First Trust STOXX® European Select Dividend Index Fund (FDD)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 97.9% | |||||
Belgium — 3.4% | |||||
112,384 | Ageas S.A./N.V. (EUR) | $5,136,867 | |||
Denmark — 5.7% | |||||
2,418 | AP Moller - Maersk A/S, Class A (DKK) | 4,104,131 | |||
87,676 | Sydbank A/S (DKK) | 4,645,737 | |||
8,749,868 | |||||
France — 11.6% | |||||
79,667 | BNP Paribas S.A. (EUR) | 5,079,065 | |||
296,944 | Credit Agricole S.A. (EUR) | 4,051,477 | |||
361,865 | Orange S.A. (EUR) | 3,625,044 | |||
174,889 | Rubis S.C.A. (EUR) | 4,918,431 | |||
17,674,017 | |||||
Germany — 12.6% | |||||
11,660 | Allianz SE (EUR) | 3,240,450 | |||
46,493 | Bayerische Motoren Werke AG (Preference Shares) (EUR) | 4,105,326 | |||
320,428 | K+S AG (EUR) | 4,315,268 | |||
54,651 | Mercedes-Benz Group AG (EUR) | 3,779,186 | |||
32,969 | Volkswagen AG (Preference Shares) (EUR) | 3,721,481 | |||
19,161,711 | |||||
Italy — 5.3% | |||||
355,840 | Poste Italiane S.p.A. (EUR) (c) (d) | 4,533,030 | |||
805,660 | Snam S.p.A. (EUR) | 3,564,317 | |||
8,097,347 | |||||
Netherlands — 16.2% | |||||
431,114 | ABN AMRO Bank N.V. (EUR) (c) (d) | 7,087,122 | |||
101,194 | ASR Nederland N.V. (EUR) | 4,823,716 | |||
414,297 | ING Groep N.V. (EUR) | 7,082,205 | |||
121,392 | NN Group N.V. (EUR) | 5,648,709 | |||
24,641,752 | |||||
Norway — 3.8% | |||||
226,153 | Aker BP ASA (NOK) | 5,765,556 | |||
Poland — 4.1% | |||||
370,761 | ORLEN S.A. (PLN) | 6,234,226 | |||
Spain — 2.6% | |||||
214,314 | Endesa S.A. (EUR) | 4,024,628 | |||
Sweden — 3.5% | |||||
534,084 | Tele2 AB, Class B (SEK) | 5,376,617 | |||
Switzerland — 4.1% | |||||
37,249 | Holcim AG (CHF) | 3,300,980 | |||
5,387 | Zurich Insurance Group AG (CHF) | 2,872,627 | |||
6,173,607 |
Shares | Description | Value | |||
United Kingdom — 25.0% | |||||
847,777 | HSBC Holdings PLC (GBP) | $7,329,154 | |||
587,934 | IG Group Holdings PLC (GBP) | 6,086,843 | |||
2,114,671 | Legal & General Group PLC (GBP) | 6,068,037 | |||
1,811,931 | NatWest Group PLC (GBP) | 7,141,630 | |||
86,218 | Rio Tinto PLC (GBP) | 5,668,451 | |||
3,175,600 | Taylor Wimpey PLC (GBP) | 5,706,269 | |||
38,000,384 | |||||
Total Common Stocks | 149,036,580 | ||||
(Cost $145,392,143) | |||||
MONEY MARKET FUNDS — 0.2% | |||||
276,097 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 5.14% (e) | 276,097 | |||
(Cost $276,097) | |||||
Total Investments — 98.1% | 149,312,677 | ||||
(Cost $145,668,240) | |||||
Net Other Assets and Liabilities — 1.9% | 2,968,851 | ||||
Net Assets — 100.0% | $152,281,528 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | Rate shown reflects yield as of June 30, 2024. |
First Trust STOXX® European Select Dividend Index Fund (FDD)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Abbreviations throughout the Portfolio of Investments: | |
CHF | – Swiss Franc |
DKK | – Danish Krone |
EUR | – Euro |
GBP | – British Pound Sterling |
NOK | – Norwegian Krone |
PLN | – Polish Zloty |
SEK | – Swedish Krona |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Financials | 54.2% |
Consumer Discretionary | 11.6 |
Materials | 8.9 |
Utilities | 8.4 |
Energy | 8.1 |
Communication Services | 6.0 |
Industrials | 2.8 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
EUR | 52.7% |
GBP | 25.4 |
DKK | 5.9 |
PLN | 4.2 |
CHF | 4.1 |
NOK | 3.9 |
SEK | 3.6 |
USD | 0.2 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 149,036,580 | $ 149,036,580 | $ — | $ — |
Money Market Funds | 276,097 | 276,097 | — | — |
Total Investments | $149,312,677 | $149,312,677 | $— | $— |
* | See Portfolio of Investments for country breakout. |
First Trust Alerian Disruptive Technology Real Estate ETF (DTRE)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.7% | |||||
Belgium — 0.9% | |||||
5,536 | Warehouses De Pauw C.V.A. (EUR) | $149,998 | |||
Cayman Islands — 2.2% | |||||
284,566 | ESR Group Ltd. (HKD) (c) (d) | 373,880 | |||
Japan — 9.5% | |||||
338 | Daiwa House REIT Investment Corp. (JPY) | 516,380 | |||
540 | GLP J-REIT (JPY) | 440,686 | |||
118 | LaSalle Logiport REIT (JPY) | 108,253 | |||
52 | Mitsubishi Estate Logistics REIT Investment Corp. (JPY) | 123,140 | |||
49 | Mitsui Fudosan Logistics Park, Inc. (JPY) | 132,025 | |||
188 | Nippon Prologis REIT, Inc. (JPY) | 293,294 | |||
1,613,778 | |||||
Singapore — 5.2% | |||||
277,364 | Frasers Logistics & Commercial Trust (SGD) (d) | 194,319 | |||
188,200 | Keppel DC REIT (SGD) | 249,823 | |||
461,077 | Mapletree Logistics Trust (SGD) | 438,635 | |||
882,777 | |||||
United Kingdom — 7.2% | |||||
92,724 | LondonMetric Property PLC (GBP) | 226,688 | |||
69,369 | Segro PLC (GBP) | 787,622 | |||
105,461 | Tritax Big Box REIT PLC (GBP) | 206,768 | |||
1,221,078 | |||||
United States — 74.7% | |||||
6,503 | American Tower Corp. | 1,264,053 | |||
30,632 | Americold Realty Trust, Inc. | 782,341 | |||
11,967 | Crown Castle, Inc. | 1,169,176 | |||
8,111 | Digital Realty Trust, Inc. | 1,233,277 | |||
40,180 | DigitalBridge Group, Inc. | 550,466 | |||
4,332 | EastGroup Properties, Inc. | 736,873 | |||
1,501 | Equinix, Inc. | 1,135,657 | |||
14,464 | First Industrial Realty Trust, Inc. | 687,185 | |||
58,039 | LXP Industrial Trust | 529,316 | |||
5,706 | Plymouth Industrial REIT, Inc. | 121,994 | |||
9,661 | Prologis, Inc. | 1,085,027 | |||
15,738 | Rexford Industrial Realty, Inc. | 701,757 | |||
5,666 | SBA Communications Corp. | 1,112,236 | |||
20,031 | STAG Industrial, Inc. | 722,318 | |||
12,180 | Terreno Realty Corp. | 720,812 | |||
43,018 | Uniti Group, Inc. | 125,613 | |||
12,678,101 | |||||
Total Common Stocks | 16,919,612 | ||||
(Cost $17,199,150) |
Shares | Description | Value | |||
MONEY MARKET FUNDS — 0.2% | |||||
33,967 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 5.14% (e) | $33,967 | |||
(Cost $33,967) | |||||
Total Investments — 99.9% | 16,953,579 | ||||
(Cost $17,233,117) | |||||
Net Other Assets and Liabilities — 0.1% | 12,557 | ||||
Net Assets — 100.0% | $16,966,136 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | Rate shown reflects yield as of June 30, 2024. |
Abbreviations throughout the Portfolio of Investments: | |
EUR | – Euro |
GBP | – British Pound Sterling |
HKD | – Hong Kong Dollar |
JPY | – Japanese Yen |
SGD | – Singapore Dollar |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Real Estate | 100.0% |
Currency Exposure Diversification | % of Total Investments |
USD | 75.0% |
JPY | 9.5 |
GBP | 7.2 |
SGD | 5.2 |
HKD | 2.2 |
EUR | 0.9 |
Total | 100.0% |
First Trust Alerian Disruptive Technology Real Estate ETF (DTRE)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 16,919,612 | $ 16,919,612 | $ — | $ — |
Money Market Funds | 33,967 | 33,967 | — | — |
Total Investments | $16,953,579 | $16,953,579 | $— | $— |
* | See Portfolio of Investments for country breakout. |
First Trust Dow Jones Global Select Dividend Index Fund (FGD)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.1% | |||||
Australia — 3.8% | |||||
1,354,588 | Bank of Queensland Ltd. (AUD) | $5,250,166 | |||
322,302 | Fortescue Ltd. (AUD) | 4,603,301 | |||
1,120,358 | Harvey Norman Holdings Ltd. (AUD) | 3,116,611 | |||
1,032,161 | IGO Ltd. (AUD) | 3,883,436 | |||
328,960 | Super Retail Group Ltd. (AUD) | 3,061,308 | |||
19,914,822 | |||||
Austria — 1.0% | |||||
122,553 | OMV AG (EUR) | 5,336,552 | |||
Belgium — 1.2% | |||||
137,494 | Ageas S.A./N.V. (EUR) | 6,284,599 | |||
Bermuda — 0.8% | |||||
691,088 | CK Infrastructure Holdings Ltd. (HKD) | 3,902,777 | |||
Canada — 14.3% | |||||
2,026,584 | B2Gold Corp. (CAD) | 5,436,616 | |||
102,840 | Bank of Nova Scotia (The) (CAD) | 4,704,307 | |||
156,935 | BCE, Inc. (CAD) | 5,082,994 | |||
1,421,985 | Birchcliff Energy Ltd. (CAD) | 6,246,943 | |||
93,262 | Canadian Imperial Bank of Commerce (CAD) | 4,434,555 | |||
198,021 | Canadian Utilities Ltd., Class A (CAD) | 4,277,271 | |||
127,377 | Great-West Lifeco, Inc. (CAD) | 3,715,958 | |||
181,712 | IGM Financial, Inc. (CAD) | 5,016,821 | |||
275,227 | Labrador Iron Ore Royalty Corp. (CAD) | 5,854,395 | |||
261,992 | Laurentian Bank of Canada (CAD) | 5,084,527 | |||
150,228 | Manulife Financial Corp. (CAD) | 4,000,443 | |||
699,588 | Peyto Exploration & Development Corp. (CAD) | 7,455,863 | |||
141,972 | Power Corp. of Canada (CAD) | 3,945,598 | |||
135,973 | TC Energy Corp. (CAD) | 5,154,461 | |||
267,955 | TELUS Corp. (CAD) | 4,056,393 | |||
74,467,145 | |||||
Cayman Islands — 0.9% | |||||
962,417 | CK Hutchison Holdings Ltd. (HKD) | 4,609,318 | |||
Denmark — 2.8% | |||||
2,571 | AP Moller - Maersk A/S, Class A (DKK) | 4,363,822 | |||
230,400 | D/S Norden A/S (DKK) | 10,031,344 | |||
14,395,166 | |||||
Finland — 1.7% | |||||
611,626 | Fortum Oyj (EUR) | 8,941,039 |
Shares | Description | Value | |||
France — 1.9% | |||||
1,016,063 | Ayvens S.A. (EUR) (c) (d) | $5,892,349 | |||
57,062 | TotalEnergies SE (EUR) | 3,809,022 | |||
9,701,371 | |||||
Germany — 9.1% | |||||
12,730 | Allianz SE (EUR) | 3,537,815 | |||
106,552 | BASF SE (EUR) | 5,156,147 | |||
58,309 | Bayerische Motoren Werke AG (Preference Shares) (EUR) | 5,148,677 | |||
196,740 | Freenet AG (EUR) | 5,225,330 | |||
102,895 | Hapag-Lloyd AG (EUR) (c) (d) | 19,096,871 | |||
72,106 | Mercedes-Benz Group AG (EUR) | 4,986,222 | |||
39,883 | Volkswagen AG (Preference Shares) (EUR) | 4,501,920 | |||
47,652,982 | |||||
Hong Kong — 5.8% | |||||
2,051,043 | BOC Hong Kong Holdings Ltd. (HKD) | 6,316,720 | |||
2,112,237 | Henderson Land Development Co., Ltd. (HKD) | 5,666,677 | |||
2,998,939 | New World Development Co., Ltd. (HKD) | 2,807,287 | |||
13,635,079 | PCCW Ltd. (HKD) | 6,827,099 | |||
4,915,913 | Sino Land Co., Ltd. (HKD) | 5,067,595 | |||
2,384,351 | Swire Properties Ltd. (HKD) | 3,798,327 | |||
30,483,705 | |||||
Israel — 0.7% | |||||
806,683 | ICL Group Ltd. (ILS) | 3,483,268 | |||
Italy — 3.4% | |||||
2,222,425 | A2A S.p.A. (EUR) | 4,425,809 | |||
126,955 | Azimut Holding S.p.A. (EUR) | 2,993,895 | |||
317,256 | Eni S.p.A. (EUR) | 4,876,993 | |||
440,004 | Poste Italiane S.p.A. (EUR) (c) (d) | 5,605,192 | |||
17,901,889 | |||||
Japan — 0.8% | |||||
144,370 | Japan Tobacco, Inc. (JPY) | 3,901,552 | |||
Jersey — 0.8% | |||||
123,350 | Janus Henderson Group PLC | 4,158,128 | |||
Luxembourg — 1.6% | |||||
159,535 | APERAM S.A. (EUR) | 4,124,418 | |||
756,792 | B&M European Value Retail S.A. (GBP) | 4,182,503 | |||
8,306,921 | |||||
Netherlands — 3.8% | |||||
102,489 | ASR Nederland N.V. (EUR) | 4,885,446 | |||
38,492 | LyondellBasell Industries N.V., Class A | 3,682,145 |
First Trust Dow Jones Global Select Dividend Index Fund (FGD)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) (Continued) | |||||
Netherlands (Continued) | |||||
139,721 | NN Group N.V. (EUR) | $6,501,609 | |||
326,708 | SBM Offshore N.V. (EUR) | 5,003,400 | |||
20,072,600 | |||||
New Zealand — 0.7% | |||||
1,455,976 | Spark New Zealand Ltd. (NZD) | 3,689,226 | |||
South Korea — 10.7% | |||||
853,973 | BNK Financial Group, Inc. (KRW) | 5,254,741 | |||
54,818 | DB Insurance Co., Ltd. (KRW) | 4,559,870 | |||
653,429 | DGB Financial Group, Inc. (KRW) | 3,807,120 | |||
108,783 | Hana Financial Group, Inc. (KRW) | 4,797,042 | |||
44,839 | Hyundai Motor Co. (Preference Shares) (KRW) | 5,967,675 | |||
508,667 | Industrial Bank of Korea (KRW) | 5,180,902 | |||
71,888 | KB Financial Group, Inc. (KRW) | 4,099,679 | |||
61,612 | KT&G Corp. (KRW) | 3,947,823 | |||
619,064 | LG Uplus Corp. (KRW) | 4,416,424 | |||
17,921 | Samsung Fire & Marine Insurance Co., Ltd. (KRW) | 5,064,489 | |||
130,642 | Samsung Securities Co., Ltd. (KRW) | 3,777,371 | |||
462,651 | Woori Financial Group, Inc. (KRW) | 4,937,409 | |||
55,810,545 | |||||
Spain — 10.2% | |||||
96,748 | ACS Actividades de Construccion y Servicios S.A. (EUR) | 4,173,504 | |||
926,921 | Bankinter S.A. (EUR) | 7,570,227 | |||
1,627,503 | CaixaBank S.A. (EUR) | 8,615,526 | |||
189,589 | Cia de Distribucion Integral Logista Holdings S.A. (EUR) | 5,364,328 | |||
359,741 | Enagas S.A. (EUR) | 5,351,328 | |||
2,609,865 | Mapfre S.A. (EUR) | 6,020,508 | |||
190,936 | Naturgy Energy Group S.A. (EUR) | 4,122,377 | |||
320,863 | Redeia Corp. S.A. (EUR) | 5,608,015 | |||
1,509,286 | Telefonica S.A. (EUR) | 6,400,828 | |||
53,226,641 | |||||
Sweden — 1.3% | |||||
2,565,698 | Telia Co., AB (SEK) | 6,882,045 | |||
Switzerland — 2.2% | |||||
25,295 | Helvetia Holding AG (CHF) | 3,420,716 | |||
34,469 | Swiss Re AG (CHF) | 4,277,693 | |||
7,558 | Zurich Insurance Group AG (CHF) | 4,030,317 | |||
11,728,726 |
Shares | Description | Value | |||
United Kingdom — 7.2% | |||||
3,385,043 | abrdn PLC (GBP) | $6,341,500 | |||
245,562 | British American Tobacco PLC (GBP) | 7,543,051 | |||
541,008 | IG Group Holdings PLC (GBP) | 5,601,021 | |||
2,008,922 | Legal & General Group PLC (GBP) | 5,764,591 | |||
1,229,964 | Phoenix Group Holdings PLC (GBP) | 8,108,234 | |||
68,214 | Rio Tinto PLC (GBP) | 4,484,768 | |||
37,843,165 | |||||
United States — 12.4% | |||||
176,848 | Altria Group, Inc. | 8,055,426 | |||
286,562 | AT&T, Inc. | 5,476,200 | |||
204,204 | First Interstate BancSystem, Inc., Class A | 5,670,745 | |||
192,298 | Kohl’s Corp. | 4,420,931 | |||
100,929 | Lazard, Inc. | 3,853,469 | |||
445,056 | Northwest Bancshares, Inc. | 5,140,397 | |||
136,252 | OneMain Holdings, Inc. | 6,606,860 | |||
33,344 | Prudential Financial, Inc. | 3,907,583 | |||
291,684 | Sitio Royalties Corp., Class A | 6,886,659 | |||
100,150 | Universal Corp. | 4,826,229 | |||
121,729 | Verizon Communications, Inc. | 5,020,104 | |||
415,590 | Western Union (The) Co. | 5,078,510 | |||
64,943,113 | |||||
Total Investments — 99.1% | 517,637,295 | ||||
(Cost $536,270,743) | |||||
Net Other Assets and Liabilities — 0.9% | 4,854,370 | ||||
Net Assets — 100.0% | $522,491,665 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
First Trust Dow Jones Global Select Dividend Index Fund (FGD)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Abbreviations throughout the Portfolio of Investments: | |
AUD | – Australian Dollar |
CAD | – Canadian Dollar |
CHF | – Swiss Franc |
DKK | – Danish Krone |
EUR | – Euro |
GBP | – British Pound Sterling |
HKD | – Hong Kong Dollar |
ILS | – Israeli Shekel |
JPY | – Japanese Yen |
KRW | – South Korean Won |
NZD | – New Zealand Dollar |
SEK | – Swedish Krona |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Financials | 40.2% |
Industrials | 10.3 |
Communication Services | 10.3 |
Energy | 8.6 |
Materials | 7.9 |
Utilities | 7.1 |
Consumer Discretionary | 6.8 |
Consumer Staples | 5.5 |
Real Estate | 3.3 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
EUR | 32.8% |
CAD | 14.4 |
USD | 14.1 |
KRW | 10.8 |
GBP | 8.1 |
HKD | 7.5 |
AUD | 3.8 |
DKK | 2.8 |
CHF | 2.3 |
SEK | 1.3 |
JPY | 0.7 |
NZD | 0.7 |
ILS | 0.7 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 517,637,295 | $ 517,637,295 | $ — | $ — |
* | See Portfolio of Investments for country breakout. |
First Trust Global Wind Energy ETF (FAN)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.6% | |||||
Bermuda — 0.7% | |||||
17,528,856 | Concord New Energy Group Ltd. (HKD) | $1,346,811 | |||
Brazil — 0.6% | |||||
36,874 | Aeris Industria E Comercio De Equipamentos Para Geracao De Energia S.A. (BRL) (c) | 33,641 | |||
702,434 | Serena Energia S.A. (BRL) (c) | 1,107,036 | |||
1,140,677 | |||||
Canada — 12.1% | |||||
262,737 | Boralex, Inc., Class A (CAD) | 6,435,669 | |||
491,844 | Innergex Renewable Energy, Inc. (CAD) (d) | 3,677,909 | |||
766,815 | Northland Power, Inc. (CAD) (d) | 13,183,355 | |||
23,296,933 | |||||
Cayman Islands — 0.1% | |||||
1,377,635 | China High Speed Transmission Equipment Group Co., Ltd. (HKD) (c) (d) | 195,821 | |||
China — 6.3% | |||||
6,620,237 | China Datang Corp. Renewable Power Co., Ltd., Class H (HKD) | 1,712,485 | |||
9,543,647 | China Longyuan Power Group Corp., Ltd., Class H (HKD) | 8,579,328 | |||
1,813,734 | China Suntien Green Energy Corp., Ltd., Class H (HKD) | 822,202 | |||
2,326,788 | Goldwind Science & Technology Co., Ltd., Class H (HKD) (d) | 947,514 | |||
12,061,529 | |||||
Denmark — 15.8% | |||||
781,097 | Cadeler A/S (NOK) (c) (d) | 4,930,780 | |||
254,419 | Orsted A/S (DKK) (c) (e) (f) | 13,539,494 | |||
512,576 | Vestas Wind Systems A/S (DKK) (c) | 11,868,763 | |||
30,339,037 | |||||
France — 3.4% | |||||
222,406 | Engie S.A. (EUR) | 3,176,208 | |||
85,009 | Neoen S.A. (EUR) (e) (f) | 3,428,582 | |||
6,604,790 | |||||
Germany — 10.4% | |||||
132,334 | Encavis AG (EUR) (c) | 2,395,121 | |||
20,614 | Energiekontor AG (EUR) | 1,381,994 | |||
376,937 | Nordex SE (EUR) (c) (d) | 4,618,109 | |||
101,596 | PNE AG (EUR) (d) | 1,477,562 | |||
106,439 | RWE AG (EUR) | 3,642,009 | |||
54,962 | SGL Carbon SE (EUR) (c) (d) | 373,183 | |||
232,286 | Siemens Energy AG (EUR) (c) | 6,047,521 | |||
19,935,499 |
Shares | Description | Value | |||
Greece — 1.7% | |||||
159,858 | Terna Energy S.A. (EUR) | $3,336,688 | |||
Israel — 0.6% | |||||
66,784 | Enlight Renewable Energy Ltd. (ILS) (c) | 1,058,197 | |||
Italy — 6.5% | |||||
560,874 | Enel S.p.A. (EUR) | 3,900,740 | |||
167,290 | ERG S.p.A. (EUR) | 4,199,494 | |||
71,653 | Prysmian S.p.A. (EUR) | 4,436,922 | |||
12,537,156 | |||||
Japan — 4.4% | |||||
211,000 | Hitachi Ltd. (JPY) | 4,722,550 | |||
774,010 | Toray Industries, Inc. (JPY) | 3,663,426 | |||
8,385,976 | |||||
Norway — 0.7% | |||||
685,228 | Aker Horizons ASA (NOK) (c) (d) | 180,340 | |||
53,730 | Bonheur ASA (NOK) | 1,207,755 | |||
1,388,095 | |||||
South Korea — 1.4% | |||||
43,472 | CS Bearing Co., Ltd. (KRW) (c) | 223,282 | |||
65,959 | CS Wind Corp. (KRW) | 2,371,936 | |||
31,307 | Dongkuk Structures & Construction Co., Ltd. (KRW) (c) | 66,412 | |||
2,661,630 | |||||
Spain — 10.2% | |||||
27,049 | Acciona S.A. (EUR) (d) | 3,195,186 | |||
893,185 | EDP Renovaveis S.A. (EUR) | 12,483,068 | |||
310,699 | Iberdrola S.A. (EUR) | 4,031,184 | |||
19,709,438 | |||||
Sweden — 3.2% | |||||
576,208 | Orron Energy AB (SEK) (c) (d) | 388,705 | |||
442,630 | OX2 AB (SEK) (c) | 2,482,721 | |||
163,629 | SKF AB, Class B (SEK) | 3,285,239 | |||
6,156,665 | |||||
Switzerland — 1.8% | |||||
21,406 | BKW AG (CHF) | 3,414,191 | |||
Taiwan — 2.8% | |||||
587,863 | Century Iron & Steel Industrial Co., Ltd. (TWD) | 5,472,454 | |||
Turkey — 0.2% | |||||
487,268 | Galata Wind Enerji A/S (TRY) | 468,545 | |||
United Kingdom — 0.9% | |||||
275,765 | ReNew Energy Global PLC, Class A (c) | 1,720,774 | |||
United States — 15.8% | |||||
74,779 | Alliant Energy Corp. | 3,806,251 | |||
37,220 | American Superconductor Corp. (c) | 870,576 |
First Trust Global Wind Energy ETF (FAN)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) (Continued) | |||||
United States (Continued) | |||||
43,020 | Arcosa, Inc. | $3,588,298 | |||
80,348 | Clearway Energy, Inc., Class C | 1,983,792 | |||
5,690 | GE Vernova, Inc. (c) | 975,892 | |||
22,759 | General Electric Co. | 3,617,998 | |||
47,954 | Hexcel Corp. | 2,994,727 | |||
64,698 | NextEra Energy, Inc. | 4,581,266 | |||
23,840 | Owens Corning | 4,141,485 | |||
42,513 | Timken (The) Co. | 3,406,567 | |||
133,566 | TPI Composites, Inc. (c) (d) | 532,928 | |||
30,499,780 | |||||
Total Common Stocks | 191,730,686 | ||||
(Cost $236,992,966) | |||||
MONEY MARKET FUNDS — 0.1% | |||||
183,270 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 5.14% (g) | 183,270 | |||
(Cost $183,270) |
Principal Value | Description | Value | |||
REPURCHASE AGREEMENTS — 11.5% | |||||
$10,900,081 | JPMorgan Chase & Co., 5.32% (g), dated 06/28/24, due 07/01/24, with a maturity value of $10,904,913. Collateralized by U.S. Treasury Securities, interest rates of 2.63% to 6.25%, due 07/31/29 to 08/15/32. The value of the collateral including accrued interest is $11,118,083. (h) | $10,900,081 | |||
11,344,983 | Mizuho Financial Group, Inc., 5.32% (g), dated 06/28/24, due 07/01/24, with a maturity value of $11,350,013. Collateralized by U.S. Treasury Securities, interest rates of 0.50% to 5.00%, due 07/31/24 to 09/30/29. The value of the collateral including accrued interest is $11,571,884. (h) | 11,344,983 | |||
Total Repurchase Agreements | 22,245,064 | ||||
(Cost $22,245,064) | |||||
Total Investments — 111.2% | 214,159,020 | ||||
(Cost $259,421,300) | |||||
Net Other Assets and Liabilities — (11.2)% | (21,568,868 ) | ||||
Net Assets — 100.0% | $192,590,152 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | Non-income producing security. |
(d) | 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 $20,670,987 and the total value of the collateral held by the Fund is $22,245,064. |
(e) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
First Trust Global Wind Energy ETF (FAN)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
(f) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(g) | Rate shown reflects yield as of June 30, 2024. |
(h) | This security serves as collateral for securities on loan. |
Abbreviations throughout the Portfolio of Investments: | |
BRL | – Brazilian Real |
CAD | – Canadian Dollar |
CHF | – Swiss Franc |
DKK | – Danish Krone |
EUR | – Euro |
HKD | – Hong Kong Dollar |
ILS | – Israeli Shekel |
JPY | – Japanese Yen |
KRW | – South Korean Won |
NOK | – Norwegian Krone |
SEK | – Swedish Krona |
TRY | – Turkish Lira |
TWD | – New Taiwan Dollar |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Utilities | 57.8% |
Industrials | 37.0 |
Materials | 4.8 |
Energy | 0.4 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
EUR | 29.0% |
USD | 25.5 |
DKK | 11.9 |
CAD | 10.9 |
HKD | 6.4 |
JPY | 3.9 |
NOK | 2.9 |
SEK | 2.9 |
TWD | 2.6 |
CHF | 1.6 |
KRW | 1.2 |
BRL | 0.5 |
ILS | 0.5 |
TRY | 0.2 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 191,730,686 | $ 191,730,686 | $ — | $ — |
Money Market Funds | 183,270 | 183,270 | — | — |
Repurchase Agreements | 22,245,064 | — | 22,245,064 | — |
Total Investments | $214,159,020 | $191,913,956 | $22,245,064 | $— |
* | See Portfolio of Investments for country breakout. |
First Trust Alerian U.S. NextGen Infrastructure ETF (RBLD)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 99.9% | |||||
Aerospace & Defense — 1.0% | |||||
582 | General Electric Co. | $92,521 | |||
Building Products — 9.3% | |||||
555 | Advanced Drainage Systems, Inc. | 89,016 | |||
485 | Builders FirstSource, Inc. (a) | 67,129 | |||
243 | Carlisle Cos., Inc. | 98,466 | |||
1,621 | Carrier Global Corp. | 102,253 | |||
1,409 | Johnson Controls International PLC | 93,656 | |||
197 | Lennox International, Inc. | 105,391 | |||
1,249 | Masco Corp. | 83,271 | |||
551 | Owens Corning | 95,720 | |||
309 | Trane Technologies PLC | 101,639 | |||
836,541 | |||||
Construction & Engineering — 3.0% | |||||
961 | AECOM | 84,703 | |||
261 | EMCOR Group, Inc. | 95,286 | |||
356 | Quanta Services, Inc. | 90,456 | |||
270,445 | |||||
Construction Materials — 1.9% | |||||
151 | Martin Marietta Materials, Inc. | 81,812 | |||
346 | Vulcan Materials Co. | 86,043 | |||
167,855 | |||||
Electric Utilities — 16.9% | |||||
1,894 | Alliant Energy Corp. | 96,405 | |||
1,107 | American Electric Power Co., Inc. | 97,128 | |||
476 | Constellation Energy Corp. | 95,328 | |||
963 | Duke Energy Corp. | 96,521 | |||
1,334 | Edison International | 95,795 | |||
884 | Entergy Corp. | 94,588 | |||
1,784 | Evergy, Inc. | 94,498 | |||
1,552 | Eversource Energy | 88,014 | |||
2,495 | Exelon Corp. | 86,352 | |||
2,440 | FirstEnergy Corp. | 93,379 | |||
1,436 | NextEra Energy, Inc. | 101,683 | |||
1,231 | NRG Energy, Inc. | 95,846 | |||
5,574 | PG&E Corp. | 97,322 | |||
3,433 | PPL Corp. | 94,922 | |||
1,319 | Southern (The) Co. | 102,315 | |||
1,716 | Xcel Energy, Inc. | 91,652 | |||
1,521,748 | |||||
Electrical Equipment — 7.7% | |||||
509 | AMETEK, Inc. | 84,855 | |||
289 | Eaton Corp. PLC | 90,616 | |||
809 | Emerson Electric Co. | 89,119 | |||
226 | Hubbell, Inc. | 82,599 |
Shares | Description | Value | |||
Electrical Equipment (Continued) | |||||
1,226 | nVent Electric PLC | $93,924 | |||
551 | Regal Rexnord Corp. | 74,506 | |||
318 | Rockwell Automation, Inc. | 87,539 | |||
1,063 | Vertiv Holdings Co., Class A | 92,024 | |||
695,182 | |||||
Energy Equipment & Services — 2.8% | |||||
2,701 | Baker Hughes Co. | 94,994 | |||
2,242 | Halliburton Co. | 75,735 | |||
1,700 | Schlumberger N.V. | 80,206 | |||
250,935 | |||||
Gas Utilities — 1.0% | |||||
803 | Atmos Energy Corp. | 93,670 | |||
Ground Transportation — 2.8% | |||||
2,591 | CSX Corp. | 86,669 | |||
368 | Norfolk Southern Corp. | 79,006 | |||
389 | Union Pacific Corp. | 88,015 | |||
253,690 | |||||
Independent Power and Renewable Electricity Producers — 2.2% | |||||
5,152 | AES (The) Corp. | 90,521 | |||
1,275 | Vistra Corp. | 109,624 | |||
200,145 | |||||
Industrial Conglomerates — 2.2% | |||||
985 | 3M Co. | 100,657 | |||
466 | Honeywell International, Inc. | 99,510 | |||
200,167 | |||||
IT Services — 6.3% | |||||
874 | Akamai Technologies, Inc. (a) | 78,730 | |||
955 | Cloudflare, Inc., Class A (a) | 79,102 | |||
725 | GoDaddy, Inc., Class A (a) | 101,290 | |||
258 | MongoDB, Inc. (a) | 64,490 | |||
911 | Okta, Inc. (a) | 85,279 | |||
576 | Snowflake, Inc., Class A (a) | 77,812 | |||
484 | VeriSign, Inc. (a) | 86,055 | |||
572,758 | |||||
Machinery — 16.8% | |||||
247 | Caterpillar, Inc. | 82,276 | |||
303 | Cummins, Inc. | 83,910 | |||
530 | Dover Corp. | 95,638 | |||
1,100 | Fortive Corp. | 81,510 | |||
1,006 | Graco, Inc. | 79,756 | |||
389 | IDEX Corp. | 78,267 | |||
356 | Illinois Tool Works, Inc. | 84,358 | |||
985 | Ingersoll Rand, Inc. | 89,477 | |||
378 | Lincoln Electric Holdings, Inc. | 71,306 |
First Trust Alerian U.S. NextGen Infrastructure ETF (RBLD)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (Continued) | |||||
Machinery (Continued) | |||||
341 | Nordson Corp. | $79,091 | |||
937 | Otis Worldwide Corp. | 90,195 | |||
772 | PACCAR, Inc. | 79,470 | |||
165 | Parker-Hannifin Corp. | 83,459 | |||
1,123 | Pentair PLC | 86,100 | |||
315 | Snap-on, Inc. | 82,338 | |||
984 | Stanley Black & Decker, Inc. | 78,612 | |||
621 | Westinghouse Air Brake Technologies Corp. | 98,149 | |||
713 | Xylem, Inc. | 96,704 | |||
1,520,616 | |||||
Metals & Mining — 3.6% | |||||
1,809 | Freeport-McMoRan, Inc. | 87,917 | |||
465 | Nucor Corp. | 73,507 | |||
278 | Reliance, Inc. | 79,397 | |||
636 | Steel Dynamics, Inc. | 82,362 | |||
323,183 | |||||
Multi-Utilities — 10.6% | |||||
1,274 | Ameren Corp. | 90,594 | |||
3,329 | CenterPoint Energy, Inc. | 103,132 | |||
1,586 | CMS Energy Corp. | 94,415 | |||
1,037 | Consolidated Edison, Inc. | 92,728 | |||
1,873 | Dominion Energy, Inc. | 91,777 | |||
865 | DTE Energy Co. | 96,024 | |||
3,369 | NiSource, Inc. | 97,061 | |||
1,381 | Public Service Enterprise Group, Inc. | 101,780 | |||
1,326 | Sempra | 100,855 | |||
1,156 | WEC Energy Group, Inc. | 90,700 | |||
959,066 | |||||
Oil, Gas & Consumable Fuels — 5.5% | |||||
578 | Cheniere Energy, Inc. | 101,052 | |||
5,003 | Kinder Morgan, Inc. | 99,410 | |||
1,157 | ONEOK, Inc. | 94,353 | |||
796 | Targa Resources Corp. | 102,509 | |||
2,378 | Williams (The) Cos., Inc. | 101,065 | |||
498,389 | |||||
Specialized REITs — 5.2% | |||||
514 | American Tower Corp. | 99,911 | |||
946 | Crown Castle, Inc. | 92,424 | |||
641 | Digital Realty Trust, Inc. | 97,464 | |||
119 | Equinix, Inc. | 90,036 | |||
448 | SBA Communications Corp. | 87,942 | |||
467,777 | |||||
Water Utilities — 1.1% | |||||
779 | American Water Works Co., Inc. | 100,616 | |||
Total Common Stocks | 9,025,304 | ||||
(Cost $7,656,304) |
Shares | Description | Value | |||
WARRANTS (b) — 0.0% | |||||
Construction & Engineering — 0.0% | |||||
298 | Webuild S.p.A., expiring 8/31/30 (EUR) (a) (c) (d) (e) | $3 | |||
(Cost $0) | |||||
MONEY MARKET FUNDS — 0.1% | |||||
5,189 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (f) | 5,189 | |||
(Cost $5,189) | |||||
Total Investments — 100.0% | 9,030,496 | ||||
(Cost $7,661,493) | |||||
Net Other Assets and Liabilities — 0.0% | 3,661 | ||||
Net Assets — 100.0% | $9,034,157 |
(a) | Non-income producing security. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors L.P., the Fund’s advisor. |
(d) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures approved by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940 and rules thereunder, as amended. At June 30, 2024, securities noted as such are valued at $3 or 0.0% of net assets. |
(e) | This security’s value was determined using significant unobservable inputs (see Valuation Inputs in the Additional Information section). |
(f) | Rate shown reflects yield as of June 30, 2024. |
Abbreviations throughout the Portfolio of Investments: | |
EUR | – Euro |
REITs | – Real Estate Investment Trusts |
First Trust Alerian U.S. NextGen Infrastructure ETF (RBLD)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 9,025,304 | $ 9,025,304 | $ — | $ — |
Warrants* | 3 | — | — | 3 |
Money Market Funds | 5,189 | 5,189 | — | — |
Total Investments | $9,030,496 | $9,030,493 | $— | $3 |
* | See Portfolio of Investments for industry breakout. |
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund (GRID)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.6% | |||||
Austria — 0.1% | |||||
13,141 | Verbund AG (EUR) (c) | $1,036,503 | |||
Belgium — 0.6% | |||||
88,459 | Elia Group S.A./N.V. (EUR) | 8,284,594 | |||
Brazil — 2.8% | |||||
829,008 | Alupar Investimento S.A. (BRL) | 4,414,873 | |||
5,314 | Centrais Eletricas Brasileiras S.A., ADR | 34,169 | |||
503,380 | Cia de Transmissao de Energia Eletrica Paulista (Preference Shares) (BRL) | 2,364,673 | |||
2,503,696 | Cia Paranaense de Energia - Copel, Class B (Preference Shares) (BRL) | 4,165,287 | |||
909,196 | Energisa S.A. (BRL) | 7,419,817 | |||
2,848,938 | Equatorial Energia S.A. (BRL) | 15,640,849 | |||
901,067 | Transmissora Alianca de Energia Eletrica S.A. (BRL) | 5,517,526 | |||
231,416 | WEG S.A. (BRL) | 1,746,559 | |||
41,303,753 | |||||
Canada — 2.0% | |||||
54,365 | Fortis, Inc. (CAD) | 2,112,925 | |||
21,723 | Hammond Power Solutions (CAD) (c) | 1,770,328 | |||
830,960 | Hydro One Ltd. (CAD) (d) (e) | 24,205,077 | |||
5,433 | Stella-Jones, Inc. (CAD) | 354,522 | |||
28,442,852 | |||||
Cayman Islands — 0.1% | |||||
1,198,131 | Wasion Group Holdings, Ltd. (HKD) | 1,049,451 | |||
China — 0.2% | |||||
111,208 | BYD Co., Ltd., Class H (HKD) | 3,303,892 | |||
Denmark — 0.8% | |||||
133,484 | NKT A/S (DKK) (f) | 11,682,893 | |||
France — 9.7% | |||||
187,975 | Engie S.A. (EUR) | 2,684,494 | |||
75,530 | Nexans S.A. (EUR) | 8,323,467 | |||
483,389 | Schneider Electric SE (EUR) | 116,116,897 | |||
357,981 | SPIE S.A. (EUR) | 12,950,574 | |||
140,075,432 | |||||
Germany — 1.6% | |||||
209,703 | E.ON SE (EUR) | 2,752,247 | |||
133,922 | Infineon Technologies AG (EUR) | 4,920,154 | |||
76,747 | Siemens AG (EUR) | 14,278,435 | |||
49,919 | SMA Solar Technology AG (EUR) (c) | 1,409,226 | |||
23,360,062 | |||||
Ireland — 17.3% | |||||
358,594 | Eaton Corp. PLC | 112,437,149 |
Shares | Description | Value | |||
Ireland (Continued) | |||||
1,636,351 | Johnson Controls International PLC | $108,768,251 | |||
377,787 | nVent Electric PLC | 28,942,262 | |||
250,147,662 | |||||
Italy — 5.4% | |||||
795,958 | Enel S.p.A. (EUR) | 5,535,690 | |||
724,707 | Prysmian S.p.A. (EUR) | 44,875,565 | |||
3,680,117 | Terna-Rete Elettrica Nazionale (EUR) | 28,447,748 | |||
78,859,003 | |||||
Japan — 1.6% | |||||
2,600 | Daihen Corp. (JPY) | 134,129 | |||
11,035 | GS Yuasa Corp. (JPY) | 218,587 | |||
511,120 | Hitachi Ltd. (JPY) | 11,439,761 | |||
111,799 | Meidensha Corp. (JPY) | 2,536,306 | |||
27,525 | NGK Insulators Ltd. (JPY) | 352,424 | |||
128,800 | Osaki Electric (JPY) | 563,585 | |||
270,670 | Panasonic Holdings Corp. (JPY) | 2,215,628 | |||
196,000 | Renesas Electronics Corp. (JPY) | 3,665,635 | |||
87,600 | Sumitomo Electric Industries Ltd. (JPY) | 1,362,540 | |||
27,700 | Takaoka Toko Co., Ltd. (JPY) | 347,434 | |||
22,836,029 | |||||
Jersey — 3.3% | |||||
676,023 | Aptiv PLC (f) | 47,605,540 | |||
Netherlands — 0.5% | |||||
56,890 | Alfen N.V. (EUR) (c) (d) (e) (f) | 1,051,589 | |||
23,683 | NXP Semiconductors N.V. | 6,372,859 | |||
8,058 | STMicroelectronics N.V. | 316,518 | |||
7,740,966 | |||||
Portugal — 0.2% | |||||
276,821 | EDP - Energias de Portugal S.A. (EUR) | 1,037,319 | |||
924,902 | REN - Redes Energeticas Nacionais SGPS S.A. (EUR) | 2,268,301 | |||
3,305,620 | |||||
South Korea — 3.8% | |||||
49,971 | HD Hyundai Electric Co., Ltd. (KRW) | 11,253,912 | |||
412 | Hyosung Heavy Industries Corp. (KRW) | 103,561 | |||
62,364 | Iljin Electric Co., Ltd. (KRW) | 1,187,023 | |||
32,172 | LS Electric Co., Ltd. (KRW) | 5,153,597 | |||
131,297 | Samsung SDI Co., Ltd. (KRW) | 33,766,174 | |||
282,848 | Taihan Electric Wire Co., Ltd. (KRW) (f) | 3,402,806 | |||
54,867,073 |
First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund (GRID)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) (Continued) | |||||
Spain — 1.8% | |||||
609,130 | Iberdrola S.A. (EUR) | $7,903,197 | |||
1,061,432 | Redeia Corp. S.A. (EUR) (c) | 18,551,614 | |||
26,454,811 | |||||
Switzerland — 8.7% | |||||
2,179,739 | ABB Ltd. (CHF) | 121,111,437 | |||
62,003 | Landis+Gyr Group AG (CHF) | 5,010,204 | |||
126,121,641 | |||||
Taiwan — 2.2% | |||||
60,724 | Advantech Co., Ltd. (TWD) | 692,566 | |||
680,413 | Allis Electric Co., Ltd. (TWD) | 3,125,057 | |||
47,157 | Chung-Hsin Electric & Machinery Manufacturing Corp. (TWD) | 273,277 | |||
518,945 | Fortune Electric Co., Ltd. (TWD) | 15,116,534 | |||
81,248 | Ta Ya Electric Wire & Cable (TWD) | 139,748 | |||
206,530 | Voltronic Power Technology Corp. (TWD) | 12,254,990 | |||
31,602,172 | |||||
United Kingdom — 8.4% | |||||
10,624,056 | National Grid PLC (GBP) | 118,531,524 | |||
106,106 | SSE PLC (GBP) | 2,400,221 | |||
120,931,745 | |||||
United States — 28.5% | |||||
75,410 | Advanced Energy Industries, Inc. | 8,201,592 | |||
61,125 | AES (The) Corp. | 1,073,966 | |||
89,989 | American Superconductor Corp. (f) | 2,104,843 | |||
51,981 | Analog Devices, Inc. | 11,865,183 | |||
4,606 | Arcosa, Inc. | 384,186 | |||
88,618 | Atkore, Inc. | 11,957,227 | |||
2,430 | AZZ, Inc. | 187,718 | |||
3,992 | Belden, Inc. | 374,450 | |||
417,597 | Cisco Systems, Inc. | 19,840,033 | |||
3,209 | Digi International, Inc. (f) | 73,582 | |||
63,084 | Emerson Electric Co. | 6,949,333 | |||
3,941 | EnerSys | 407,972 | |||
330,972 | Enphase Energy, Inc. (f) | 33,001,218 | |||
2,271 | ESCO Technologies, Inc. | 238,546 | |||
130,465 | Fluence Energy, Inc. (f) | 2,262,263 | |||
24,179 | GE Vernova, Inc. (f) | 4,146,940 | |||
6,684 | Generac Holdings, Inc. (f) | 883,758 | |||
98,975 | General Electric Co. | 15,734,056 | |||
71,805 | Honeywell International, Inc. | 15,333,240 | |||
133,400 | Hubbell, Inc. | 48,755,032 | |||
95,216 | International Business Machines Corp. | 16,467,607 | |||
101,979 | Itron, Inc. (f) | 10,091,842 |
Shares | Description | Value | |||
United States (Continued) | |||||
2,514 | Littelfuse, Inc. | $642,553 | |||
6,397 | MasTec, Inc. (f) | 684,415 | |||
34,643 | MYR Group, Inc. (f) | 4,701,402 | |||
272,176 | NVIDIA Corp. | 33,624,623 | |||
175,784 | Oracle Corp. | 24,820,701 | |||
7,074 | Preformed Line Products Co. | 880,996 | |||
115,677 | QUALCOMM, Inc. | 23,040,545 | |||
216,276 | Quanta Services, Inc. | 54,953,569 | |||
131,887 | SolarEdge Technologies, Inc. (f) | 3,331,466 | |||
167,564 | Tesla, Inc. (f) | 33,157,564 | |||
94,375 | Texas Instruments, Inc. | 18,358,769 | |||
24,236 | Trimble, Inc. (f) | 1,355,277 | |||
2,026 | Valmont Industries, Inc. | 556,036 | |||
4,819 | WESCO International, Inc. | 763,908 | |||
33,971 | Willdan Group, Inc. (f) | 980,063 | |||
412,186,474 | |||||
Total Common Stocks | 1,441,198,168 | ||||
(Cost $1,332,977,567) | |||||
MONEY MARKET FUNDS — 1.5% | |||||
647,721 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (g) | 647,721 | |||
21,424,700 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 5.11% (g) (h) | 21,424,700 | |||
Total Money Market Funds | 22,072,421 | ||||
(Cost $22,072,421) | |||||
Total Investments — 101.1% | 1,463,270,589 | ||||
(Cost $1,355,049,988) | |||||
Net Other Assets and Liabilities — (1.1)% | (15,589,573 ) | ||||
Net Assets — 100.0% | $1,447,681,016 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | 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 $20,512,833 and the total value of the collateral held by the Fund is $21,424,700. |
First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund (GRID)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
(d) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
(e) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(f) | Non-income producing security. |
(g) | Rate shown reflects yield as of June 30, 2024. |
(h) | This security serves as collateral for securities on loan. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
BRL | – Brazilian Real |
CAD | – Canadian Dollar |
CHF | – Swiss Franc |
DKK | – Danish Krone |
EUR | – Euro |
GBP | – British Pound Sterling |
HKD | – Hong Kong Dollar |
JPY | – Japanese Yen |
KRW | – South Korean Won |
TWD | – New Taiwan Dollar |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Industrials | 57.2% |
Utilities | 18.5 |
Information Technology | 18.2 |
Consumer Discretionary | 6.1 |
Materials | 0.0‡ |
Total | 100.0% |
‡ | Amount is less than 0.1%. |
Currency Exposure Diversification | % of Total Investments |
USD | 50.5% |
EUR | 19.3 |
CHF | 8.6 |
GBP | 8.3 |
KRW | 3.7 |
BRL | 2.8 |
TWD | 2.2 |
CAD | 1.9 |
JPY | 1.6 |
DKK | 0.8 |
HKD | 0.3 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 1,441,198,168 | $ 1,441,198,168 | $ — | $ — |
Money Market Funds | 22,072,421 | 22,072,421 | — | — |
Total Investments | $1,463,270,589 | $1,463,270,589 | $— | $— |
* | See Portfolio of Investments for country breakout. |
First Trust Indxx Global Natural Resources Income ETF (FTRI)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.3% | |||||
Australia — 4.6% | |||||
426,069 | Gold Road Resources Ltd. (AUD) | $486,033 | |||
87,339 | GrainCorp Ltd., Class A (AUD) | 516,799 | |||
245,474 | IGO Ltd. (AUD) | 923,580 | |||
713,760 | Origin Energy Ltd. (AUD) | 5,170,966 | |||
568,510 | Perseus Mining Ltd. (AUD) | 891,242 | |||
7,988,620 | |||||
Brazil — 0.2% | |||||
78,585 | Cia de Saneamento de Minas Gerais Copasa MG (BRL) | 293,669 | |||
Canada — 33.4% | |||||
200,592 | Agnico Eagle Mines Ltd. | 13,118,717 | |||
164,991 | Alamos Gold, Inc., Class A | 2,587,059 | |||
248,310 | ARC Resources Ltd. (CAD) | 4,430,574 | |||
109,721 | Birchcliff Energy Ltd. (CAD) (c) | 482,017 | |||
482,483 | Canadian Natural Resources Ltd. (CAD) | 17,186,065 | |||
75,483 | Dundee Precious Metals, Inc. (CAD) (c) | 590,931 | |||
508,413 | Kinross Gold Corp. | 4,229,996 | |||
199,473 | Nutrien Ltd. | 10,155,171 | |||
42,063 | Parex Resources, Inc. (CAD) | 673,967 | |||
78,146 | Peyto Exploration & Development Corp. (CAD) (c) | 832,841 | |||
22,013 | West Fraser Timber Co., Ltd. (CAD) | 1,690,659 | |||
245,889 | Whitecap Resources, Inc. (CAD) | 1,799,166 | |||
57,777,163 | |||||
China — 4.6% | |||||
1,507,005 | CMOC Group Ltd., Class H (HKD) | 1,377,890 | |||
1,177,916 | Yankuang Energy Group Co., Ltd., Class H (HKD) | 1,683,373 | |||
2,364,365 | Zijin Mining Group Co., Ltd., Class H (HKD) | 4,989,690 | |||
8,050,953 | |||||
Colombia — 4.2% | |||||
652,833 | Ecopetrol S.A., ADR (c) | 7,305,201 | |||
Hong Kong — 0.4% | |||||
1,181,452 | Guangdong Investment Ltd. (HKD) | 691,407 | |||
India — 3.8% | |||||
947,383 | Coal India Ltd. (INR) | 5,375,557 | |||
94,878 | Gujarat State Fertilizers & Chemicals Ltd. (INR) | 275,802 | |||
65,246 | Tata Chemicals Ltd. (INR) | 863,113 | |||
6,514,472 | |||||
Ireland — 3.0% | |||||
68,879 | Pentair PLC | 5,280,953 |
Shares | Description | Value | |||
Japan — 3.2% | |||||
376,300 | Inpex Corp. (JPY) | $5,536,094 | |||
Luxembourg — 0.5% | |||||
43,396 | Adecoagro S.A. | 422,243 | |||
16,712 | APERAM S.A. (EUR) | 432,051 | |||
854,294 | |||||
Norway — 1.9% | |||||
127,180 | Aker BP ASA (NOK) | 3,242,334 | |||
Switzerland — 3.6% | |||||
58,437 | Bunge Global S.A. | 6,239,318 | |||
United Kingdom — 0.4% | |||||
198,399 | Harbour Energy PLC (GBP) | 781,728 | |||
United States — 35.5% | |||||
36,985 | Alliance Resource Partners, L.P. (d) | 904,653 | |||
78,439 | American Water Works Co., Inc. | 10,131,181 | |||
13,448 | Andersons (The), Inc. | 667,021 | |||
23,875 | California Water Service Group | 1,157,699 | |||
75,646 | CF Industries Holdings, Inc. | 5,606,882 | |||
113,737 | Essential Utilities, Inc. | 4,245,802 | |||
51,638 | FMC Corp. | 2,971,767 | |||
347,267 | Freeport-McMoRan, Inc. | 16,877,176 | |||
7,224 | Middlesex Water Co. | 377,526 | |||
133,109 | Mosaic (The) Co. | 3,846,850 | |||
39,046 | Northern Oil & Gas, Inc. | 1,451,340 | |||
12,209 | SJW Group | 661,972 | |||
25,143 | UFP Industries, Inc. | 2,816,016 | |||
11,262 | Watts Water Technologies, Inc., Class A | 2,065,113 | |||
267,271 | Weyerhaeuser Co. | 7,587,824 | |||
61,368,822 | |||||
Total Common Stocks | 171,925,028 | ||||
(Cost $173,164,226) | |||||
MONEY MARKET FUNDS — 4.2% | |||||
174,847 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (e) | 174,847 | |||
7,030,090 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 5.11% (e) (f) | 7,030,090 | |||
Total Money Market Funds | 7,204,937 | ||||
(Cost $7,204,937) | |||||
Total Investments — 103.5% | 179,129,965 | ||||
(Cost $180,369,163) | |||||
Net Other Assets and Liabilities — (3.5)% | (6,029,430 ) | ||||
Net Assets — 100.0% | $173,100,535 |
First Trust Indxx Global Natural Resources Income ETF (FTRI)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | 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 $6,837,458 and the total value of the collateral held by the Fund is $7,030,090. |
(d) | Security is a Master Limited Partnership (“MLP”). |
(e) | Rate shown reflects yield as of June 30, 2024. |
(f) | This security serves as collateral for securities on loan. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
AUD | – Australian Dollar |
BRL | – Brazilian Real |
CAD | – Canadian Dollar |
EUR | – Euro |
GBP | – British Pound Sterling |
HKD | – Hong Kong Dollar |
INR | – Indian Rupee |
JPY | – Japanese Yen |
NOK | – Norwegian Krone |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Materials | 41.8% |
Energy | 30.1 |
Utilities | 13.2 |
Industrials | 5.9 |
Consumer Staples | 4.6 |
Real Estate | 4.4 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
USD | 65.8% |
CAD | 15.5 |
HKD | 4.9 |
AUD | 4.5 |
INR | 3.6 |
JPY | 3.1 |
NOK | 1.8 |
GBP | 0.4 |
EUR | 0.2 |
BRL | 0.2 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 171,925,028 | $ 171,925,028 | $ — | $ — |
Money Market Funds | 7,204,937 | 7,204,937 | — | — |
Total Investments | $179,129,965 | $179,129,965 | $— | $— |
* | See Portfolio of Investments for country breakout. |
First Trust Indxx Global Agriculture ETF (FTAG)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 100.0% | |||||
Australia — 1.1% | |||||
35,478 | Incitec Pivot Ltd. (AUD) | $68,635 | |||
6,982 | Nufarm Ltd. (AUD) | 21,425 | |||
90,060 | |||||
Canada — 4.3% | |||||
7,040 | Nutrien Ltd. (CAD) | 358,420 | |||
Chile — 1.3% | |||||
2,607 | Sociedad Quimica y Minera de Chile S.A., ADR | 106,235 | |||
China — 0.1% | |||||
6,974 | First Tractor Co., Ltd., Class H (HKD) | 6,600 | |||
Germany — 16.1% | |||||
15,593 | BASF SE (EUR) | 754,559 | |||
12,883 | Bayer AG (EUR) | 363,966 | |||
8,513 | Evonik Industries AG (EUR) | 173,679 | |||
3,272 | K+S AG (EUR) | 44,065 | |||
1,336,269 | |||||
India — 16.8% | |||||
7,311 | Chambal Fertilisers and Chemicals Ltd. (INR) | 44,434 | |||
5,379 | Coromandel International Ltd. (INR) | 103,264 | |||
2,017 | Escorts Kubota Ltd. (INR) | 100,297 | |||
2,683 | Gujarat Narmada Valley Fertilizers & Chemicals Ltd. (INR) | 22,860 | |||
7,280 | Gujarat State Fertilizers & Chemicals Ltd. (INR) | 21,162 | |||
21,666 | Mahindra & Mahindra Ltd. (INR) | 744,822 | |||
2,769 | PI Industries Ltd. (INR) | 126,143 | |||
10,072 | Rashtriya Chemicals & Fertilizers Ltd. (INR) | 23,335 | |||
9,119 | Sumitomo Chemical India Ltd. (INR) | 52,491 | |||
4,652 | Tata Chemicals Ltd. (INR) | 61,539 | |||
13,701 | UPL Ltd. (INR) | 93,794 | |||
1,394,141 | |||||
Israel — 1.2% | |||||
23,457 | ICL Group Ltd. (ILS) | 101,288 | |||
Japan — 7.0% | |||||
21,500 | Kubota Corp. (JPY) | 300,671 | |||
3,700 | Mitsui Chemicals, Inc. (JPY) | 102,107 | |||
500 | Nippon Soda Co., Ltd. (JPY) | 16,347 | |||
2,500 | Nissan Chemical Corp. (JPY) | 79,200 | |||
900 | Sakata Seed Corp. (JPY) | 19,271 | |||
30,300 | Sumitomo Chemical Co., Ltd. (JPY) | 64,916 | |||
582,512 |
Shares | Description | Value | |||
Malaysia — 2.3% | |||||
146,101 | Petronas Chemicals Group Bhd (MYR) | $195,421 | |||
Mexico — 0.6% | |||||
36,077 | Orbia Advance Corp. S.A.B. de C.V. (MXN) | 50,344 | |||
Netherlands — 3.9% | |||||
22,958 | CNH Industrial N.V. | 232,565 | |||
3,861 | OCI N.V. (EUR) | 94,235 | |||
326,800 | |||||
Qatar — 4.7% | |||||
110,486 | Industries Qatar QSC (QAR) | 388,415 | |||
Russia — 0.0% | |||||
1,918 | PhosAgro PJSC (RUB) (c) (d) (e) (f) | 0 | |||
Singapore — 3.2% | |||||
117,000 | Wilmar International Ltd. (SGD) | 267,478 | |||
Switzerland — 4.2% | |||||
188 | Bucher Industries AG (CHF) | 75,748 | |||
2,585 | Bunge Global S.A. | 276,001 | |||
351,749 | |||||
Turkey — 0.9% | |||||
6,095 | Gubre Fabrikalari T.A.S. (TRY) (d) | 26,169 | |||
1,827 | Turk Traktor ve Ziraat Makineleri A/S (TRY) | 52,193 | |||
78,362 | |||||
United Arab Emirates — 1.2% | |||||
151,571 | Fertiglobe PLC (AED) | 99,452 | |||
United States — 31.1% | |||||
1,362 | AGCO Corp. | 133,313 | |||
220 | Alamo Group, Inc. | 38,060 | |||
3,337 | CF Industries Holdings, Inc. | 247,338 | |||
12,151 | Corteva, Inc. | 655,425 | |||
2,254 | Deere & Co. | 842,162 | |||
2,279 | FMC Corp. | 131,156 | |||
202 | Lindsay Corp. | 24,822 | |||
5,873 | Mosaic (The) Co. | 169,730 | |||
1,037 | Scotts Miracle-Gro (The) Co. | 67,467 | |||
825 | SiteOne Landscape Supply, Inc. (d) | 100,163 | |||
1,896 | Toro (The) Co. | 177,295 | |||
2,586,931 | |||||
Total Common Stocks | 8,320,477 | ||||
(Cost $10,817,545) |
First Trust Indxx Global Agriculture ETF (FTAG)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
MONEY MARKET FUNDS — 0.6% | |||||
50,763 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (g) | $50,763 | |||
(Cost $50,763) | |||||
Total Investments — 100.6% | 8,371,240 | ||||
(Cost $10,868,308) | |||||
Net Other Assets and Liabilities — (0.6)% | (47,098 ) | ||||
Net Assets — 100.0% | $8,324,142 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors L.P., the Fund’s advisor. |
(d) | Non-income producing security. |
(e) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures approved by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940 and rules thereunder, as amended. At June 30, 2024, securities noted as such are valued at $0 or 0.0% of net assets. |
(f) | This security’s value was determined using significant unobservable inputs (see Valuation Inputs in the Additional Information section). |
(g) | Rate shown reflects yield as of June 30, 2024. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
AED | – United Arab Emirates Dirham |
AUD | – Australian Dollar |
CAD | – Canadian Dollar |
CHF | – Swiss Franc |
EUR | – Euro |
HKD | – Hong Kong Dollar |
ILS | – Israeli Shekel |
INR | – Indian Rupee |
JPY | – Japanese Yen |
MXN | – Mexican Peso |
MYR | – Malaysian Ringgit |
QAR | – Qatari Riyal |
RUB | – Russian Ruble |
SGD | – Singapore Dollar |
TRY | – Turkish Lira |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Materials | 48.9% |
Industrials | 31.0 |
Consumer Discretionary | 8.9 |
Consumer Staples | 6.8 |
Health Care | 4.4 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
USD | 38.9% |
EUR | 17.1 |
INR | 16.6 |
JPY | 7.0 |
QAR | 4.6 |
CAD | 4.3 |
SGD | 3.2 |
MYR | 2.3 |
ILS | 1.2 |
AED | 1.2 |
AUD | 1.1 |
TRY | 0.9 |
CHF | 0.9 |
MXN | 0.6 |
HKD | 0.1 |
RUB | 0.0‡ |
Total | 100.0% |
‡ | Investment is valued at $0. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks: | ||||
Russia | $ —** | $ — | $ — | $ —** |
Other Country Categories* | 8,320,477 | 8,320,477 | — | — |
Money Market Funds | 50,763 | 50,763 | — | — |
Total Investments | $8,371,240 | $8,371,240 | $— | $—** |
* | See Portfolio of Investments for country breakout. |
** | Investment is valued at $0. |
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust Indxx NextG ETF (NXTG)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.9% | |||||
Australia — 0.6% | |||||
891,175 | Telstra Group Ltd. (AUD) | $2,152,094 | |||
Brazil — 0.5% | |||||
255,090 | Telefonica Brasil S.A., ADR | 2,094,289 | |||
Canada — 1.6% | |||||
61,092 | BCE, Inc. (CAD) | 1,978,719 | |||
54,440 | Rogers Communications, Inc., Class B (CAD) | 2,013,570 | |||
130,122 | TELUS Corp. (CAD) | 1,969,830 | |||
5,962,119 | |||||
Cayman Islands — 1.2% | |||||
2,152,214 | Xiaomi Corp., Class B (HKD) (c) (d) (e) | 4,541,972 | |||
China — 2.5% | |||||
36,888,503 | China Tower Corp., Ltd., Class H (HKD) (c) (e) | 4,771,052 | |||
2,187,990 | ZTE Corp., Class H (HKD) (d) | 4,841,622 | |||
9,612,674 | |||||
Finland — 2.4% | |||||
101,081 | Elisa Oyj (EUR) | 4,637,548 | |||
1,239,800 | Nokia Oyj, ADR (f) | 4,686,444 | |||
9,323,992 | |||||
France — 0.5% | |||||
202,870 | Orange S.A. (EUR) | 2,032,285 | |||
Germany — 1.6% | |||||
85,864 | Deutsche Telekom AG (EUR) | 2,159,129 | |||
113,077 | Infineon Technologies AG (EUR) | 4,154,331 | |||
6,313,460 | |||||
Guernsey — 1.3% | |||||
61,828 | Amdocs Ltd. | 4,879,466 | |||
Hong Kong — 1.3% | |||||
3,448,022 | Lenovo Group Ltd. (HKD) | 4,865,791 | |||
India — 7.0% | |||||
121,938 | Bharti Airtel Ltd. (INR) | 2,111,642 | |||
274,293 | HCL Technologies Ltd. (INR) | 4,801,176 | |||
264,481 | Infosys Ltd., ADR (f) | 4,924,636 | |||
102,994 | Tata Consultancy Services Ltd. (INR) | 4,822,114 | |||
287,931 | Tech Mahindra Ltd. (INR) | 4,938,895 | |||
846,531 | Wipro Ltd., ADR (f) | 5,163,839 | |||
26,762,302 | |||||
Indonesia — 0.6% | |||||
11,715,272 | Telkom Indonesia Persero Tbk PT (IDR) | 2,239,316 | |||
Italy — 3.0% | |||||
440,303 | Infrastrutture Wireless Italiane S.p.A. (EUR) (c) (e) | 4,597,541 |
Shares | Description | Value | |||
Italy (Continued) | |||||
75,105 | Prysmian S.p.A. (EUR) | $4,650,679 | |||
8,686,590 | Telecom Italia S.p.A. (EUR) (d) (f) | 2,079,200 | |||
11,327,420 | |||||
Japan — 10.4% | |||||
304,920 | Fujitsu Ltd. (JPY) | 4,770,238 | |||
76,448 | KDDI Corp. (JPY) | 2,021,318 | |||
412,084 | Kyocera Corp. (JPY) | 4,742,206 | |||
280,265 | Mitsubishi Electric Corp. (JPY) | 4,472,499 | |||
59,859 | NEC Corp. (JPY) | 4,927,792 | |||
4,972,350 | Nippon Telegraph & Telephone Corp. (JPY) | 4,691,421 | |||
248,959 | Renesas Electronics Corp. (JPY) | 4,656,086 | |||
368,898 | SoftBank Corp. (JPY) | 4,504,320 | |||
56,176 | Sony Group Corp. (JPY) | 4,762,513 | |||
39,548,393 | |||||
Malaysia — 0.5% | |||||
2,620,055 | CelcomDigi Bhd (MYR) | 2,043,837 | |||
Mexico — 0.6% | |||||
2,508,378 | America Movil S.A.B. de C.V., Series B (MXN) | 2,134,761 | |||
Netherlands — 2.8% | |||||
562,281 | Koninklijke KPN N.V. (EUR) | 2,155,787 | |||
16,692 | NXP Semiconductors N.V. | 4,491,650 | |||
104,352 | STMicroelectronics N.V. (EUR) (f) | 4,120,996 | |||
10,768,433 | |||||
New Zealand — 0.6% | |||||
839,175 | Spark New Zealand Ltd. (NZD) | 2,126,344 | |||
Norway — 0.5% | |||||
178,669 | Telenor ASA (NOK) | 2,036,529 | |||
Philippines — 0.6% | |||||
62,080 | Globe Telecom, Inc. (PHP) | 2,224,368 | |||
Qatar — 0.6% | |||||
775,629 | Ooredoo QPSC (QAR) | 2,172,869 | |||
Russia — 0.0% | |||||
755,018 | Mobile TeleSystems PJSC, ADR (d) (g) (h) (i) | 0 | |||
Singapore — 0.6% | |||||
1,102,252 | Singapore Telecommunications Ltd. (SGD) | 2,235,393 | |||
South Africa — 1.2% | |||||
477,832 | MTN Group Ltd. (ZAR) | 2,230,824 | |||
430,246 | Vodacom Group Ltd. (ZAR) | 2,305,917 | |||
4,536,741 | |||||
South Korea — 5.0% | |||||
157,010 | KT Corp., ADR | 2,146,327 | |||
64,614 | LG Electronics, Inc. (KRW) | 5,205,734 |
First Trust Indxx NextG ETF (NXTG)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) (Continued) | |||||
South Korea (Continued) | |||||
84,970 | Samsung Electronics Co., Ltd. (KRW) | $5,030,915 | |||
41,990 | Samsung SDS Co., Ltd. (KRW) | 4,529,978 | |||
56,315 | SK Telecom Co., Ltd. (KRW) | 2,106,954 | |||
19,019,908 | |||||
Spain — 1.0% | |||||
58,524 | Cellnex Telecom S.A. (EUR) (c) (d) (e) | 1,903,479 | |||
456,564 | Telefonica S.A. (EUR) | 1,936,272 | |||
3,839,751 | |||||
Sweden — 2.4% | |||||
209,783 | Tele2 AB, Class B (SEK) | 2,111,883 | |||
760,384 | Telefonaktiebolaget LM Ericsson, Class B (SEK) | 4,720,565 | |||
806,440 | Telia Co., AB (SEK) | 2,163,137 | |||
8,995,585 | |||||
Switzerland — 0.6% | |||||
3,797 | Swisscom AG (CHF) | 2,136,328 | |||
Taiwan — 11.4% | |||||
437,463 | Advantech Co., Ltd. (TWD) | 4,989,329 | |||
940,882 | ASE Technology Holding Co., Ltd. (TWD) | 4,886,908 | |||
537,175 | Chunghwa Telecom Co., Ltd. (TWD) | 2,078,062 | |||
444,457 | Delta Electronics, Inc. (TWD) | 5,308,851 | |||
791,066 | Far EasTone Telecommunications Co., Ltd. (TWD) | 2,050,727 | |||
117,610 | MediaTek, Inc. (TWD) | 5,075,413 | |||
1,442,389 | Taiwan Mobile Co., Ltd. (TWD) | 4,757,351 | |||
27,307 | Taiwan Semiconductor Manufacturing Co., Ltd., ADR | 4,746,230 | |||
2,784,940 | United Microelectronics Corp. (TWD) | 4,781,565 | |||
58,629 | Wiwynn Corp. (TWD) | 4,780,103 | |||
43,454,539 | |||||
Thailand — 0.5% | |||||
366,800 | Advanced Info Service PCL (THB) | 2,089,003 | |||
United Arab Emirates — 0.5% | |||||
481,944 | Emirates Telecommunications Group Co. PJSC (AED) | 2,112,523 | |||
United Kingdom — 1.9% | |||||
2,842,893 | BT Group PLC (GBP) | 5,043,738 | |||
2,369,535 | Vodafone Group PLC (GBP) | 2,089,533 | |||
7,133,271 | |||||
United States — 34.1% | |||||
29,478 | Advanced Micro Devices, Inc. (d) | 4,781,626 |
Shares | Description | Value | |||
United States (Continued) | |||||
24,371 | American Tower Corp. | $4,737,235 | |||
19,811 | Analog Devices, Inc. | 4,522,059 | |||
22,170 | Apple, Inc. | 4,669,445 | |||
15,173 | Arista Networks, Inc. (d) | 5,317,833 | |||
119,216 | AT&T, Inc. | 2,278,218 | |||
3,159 | Broadcom, Inc. | 5,071,869 | |||
96,836 | Ciena Corp. (d) | 4,665,559 | |||
103,544 | Cisco Systems, Inc. | 4,919,375 | |||
47,392 | Crown Castle, Inc. | 4,630,198 | |||
31,577 | Digital Realty Trust, Inc. | 4,801,283 | |||
6,203 | Equinix, Inc. | 4,693,190 | |||
28,109 | F5, Inc. (d) | 4,841,213 | |||
225,903 | Hewlett Packard Enterprise Co. | 4,782,367 | |||
153,565 | Intel Corp. | 4,755,908 | |||
27,950 | International Business Machines Corp. | 4,833,953 | |||
132,911 | Juniper Networks, Inc. | 4,845,935 | |||
34,202 | Keysight Technologies, Inc. (d) | 4,677,124 | |||
64,390 | Marvell Technology, Inc. | 4,500,861 | |||
49,975 | Microchip Technology, Inc. | 4,572,713 | |||
33,560 | Micron Technology, Inc. | 4,414,147 | |||
12,452 | Motorola Solutions, Inc. | 4,807,095 | |||
37,728 | NVIDIA Corp. | 4,660,917 | |||
43,448 | Qorvo, Inc. (d) | 5,041,706 | |||
21,930 | QUALCOMM, Inc. | 4,368,017 | |||
24,064 | SBA Communications Corp. | 4,723,763 | |||
46,021 | Skyworks Solutions, Inc. | 4,904,918 | |||
12,080 | T-Mobile US, Inc. | 2,128,254 | |||
52,788 | Verizon Communications, Inc. | 2,176,977 | |||
130,123,758 | |||||
Total Common Stocks | 380,839,514 | ||||
(Cost $365,610,159) | |||||
MONEY MARKET FUNDS — 4.4% | |||||
16,968,183 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 5.11% (j) (k) | 16,968,183 | |||
(Cost $16,968,183) | |||||
Total Investments — 104.3% | 397,807,697 | ||||
(Cost $382,578,342) | |||||
Net Other Assets and Liabilities — (4.3)% | (16,567,947 ) | ||||
Net Assets — 100.0% | $381,239,750 |
First Trust Indxx NextG ETF (NXTG)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
(d) | Non-income producing security. |
(e) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(f) | 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 $16,526,753 and the total value of the collateral held by the Fund is $16,968,183. |
(g) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors L.P., the Fund’s advisor. |
(h) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures approved by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940 and rules thereunder, as amended. At June 30, 2024, securities noted as such are valued at $0 or 0.0% of net assets. |
(i) | This security’s value was determined using significant unobservable inputs (see Valuation Inputs in the Additional Information section). |
(j) | Rate shown reflects yield as of June 30, 2024. |
(k) | This security serves as collateral for securities on loan. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
AED | – United Arab Emirates Dirham |
AUD | – Australian Dollar |
CAD | – Canadian Dollar |
CHF | – Swiss Franc |
EUR | – Euro |
GBP | – British Pound Sterling |
HKD | – Hong Kong Dollar |
IDR | – Indonesian Rupiah |
INR | – Indian Rupee |
JPY | – Japanese Yen |
KRW | – South Korean Won |
MXN | – Mexican Peso |
MYR | – Malaysian Ringgit |
NOK | – Norwegian Krone |
NZD | – New Zealand Dollar |
PHP | – Philippine Peso |
QAR | – Qatari Riyal |
SEK | – Swedish Krona |
SGD | – Singapore Dollar |
THB | – Thai Baht |
TWD | – New Taiwan Dollar |
USD | – United States Dollar |
ZAR | – South African Rand |
Sector Allocation | % of Total Long-Term Investments |
Information Technology | 60.2% |
Communication Services | 28.6 |
Real Estate | 6.2 |
Consumer Discretionary | 2.6 |
Industrials | 2.4 |
Total | 100.0% |
First Trust Indxx NextG ETF (NXTG)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Currency Exposure Diversification | % of Total Investments |
USD | 45.3% |
JPY | 9.9 |
TWD | 9.7 |
EUR | 8.7 |
HKD | 4.8 |
KRW | 4.3 |
INR | 4.2 |
SEK | 2.3 |
GBP | 1.8 |
CAD | 1.5 |
ZAR | 1.1 |
IDR | 0.6 |
SGD | 0.6 |
PHP | 0.6 |
QAR | 0.6 |
AUD | 0.5 |
CHF | 0.5 |
MXN | 0.5 |
NZD | 0.5 |
AED | 0.5 |
THB | 0.5 |
MYR | 0.5 |
NOK | 0.5 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks: | ||||
Russia | $ —** | $ — | $ — | $ —** |
Thailand | 2,089,003 | — | 2,089,003 | — |
Other Country Categories* | 378,750,511 | 378,750,511 | — | — |
Money Market Funds | 16,968,183 | 16,968,183 | — | — |
Total Investments | $397,807,697 | $395,718,694 | $2,089,003 | $—** |
* | See Portfolio of Investments for country breakout. |
** | Investment is valued at $0. |
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust S-Network Future Vehicles & Technology ETF (CARZ)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.8% | |||||
Australia — 0.8% | |||||
35,868 | IGO Ltd. (AUD) | $134,951 | |||
67,097 | Pilbara Minerals Ltd. (AUD) | 137,414 | |||
272,365 | |||||
Austria — 0.6% | |||||
155,161 | ams-OSRAM AG (CHF) (c) | 214,923 | |||
Canada — 0.7% | |||||
31,448 | Lithium Americas Argentina Corp. (c) (d) | 100,634 | |||
3,428 | Magna International, Inc. | 143,633 | |||
244,267 | |||||
Cayman Islands — 3.0% | |||||
3,682 | Ambarella, Inc. (c) | 198,644 | |||
1,718 | Baidu, Inc., ADR (c) | 148,573 | |||
140,734 | Geely Automobile Holdings Ltd. (HKD) | 158,412 | |||
5,700 | Li Auto, Inc., ADR (c) | 101,916 | |||
39,416 | NIO, Inc., ADR (c) (d) | 163,970 | |||
21,257 | XPeng, Inc., ADR (c) (d) | 155,814 | |||
111,098 | Yadea Group Holdings Ltd. (HKD) (e) (f) | 140,419 | |||
6 | ZEEKR Intelligent Technology Holding Ltd., ADR (c) | 113 | |||
1,067,861 | |||||
Chile — 0.4% | |||||
3,436 | Sociedad Quimica y Minera de Chile S.A., ADR (d) | 140,017 | |||
China — 2.1% | |||||
6,355 | BYD Co., Ltd., Class H (HKD) | 188,801 | |||
51,175 | Ganfeng Lithium Group Co., Ltd., Class H (HKD) (e) (f) | 99,741 | |||
118,777 | Great Wall Motor Co., Ltd., Class H (HKD) | 183,131 | |||
34,605 | Tianqi Lithium Corp., Class H (HKD) | 99,263 | |||
53,130 | Zhejiang Leapmotor Technology Co., Ltd. (HKD) (c) (e) (f) | 182,338 | |||
753,274 | |||||
France — 2.8% | |||||
11,114 | Forvia SE (EUR) | 131,583 | |||
2,950 | Schneider Electric SE (EUR) | 708,632 | |||
12,759 | Valeo SE (EUR) | 135,795 | |||
976,010 | |||||
Germany — 3.0% | |||||
1,898 | Bayerische Motoren Werke AG (EUR) | 179,647 | |||
2,467 | Continental AG (EUR) | 139,764 | |||
7,155 | Infineon Technologies AG (EUR) | 262,867 |
Shares | Description | Value | |||
Germany (Continued) | |||||
4,727 | Mercedes-Benz Group AG (EUR) | $326,878 | |||
1,498 | Wacker Chemie AG (EUR) | 163,316 | |||
1,072,472 | |||||
Indonesia — 0.4% | |||||
1,063,167 | Merdeka Copper Gold Tbk PT (IDR) (c) | 154,524 | |||
Japan — 6.4% | |||||
4,400 | Aisin Corp. (JPY) | 143,385 | |||
9,700 | Denso Corp. (JPY) | 150,603 | |||
22,292 | Honda Motor Co., Ltd. (JPY) | 238,313 | |||
4,300 | NIDEC CORP. (JPY) | 192,029 | |||
46,009 | Nissan Motor Co., Ltd. (JPY) | 156,109 | |||
19,100 | Panasonic Holdings Corp. (JPY) | 156,347 | |||
9,900 | Renesas Electronics Corp. (JPY) | 185,152 | |||
7,510 | Subaru Corp. (JPY) | 159,171 | |||
41,960 | Toyota Motor Corp. (JPY) | 858,030 | |||
2,239,139 | |||||
Jersey — 0.9% | |||||
2,320 | Aptiv PLC (c) | 163,374 | |||
40,561 | Arcadium Lithium PLC (AUD) (c) | 133,397 | |||
296,771 | |||||
Netherlands — 3.3% | |||||
3,751 | Alfen N.V. (EUR) (c) (e) (f) | 69,336 | |||
718 | Ferrari N.V. | 293,209 | |||
1,409 | NXP Semiconductors N.V. | 379,148 | |||
11,944 | Stellantis N.V. (EUR) | 236,258 | |||
4,965 | STMicroelectronics N.V. | 195,025 | |||
7,107 | Yandex N.V., Class A (c) (g) (h) (i) | 0 | |||
1,172,976 | |||||
South Korea — 8.6% | |||||
1,003 | Ecopro BM Co., Ltd. (KRW) (c) | 133,345 | |||
955 | Hyundai Mobis Co., Ltd. (KRW) | 174,488 | |||
995 | Hyundai Motor Co. (KRW) | 213,240 | |||
2,147 | Kia Corp. (KRW) | 201,676 | |||
620 | LG Chem Ltd. (KRW) | 155,619 | |||
5,146 | Lotte Energy Materials Corp. (KRW) | 197,391 | |||
3,155 | LX Semicon Co., Ltd. (KRW) | 186,343 | |||
25,663 | Samsung Electronics Co., Ltd. (KRW) | 1,519,459 | |||
588 | Samsung SDI Co., Ltd. (KRW) | 151,218 | |||
3,563 | SK IE Technology Co., Ltd. (KRW) (c) (e) (f) | 114,151 | |||
3,046,930 | |||||
Sweden — 0.7% | |||||
9,147 | Volvo AB, Class B (SEK) | 233,961 |
First Trust S-Network Future Vehicles & Technology ETF (CARZ)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) (Continued) | |||||
Switzerland — 0.7% | |||||
1,695 | TE Connectivity Ltd. | $254,979 | |||
Taiwan — 5.3% | |||||
10,748 | Taiwan Semiconductor Manufacturing Co., Ltd., ADR | 1,868,110 | |||
United Kingdom — 0.8% | |||||
120,409 | Polestar Automotive Holding UK PLC, Class A, ADR (c) | 94,714 | |||
4,977 | Sensata Technologies Holding PLC | 186,090 | |||
280,804 | |||||
United States — 59.3% | |||||
16,887 | Adeia, Inc. | 188,881 | |||
9,280 | Advanced Micro Devices, Inc. (c) | 1,505,309 | |||
1,349 | Albemarle Corp. | 128,856 | |||
6,234 | Allegro MicroSystems, Inc. (c) | 176,048 | |||
9,925 | Alphabet, Inc., Class A | 1,807,839 | |||
2,718 | Analog Devices, Inc. | 620,411 | |||
9,039 | Apple, Inc. | 1,903,794 | |||
55,369 | Aurora Innovation, Inc. (c) | 153,372 | |||
5,096 | BorgWarner, Inc. | 164,295 | |||
12,851 | Cerence, Inc. (c) | 36,368 | |||
106,543 | ChargePoint Holdings, Inc. (c) (d) | 160,880 | |||
1,935 | Cirrus Logic, Inc. (c) | 247,022 | |||
767 | Cummins, Inc. | 212,405 | |||
21,429 | Ford Motor Co. | 268,720 | |||
7,512 | General Motors Co. | 349,008 | |||
26,757 | indie Semiconductor, Inc., Class A (c) | 165,091 | |||
23,243 | Intel Corp. | 719,836 | |||
2,264 | Lattice Semiconductor Corp. (c) | 131,289 | |||
1,285 | Lear Corp. | 146,760 | |||
70,319 | Lucid Group, Inc. (c) (d) | 183,533 | |||
122,081 | Luminar Technologies, Inc. (c) (d) | 181,901 | |||
4,708 | Marvell Technology, Inc. | 329,089 | |||
7,841 | MaxLinear, Inc. (c) | 157,918 | |||
2,909 | Microchip Technology, Inc. | 266,174 | |||
6,050 | Micron Technology, Inc. | 795,756 | |||
3,697 | Microsoft Corp. | 1,652,374 | |||
5,597 | Mobileye Global, Inc., Class A (c) | 157,192 | |||
8,173 | Nikola Corp. (c) (d) | 66,937 | |||
17,460 | NVIDIA Corp. | 2,157,008 | |||
2,490 | ON Semiconductor Corp. (c) | 170,690 | |||
2,628 | PACCAR, Inc. | 270,526 | |||
1,518 | Qorvo, Inc. (c) | 176,149 | |||
6,125 | QUALCOMM, Inc. | 1,219,977 | |||
2,820 | Rambus, Inc. (c) | 165,703 |
Shares | Description | Value | |||
United States (Continued) | |||||
18,370 | Rivian Automotive, Inc., Class A (c) | $246,525 | |||
1,340 | Silicon Laboratories, Inc. (c) | 148,244 | |||
2,001 | SiTime Corp. (c) | 248,884 | |||
1,685 | Skyworks Solutions, Inc. | 179,587 | |||
1,900 | Synaptics, Inc. (c) | 167,580 | |||
9,062 | Tesla, Inc. (c) | 1,793,189 | |||
4,993 | Texas Instruments, Inc. | 971,288 | |||
6,310 | Wolfspeed, Inc. (c) | 143,616 | |||
20,936,024 | |||||
Total Common Stocks | 35,225,407 | ||||
(Cost $34,379,744) | |||||
MONEY MARKET FUNDS — 3.4% | |||||
18,811 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (j) | 18,811 | |||
1,181,320 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 5.11% (j) (k) | 1,181,320 | |||
Total Money Market Funds | 1,200,131 | ||||
(Cost $1,200,131) | |||||
Total Investments — 103.2% | 36,425,538 | ||||
(Cost $35,579,875) | |||||
Net Other Assets and Liabilities — (3.2)% | (1,124,606 ) | ||||
Net Assets — 100.0% | $35,300,932 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | Non-income producing security. |
(d) | 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 $1,093,857 and the total value of the collateral held by the Fund is $1,181,320. |
(e) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
First Trust S-Network Future Vehicles & Technology ETF (CARZ)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
(f) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(g) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors L.P., the Fund’s advisor. |
(h) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures approved by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940 and rules thereunder, as amended. At June 30, 2024, securities noted as such are valued at $0 or 0.0% of net assets. |
(i) | This security’s value was determined using significant unobservable inputs (see Valuation Inputs in the Additional Information section). |
(j) | Rate shown reflects yield as of June 30, 2024. |
(k) | This security serves as collateral for securities on loan. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
AUD | – Australian Dollar |
CHF | – Swiss Franc |
EUR | – Euro |
HKD | – Hong Kong Dollar |
IDR | – Indonesian Rupiah |
JPY | – Japanese Yen |
KRW | – South Korean Won |
SEK | – Swedish Krona |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Information Technology | 57.9% |
Consumer Discretionary | 25.7 |
Industrials | 7.1 |
Communication Services | 5.6 |
Materials | 3.7 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
USD | 73.4% |
KRW | 8.4 |
EUR | 6.5 |
JPY | 6.1 |
HKD | 2.9 |
AUD | 1.1 |
SEK | 0.6 |
CHF | 0.6 |
IDR | 0.4 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks: | ||||
Netherlands | $ 1,172,976 | $ 1,172,976 | $ — | $ —** |
Other Country Categories* | 34,052,431 | 34,052,431 | — | — |
Money Market Funds | 1,200,131 | 1,200,131 | — | — |
Total Investments | $36,425,538 | $36,425,538 | $— | $—** |
* | See Portfolio of Investments for country breakout. |
** | Investment is valued at $0. |
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust Cloud Computing ETF (SKYY)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS — 100.0% | |||||
Broadline Retail — 4.1% | |||||
636,224 | Amazon.com, Inc. (a) | $122,950,288 | |||
Communications Equipment — 7.0% | |||||
377,139 | Arista Networks, Inc. (a) | 132,179,677 | |||
1,609,395 | Cisco Systems, Inc. | 76,462,356 | |||
208,642,033 | |||||
Diversified Telecommunication Services — 0.6% | |||||
17,470,554 | Lumen Technologies, Inc. (a) | 19,217,609 | |||
Financial Services — 0.7% | |||||
772,151 | Toast, Inc., Class A (a) | 19,898,331 | |||
Health Care Technology — 0.6% | |||||
107,369 | Veeva Systems, Inc., Class A (a) | 19,649,601 | |||
Interactive Media & Services — 4.0% | |||||
650,755 | Alphabet, Inc., Class A | 118,535,023 | |||
IT Services — 20.6% | |||||
811,328 | Akamai Technologies, Inc. (a) | 73,084,426 | |||
1,105,582 | Cloudflare, Inc., Class A (a) | 91,575,357 | |||
1,297,524 | DigitalOcean Holdings, Inc. (a) | 45,088,959 | |||
2,378,152 | Fastly, Inc., Class A (a) | 17,526,980 | |||
672,791 | International Business Machines Corp. | 116,359,203 | |||
396,281 | MongoDB, Inc. (a) | 99,054,399 | |||
948,904 | Shopify, Inc., Class A (a) | 62,675,109 | |||
137,386 | Snowflake, Inc., Class A (a) | 18,559,475 | |||
977,834 | Twilio, Inc., Class A (a) | 55,550,750 | |||
232,268 | Wix.com Ltd. (a) | 36,946,871 | |||
616,421,529 | |||||
Media — 0.7% | |||||
201,652 | Trade Desk (The), Inc., Class A (a) | 19,695,351 | |||
Professional Services — 1.2% | |||||
128,745 | Paycom Software, Inc. | 18,415,685 | |||
131,598 | Paylocity Holding Corp. (a) | 17,351,196 | |||
35,766,881 | |||||
Software — 50.4% | |||||
126,197 | Adobe, Inc. (a) | 70,107,481 | |||
81,943 | Appfolio, Inc., Class A (a) | 20,040,800 | |||
698,331 | Appian Corp., Class A (a) | 21,550,495 | |||
688,852 | AppLovin Corp., Class A (a) | 57,326,263 | |||
1,433,656 | Asana, Inc., Class A (a) | 20,056,847 | |||
357,820 | Atlassian Corp., Class A (a) | 63,291,202 | |||
240,047 | Blackbaud, Inc. (a) | 18,284,380 | |||
392,063 | BlackLine, Inc. (a) | 18,995,452 | |||
686,576 | Box, Inc., Class A (a) | 18,153,069 | |||
2,161,250 | Confluent, Inc., Class A (a) | 63,821,713 |
Shares | Description | Value | |||
Software (Continued) | |||||
59,646 | Crowdstrike Holdings, Inc., Class A (a) | $22,855,751 | |||
169,806 | Datadog, Inc., Class A (a) | 22,022,140 | |||
341,783 | DocuSign, Inc. (a) | 18,285,391 | |||
830,413 | Dropbox, Inc., Class A (a) | 18,659,380 | |||
179,810 | Elastic N.V. (a) | 20,482,157 | |||
1,200,335 | Five9, Inc. (a) | 52,934,774 | |||
1,189,397 | Gitlab, Inc., Class A (a) | 59,136,819 | |||
91,854 | HubSpot, Inc. (a) | 54,174,571 | |||
32,456 | Intuit, Inc. | 21,330,408 | |||
826,379 | Klaviyo, Inc., Class A (a) | 20,568,573 | |||
270,410 | Microsoft Corp. | 120,859,749 | |||
2,029,382 | Nutanix, Inc., Class A (a) | 115,370,367 | |||
639,631 | Open Text Corp. | 19,214,515 | |||
957,892 | Oracle Corp. | 135,254,350 | |||
63,441 | Palo Alto Networks, Inc. (a) | 21,507,133 | |||
307,617 | Q2 Holdings, Inc. (a) | 18,558,534 | |||
133,048 | Qualys, Inc. (a) | 18,972,645 | |||
1,139,038 | RingCentral, Inc., Class A (a) | 32,120,872 | |||
239,412 | Salesforce, Inc. | 61,552,825 | |||
205,100 | SAP SE, ADR | 41,370,721 | |||
85,440 | ServiceNow, Inc. (a) | 67,213,085 | |||
505,654 | Smartsheet, Inc., Class A (a) | 22,289,228 | |||
573,024 | Sprout Social, Inc., Class A (a) | 20,445,496 | |||
88,481 | Workday, Inc., Class A (a) | 19,780,812 | |||
729,214 | Workiva, Inc. (a) | 53,225,330 | |||
305,009 | Zoom Video Communications, Inc., Class A (a) | 18,053,483 | |||
110,080 | Zscaler, Inc. (a) | 21,156,275 | |||
1,843,272 | Zuora, Inc., Class A (a) | 18,303,691 | |||
1,507,326,777 | |||||
Technology Hardware, Storage & Peripherals — 10.1% | |||||
402,176 | Dell Technologies, Inc., Class C | 55,464,092 | |||
3,180,038 | Hewlett Packard Enterprise Co. | 67,321,405 | |||
466,060 | NetApp, Inc. | 60,028,528 | |||
1,861,923 | Pure Storage, Inc., Class A (a) | 119,554,076 | |||
302,368,101 | |||||
Total Common Stocks | 2,990,471,524 | ||||
(Cost $2,475,450,227) |
First Trust Cloud Computing ETF (SKYY)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
MONEY MARKET FUNDS — 0.0% | |||||
1,238,910 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (b) | $1,238,910 | |||
(Cost $1,238,910) | |||||
Total Investments — 100.0% | 2,991,710,434 | ||||
(Cost $2,476,689,137) | |||||
Net Other Assets and Liabilities — (0.0)% | (262,727 ) | ||||
Net Assets — 100.0% | $2,991,447,707 |
(a) | Non-income producing security. |
(b) | Rate shown reflects yield as of June 30, 2024. |
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 June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 2,990,471,524 | $ 2,990,471,524 | $ — | $ — |
Money Market Funds | 1,238,910 | 1,238,910 | — | — |
Total Investments | $2,991,710,434 | $2,991,710,434 | $— | $— |
* | See Portfolio of Investments for industry breakout. |
First Trust International Equity Opportunities ETF (FPXI)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.8% | |||||
Australia — 1.0% | |||||
44,857 | Aristocrat Leisure Ltd. (AUD) | $1,489,019 | |||
Belgium — 2.8% | |||||
27,544 | UCB S.A. (EUR) | 4,091,409 | |||
Brazil — 1.3% | |||||
743,461 | Caixa Seguridade Participacoes S.A. (BRL) | 1,903,173 | |||
Canada — 7.3% | |||||
84,623 | ARC Resources Ltd. (CAD) | 1,509,921 | |||
24,848 | AtkinsRealis Group, Inc. (CAD) | 1,075,618 | |||
25,236 | Celestica, Inc. (CAD) (c) | 1,445,114 | |||
1,050 | Constellation Software, Inc. (CAD) | 3,025,455 | |||
1,541 | Fairfax Financial Holdings Ltd. (CAD) | 1,753,083 | |||
25,906 | RB Global, Inc. | 1,978,182 | |||
10,787,373 | |||||
Cayman Islands — 12.6% | |||||
423,161 | NU Holdings Ltd., Class A (c) | 5,454,545 | |||
44,250 | PDD Holdings, Inc., ADR (c) | 5,883,038 | |||
39,461 | SharkNinja, Inc. | 2,965,494 | |||
869,203 | Smoore International Holdings Ltd. (HKD) (d) (e) | 1,054,079 | |||
121,508 | Tencent Music Entertainment Group, ADR | 1,707,187 | |||
34,313 | Trip.com Group Ltd., ADR (c) | 1,612,711 | |||
18,677,054 | |||||
China — 0.9% | |||||
2,031,750 | CRRC Corp., Ltd., Class H (HKD) | 1,311,302 | |||
Denmark — 4.9% | |||||
50,584 | Novo Nordisk A/S, ADR | 7,220,360 | |||
Germany — 4.8% | |||||
58,270 | Daimler Truck Holding AG (EUR) | 2,319,567 | |||
64,504 | Dr. Ing hc F Porsche AG (Preference Shares) (EUR) (d) (e) | 4,802,483 | |||
7,122,050 | |||||
Indonesia — 3.5% | |||||
7,702,062 | Amman Mineral Internasional PT (IDR) (c) | 5,173,904 | |||
Ireland — 6.9% | |||||
33,943 | CRH PLC | 2,545,046 | |||
5,854 | ICON PLC (c) | 1,835,053 | |||
76,408 | nVent Electric PLC | 5,853,617 | |||
10,233,716 |
Shares | Description | Value | |||
Israel — 4.8% | |||||
24,249 | Monday.com Ltd. (c) | $5,838,189 | |||
79,380 | Teva Pharmaceutical Industries Ltd., ADR (c) | 1,289,925 | |||
7,128,114 | |||||
Japan — 7.0% | |||||
33,200 | Kokusai Electric Corp. (JPY) | 967,792 | |||
68,300 | Sega Sammy Holdings, Inc. (JPY) | 1,013,951 | |||
151,617 | SoftBank Corp. (JPY) | 1,851,275 | |||
70,100 | Sompo Holdings, Inc. (JPY) | 1,496,634 | |||
82,600 | TDK Corp. (JPY) | 5,064,634 | |||
10,394,286 | |||||
Jersey — 1.0% | |||||
26,598 | Birkenstock Holding PLC (c) (f) | 1,447,197 | |||
Kazakhstan — 1.2% | |||||
13,453 | Kaspi.KZ JSC, ADR | 1,735,572 | |||
Luxembourg — 8.2% | |||||
318,626 | InPost S.A. (EUR) (c) | 5,616,690 | |||
21,045 | Spotify Technology S.A. (c) | 6,603,710 | |||
12,220,400 | |||||
Netherlands — 3.9% | |||||
194,215 | Universal Music Group N.V. (EUR) | 5,778,091 | |||
Norway — 1.1% | |||||
486,090 | Var Energi ASA (NOK) | 1,717,272 | |||
Saudi Arabia — 0.6% | |||||
11,329 | SAL Saudi Logistics Services (SAR) | 911,369 | |||
South Korea — 0.9% | |||||
6,781 | Krafton, Inc. (KRW) (c) | 1,386,743 | |||
Spain — 0.7% | |||||
40,231 | Puig Brands S.A., Class B (EUR) (c) | 1,124,529 | |||
Sweden — 6.4% | |||||
231,531 | Nordnet AB publ (SEK) | 4,836,396 | |||
137,999 | Swedish Orphan Biovitrum AB (SEK) (c) | 3,692,473 | |||
98,593 | Tele2 AB, Class B (SEK) | 992,534 | |||
9,521,403 | |||||
Switzerland — 4.7% | |||||
44,583 | On Holding AG, Class A (c) | 1,729,820 | |||
144,957 | Sandoz Group AG (CHF) | 5,250,043 | |||
6,979,863 | |||||
Taiwan — 3.8% | |||||
1,320,376 | Pegatron Corp. (TWD) | 4,253,173 | |||
59,926 | Yageo Corp. (TWD) | 1,348,457 | |||
5,601,630 | |||||
United Kingdom — 7.0% | |||||
63,064 | ARM Holdings PLC, ADR (c) | 10,318,532 |
First Trust International Equity Opportunities ETF (FPXI)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) (Continued) | |||||
United States — 2.5% | |||||
88,620 | Coupang, Inc. (c) | $1,856,589 | |||
44,334 | Gen Digital, Inc. | 1,107,463 | |||
418,233 | GQG Partners, Inc. (AUD) | 789,577 | |||
3,753,629 | |||||
Total Common Stocks | 148,027,990 | ||||
(Cost $119,155,276) | |||||
MONEY MARKET FUNDS — 0.2% | |||||
266,862 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 5.11% (g) (h) | 266,862 | |||
(Cost $266,862) | |||||
Total Investments — 100.0% | 148,294,852 | ||||
(Cost $119,422,138) | |||||
Net Other Assets and Liabilities — (0.0)% | (55,248 ) | ||||
Net Assets — 100.0% | $148,239,604 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | Non-income producing security. |
(d) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
(e) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(f) | 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 $262,093 and the total value of the collateral held by the Fund is $266,862. |
(g) | Rate shown reflects yield as of June 30, 2024. |
(h) | This security serves as collateral for securities on loan. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
AUD | – Australian Dollar |
BRL | – Brazilian Real |
CAD | – Canadian Dollar |
CHF | – Swiss Franc |
EUR | – Euro |
HKD | – Hong Kong Dollar |
IDR | – Indonesian Rupiah |
JPY | – Japanese Yen |
KRW | – South Korean Won |
NOK | – Norwegian Krone |
SAR | – Saudi Riyal |
SEK | – Swedish Krona |
TWD | – New Taiwan Dollar |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Information Technology | 22.5% |
Health Care | 15.8 |
Consumer Discretionary | 15.4 |
Industrials | 12.9 |
Communication Services | 12.4 |
Financials | 12.1 |
Materials | 5.2 |
Energy | 2.2 |
Consumer Staples | 1.5 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
USD | 46.7% |
EUR | 16.0 |
JPY | 7.0 |
SEK | 6.4 |
CAD | 6.0 |
TWD | 3.8 |
CHF | 3.5 |
IDR | 3.5 |
HKD | 1.6 |
AUD | 1.5 |
BRL | 1.3 |
NOK | 1.2 |
KRW | 0.9 |
SAR | 0.6 |
Total | 100.0% |
First Trust International Equity Opportunities ETF (FPXI)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 148,027,990 | $ 148,027,990 | $ — | $ — |
Money Market Funds | 266,862 | 266,862 | — | — |
Total Investments | $148,294,852 | $148,294,852 | $— | $— |
* | See Portfolio of Investments for country breakout. |
First Trust Nasdaq Cybersecurity ETF (CIBR)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.7% | |||||
Canada — 2.7% | |||||
8,361,596 | BlackBerry Ltd. (c) | $20,736,758 | |||
5,101,017 | Open Text Corp. (CAD) | 153,174,064 | |||
173,910,822 | |||||
France — 3.2% | |||||
1,331,501 | Thales S.A. (EUR) | 213,182,757 | |||
India — 8.1% | |||||
28,694,397 | Infosys Ltd., ADR | 534,289,672 | |||
Israel — 7.7% | |||||
1,596,781 | Check Point Software Technologies Ltd. (c) | 263,468,865 | |||
830,842 | CyberArk Software Ltd. (c) | 227,168,820 | |||
742,229 | Radware Ltd. (c) | 13,538,257 | |||
504,175,942 | |||||
Japan — 1.6% | |||||
2,522,873 | Trend Micro, Inc. (JPY) | 102,410,862 | |||
United Kingdom — 0.5% | |||||
4,810,719 | Darktrace PLC (GBP) (c) | 35,064,223 | |||
United States — 75.9% | |||||
1,025,586 | A10 Networks, Inc. | 14,204,366 | |||
2,605,329 | Akamai Technologies, Inc. (c) | 234,688,036 | |||
1,578,842 | Booz Allen Hamilton Holding Corp. | 242,983,784 | |||
361,771 | Broadcom, Inc. | 580,834,194 | |||
10,336,154 | Cisco Systems, Inc. | 491,070,677 | |||
3,550,237 | Cloudflare, Inc., Class A (c) | 294,066,131 | |||
1,532,283 | Crowdstrike Holdings, Inc., Class A (c) | 587,155,523 | |||
968,813 | F5, Inc. (c) | 166,858,663 | |||
4,051,172 | Fortinet, Inc. (c) | 244,164,136 | |||
9,678,436 | Gen Digital, Inc. | 241,767,331 | |||
1,634,244 | Leidos Holdings, Inc. | 238,403,515 | |||
1,068,036 | NetScout Systems, Inc. (c) | 19,534,378 | |||
2,686,353 | Okta, Inc. (c) | 251,469,504 | |||
1,629,756 | Palo Alto Networks, Inc. (c) | 552,503,582 | |||
639,660 | Qualys, Inc. (c) | 91,215,516 | |||
1,054,717 | Rapid7, Inc. (c) | 45,595,416 | |||
917,390 | Science Applications International Corp. | 107,839,194 | |||
5,640,858 | SentinelOne, Inc., Class A (c) | 118,740,061 | |||
1,964,817 | Tenable Holdings, Inc. (c) | 85,626,725 | |||
2,018,616 | Varonis Systems, Inc. (c) | 96,833,010 | |||
1,413,954 | Zscaler, Inc. (c) | 271,747,819 | |||
4,977,301,561 | |||||
Total Common Stocks | 6,540,335,839 | ||||
(Cost $5,168,544,808) |
Shares | Description | Value | |||
MONEY MARKET FUNDS — 0.3% | |||||
16,000,543 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (d) | $16,000,543 | |||
(Cost $16,000,543) | |||||
Total Investments — 100.0% | 6,556,336,382 | ||||
(Cost $5,184,545,351) | |||||
Net Other Assets and Liabilities — 0.0% | 1,114,528 | ||||
Net Assets — 100.0% | $6,557,450,910 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | Non-income producing security. |
(d) | Rate shown reflects yield as of June 30, 2024. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
CAD | – Canadian Dollar |
EUR | – Euro |
GBP | – British Pound Sterling |
JPY | – Japanese Yen |
Sector Allocation | % of Total Long-Term Investments |
Information Technology | 87.7% |
Industrials | 12.3 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 6,540,335,839 | $ 6,540,335,839 | $ — | $ — |
Money Market Funds | 16,000,543 | 16,000,543 | — | — |
Total Investments | $6,556,336,382 | $6,556,336,382 | $— | $— |
* | See Portfolio of Investments for country breakout. |
First Trust IPOX® Europe Equity Opportunities ETF (FPXE)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.7% | |||||
Austria — 0.2% | |||||
124 | BAWAG Group AG (EUR) (c) (d) | $7,848 | |||
Bahamas — 0.1% | |||||
165 | OneSpaWorld Holdings Ltd. (e) | 2,536 | |||
Belgium — 2.9% | |||||
166 | Solvay S.A. (EUR) | 5,843 | |||
166 | Syensqo S.A. (EUR) | 14,857 | |||
612 | UCB S.A. (EUR) | 90,907 | |||
111,607 | |||||
Bermuda — 2.8% | |||||
220 | BW LPG Ltd. (NOK) (c) (d) | 4,086 | |||
1,299 | Conduit Holdings Ltd. (GBP) | 8,112 | |||
8,022 | Hafnia Ltd. (NOK) | 67,395 | |||
268 | SiriusPoint Ltd. (e) | 3,269 | |||
679 | Viking Holdings Ltd. (e) | 23,045 | |||
105,907 | |||||
Cayman Islands — 0.3% | |||||
794 | Amer Sports, Inc. (e) | 9,981 | |||
Cyprus — 0.3% | |||||
1,795 | HeadHunter Group PLC, ADR (e) (f) (g) (h) | 0 | |||
880 | Theon International PLC (EUR) (e) | 12,044 | |||
12,044 | |||||
Denmark — 3.3% | |||||
552 | Cadeler A/S (NOK) (e) | 3,485 | |||
842 | Novo Nordisk A/S, Class B (DKK) | 121,586 | |||
125,071 | |||||
Finland — 0.9% | |||||
3,944 | Mandatum Oyj (EUR) | 17,647 | |||
1,599 | Puuilo Oyj (EUR) | 17,262 | |||
34,909 | |||||
France — 0.0% | |||||
80 | Exosens SAS (EUR) (e) | 1,817 | |||
Germany — 12.3% | |||||
1,941 | Daimler Truck Holding AG (EUR) | 77,266 | |||
1,432 | Dr. Ing hc F Porsche AG (Preference Shares) (EUR) (c) (d) | 106,616 | |||
4,152 | E.ON SE (EUR) | 54,493 | |||
182 | Hensoldt AG (EUR) | 6,693 | |||
2,201 | Ionos SE (EUR) (e) | 59,872 | |||
157 | RENK Group AG (EUR) | 4,250 | |||
1,257 | Siemens Energy AG (EUR) (e) | 32,726 |
Shares | Description | Value | |||
Germany (Continued) | |||||
1,773 | Siemens Healthineers AG (EUR) (c) (d) | $102,155 | |||
786 | Traton SE (EUR) | 25,716 | |||
469,787 | |||||
Greece — 0.1% | |||||
472 | Athens International Airport S.A. (EUR) | 3,968 | |||
116 | Optima bank S.A. (EUR) | 1,493 | |||
5,461 | |||||
Ireland — 8.2% | |||||
861 | CRH PLC | 64,558 | |||
162 | ICON PLC (e) | 50,782 | |||
2,610 | nVent Electric PLC | 199,952 | |||
315,292 | |||||
Israel — 4.4% | |||||
3,227 | Cellebrite DI Ltd. (e) | 38,563 | |||
538 | Monday.com Ltd. (e) | 129,529 | |||
281 | Riskified Ltd., Class A (e) | 1,795 | |||
169,887 | |||||
Italy — 3.0% | |||||
532 | Ferretti S.p.A. (EUR) | 1,590 | |||
151 | Intercos S.p.A. (EUR) | 2,448 | |||
4,747 | Lottomatica Group S.p.A. (EUR) | 57,396 | |||
55 | Sanlorenzo S.p.A. (EUR) | 2,274 | |||
5,135 | Technoprobe S.p.A. (EUR) (e) | 50,594 | |||
114,302 | |||||
Jersey — 2.7% | |||||
1,181 | Birkenstock Holding PLC (e) | 64,258 | |||
1,612 | CVC Capital Partners PLC (EUR) (c) (d) (e) | 29,581 | |||
252 | Janus Henderson Group PLC | 8,495 | |||
341 | Yellow Cake PLC (GBP) (c) (d) (e) | 2,509 | |||
104,843 | |||||
Kazakhstan — 1.0% | |||||
299 | Kaspi.KZ JSC, ADR | 38,574 | |||
Luxembourg — 8.4% | |||||
8,308 | Allegro.eu S.A. (PLN) (c) (d) (e) | 77,804 | |||
419 | Alvotech S.A. (e) | 5,095 | |||
940 | Ardagh Metal Packaging S.A. | 3,196 | |||
6,288 | InPost S.A. (EUR) (e) | 110,844 | |||
399 | Spotify Technology S.A. (e) | 125,202 | |||
322,141 | |||||
Netherlands — 5.0% | |||||
713 | CTP N.V. (EUR) (c) (d) | 12,156 | |||
394 | Ermenegildo Zegna N.V. | 4,665 | |||
162 | Immatics N.V. (e) | 1,882 | |||
530 | Merus N.V. (e) | 31,360 | |||
141 | Newamsterdam Pharma Co. N.V. (e) | 2,709 |
First Trust IPOX® Europe Equity Opportunities ETF (FPXE)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) (Continued) | |||||
Netherlands (Continued) | |||||
231 | Pluxee N.V. (EUR) (e) | $6,480 | |||
1,998 | Technip Energies N.V. (EUR) | 44,807 | |||
2,876 | Universal Music Group N.V. (EUR) | 85,564 | |||
189,623 | |||||
Norway — 4.2% | |||||
2,777 | DOF Group ASA (NOK) (e) | 25,164 | |||
423 | Elopak ASA (NOK) | 1,432 | |||
2,099 | Hoegh Autoliners ASA (NOK) | 24,731 | |||
4,881 | Norconsult Norge A/S (NOK) | 15,635 | |||
4,723 | Orkla ASA (NOK) | 38,374 | |||
270 | SmartCraft ASA (NOK) (e) | 784 | |||
2,200 | Telenor ASA (NOK) | 25,076 | |||
7,849 | Var Energi ASA (NOK) | 27,729 | |||
158,925 | |||||
Spain — 0.7% | |||||
893 | Puig Brands S.A., Class B (EUR) (e) | 24,961 | |||
Sweden — 18.5% | |||||
3,944 | Alleima AB (SEK) | 25,601 | |||
7,346 | Atlas Copco AB, Class A (SEK) | 138,062 | |||
3,355 | BoneSupport Holding AB (SEK) (c) (d) (e) | 83,250 | |||
239 | Engcon AB (SEK) | 1,957 | |||
1,953 | EQT AB (SEK) | 57,711 | |||
2,429 | Hemnet Group AB (SEK) | 73,381 | |||
4,640 | Munters Group AB (SEK) (c) (d) | 87,468 | |||
6,129 | Nordnet AB publ (SEK) | 128,027 | |||
3,579 | Rusta AB (SEK) (e) | 26,339 | |||
2,228 | Swedish Orphan Biovitrum AB (SEK) (e) | 59,615 | |||
236 | Synsam AB (SEK) | 1,174 | |||
1,095 | Tele2 AB, Class B (SEK) | 11,023 | |||
677 | Yubico AB (SEK) (e) | 14,468 | |||
708,076 | |||||
Switzerland — 7.4% | |||||
1,040 | Accelleron Industries AG (CHF) | 40,746 | |||
786 | Alcon, Inc. | 70,017 | |||
374 | Galderma Group AG (CHF) (e) | 30,787 | |||
2,227 | On Holding AG, Class A (e) | 86,408 | |||
1,525 | Sandoz Group AG (CHF) | 55,232 | |||
283,190 | |||||
United Kingdom — 11.9% | |||||
2,307 | Alphawave IP Group PLC (GBP) (e) | 4,199 | |||
1,812 | ARM Holdings PLC, ADR (e) | 296,480 | |||
126 | Ashtead Technology Holdings PLC (GBP) | 1,211 |
Shares | Description | Value | |||
United Kingdom (Continued) | |||||
767 | Baltic Classifieds Group PLC (GBP) | $2,327 | |||
711 | Centessa Pharmaceuticals PLC, ADR (e) | 6,420 | |||
1,101 | Darktrace PLC (GBP) (e) | 8,025 | |||
2,557 | Deliveroo PLC (GBP) (c) (d) (e) | 4,231 | |||
1,532 | Finablr PLC (GBP) (c) (e) (f) (g) (h) | 0 | |||
708 | Frasers Group PLC (GBP) (e) | 7,898 | |||
14,357 | Haleon PLC (GBP) | 58,547 | |||
1,633 | Just Group PLC (GBP) | 2,176 | |||
1,701 | Petershill Partners PLC (GBP) (c) (d) | 4,483 | |||
304 | Raspberry PI Holdings PLC (GBP) (e) | 1,539 | |||
3,969 | Rentokil Initial PLC (GBP) | 23,139 | |||
6,536 | Trustpilot Group PLC (GBP) (c) (d) (e) | 17,764 | |||
2,238 | Wise PLC, Class A (GBP) (e) | 19,280 | |||
457,719 | |||||
United States — 1.1% | |||||
1,723 | Gen Digital, Inc. | 43,041 | |||
Total Common Stocks | 3,817,542 | ||||
(Cost $3,099,288) | |||||
MONEY MARKET FUNDS — 0.1% | |||||
4,743 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (i) | 4,743 | |||
(Cost $4,743) | |||||
Total Investments — 99.8% | 3,822,285 | ||||
(Cost $3,104,031) | |||||
Net Other Assets and Liabilities — 0.2% | 9,188 | ||||
Net Assets — 100.0% | $3,831,473 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
First Trust IPOX® Europe Equity Opportunities ETF (FPXE)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | Non-income producing security. |
(f) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors L.P., the Fund’s advisor. |
(g) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures approved by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940 and rules thereunder, as amended. At June 30, 2024, securities noted as such are valued at $0 or 0.0% of net assets. |
(h) | This security’s value was determined using significant unobservable inputs (see Valuation Inputs in the Additional Information section). |
(i) | Rate shown reflects yield as of June 30, 2024. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
CHF | – Swiss Franc |
DKK | – Danish Krone |
EUR | – Euro |
GBP | – British Pound Sterling |
NOK | – Norwegian Krone |
PLN | – Polish Zloty |
SEK | – Swedish Krona |
USD | – United States Dollar |
Sector Allocation | % of Total Long-Term Investments |
Industrials | 21.5% |
Health Care | 18.7 |
Information Technology | 17.0 |
Consumer Discretionary | 12.9 |
Communication Services | 8.9 |
Financials | 8.6 |
Energy | 4.4 |
Consumer Staples | 3.3 |
Materials | 3.0 |
Utilities | 1.4 |
Real Estate | 0.3 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
USD | 34.5% |
EUR | 28.1 |
SEK | 18.5 |
NOK | 6.1 |
GBP | 4.3 |
CHF | 3.3 |
DKK | 3.2 |
PLN | 2.0 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks: | ||||
Cyprus | $ 12,044 | $ 12,044 | $ — | $ —** |
United Kingdom | 457,719 | 457,719 | — | —** |
Other Country Categories* | 3,347,779 | 3,347,779 | — | — |
Money Market Funds | 4,743 | 4,743 | — | — |
Total Investments | $3,822,285 | $3,822,285 | $— | $—** |
* | See Portfolio of Investments for country breakout. |
** | Investments are valued at $0. |
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust Dow Jones International Internet ETF (FDNI)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 97.8% | |||||
Australia — 3.4% | |||||
10,507 | CAR Group Ltd. (AUD) | $247,074 | |||
1,435 | REA Group Ltd. (AUD) | 188,260 | |||
9,923 | SEEK Ltd. (AUD) | 141,395 | |||
5,109 | WiseTech Global Ltd. (AUD) | 341,843 | |||
918,572 | |||||
Canada — 9.1% | |||||
2,375 | Descartes Systems Group (The), Inc. (CAD) (c) | 230,113 | |||
33,692 | Shopify, Inc., Class A (CAD) (c) | 2,226,595 | |||
2,456,708 | |||||
Cayman Islands — 49.5% | |||||
295,148 | Alibaba Group Holding Ltd. (HKD) | 2,664,592 | |||
63,548 | Baidu, Inc., Class A (HKD) (c) | 693,742 | |||
70,115 | JD.com, Inc., Class A (HKD) | 927,498 | |||
9,306 | Kanzhun Ltd., ADR | 175,046 | |||
69,884 | Kuaishou Technology (HKD) (c) (d) (e) | 413,001 | |||
84,925 | Meituan, Class B (HKD) (c) (d) (e) | 1,208,235 | |||
48,696 | NetEase, Inc. (HKD) | 929,764 | |||
18,560 | PDD Holdings, Inc., ADR (c) | 2,467,552 | |||
9,723 | Sea Ltd., ADR (c) | 694,417 | |||
58,981 | Tencent Holdings Ltd. (HKD) | 2,812,701 | |||
17,459 | Tencent Music Entertainment Group, ADR | 245,299 | |||
7,506 | Vipshop Holdings Ltd., ADR | 97,728 | |||
13,329,575 | |||||
Germany — 1.6% | |||||
5,825 | Delivery Hero SE (EUR) (c) (d) (e) | 138,178 | |||
2,090 | Scout24 SE (EUR) (d) (e) | 159,366 | |||
6,099 | Zalando SE (EUR) (c) (d) (e) | 142,980 | |||
440,524 | |||||
Indonesia — 0.3% | |||||
27,779,581 | GoTo Gojek Tokopedia Tbk PT (IDR) (c) | 84,823 | |||
Ireland — 3.4% | |||||
4,946 | Flutter Entertainment PLC (GBP) (c) | 904,382 | |||
Isle Of Man — 0.5% | |||||
17,800 | Entain PLC (GBP) | 141,756 | |||
Israel — 0.9% | |||||
1,550 | Wix.com Ltd. (c) | 246,558 | |||
Japan — 2.7% | |||||
74,476 | LY Corp. (JPY) | 180,022 | |||
11,872 | M3, Inc. (JPY) | 113,156 |
Shares | Description | Value | |||
Japan (Continued) | |||||
12,382 | Nexon Co., Ltd. (JPY) | $228,954 | |||
41,273 | Rakuten Group, Inc. (JPY) (c) | 212,894 | |||
735,026 | |||||
Luxembourg — 4.7% | |||||
4,033 | Spotify Technology S.A. (c) | 1,265,515 | |||
Netherlands — 9.3% | |||||
865 | Adyen N.V. (EUR) (c) (d) (e) | 1,031,238 | |||
40,927 | Prosus N.V. (EUR) | 1,457,812 | |||
15,088 | Yandex N.V., Class A (c) (f) (g) (h) | 0 | |||
2,489,050 | |||||
New Zealand — 1.3% | |||||
3,947 | Xero Ltd. (AUD) (c) | 359,146 | |||
South Africa — 3.6% | |||||
4,967 | Naspers Ltd., Class N (ZAR) | 973,872 | |||
South Korea — 3.5% | |||||
8,430 | Kakao Corp. (KRW) | 248,950 | |||
916 | Krafton, Inc. (KRW) (c) | 187,326 | |||
4,152 | NAVER Corp. (KRW) | 503,428 | |||
939,704 | |||||
United Kingdom — 1.5% | |||||
25,172 | Auto Trader Group PLC (GBP) (d) (e) | 254,940 | |||
22,456 | Rightmove PLC (GBP) | 152,436 | |||
407,376 | |||||
United States — 2.5% | |||||
31,908 | Coupang, Inc. (c) | 668,473 | |||
Total Common Stocks | 26,361,060 | ||||
(Cost $35,123,854) | |||||
MONEY MARKET FUNDS — 1.9% | |||||
508,590 | Dreyfus Government Cash Management Fund, Institutional Shares - 5.19% (i) | 508,590 | |||
(Cost $508,590) | |||||
Total Investments — 99.7% | 26,869,650 | ||||
(Cost $35,632,444) | |||||
Net Other Assets and Liabilities — 0.3% | 68,651 | ||||
Net Assets — 100.0% | $26,938,301 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | Non-income producing security. |
First Trust Dow Jones International Internet ETF (FDNI)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
(d) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
(e) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(f) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors L.P., the Fund’s advisor. |
(g) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures approved by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940 and rules thereunder, as amended. At June 30, 2024, securities noted as such are valued at $0 or 0.0% of net assets. |
(h) | This security’s value was determined using significant unobservable inputs (see Valuation Inputs in the Additional Information section). |
(i) | Rate shown reflects yield as of June 30, 2024. |
Abbreviations throughout the Portfolio of Investments: | |
ADR | – American Depositary Receipt |
AUD | – Australian Dollar |
CAD | – Canadian Dollar |
EUR | – Euro |
GBP | – British Pound Sterling |
HKD | – Hong Kong Dollar |
IDR | – Indonesian Rupiah |
JPY | – Japanese Yen |
KRW | – South Korean Won |
USD | – United States Dollar |
ZAR | – South African Rand |
Sector Allocation | % of Total Long-Term Investments |
Consumer Discretionary | 45.9% |
Communication Services | 36.9 |
Information Technology | 12.9 |
Financials | 3.9 |
Health Care | 0.4 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
HKD | 35.9% |
USD | 23.7 |
EUR | 10.9 |
CAD | 9.2 |
GBP | 5.4 |
AUD | 4.8 |
ZAR | 3.6 |
KRW | 3.5 |
JPY | 2.7 |
IDR | 0.3 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks: | ||||
Netherlands | $ 2,489,050 | $ 2,489,050 | $ — | $ —** |
Other Country Categories* | 23,872,010 | 23,872,010 | — | — |
Money Market Funds | 508,590 | 508,590 | — | — |
Total Investments | $26,869,650 | $26,869,650 | $— | $—** |
* | See Portfolio of Investments for country breakout. |
** | Investment is valued at $0. |
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust Bloomberg Emerging Market Democracies ETF (EMDM)Portfolio of InvestmentsJune 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) — 99.9% | |||||
Brazil — 12.6% | |||||
19,601 | Ambev S.A. (BRL) | $40,008 | |||
24,274 | B3 S.A. - Brasil Bolsa Balcao (BRL) | 44,465 | |||
29,036 | Banco Bradesco S.A. (Preference Shares) (BRL) | 64,304 | |||
5,832 | Banco BTG Pactual S.A. (BRL) | 32,247 | |||
12,635 | Banco do Brasil S.A. (BRL) | 60,371 | |||
16,665 | Banco Santander Brasil S.A. (BRL) | 81,863 | |||
23,172 | Itau Unibanco Holding S.A. (Preference Shares) (BRL) | 134,345 | |||
27,951 | Itausa S.A. (Preference Shares) (BRL) | 49,101 | |||
4,003 | Localiza Rent a Car S.A. (BRL) | 30,076 | |||
37,094 | Petroleo Brasileiro S.A. (Preference Shares) (BRL) | 252,487 | |||
3,366 | Suzano S.A. (BRL) | 34,328 | |||
13,239 | Vale S.A. (BRL) | 147,355 | |||
6,702 | WEG S.A. (BRL) | 50,582 | |||
1,021,532 | |||||
Hungary — 2.0% | |||||
3,217 | OTP Bank Nyrt (HUF) | 159,843 | |||
India — 15.8% | |||||
322 | Adani Enterprises Ltd. (INR) | 12,268 | |||
546 | Adani Green Energy Ltd. (INR) (c) | 11,713 | |||
907 | Adani Ports & Special Economic Zone Ltd. (INR) | 16,077 | |||
553 | Asian Paints Ltd. (INR) | 19,345 | |||
283 | Avenue Supermarts Ltd. (INR) (c) (d) (e) | 16,008 | |||
3,389 | Axis Bank Ltd. (INR) | 51,422 | |||
135 | Bajaj Auto Ltd. (INR) | 15,383 | |||
314 | Bajaj Finance Ltd. (INR) | 26,794 | |||
621 | Bajaj Finserv Ltd. (INR) | 11,827 | |||
2,752 | Bharti Airtel Ltd. (INR) | 47,657 | |||
623 | Cipla Ltd. (INR) | 11,063 | |||
408 | Grasim Industries Ltd. (INR) | 13,066 | |||
1,150 | HCL Technologies Ltd. (INR) | 20,129 | |||
8,614 | HDFC Bank Ltd. (INR) | 173,938 | |||
971 | Hindustan Unilever Ltd. (INR) | 28,797 | |||
7,770 | ICICI Bank Ltd. (INR) | 111,778 | |||
744 | IndusInd Bank Ltd. (INR) | 13,067 | |||
3,741 | Infosys Ltd. (INR) | 70,289 | |||
7,860 | ITC Ltd. (INR) | 40,050 | |||
3,402 | Jio Financial Services Ltd. (INR) (c) | 14,612 | |||
1,599 | Kotak Mahindra Bank Ltd. (INR) | 34,564 | |||
1,172 | Larsen & Toubro Ltd. (INR) | 49,873 |
Shares | Description | Value | |||
India (Continued) | |||||
1,032 | Mahindra & Mahindra Ltd. (INR) | $35,477 | |||
153 | Maruti Suzuki India Ltd. (INR) | 22,080 | |||
417 | Nestle India Ltd. (INR) | 12,760 | |||
5,097 | NTPC Ltd. (INR) | 23,126 | |||
5,011 | Power Grid Corp. of India Ltd. (INR) | 19,888 | |||
3,578 | Reliance Industries Ltd. (INR) | 134,337 | |||
3,606 | State Bank of India (INR) | 36,712 | |||
1,215 | Sun Pharmaceutical Industries Ltd. (INR) | 22,160 | |||
1,056 | Tata Consultancy Services Ltd. (INR) | 49,441 | |||
2,352 | Tata Motors Ltd. (INR) | 27,917 | |||
8,801 | Tata Steel Ltd. (INR) | 18,366 | |||
441 | Titan Co., Ltd. (INR) | 18,003 | |||
239 | Trent, Ltd. (INR) | 15,706 | |||
141 | UltraTech Cement Ltd. (INR) | 19,729 | |||
7,448 | Zomato Ltd. (INR) (c) | 17,914 | |||
1,283,336 | |||||
Mexico — 12.3% | |||||
221,251 | America Movil S.A.B. de C.V., Series B (MXN) | 188,296 | |||
110,526 | Cemex S.A.B. de C.V., Series CPO (MXN) | 70,744 | |||
16,484 | Fomento Economico Mexicano S.A.B. de C.V., Series UBD (MXN) | 177,346 | |||
21,998 | Grupo Financiero Banorte S.A.B. de C.V., Class O (MXN) | 171,415 | |||
48,005 | Grupo Mexico S.A.B. de C.V., Series B (MXN) | 258,222 | |||
39,169 | Wal-Mart de Mexico S.A.B. de C.V. (MXN) | 133,297 | |||
999,320 | |||||
Philippines — 1.3% | |||||
7,589 | SM Investments Corp. (PHP) | 107,538 | |||
Poland — 7.2% | |||||
3,778 | Bank Polska Kasa Opieki S.A. (PLN) | 157,665 | |||
10,465 | ORLEN S.A. (PLN) | 175,966 | |||
15,870 | Powszechna Kasa Oszczednosci Bank Polski S.A. (PLN) | 248,044 | |||
581,675 | |||||
South Africa — 16.7% | |||||
1,485 | Capitec Bank Holdings Ltd. (ZAR) | 214,583 | |||
84,702 | FirstRand Ltd. (ZAR) | 358,012 |
First Trust Bloomberg Emerging Market Democracies ETF (EMDM)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Shares | Description | Value | |||
COMMON STOCKS (a) (b) (Continued) | |||||
South Africa (Continued) | |||||
2,659 | Naspers Ltd., Class N (ZAR) | $521,346 | |||
22,425 | Standard Bank Group Ltd. (ZAR) | 259,837 | |||
1,353,778 | |||||
South Korea — 14.5% | |||||
270 | Celltrion, Inc. (KRW) | 34,189 | |||
188 | Ecopro Co., Ltd. (KRW) (c) | 12,306 | |||
489 | Hana Financial Group, Inc. (KRW) | 21,564 | |||
225 | HLB, Inc. (KRW) (c) | 9,562 | |||
100 | Hyundai Mobis Co., Ltd. (KRW) | 18,271 | |||
298 | Hyundai Motor Co. (KRW) | 63,865 | |||
525 | Kakao Corp. (KRW) | 15,504 | |||
571 | KB Financial Group, Inc. (KRW) | 32,563 | |||
407 | Kia Corp. (KRW) | 38,231 | |||
88 | LG Chem Ltd. (KRW) | 22,088 | |||
237 | NAVER Corp. (KRW) | 28,736 | |||
119 | POSCO Holdings, Inc. (KRW) | 31,382 | |||
33 | Samsung Biologics Co., Ltd. (KRW) (c) (d) (e) | 17,429 | |||
10,510 | Samsung Electronics Co., Ltd. (KRW) | 622,278 | |||
89 | Samsung SDI Co., Ltd. (KRW) | 22,888 | |||
836 | Shinhan Financial Group Co., Ltd. (KRW) | 29,243 | |||
901 | SK Hynix, Inc. (KRW) | 154,803 | |||
1,174,902 | |||||
Taiwan — 17.5% | |||||
4,824 | ASE Technology Holding Co., Ltd. (TWD) | 25,056 | |||
10,928 | Cathay Financial Holding Co., Ltd. (TWD) | 19,874 | |||
5,515 | Chunghwa Telecom Co., Ltd. (TWD) | 21,335 | |||
22,692 | CTBC Financial Holding Co., Ltd. (TWD) | 26,475 | |||
2,394 | Delta Electronics, Inc. (TWD) | 28,595 | |||
17,905 | E.Sun Financial Holding Co., Ltd. (TWD) | 15,757 | |||
6,032 | Formosa Plastics Corp. (TWD) | 10,691 | |||
9,726 | Fubon Financial Holding Co., Ltd. (TWD) | 23,774 | |||
14,966 | Hon Hai Precision Industry Co., Ltd. (TWD) | 98,723 | |||
1,815 | MediaTek, Inc. (TWD) | 78,326 | |||
14,014 | Mega Financial Holding Co., Ltd. (TWD) | 17,452 | |||
727 | Novatek Microelectronics Corp. (TWD) | 13,580 | |||
3,457 | Quanta Computer, Inc. (TWD) | 33,247 |
Shares | Description | Value | |||
Taiwan (Continued) | |||||
31,461 | Taiwan Semiconductor Manufacturing Co., Ltd. (TWD) | $936,804 | |||
5,969 | Uni-President Enterprises Corp. (TWD) | 14,959 | |||
14,071 | United Microelectronics Corp. (TWD) | 24,159 | |||
3,402 | Wistron Corp. (TWD) | 11,116 | |||
15,563 | Yuanta Financial Holding Co., Ltd. (TWD) | 15,375 | |||
1,415,298 | |||||
Total Common Stocks | 8,097,222 | ||||
(Cost $7,239,670) | |||||
RIGHTS (a) (b) — 0.0% | |||||
Brazil — 0.0% | |||||
40 | Localiza Rent a Car S.A., expiring 08/06/24 (BRL) (c) (f) | 64 | |||
(Cost $0) | |||||
Total Investments — 99.9% | 8,097,286 | ||||
(Cost $7,239,670) | |||||
Net Other Assets and Liabilities — 0.1% | 10,511 | ||||
Net Assets — 100.0% | $8,107,797 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Securities are issued in U.S. dollars unless otherwise indicated in the security description. |
(c) | Non-income producing security. |
(d) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. |
(e) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(f) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors L.P., the Fund’s advisor. |
First Trust Bloomberg Emerging Market Democracies ETF (EMDM)Portfolio of Investments (Continued)June 30, 2024 (Unaudited)
Abbreviations throughout the Portfolio of Investments: | |
BRL | – Brazilian Real |
HUF | – Hungarian Forint |
INR | – Indian Rupee |
KRW | – South Korean Won |
MXN | – Mexican Peso |
PHP | – Philippine Peso |
PLN | – Polish Zloty |
TWD | – New Taiwan Dollar |
ZAR | – South African Rand |
Sector Allocation | % of Total Long-Term Investments |
Financials | 33.5% |
Information Technology | 27.0 |
Consumer Discretionary | 9.8 |
Materials | 8.0 |
Energy | 7.0 |
Consumer Staples | 5.7 |
Communication Services | 3.7 |
Industrials | 3.4 |
Health Care | 1.2 |
Utilities | 0.7 |
Total | 100.0% |
Currency Exposure Diversification | % of Total Investments |
TWD | 17.5% |
ZAR | 16.7 |
INR | 15.9 |
KRW | 14.5 |
BRL | 12.6 |
MXN | 12.3 |
PLN | 7.2 |
HUF | 2.0 |
PHP | 1.3 |
Total | 100.0% |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2024 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2024 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 8,097,222 | $ 8,097,222 | $ — | $ — |
Rights* | 64 | 64 | — | — |
Total Investments | $8,097,286 | $8,097,286 | $— | $— |
* | See Portfolio of Investments for country breakout. |
First Trust Exchange-Traded Fund IIAdditional InformationJune 30, 2024 (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
First Trust Cloud Computing ETF
First Trust Nasdaq Cybersecurity ETF
First Trust Nasdaq Cybersecurity ETF
Nasdaq®, ISE CTA Cloud ComputingTM Index, and Nasdaq CTA CybersecurityTM Index (“the Nasdaq Indexes”) 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 NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund
First Trust Global Wind Energy ETF
First Trust Global Wind Energy ETF
Nasdaq®, Clean Edge®, Nasdaq Clean Edge Smart Grid InfrastructureTM Index, and ISE Clean Edge Global Wind EnergyTM Index (“the Nasdaq Indexes”) are registered trademarks and service marks of Nasdaq, Inc. and Clean Edge, Inc., respectively (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 Dow Jones Global Select Dividend Index Fund
First Trust Dow Jones International Internet ETF
First Trust Dow Jones International Internet ETF
Dow Jones Global Select Dividend Index and Dow Jones International Internet Index (“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 product nor do they have any liability for any errors, omissions, or interruptions of the S&P Dow Jones Indexes.
First Trust Alerian Disruptive Technology Real Estate ETF
First Trust Alerian U.S. NextGen Infrastructure ETF
First Trust Alerian U.S. NextGen Infrastructure ETF
Alerian, Alerian Disruptive Technology Real Estate Index and Alerian U.S. NextGen Infrastructure Index (“the Alerian Indexes”) are service marks of VettaFi LLC and have been licensed for use by First Trust Advisors L.P. The Funds are not issued, sponsored, endorsed, sold or promoted by VettaFi LLC or its affiliates (collectively, “VettaFi”). VettaFi makes no representation or warranty, express or implied, to the purchasers or owners of the Funds or any member of the public regarding the advisability of investing in securities generally or in the Funds particularly or the ability of the Alerian Indexes to track general market performances. VettaFi’s only relationship to the Funds is the licensing of the service marks and the Alerian Indexes, which is determined, composed and calculated by VettaFi without regard to First Trust Advisors L.P. or the Funds. VettaFi is not responsible for and has not participated
First Trust Exchange-Traded Fund IIAdditional Information (Continued)June 30, 2024 (Unaudited)
in the determination of the timing of, prices at, or quantities of the Funds issued by First Trust Advisors L.P. VettaFi has no obligation or liability in connection with the issuance, administration, marketing or trading of the Funds.
First Trust Indxx Global Agriculture ETF
First Trust Indxx Global Natural Resources Income ETF
First Trust Indxx NextG ETF
First Trust Indxx Global Natural Resources Income ETF
First Trust Indxx NextG ETF
Indxx, Indxx Global Agriculture Index, Indxx Global Natural Resources Income Index and Indxx 5G & NextG Thematic IndexSM (“Indxx Indexes”) are trademarks of Indxx, Inc. (“Indxx”) and have been licensed for use for certain purposes by First Trust. The Funds are not sponsored, endorsed, sold or promoted by Indxx and Indxx makes no representation regarding the advisability of trading in such products. The Indxx Indexes are determined, composed and calculated by Indxx without regard to First Trust or the Funds.
First Trust International Equity Opportunities ETF
First Trust IPOX® Europe Equity Opportunities ETF
First Trust IPOX® Europe Equity Opportunities ETF
IPOX®, IPOX® International Index, and IPOX®-100 Europe Index are registered international trademarks and service marks of IPOX® Schuster LLC (“IPOX”) and have been licensed for use by First Trust. The Funds are not sponsored, endorsed, sold or promoted by IPOX, and IPOX makes no representation regarding the advisability of trading in such Funds. IPOX® is an international trademark of IPOX Schuster LLC. Index of Initial Public Offerings (IPOX) and IPOX Derivatives Patent No. US 7,698,197.
First Trust STOXX® European Select Dividend Index Fund
The STOXX® Europe Select Dividend 30 Index (“STOXX Index”) is the intellectual property (including registered trademarks) of STOXX Ltd., Zug, Switzerland (“STOXX”), Deutsche Börse Group or their licensors, which is used under license. The Fund is neither sponsored nor promoted, distributed or in any other manner supported by STOXX, Deutsche Börse Group or their licensors, research partners or data providers and STOXX, Deutsche Börse Group and their licensors, research partners or data providers do not give any warranty, and exclude any liability (whether in negligence or otherwise) with respect thereto generally or specifically in relation to any errors, omissions or interruptions in the STOXX Index or its data.
First Trust S-Network Future Vehicles & Technology ETF
S-Network and S-Network Electric & Future Vehicle Ecosystem Index are service marks of VettaFi LLC and have been licensed for use by First Trust Advisors L.P. The Fund is not issued, sponsored, endorsed, sold or promoted by VettaFi LLC or its affiliates (collectively, “VettaFi”). VettaFi makes no representation or warranty, express or implied, to the purchasers or 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 Index to track general market performance. VettaFi’s only relationship to the Fund is the licensing of the service marks and the Index, which is determined, composed and calculated by VettaFi without regard to First Trust Advisors L.P. or the Fund. VettaFi is not responsible for and has not participated in the determination of the timing of, prices at, or quantities of the Fund issued by First Trust Advisors L.P. VettaFi has no obligation or liability in connection with the issuance, administration, marketing or trading of the Fund.
First Trust Bloomberg Emerging Market Democracies ETF
“Bloomberg®” and Bloomberg Emerging Market Democracies 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 Indices or the Financial Products.