (FCTR)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
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* | $ 113,188,570 | $ 113,188,570 | $ — | $ — |
Money Market Funds | 99,049 | 99,049 | — | — |
Total Investments | $113,287,619 | $113,287,619 | $— | $— |
* | See Portfolio of Investments for industry breakout. |
First Trust Growth Strength ETF (FTGS)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 100.0% | |||||
Air Freight & Logistics — 3.6% | |||||
3,674 | Expeditors International of Washington, Inc. | $421,151 | |||
2,448 | United Parcel Service, Inc., Class B | 381,570 | |||
802,721 | |||||
Automobiles — 1.9% | |||||
1,763 | Tesla, Inc. (a) | 441,138 | |||
Biotechnology — 6.3% | |||||
3,189 | AbbVie, Inc. | 475,352 | |||
624 | Regeneron Pharmaceuticals, Inc. (a) | 513,527 | |||
1,266 | Vertex Pharmaceuticals, Inc. (a) | 440,239 | |||
1,429,118 | |||||
Chemicals — 2.2% | |||||
5,799 | CF Industries Holdings, Inc. | 497,206 | |||
Commercial Services & Supplies — 1.9% | |||||
10,058 | Copart, Inc. (a) | 433,399 | |||
Communications Equipment — 2.2% | |||||
2,672 | Arista Networks, Inc. (a) | 491,461 | |||
Consumer Staples Distribution & Retail — 2.1% | |||||
821 | Costco Wholesale Corp. | 463,832 | |||
Electronic Equipment, Instruments & Components — 2.0% | |||||
5,483 | Amphenol Corp., Class A | 460,517 | |||
Health Care Providers & Services — 8.1% | |||||
964 | Elevance Health, Inc. | 419,745 | |||
1,004 | Humana, Inc. | 488,466 | |||
1,440 | Molina Healthcare, Inc. (a) | 472,162 | |||
906 | UnitedHealth Group, Inc. | 456,796 | |||
1,837,169 | |||||
Hotels, Restaurants & Leisure — 3.9% | |||||
156 | Booking Holdings, Inc. (a) | 481,096 | |||
217 | Chipotle Mexican Grill, Inc. (a) | 397,507 | |||
878,603 | |||||
Household Durables — 5.5% | |||||
3,593 | D.R. Horton, Inc. | 386,140 | |||
3,618 | Lennar Corp., Class A | 406,048 | |||
74 | NVR, Inc. (a) | 441,284 | |||
1,233,472 |
Shares | Description | Value | |||
Insurance — 4.1% | |||||
5,571 | Arch Capital Group Ltd. (a) | $444,064 | |||
7,446 | W.R. Berkley Corp. | 472,747 | |||
916,811 | |||||
Interactive Media & Services — 2.2% | |||||
3,819 | Alphabet, Inc., Class A (a) | 499,754 | |||
IT Services — 4.2% | |||||
1,457 | Accenture PLC, Class A | 447,459 | |||
1,931 | EPAM Systems, Inc. (a) | 493,738 | |||
941,197 | |||||
Life Sciences Tools & Services — 1.8% | |||||
3,592 | Agilent Technologies, Inc. | 401,658 | |||
Machinery — 2.0% | |||||
5,214 | PACCAR, Inc. | 443,294 | |||
Metals & Mining — 4.1% | |||||
2,798 | Nucor Corp. | 437,467 | |||
4,571 | Steel Dynamics, Inc. | 490,103 | |||
927,570 | |||||
Oil, Gas & Consumable Fuels — 13.2% | |||||
2,889 | Chevron Corp. | 487,143 | |||
4,061 | ConocoPhillips | 486,508 | |||
3,679 | EOG Resources, Inc. | 466,350 | |||
4,412 | Exxon Mobil Corp. | 518,763 | |||
2,124 | Pioneer Natural Resources Co. | 487,564 | |||
3,727 | Valero Energy Corp. | 528,153 | |||
2,974,481 | |||||
Pharmaceuticals — 1.8% | |||||
12,257 | Pfizer, Inc. | 406,565 | |||
Semiconductors & Semiconductor Equipment — 16.9% | |||||
3,361 | Applied Materials, Inc. | 465,330 | |||
511 | Broadcom, Inc. | 424,426 | |||
2,583 | Enphase Energy, Inc. (a) | 310,347 | |||
1,000 | KLA Corp. | 458,660 | |||
736 | Lam Research Corp. | 461,303 | |||
1,034 | NVIDIA Corp. | 449,780 | |||
4,641 | ON Semiconductor Corp. (a) | 431,381 | |||
3,675 | QUALCOMM, Inc. | 408,146 | |||
4,058 | Skyworks Solutions, Inc. | 400,078 | |||
3,809,451 | |||||
Software — 8.0% | |||||
880 | Adobe, Inc. (a) | 448,712 | |||
2,184 | Autodesk, Inc. (a) | 451,891 | |||
1,880 | Palo Alto Networks, Inc. (a) | 440,747 | |||
1,009 | Synopsys, Inc. (a) | 463,101 | |||
1,804,451 |
First Trust Growth Strength ETF (FTGS)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Specialty Retail — 2.0% | |||||
4,091 | Ross Stores, Inc. | $462,079 | |||
Total Investments — 100.0% | 22,555,947 | ||||
(Cost $22,594,106) | |||||
Net Other Assets and Liabilities — 0.0% | 9,937 | ||||
Net Assets — 100.0% | $22,565,884 |
(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* | $ 22,555,947 | $ 22,555,947 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Indxx Aerospace & Defense ETF (MISL)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 100.0% | |||||
Aerospace & Defense — 83.4% | |||||
6,015 | AAR Corp. (a) | $358,073 | |||
4,543 | AeroVironment, Inc. (a) | 506,681 | |||
15,995 | Boeing (The) Co. (a) | 3,065,922 | |||
6,646 | Curtiss-Wright Corp. | 1,300,157 | |||
2,469 | Ducommun, Inc. (a) | 107,426 | |||
15,832 | General Dynamics Corp. | 3,498,397 | |||
9,997 | HEICO Corp. | 1,618,814 | |||
14,623 | Hexcel Corp. | 952,542 | |||
34,502 | Howmet Aerospace, Inc. | 1,595,717 | |||
6,914 | Huntington Ingalls Industries, Inc. | 1,414,466 | |||
4,884 | Kaman Corp. | 95,971 | |||
22,116 | Kratos Defense & Security Solutions, Inc. (a) | 332,182 | |||
8,710 | L3Harris Technologies, Inc. | 1,516,585 | |||
45,237 | Leonardo DRS, Inc. (a) | 755,458 | |||
7,342 | Lockheed Martin Corp. | 3,002,584 | |||
10,085 | Mercury Systems, Inc. (a) | 374,053 | |||
5,521 | Moog, Inc., Class A | 623,652 | |||
7,564 | Northrop Grumman Corp. | 3,329,597 | |||
82,960 | Rocket Lab USA, Inc. (a) | 363,365 | |||
35,446 | RTX Corp. | 2,551,049 | |||
18,236 | Spirit AeroSystems Holdings, Inc., Class A (a) | 294,329 | |||
25,292 | Textron, Inc. | 1,976,317 | |||
1,917 | TransDigm Group, Inc. (a) | 1,616,280 | |||
11,350 | Triumph Group, Inc. (a) | 86,941 | |||
48,977 | Virgin Galactic Holdings, Inc. (a) | 88,159 | |||
10,405 | Woodward, Inc. | 1,292,925 | |||
32,717,642 | |||||
Diversified Telecommunication Services — 0.4% | |||||
37,725 | AST SpaceMobile, Inc. (a) | 143,355 | |||
Professional Services — 16.2% | |||||
3,951 | CACI International, Inc., Class A (a) | 1,240,337 | |||
23,523 | KBR, Inc. | 1,386,446 | |||
18,974 | Leidos Holdings, Inc. | 1,748,644 |
Shares | Description | Value | |||
Professional Services (Continued) | |||||
18,174 | Parsons Corp. (a) | $987,757 | |||
9,304 | Science Applications International Corp. | 981,944 | |||
6,345,128 | |||||
Total Investments — 100.0% | 39,206,125 | ||||
(Cost $41,100,866) | |||||
Net Other Assets and Liabilities — 0.0% | 2,318 | ||||
Net Assets — 100.0% | $39,208,443 |
(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* | $ 39,206,125 | $ 39,206,125 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Bloomberg Inflation Sensitive Equity ETF (FTIF)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 99.8% | |||||
Aerospace & Defense — 3.7% | |||||
96 | General Dynamics Corp. | $21,213 | |||
105 | L3Harris Technologies, Inc. | 18,283 | |||
39,496 | |||||
Building Products — 4.0% | |||||
80 | Carlisle Cos., Inc. | 20,741 | |||
158 | Owens Corning | 21,553 | |||
42,294 | |||||
Chemicals — 11.6% | |||||
92 | Albemarle Corp. | 15,644 | |||
296 | CF Industries Holdings, Inc. | 25,379 | |||
386 | Dow, Inc. | 19,902 | |||
224 | LyondellBasell Industries N.V., Class A | 21,213 | |||
587 | Mosaic (The) Co. | 20,897 | |||
400 | Olin Corp. | 19,992 | |||
123,027 | |||||
Electrical Equipment — 2.1% | |||||
227 | Emerson Electric Co. | 21,921 | |||
Electronic Equipment, Instruments & Components — 1.9% | |||||
242 | Amphenol Corp., Class A | 20,326 | |||
Energy Equipment & Services — 7.3% | |||||
662 | ChampionX Corp. | 23,580 | |||
623 | Halliburton Co. | 25,232 | |||
309 | Weatherford International PLC (a) | 27,912 | |||
76,724 | |||||
Hotel & Resort REITs — 1.9% | |||||
1,221 | Host Hotels & Resorts, Inc. | 19,621 | |||
Industrial Conglomerates — 2.0% | |||||
187 | General Electric Co. | 20,673 | |||
Machinery — 11.7% | |||||
84 | Caterpillar, Inc. | 22,932 | |||
139 | Dover Corp. | 19,392 | |||
275 | Fortive Corp. | 20,394 | |||
246 | PACCAR, Inc. | 20,915 | |||
53 | Parker-Hannifin Corp. | 20,645 | |||
187 | Westinghouse Air Brake Technologies Corp. | 19,872 | |||
124,150 | |||||
Metals & Mining — 7.4% | |||||
1,227 | Cleveland-Cliffs, Inc. (a) | 19,178 | |||
390 | Commercial Metals Co. | 19,270 |
Shares | Description | Value | |||
Metals & Mining (Continued) | |||||
125 | Nucor Corp. | $19,544 | |||
189 | Steel Dynamics, Inc. | 20,264 | |||
78,256 | |||||
Oil, Gas & Consumable Fuels — 35.6% | |||||
893 | Antero Resources Corp. (a) | 22,664 | |||
602 | APA Corp. | 24,742 | |||
296 | Civitas Resources, Inc. | 23,938 | |||
198 | ConocoPhillips | 23,720 | |||
425 | Devon Energy Corp. | 20,272 | |||
156 | Diamondback Energy, Inc. | 24,161 | |||
180 | EOG Resources, Inc. | 22,817 | |||
151 | Hess Corp. | 23,103 | |||
893 | Marathon Oil Corp. | 23,888 | |||
393 | Matador Resources Co. | 23,376 | |||
537 | Murphy Oil Corp. | 24,353 | |||
540 | Ovintiv, Inc. | 25,688 | |||
502 | PBF Energy, Inc., Class A | 26,872 | |||
99 | Pioneer Natural Resources Co. | 22,725 | |||
699 | Range Resources Corp. | 22,655 | |||
3,420 | Southwestern Energy Co. (a) | 22,059 | |||
377,033 | |||||
Real Estate Management & Development — 1.8% | |||||
255 | CBRE Group, Inc., Class A (a) | 18,834 | |||
Retail REITs — 1.8% | |||||
178 | Simon Property Group, Inc. | 19,229 | |||
Specialized REITs — 7.0% | |||||
424 | Gaming and Leisure Properties, Inc. | 19,313 | |||
207 | Lamar Advertising Co., Class A | 17,278 | |||
654 | VICI Properties, Inc. | 19,032 | |||
613 | Weyerhaeuser Co. | 18,795 | |||
74,418 | |||||
Total Investments — 99.8% | 1,056,002 | ||||
(Cost $1,046,194) | |||||
Net Other Assets and Liabilities — 0.2% | 2,128 | ||||
Net Assets — 100.0% | $1,058,130 |
(a) | Non-income producing security. |
First Trust Bloomberg Inflation Sensitive Equity ETF (FTIF)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
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* | $ 1,056,002 | $ 1,056,002 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust S&P 500 Diversified Free Cash Flow ETF (FCFY)
Portfolio of Investments
September 30, 2023 (Unaudited)
Portfolio of Investments
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 99.8% | |||||
Aerospace & Defense — 2.4% | |||||
20 | General Dynamics Corp. | $4,419 | |||
20 | Huntington Ingalls Industries, Inc. | 4,092 | |||
20 | L3Harris Technologies, Inc. | 3,482 | |||
9 | Lockheed Martin Corp. | 3,681 | |||
96 | Textron, Inc. | 7,502 | |||
23,176 | |||||
Air Freight & Logistics — 2.6% | |||||
108 | C.H. Robinson Worldwide, Inc. | 9,302 | |||
112 | Expeditors International of Washington, Inc. | 12,838 | |||
25 | United Parcel Service, Inc., Class B | 3,897 | |||
26,037 | |||||
Automobile Components — 0.5% | |||||
135 | BorgWarner, Inc. | 5,450 | |||
Banks — 4.1% | |||||
123 | Citigroup, Inc. | 5,059 | |||
216 | Citizens Financial Group, Inc. | 5,789 | |||
148 | Comerica, Inc. | 6,149 | |||
539 | Huntington Bancshares, Inc. | 5,606 | |||
522 | KeyCorp | 5,617 | |||
168 | Truist Financial Corp. | 4,806 | |||
209 | Zions Bancorp N.A. | 7,292 | |||
40,318 | |||||
Beverages — 1.7% | |||||
208 | Keurig Dr Pepper, Inc. | 6,567 | |||
155 | Molson Coors Beverage Co., Class B | 9,856 | |||
16,423 | |||||
Biotechnology — 2.9% | |||||
52 | AbbVie, Inc. | 7,751 | |||
93 | Gilead Sciences, Inc. | 6,970 | |||
109 | Incyte Corp. (a) | 6,297 | |||
76 | Moderna, Inc. (a) | 7,850 | |||
28,868 | |||||
Broadline Retail — 0.8% | |||||
189 | eBay, Inc. | 8,333 | |||
Building Products — 0.4% | |||||
80 | Masco Corp. | 4,276 | |||
Capital Markets — 0.5% | |||||
315 | Invesco Ltd. | 4,574 | |||
Chemicals — 1.6% | |||||
72 | CF Industries Holdings, Inc. | 6,173 | |||
57 | Dow, Inc. | 2,939 |
Shares | Description | Value | |||
Chemicals (Continued) | |||||
31 | LyondellBasell Industries N.V., Class A | $2,936 | |||
92 | Mosaic (The) Co. | 3,275 | |||
15,323 | |||||
Communications Equipment — 4.6% | |||||
450 | Cisco Systems, Inc. | 24,192 | |||
130 | F5, Inc. (a) | 20,948 | |||
45,140 | |||||
Consumer Finance — 3.6% | |||||
130 | Capital One Financial Corp. | 12,616 | |||
74 | Discover Financial Services | 6,411 | |||
522 | Synchrony Financial | 15,958 | |||
34,985 | |||||
Consumer Staples Distribution & Retail — 0.7% | |||||
153 | Kroger (The) Co. | 6,847 | |||
Distributors — 0.6% | |||||
112 | LKQ Corp. | 5,545 | |||
Electric Utilities — 1.9% | |||||
230 | FirstEnergy Corp. | 7,861 | |||
272 | NRG Energy, Inc. | 10,478 | |||
18,339 | |||||
Entertainment — 2.5% | |||||
301 | Live Nation Entertainment, Inc. (a) | 24,995 | |||
Food Products — 1.9% | |||||
95 | Archer-Daniels-Midland Co. | 7,165 | |||
144 | Campbell Soup Co. | 5,916 | |||
85 | General Mills, Inc. | 5,439 | |||
18,520 | |||||
Ground Transportation — 0.4% | |||||
132 | CSX Corp. | 4,059 | |||
Health Care Equipment & Supplies — 0.8% | |||||
116 | Hologic, Inc. (a) | 8,050 | |||
Health Care Providers & Services — 6.4% | |||||
194 | Cardinal Health, Inc. | 16,843 | |||
212 | Centene Corp. (a) | 14,603 | |||
34 | Cigna Group (The) | 9,726 | |||
143 | CVS Health Corp. | 9,984 | |||
27 | McKesson Corp. | 11,741 | |||
62,897 | |||||
Hotel & Resort REITs — 0.3% | |||||
201 | Host Hotels & Resorts, Inc. | 3,230 |
First Trust S&P 500 Diversified Free Cash Flow ETF (FCFY)
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 — 3.1% | |||||
3 | Booking Holdings, Inc. (a) | $9,252 | |||
203 | Expedia Group, Inc. (a) | 20,923 | |||
30,175 | |||||
Household Durables — 3.2% | |||||
118 | Lennar Corp., Class A | 13,243 | |||
2 | NVR, Inc. (a) | 11,927 | |||
50 | Whirlpool Corp. | 6,685 | |||
31,855 | |||||
Industrial Conglomerates — 0.5% | |||||
49 | 3M Co. | 4,587 | |||
Insurance — 3.0% | |||||
255 | American International Group, Inc. | 15,453 | |||
92 | MetLife, Inc. | 5,788 | |||
119 | Principal Financial Group, Inc. | 8,576 | |||
29,817 | |||||
Interactive Media & Services — 1.6% | |||||
121 | Alphabet, Inc., Class A (a) | 15,834 | |||
IT Services — 8.7% | |||||
197 | Akamai Technologies, Inc. (a) | 20,988 | |||
350 | Cognizant Technology Solutions Corp., Class A | 23,709 | |||
1,166 | DXC Technology Co. (a) | 24,288 | |||
115 | International Business Machines Corp. | 16,135 | |||
85,120 | |||||
Life Sciences Tools & Services — 0.9% | |||||
24 | Bio-Rad Laboratories, Inc., Class A (a) | 8,603 | |||
Machinery — 0.9% | |||||
64 | Fortive Corp. | 4,746 | |||
16 | Snap-on, Inc. | 4,081 | |||
8,827 | |||||
Media — 5.0% | |||||
337 | Comcast Corp., Class A | 14,942 | |||
673 | Fox Corp., Class A | 20,998 | |||
648 | News Corp., Class A | 12,999 | |||
48,939 | |||||
Metals & Mining — 1.1% | |||||
36 | Nucor Corp. | 5,629 | |||
45 | Steel Dynamics, Inc. | 4,825 | |||
10,454 | |||||
Multi-Utilities — 0.8% | |||||
96 | WEC Energy Group, Inc. | 7,733 |
Shares | Description | Value | |||
Office REITs — 0.7% | |||||
110 | Boston Properties, Inc. | $6,543 | |||
Oil, Gas & Consumable Fuels — 5.2% | |||||
247 | APA Corp. | 10,152 | |||
366 | Coterra Energy, Inc. | 9,900 | |||
409 | Marathon Oil Corp. | 10,941 | |||
69 | Marathon Petroleum Corp. | 10,442 | |||
69 | Valero Energy Corp. | 9,778 | |||
51,213 | |||||
Pharmaceuticals — 2.2% | |||||
358 | Pfizer, Inc. | 11,875 | |||
1,026 | Viatris, Inc. | 10,116 | |||
21,991 | |||||
Professional Services — 1.2% | |||||
50 | Leidos Holdings, Inc. | 4,608 | |||
97 | Robert Half, Inc. | 7,108 | |||
11,716 | |||||
Real Estate Management & Development — 0.4% | |||||
56 | CBRE Group, Inc., Class A (a) | 4,136 | |||
Residential REITs — 0.3% | |||||
15 | Essex Property Trust, Inc. | 3,181 | |||
Retail REITs — 0.4% | |||||
37 | Simon Property Group, Inc. | 3,997 | |||
Semiconductors & Semiconductor Equipment — 11.0% | |||||
25 | Broadcom, Inc. | 20,764 | |||
38 | KLA Corp. | 17,429 | |||
214 | Microchip Technology, Inc. | 16,703 | |||
253 | Qorvo, Inc. (a) | 24,154 | |||
126 | QUALCOMM, Inc. | 13,994 | |||
148 | Skyworks Solutions, Inc. | 14,591 | |||
107,635 | |||||
Specialized REITs — 0.5% | |||||
151 | Weyerhaeuser Co. | 4,630 | |||
Specialty Retail — 1.6% | |||||
2 | AutoZone, Inc. (a) | 5,080 | |||
188 | Bath & Body Works, Inc. | 6,354 | |||
11 | Ulta Beauty, Inc. (a) | 4,394 | |||
15,828 | |||||
Technology Hardware, Storage & Peripherals — 4.0% | |||||
519 | HP, Inc. | 13,338 | |||
337 | NetApp, Inc. | 25,572 | |||
38,910 |
First Trust S&P 500 Diversified Free Cash Flow ETF (FCFY)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Portfolio of Investments (Continued)
September 30, 2023 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Tobacco — 2.3% | |||||
321 | Altria Group, Inc. | $13,498 | |||
97 | Philip Morris International, Inc. | 8,980 | |||
22,478 | |||||
Total Investments — 99.8% | 979,587 | ||||
(Cost $1,023,737) | |||||
Net Other Assets and Liabilities — 0.2% | 1,517 | ||||
Net Assets — 100.0% | $981,104 |
(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* | $ 979,587 | $ 979,587 | $ — | $ — |
* | 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
Nasdaq®, The Dividend StrengthTM Index and The Growth 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.
Dow Jones Industrial Average® Equal Weight Index and S&P 500® Sector-Neutral FCF Index 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.
Lunt Capital Management, Inc. (“Lunt”) and the Lunt Capital Large Cap Factor Rotation Index, (“Lunt Index”) are trademarks of Lunt and have been licensed for use for certain purposes by First Trust. The First Trust Lunt U.S. Factor Rotation ETF is based on the Lunt Index and is not sponsored, endorsed, sold or promoted by Lunt, and Lunt makes no representation regarding the advisability of trading in such fund. Lunt has contracted with Nasdaq, Inc. to calculate and maintain the Lunt Index. The Fund is not sponsored, endorsed, sold or promoted by Nasdaq, Inc. or its affiliates (Nasdaq, with its affiliates, hereinafter referred to as the “Corporations”). The Corporations have not passed on the legality or suitability of, or the accuracy or adequacy of descriptions and disclosures relating to, the Fund. The Corporations make no representation or warranty, express or implied to the owners of the fund or any member of the public regarding the advisability of investing in securities generally or in the fund particularly, or the ability of the Lunt Index to track general stock performance.
Indxx and Indxx US Aerospace & Defense Index (“Index”) are trademarks of Indxx, Inc. (“Indxx”) and have been licensed for use for certain purposes by First Trust. The Fund is not sponsored, endorsed, sold or promoted by Indxx and Indxx makes no representation regarding the advisability of trading in such products. The Index is determined, composed and calculated by Indxx without regard to First Trust or the Fund.
“Bloomberg®” and Bloomberg Inflation Sensitive Equity Index licensed herein (the, “Indices”) are service marks of Bloomberg Finance L.P. and its affiliates, including Bloomberg Index Services Limited (“BISL”), the administrator of the Indices (collectively, “Bloomberg”), and have been licensed for use for certain purposes by First Trust Advisors L.P. (the “Licensee”). Bloomberg is not affiliated with the Licensee, and Bloomberg does not approve, endorse, review, or recommend the financial products referenced herein (the “Financial Products”). Bloomberg does not guarantee the timeliness, accurateness, or completeness of any data or information relating to the Index or the Financial Products.