0001445546-20-003303.txt : 20200709
0001445546-20-003303.hdr.sgml : 20200709
20200709092830
ACCESSION NUMBER: 0001445546-20-003303
CONFORMED SUBMISSION TYPE: 40-17G/A
PUBLIC DOCUMENT COUNT: 4
FILED AS OF DATE: 20200709
DATE AS OF CHANGE: 20200709
EFFECTIVENESS DATE: 20200709
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
CENTRAL INDEX KEY: 0001383496
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22019
FILM NUMBER: 201019719
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUND
CENTRAL INDEX KEY: 0001276469
IRS NUMBER: 593779311
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21496
FILM NUMBER: 201019698
BUSINESS ADDRESS:
STREET 1: FIRST TRUST PORTFOLIOS LP
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: FIRST TRUST PORTFOLIOS LP
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: MACQUARIE FIRST TRUST GLOBAL INFRASTR DIVIDEND & INCOME FUND
DATE OF NAME CHANGE: 20040123
FORMER COMPANY:
FORMER CONFORMED NAME: MACQUARIE FIRST TRUST GLOBAL INFRASTRUCTURE DIVIDEND FUND
DATE OF NAME CHANGE: 20040114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
CENTRAL INDEX KEY: 0001282850
IRS NUMBER: 113716541
FISCAL YEAR END: 0531
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21539
FILM NUMBER: 201019695
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST FOUR CORNERS SENIOR FLOATING RATE INCOME FUND II
DATE OF NAME CHANGE: 20040305
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST ENERGY INCOME & GROWTH FUND
CENTRAL INDEX KEY: 0001284940
IRS NUMBER: 113716544
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21549
FILM NUMBER: 201019700
BUSINESS ADDRESS:
STREET 1: 10 WESTPORT ROAD
STREET 2: SUITE C101A
CITY: WILTON
STATE: CT
ZIP: 06897
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: FIRST TRUST PORTFOLIOS L P
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: ENERGY INCOME & GROWTH FUND
DATE OF NAME CHANGE: 20040325
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST ENHANCED EQUITY INCOME FUND
CENTRAL INDEX KEY: 0001291334
IRS NUMBER: 300261406
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21586
FILM NUMBER: 201019699
BUSINESS ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust/Fiduciary Asset Management Covered Call Fund
DATE OF NAME CHANGE: 20040526
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust/Fiduciary Asset Management Covered Call Income Fund
DATE OF NAME CHANGE: 20040521
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST/ABERDEEN GLOBAL OPPORTUNITY INCOME FUND
CENTRAL INDEX KEY: 0001302624
IRS NUMBER: 736357662
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21636
FILM NUMBER: 201019701
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST MORTGAGE INCOME FUND
CENTRAL INDEX KEY: 0001319183
IRS NUMBER: 356758396
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21727
FILM NUMBER: 201019694
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST/FIDAC MORTGAGE INCOME FUND
DATE OF NAME CHANGE: 20050228
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND
CENTRAL INDEX KEY: 0001329377
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21774
FILM NUMBER: 201019692
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST/ABERDEEN EMERGING OPPORTUNITY FUND
CENTRAL INDEX KEY: 0001363438
IRS NUMBER: 711005833
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21905
FILM NUMBER: 201019702
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND II
CENTRAL INDEX KEY: 0001364608
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21944
FILM NUMBER: 201019693
BUSINESS ADDRESS:
STREET 1: 12O EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 12O EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND
CENTRAL INDEX KEY: 0001392994
IRS NUMBER: 061810845
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22039
FILM NUMBER: 201019697
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST/GALLATIN SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND
DATE OF NAME CHANGE: 20070320
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST/GALLATIN SPECIALTY FINANCE FUND
DATE OF NAME CHANGE: 20070313
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: First Trust Exchange-Traded Fund III
CENTRAL INDEX KEY: 0001424212
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22245
FILM NUMBER: 201019711
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust Exchange Traded Fund III
DATE OF NAME CHANGE: 20080116
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST HIGH INCOME LONG/SHORT FUND
CENTRAL INDEX KEY: 0001494530
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22442
FILM NUMBER: 201019703
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST SERIES FUND
CENTRAL INDEX KEY: 0001497778
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22452
FILM NUMBER: 201019704
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
CENTRAL INDEX KEY: 0001510337
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22519
FILM NUMBER: 201019705
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST ENERGY INFRASTRUCTURE FUND
CENTRAL INDEX KEY: 0001513789
IRS NUMBER: 452751056
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22528
FILM NUMBER: 201019706
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND IV
CENTRAL INDEX KEY: 0001517936
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22559
FILM NUMBER: 201019708
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST VARIABLE INSURANCE TRUST
CENTRAL INDEX KEY: 0001537395
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22652
FILM NUMBER: 201019710
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND V
CENTRAL INDEX KEY: 0001549548
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22709
FILM NUMBER: 201019713
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND VI
CENTRAL INDEX KEY: 0001552740
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22717
FILM NUMBER: 201019709
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST MLP & ENERGY INCOME FUND
CENTRAL INDEX KEY: 0001556336
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22738
FILM NUMBER: 201019707
BUSINESS ADDRESS:
STREET 1: 10 WESTPORT ROAD
STREET 2: SUITE C101A
CITY: WILTON
STATE: CT
ZIP: 06897
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 E. LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST MLP GROWTH & INCOME FUND
DATE OF NAME CHANGE: 20121004
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST MLP & INCOME FUND
DATE OF NAME CHANGE: 20120815
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND VII
CENTRAL INDEX KEY: 0001561785
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22767
FILM NUMBER: 201019714
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: First Trust Intermediate Duration Preferred & Income Fund
CENTRAL INDEX KEY: 0001567569
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22795
FILM NUMBER: 201019712
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust Intermediate Duration Preferred & Income Trust
DATE OF NAME CHANGE: 20130130
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust Ltd Duration Preferred & Income Trust
DATE OF NAME CHANGE: 20130122
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST NEW OPPORTUNITIES MLP & ENERGY FUND
CENTRAL INDEX KEY: 0001589420
IRS NUMBER: 300803117
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22902
FILM NUMBER: 201019715
BUSINESS ADDRESS:
STREET 1: 10 WESTPORT ROAD
STREET 2: SUITE C101A
CITY: WILTON
STATE: CT
ZIP: 06897
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST DYNAMIC EUROPE EQUITY INCOME FUND
CENTRAL INDEX KEY: 0001646109
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-23072
FILM NUMBER: 201019716
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND VIII
CENTRAL INDEX KEY: 0001667919
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-23147
FILM NUMBER: 201019717
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST SENIOR FLOATING RATE 2022 TARGET TERM FUND
CENTRAL INDEX KEY: 0001687081
IRS NUMBER: 300956123
FISCAL YEAR END: 0531
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-23199
FILM NUMBER: 201019696
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST HIGH YIELD OPPORTUNITIES 2027 TERM FUND
CENTRAL INDEX KEY: 0001810523
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-23565
FILM NUMBER: 201019718
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST HIGH YIELD OPPORTUNITIES 2032 TARGET TERM FUND
DATE OF NAME CHANGE: 20200424
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST HIGH YIELD OPPORTUNITIES 2032 TERM FUND
DATE OF NAME CHANGE: 20200424
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST HIGH YIELD OPPORTUNITIES 2027 TERM FUND
DATE OF NAME CHANGE: 20200423
40-17G/A
1
funds_17ga.txt
AMENDED FIDELITY BOND
July 9, 2020
VIA EDGAR
Securities and Exchange Commission
100 F Street, NE
Washington, D.C. 20549
Re: Rule 17g-1 Fidelity Bond Filing Information with Respect to Joint Fidelity
Bond filing under Investment Company Act Rule 17g-1, Bond No 99516119B for
the following management investment companies:
FUND NAME FILE NO. SEC REGISTRATION NO.
Macquarie/First Trust Global Infrastructure/ 811-21496 333-112202
Utilities Dividend & Income Fund
First Trust Senior Floating Rate Income Fund II 811-21539 333-113978, 333-115414, 333-184182 and
333-115878
First Trust Energy Income and Growth Fund 811-21549 333-114131, 333-120853, 333-131771,
333-154254, 333-123460, 333-173334,
333-179878, 333-173335, 333-187192 and
333-217580
First Trust Enhanced Equity Income Fund 811-21586 333-116023 and 333-118593
First Trust/Aberdeen Global Opportunity Income Fund 811-21636 333-119081
First Trust Mortgage Income Fund 811-21727 333-123262 and 333-170228
First Trust Exchange-Traded Fund 811-21774 333-125751
First Trust/Aberdeen Emerging Opportunity Fund 811-21905 333-134540
First Trust Specialty Finance and Financial 811-22039 333-141457, 333-200618, 333-143713 and
Opportunities Fund 333-143268
First Trust Exchange-Traded AlphaDEX(R) Fund 811-22019 333-140895
First Trust Exchange-Traded Fund II 811-21944 333-143964; 333-231299
First Trust High Income Long/Short Fund 811-22442 333-168186, 333-225853 and 333-223803
First Trust Exchange-Traded AlphaDEX(R) Fund II 811-22519 333-171759
First Trust Series Fund 811-22452 333-168727
First Trust Energy Infrastructure Fund 811-22528 333-172439 and 333-177037
First Trust Exchange-Traded Fund VI 811-22717 333-182308
First Trust Exchange-Traded Fund IV 811-22559 333-174332
First Trust Variable Insurance Trust 811-22652 333-178767
First Trust MLP and Energy Income Fund 811-22738 333-183396, 333-185172 and 333-217581
First Trust Exchange-Traded Fund III 811-22245 333-176976
First Trust Intermediate Duration Preferred & Income Fund 811-22795 333-186412 and 333-188816
First Trust Exchange-Traded Fund V 811-22709 333-181507
First Trust Exchange-Traded Fund VII 811-22767 333-184918
First Trust New Opportunities MLP & Energy Fund 811-22902 333-191808, 333-194835 and 333-212884
First Trust Dynamic Europe Equity Income Fund 811-23072 333-205681 and 333-207118
First Trust Exchange-Traded Fund VIII 811-23147 333-210186
First Trust Senior Floating Rate 2022 Target Term Fund 811-23199 333-214125
First Trust High Yield Opportunities 2027 Term Fund 811-23565 333-237878
--------------------------------------------------------------------------------
Dear Sir or Madam:
Enclosed for filing, pursuant to Rule 17g-1 of the Investment Company Act
of 1940, please find a copy of the Joint Insured Fidelity Bond for the period
October 9, 2019 to October 9, 2020, for the First Trust complex of funds
referenced above. Please note that Rider 17 has been added to the Joint Insured
Fidelity Bond to include First Trust High Yield Opportunities 2027 Term Fund;
First Trust Capital Strength, First Trust International Developed Capital
Strength Portfolio, each a series of First Trust Variable Insurance Trust; First
Trust Horizon Managed Volatility Small/Mid ETF, a series of First Trust
Exchange-Traded Fund III; FT Cboe Vest U.S. Equity Buffer ETF - May, FT Cboe
Vest U.S. Equity Deep Buffer ETF - May, FT Cboe Vest U.S. Equity Buffer ETF -
June, FT Cboe Vest U.S. Equity Deep Buffer ETF - June and First Trust TCW
Securitized Plus ETF, each a series of First Trust Exchange-Traded Fund VIII.
Please note for the Commission's records, the following:
(i) The Joint Insured Fidelity Bond;
(ii) a Certificate of Assistant Secretary containing the form of
resolutions of the Board of Trustees approving the amount, type, form and
coverage of the Fidelity Bond, the amount of the single insured bond which
the registrant would have provided had it not been named as an insured
under the Fidelity Bond, and a statement as to the period for which
premiums have been paid; and
(iii) a copy of the Blanket Bond Insurance Agreement.
Very truly yours,
FIRST TRUST PORTFOLIOS L.P.
/s/ Kristi A. Maher
---------------------------
Deputy General Counsel
Enclosures
EX-99
2
exhibit1.txt
BLANKET BOND AND RIDERS
ICI MUTUAL INSURANCE COMPANY,
a Risk Retention Group
1401 H St. NW
Washington, DC 20005
INVESTMENT COMPANY BLANKET BOND
ICI MUTUAL INSURANCE COMPANY,
a Risk Retention Group
1401 H St. NW
Washington, DC 20005
DECLARATIONS
NOTICE
This policy is issued by your risk retention group. Your risk retention group
may not be subject to all of the insurance laws and regulations of your state.
State insurance insolvency guaranty funds are not available for your risk
retention group.
--------------------------------------------------------------------------------
Item 1. Name of Insured (the "Insured") Bond Number:
First Trust Exchange-Traded Fund 99516119B
Principal Office: Mailing Address:
120 East Liberty Drive, Suite 400 120 East Liberty Drive, Suite 400
Wheaton, IL 60187 Wheaton, IL 60187
--------------------------------------------------------------------------------
Item 2. Bond Period: from 12:01 a.m. on October 9, 2019, to 12:01 a.m. on
October 9, 2020, or the earlier effective date of the termination of
this Bond, standard time at the Principal Office as to each of said
dates.
--------------------------------------------------------------------------------
Item 3. Limit of Liability--
Subject to Sections 9, 10 and 12 hereof:
LIMIT OF DEDUCTIBLE
LIABILITY AMOUNT
Insuring Agreement A- FIDELITY $33,000,000 $50,000
Insuring Agreement B- AUDIT EXPENSE $50,000 $10,000
Insuring Agreement C- ON PREMISES $33,000,000 $50,000
Insuring Agreement D- IN TRANSIT $33,000,000 $50,000
Insuring Agreement E- FORGERY OR ALTERATION $33,000,000 $50,000
Insuring Agreement F- SECURITIES $33,000,000 $50,000
Insuring Agreement G- COUNTERFEIT CURRENCY $33,000,000 $50,000
Insuring Agreement H- UNCOLLECTIBLE ITEMS OF DEPOSIT $25,000 $5,000
Insuring Agreement I- PHONE/ELECTRONIC TRANSACTIONS Not Covered Not Covered
If "Not Covered" is inserted opposite any Insuring Agreement above, such Insuring Agreement and any
reference thereto shall be deemed to be deleted from this Bond.
OPTIONAL INSURING AGREEMENTS ADDED BY RIDER:
Insuring Agreement J- COMPUTER SECURITY $33,000,000 $50,000
Insuring Agreement M- SOCIAL ENGINEERING FRAUD $1,000,000 $50,000
--------------------------------------------------------------------------------
Item 4. Offices or Premises Covered--All the Insured's offices or other
premises in existence at the time this Bond becomes effective are
covered under this Bond, except the offices or other premises excluded
by Rider. Offices or other premises acquired or established after the
effective date of this Bond are covered subject to the terms of
General Agreement A.
--------------------------------------------------------------------------------
Item 5. The liability of ICI Mutual Insurance Company, a Risk Retention Group
(the "Underwriter") is subject to the terms of the following Riders
attached hereto:
Riders: 1-2-3-4-5-6-7-8-9-10-11-12
and of all Riders applicable to this Bond issued during the Bond
Period.
================================================================================
By: /S/ Swenitha Nalli By: /S/ Catherine Dalton
------------------------------ ------------------------------
Authorized Representative Authorized Representative
Bond (6/18)
INVESTMENT COMPANY BLANKET BOND
NOTICE
This policy is issued by your risk retention group. Your risk retention group
may not be subject to all of the insurance laws and regulations of your state.
State insurance insolvency guaranty funds are not available for your risk
retention group.
ICI Mutual Insurance Company, a Risk Retention Group (the "Underwriter"), in
consideration of an agreed premium, and in reliance upon the Application and all
other information furnished to the Underwriter by the Insured, and subject to
and in accordance with the Declarations, General Agreements, Provisions,
Conditions and Limitations and other terms of this bond (including all riders
hereto) ("Bond"), to the extent of the Limit of Liability and subject to the
Deductible Amount, agrees to indemnify the Insured for the loss, as described in
the Insuring Agreements, sustained by the Insured at any time but discovered
during the Bond Period.
INSURING AGREEMENTS
A. FIDELITY
Loss resulting directly from any Dishonest or Fraudulent Act committed by
an Employee, committed anywhere and whether committed alone or in
collusion with other persons (whether or not Employees), during the time
such Employee has the status of an Employee as defined herein, and even if
such loss is not discovered until after he or she ceases to be an
Employee; and EXCLUDING loss covered under Insuring Agreement B.
B. AUDIT EXPENSE
Expense incurred by the Insured for that part of the costs of audits or
examinations required by any governmental regulatory authority or
Self-Regulatory Organization to be conducted by such authority or
Organization or by an independent accountant or other person, by reason of
the discovery of loss sustained by the Insured and covered by this Bond.
C. ON PREMISES
Loss of Property resulting directly from any Mysterious Disappearance, or
any Dishonest or Fraudulent Act committed by a person physically present
in an office or on the premises of the Insured at the time the Property is
surrendered, while the Property is (or reasonably supposed or believed by
the Insured to be) lodged or deposited within the Insured's offices or
premises located anywhere, except those offices excluded by Rider; and
EXCLUDING loss covered under Insuring Agreement A.
D. IN TRANSIT
Loss of Property resulting directly from any Mysterious Disappearance or
Dishonest or Fraudulent Act while the Property is physically (not
electronically) in transit anywhere in the custody of any person
authorized by an Insured to act as a messenger, except while in the mail
or with a carrier for hire (other than a Security Company); and EXCLUDING
loss covered under Insuring Agreement A. Property is "in transit"
beginning immediately upon receipt of such Property by the transporting
person and ending immediately upon delivery to the designated recipient or
its agent, but only while the Property is being conveyed.
2 Bond (6/18)
E. FORGERY OR ALTERATION
Loss resulting directly from the Insured having, in good faith, paid or
transferred any Property in reliance upon any Written, Original:
(1) bills of exchange, checks, drafts, or other written orders or
directions to pay sums certain in money, acceptances, certificates
of deposit, due bills, money orders, warrants, orders upon public
treasuries, or letters of credit; or
(2) instructions, requests or applications directed to the Insured,
authorizing or acknowledging the transfer, payment, redemption,
delivery or receipt of money or Property, or giving notice of any
bank account (provided such instructions or requests or applications
purport to have been signed or endorsed by (a) any customer of the
Insured, or (b) any shareholder of or subscriber to shares issued by
any Investment Company, or (c) any financial or banking institution
or stockbroker, and further provided such instructions, requests, or
applications either bear the forged signature or endorsement or have
been altered without the knowledge and consent of such customer,
such shareholder or subscriber to shares issued by an Investment
Company, or such financial or banking institution or stockbroker);
or
(3) withdrawal orders or receipts for the withdrawal of Property, or
receipts or certificates of deposit for Property and bearing the
name of the Insured as issuer or of another Investment Company for
which the Insured acts as agent;
which bear (a) a Forgery, or (b) an Alteration, but only to the extent
that the Forgery or Alteration directly causes the loss.
Actual physical possession by the Insured or its authorized representative
of the items listed in (1) through (3) above is a condition precedent to
the Insured having relied upon the items.
This Insuring Agreement E does not cover loss caused by Forgery or
Alteration of Securities or loss covered under Insuring Agreement A.
F. SECURITIES
Loss resulting directly from the Insured, in good faith, in the ordinary
course of business, and in any capacity whatsoever, whether for its own
account or for the account of others, having acquired, accepted or
received, or sold or delivered, or given any value, extended any credit or
assumed any liability in reliance on any Written, Original Securities,
where such loss results from the fact that such Securities prove to:
(1) be Counterfeit, but only to the extent that the Counterfeit directly
causes the loss, or
(2) be lost or stolen, or
(3) contain a Forgery or Alteration, but only to the extent the Forgery
or Alteration directly causes the loss,
and notwithstanding whether or not the act of the Insured causing such
loss violated the constitution, by-laws, rules, or regulations of any
Self-Regulatory Organization, whether or not the Insured was a member
thereof.
3 Bond (6/18)
This Insuring Agreement F does not cover loss covered under Insuring
Agreement A.
Actual physical possession by the Insured or its authorized representative
of the Securities is a condition precedent to the Insured having relied
upon the Securities.
G. COUNTERFEIT CURRENCY
Loss resulting directly from the receipt by the Insured, in good faith of
any Counterfeit Currency.
This Insuring Agreement G does not cover loss covered under Insuring
Agreement A.
H. UNCOLLECTIBLE ITEMS OF DEPOSIT
Loss resulting directly from the payment of dividends, issuance of Fund
shares or redemptions or exchanges permitted from an account with the Fund
as a consequence of
(1) uncollectible Items of Deposit of a Fund's customer, shareholder or
subscriber credited by the Insured or its agent to such person's
Fund account, or
(2) any Item of Deposit processed through an automated clearing house
which is reversed by a Fund's customer, shareholder or subscriber
and is deemed uncollectible by the Insured;
PROVIDED, that (a) Items of Deposit shall not be deemed uncollectible
until the Insured's collection procedures have failed, (b) exchanges of
shares between Funds with exchange privileges shall be covered hereunder
only if all such Funds are insured by the Underwriter for uncollectible
Items of Deposit, and (c) the Insured Fund shall have implemented and
maintained a policy to hold Items of Deposit for the minimum number of
days stated in its Application (as amended from time to time) before
paying any dividend or permitting any withdrawal with respect to such
Items of Deposit (other than exchanges between Funds). Regardless of the
number of transactions between Funds in an exchange program, the minimum
number of days an Item of Deposit must be held shall begin from the date
the Item of Deposit was first credited to any Insured Fund.
This Insuring Agreement H does not cover loss covered under Insuring
Agreement A.
I. PHONE/ELECTRONIC TRANSACTIONS
Loss resulting directly from a Phone/Electronic Transaction, where the
request for such Phone/Electronic Transaction:
(1) is transmitted to the Insured or its agents by voice over the
telephone or by Electronic Transmission; and
(2) is made by an individual purporting to be a Fund shareholder or
subscriber or an authorized agent of a Fund shareholder or
subscriber; and
(3) is unauthorized or fraudulent and is made with the manifest intent
to deceive;
PROVIDED, that the entity receiving such request generally maintains and
follows during the Bond Period all Phone/Electronic Transaction Security
Procedures with respect to all Phone/Electronic Transactions; and
4 Bond (6/18)
EXCLUDING loss resulting from:
(1) the failure to pay for shares attempted to be purchased; or
(2) any redemption of Investment Company shares which had been
improperly credited to a shareholder's account where such
shareholder (a) did not cause, directly or indirectly, such shares
to be credited to such account, and (b) directly or indirectly
received any proceeds or other benefit from such redemption; or
(3) any redemption of shares issued by an Investment Company where the
proceeds of such redemption were requested (i) to be paid or made
payable to other than an Authorized Recipient or an Authorized Bank
Account or (ii) to be sent to other than an Authorized Address;
(4) the intentional failure to adhere to one or more Phone/Electronic
Transaction Security Procedures; or
(5) a Phone/Electronic Transaction request transmitted by electronic
mail or transmitted by any method not subject to the
Phone/Electronic Transaction Security Procedures; or
(6) the failure or circumvention of any physical or electronic
protection device, including any firewall, that imposes restrictions
on the flow of electronic traffic in or out of any Computer System.
This Insuring Agreement I does not cover loss covered under Insuring
Agreement A, "Fidelity" or Insuring Agreement J, "Computer Security".
GENERAL AGREEMENTS
A. ADDITIONAL OFFICES OR EMPLOYEES--CONSOLIDATION OR MERGER--NOTICE
1. Except as provided in paragraph 2 below, this Bond shall apply to
any additional office(s) established by the Insured during the Bond
Period and to all Employees during the Bond Period, without the need
to give notice thereof or pay additional premiums to the Underwriter
for the Bond Period.
2. If during the Bond Period an Insured Investment Company shall merge
or consolidate with an institution in which such Insured is the
surviving entity, or purchase substantially all the assets or
capital stock of another institution, or acquire or create a
separate investment portfolio, and shall within sixty (60) days
notify the Underwriter thereof, then this Bond shall automatically
apply to the Property and Employees resulting from such merger,
consolidation, acquisition or creation from the date thereof;
provided, that the Underwriter may make such coverage contingent
upon the payment of an additional premium.
B. WARRANTY
No statement made by or on behalf of the Insured, whether contained in the
Application or otherwise, shall be deemed to be an absolute warranty, but
only a warranty that such statement is true to the best of the knowledge
of the person responsible for such statement.
5 Bond (6/18)
C. COURT COSTS AND ATTORNEYS' FEES
The Underwriter will indemnify the Insured against court costs and
reasonable attorneys' fees incurred and paid by the Insured in defense of
any legal proceeding brought against the Insured seeking recovery for any
loss which, if established against the Insured, would constitute a loss
covered under the terms of this Bond; provided, however, that with respect
to Insuring Agreement A this indemnity shall apply only in the event that:
1. an Employee admits to having committed or is adjudicated to have
committed a Dishonest or Fraudulent Act which caused the loss; or
2. in the absence of such an admission or adjudication, an arbitrator
or arbitrators acceptable to the Insured and the Underwriter
concludes, after a review of an agreed statement of facts, that an
Employee has committed a Dishonest or Fraudulent Act which caused
the loss.
The Insured shall promptly give notice to the Underwriter of any such
legal proceeding and upon request shall furnish the Underwriter with
copies of all pleadings and other papers therein. At the Underwriter's
election the Insured shall permit the Underwriter to conduct the defense
of such legal proceeding in the Insured's name, through attorneys of the
Underwriter's selection. In such event, the Insured shall give all
reasonable information and assistance which the Underwriter shall deem
necessary to the proper defense of such legal proceeding.
If the amount of the Insured's liability or alleged liability in any such
legal proceeding is greater than the amount which the Insured would be
entitled to recover under this Bond (other than pursuant to this General
Agreement C), or if a Deductible Amount is applicable, or both, the
indemnity liability of the Underwriter under this General Agreement C is
limited to the proportion of court costs and attorneys' fees incurred and
paid by the Insured or by the Underwriter that the amount which the
Insured would be entitled to recover under this Bond (other than pursuant
to this General Agreement C) bears to the sum of such amount plus the
amount which the Insured is not entitled to recover. Such indemnity shall
be in addition to the Limit of Liability for the applicable Insuring
Agreement.
D. INTERPRETATION
This Bond shall be interpreted with due regard to the purpose of fidelity
bonding under Rule 17g-1 under the Investment Company Act of 1940 (i.e.,
to protect innocent third parties from harm) and to the structure of the
investment management industry (in which a loss of Property resulting from
a cause described in any Insuring Agreement ordinarily gives rise to a
potential legal liability on the part of the Insured), such that the term
"loss" as used herein shall include an Insured's legal liability for
direct compensatory damages resulting directly from a misappropriation, or
measurable diminution in value, of Property.
6 Bond (6/18)
THIS BOND, INCLUDING THE FOREGOING INSURING AGREEMENTS
AND GENERAL AGREEMENTS, IS SUBJECT TO THE FOLLOWING
PROVISIONS, CONDITIONS AND LIMITATIONS:
SECTION 1. DEFINITIONS
The following terms used in this Bond shall have the meanings stated in this
Section:
A. "ALTERATION" means the marking, changing or altering in a material way of
the terms, meaning or legal effect of a document with the intent to
deceive.
B. "APPLICATION" means the Insured's application (and any attachments and
materials submitted in connection therewith) furnished to the Underwriter
for this Bond.
C. "AUTHORIZED ADDRESS" means (1) any Officially Designated address to which
redemption proceeds may be sent, (2) any address designated in writing
(not to include Electronic Transmission) by the Shareholder of Record and
received by the Insured at least one (1) day prior to the effective date
of such designation, or (3) any address designated by voice over the
telephone or by Electronic Transmission by the Shareholder of Record at
least 15 days prior to the effective date of such designation.
D. "AUTHORIZED BANK ACCOUNT" means any Officially Designated bank account to
which redemption proceeds may be sent.
E. "AUTHORIZED RECIPIENT" means (1) the Shareholder of Record, or (2) any
other Officially Designated person to whom redemption proceeds may be
sent.
F. "COMPUTER SYSTEM" means (1) computers with related peripheral components,
including storage components, (2) systems and applications software, (3)
terminal devices, (4) related communications networks or customer
communication systems, and (5) related electronic funds transfer systems;
by which data or monies are electronically collected, transmitted,
processed, stored or retrieved.
G. "COUNTERFEIT" means a Written imitation of an actual valid Original which
is intended to deceive and to be taken as the Original.
H. "CRYPTOCURRENCY" means a digital or electronic medium of exchange,
operating independently of a central bank, in which encryption techniques
are used to regulate generation of units and to verify transfer of units
from one person to another.
I. "CURRENCY" means a medium of exchange in current use authorized or adopted
by a domestic or foreign government as part of its official currency.
J. "DEDUCTIBLE AMOUNT" means, with respect to any Insuring Agreement, the
amount set forth under the heading "Deductible Amount" in Item 3 of the
Declarations or in any Rider for such Insuring Agreement, applicable to
each Single Loss covered by such Insuring Agreement.
K. "DEPOSITORY" means any "securities depository" (other than any foreign
securities depository) in which an Investment Company may deposit its
Securities in accordance with Rule 17f-4 under the Investment Company Act
of 1940.
7 Bond (6/18)
L. "DISHONEST OR FRAUDULENT ACT" means any dishonest or fraudulent act,
including "larceny and embezzlement" as defined in Section 37 of the
Investment Company Act of 1940, committed with the conscious manifest
intent (1) to cause the Insured to sustain a loss and (2) to obtain an
improper financial benefit for the perpetrator or any other person or
entity. A Dishonest or Fraudulent Act does not mean or include a reckless
act, a negligent act, or a grossly negligent act. As used in this
definition, "improper financial benefit" does not include any employee
benefits received in the course of employment, including salaries,
commissions, fees, bonuses, promotions, awards, profit sharing or
pensions.
M. "ELECTRONIC TRANSMISSION" means any transmission effected by electronic
means, including but not limited to a transmission effected by telephone
tones, Telefacsimile, wireless device, or over the Internet.
N. "Employee" means:
(1) each officer, director, trustee, partner or employee of the Insured,
and
(2) each officer, director, trustee, partner or employee of any
predecessor of the Insured whose principal assets are acquired by
the Insured by consolidation or merger with, or purchase of assets
or capital stock of, such predecessor, and
(3) each attorney performing legal services for the Insured and each
employee of such attorney or of the law firm of such attorney while
performing services for the Insured, and
(4) each student who is an authorized intern of the Insured, while in
any of the Insured's offices, and
(5) each officer, director, trustee, partner or employee of
(a) an investment adviser,
(b) an underwriter (distributor),
(c) a transfer agent or shareholder accounting recordkeeper, or
(d) an administrator authorized by written agreement to keep
financial and/or other required records,
for an Investment Company named as an Insured, BUT ONLY while (i) such
officer, partner or employee is performing acts coming within the scope of
the usual duties of an officer or employee of an Insured, or (ii) such
officer, director, trustee, partner or employee is acting as a member of
any committee duly elected or appointed to examine or audit or have
custody of or access to the Property of the Insured, or (iii) such
director or trustee (or anyone acting in a similar capacity) is acting
outside the scope of the usual duties of a director or trustee; PROVIDED,
that the term "Employee" shall not include any officer, director, trustee,
partner or employee of a transfer agent, shareholder accounting
recordkeeper or administrator (x) which is not an "affiliated person" (as
defined in Section 2(a) of the Investment Company Act of 1940) of an
Investment Company named as an Insured or of the adviser or underwriter of
such Investment Company, or (y) which is a "Bank" (as defined in Section
2(a) of the Investment Company Act of 1940), and
(6) each individual assigned, by contract or by any agency furnishing
temporary personnel, in either case on a contingent or part-time
basis, to perform the usual duties of an employee in any office of
the Insured, and
8 Bond (6/18)
(7) each individual assigned to perform the usual duties of an employee
or officer of any entity authorized by written agreement with the
Insured to perform services as electronic data processor of checks
or other accounting records of the Insured, but excluding a
processor which acts as transfer agent or in any other agency
capacity for the Insured in issuing checks, drafts or securities,
unless included under subsection (5) hereof, and
(8) each officer, partner or employee of
(a) any Depository or Exchange,
(b) any nominee in whose name is registered any Security included
in the systems for the central handling of securities
established and maintained by any Depository, and
(c) any recognized service company which provides clerks or other
personnel to any Depository or Exchange on a contract basis,
while such officer, partner or employee is performing services for any
Depository in the operation of systems for the central handling of
securities, and
(9) in the case of an Insured which is an "employee benefit plan" (as
defined in Section 3 of the Employee Retirement Income Security Act
of 1974 ("ERISA")) for officers, directors or employees of another
Insured ("In-House Plan"), any "fiduciary" or other "plan official"
(within the meaning of Section 412 of ERISA) of such In-House Plan,
provided that such fiduciary or other plan official is a director,
partner, officer, trustee or employee of an Insured (other than an
In-House Plan).
Each employer of temporary personnel and each entity referred to in
subsections (6) and (7) and their respective partners, officers and
employees shall collectively be deemed to be one person for all the
purposes of this Bond.
Brokers, agents, independent contractors, or representatives of the same
general character shall not be considered Employees, except as provided in
subsections (3), (6), and (7).
O. "Exchange" means any national securities exchange registered under the
Securities Exchange Act of 1934.
P. "Forgery" means the physical signing on a document of the name of another
person with the intent to deceive. A Forgery may be by means of
mechanically reproduced facsimile signatures as well as handwritten
signatures. Forgery does not include the signing of an individual's own
name, regardless of such individual's authority, capacity or purpose.
Q. "Items of Deposit" means one or more checks or drafts.
R. "Investment Company" or "Fund" means an investment company registered
under the Investment Company Act of 1940.
S. "Limit of Liability" means, with respect to any Insuring Agreement, the
limit of liability of the Underwriter for any Single Loss covered by such
Insuring Agreement as set forth under the heading "Limit of Liability" in
Item 3 of the Declarations or in any Rider for such Insuring Agreement.
T. "Mysterious Disappearance" means any disappearance of Property which,
after a reasonable investigation has been conducted, cannot be explained.
9 Bond (6/18)
U. "Non-Fund" means any corporation, business trust, partnership, trust or
other entity which is not an Investment Company.
V. "Officially Designated" means designated by the Shareholder of Record:
(1) in the initial account application,
(2) in writing accompanied by a signature guarantee, or
(3) in writing or by Electronic Transmission, where such designation is
verified via a callback to the Shareholder of Record by the Insured
at a predetermined telephone number provided by the Shareholder of
Record to the Insured in writing at least 30 days prior to such
callback.
W. "Original" means the first rendering or archetype and does not include
photocopies or electronic transmissions even if received and printed.
X. "Phone/Electronic Transaction" means any (1) redemption of shares issued
by an Investment Company, (2) election concerning dividend options
available to Fund shareholders, (3) exchange of shares in a registered
account of one Fund into shares in an identically registered account of
another Fund in the same complex pursuant to exchange privileges of the
two Funds, or (4) purchase of shares issued by an Investment Company,
which redemption, election, exchange or purchase is requested by voice
over the telephone or through an Electronic Transmission.
Y. "Phone/Electronic Transaction Security Procedures" means security
procedures for Phone/ Electronic Transactions as set forth in the
Application and/or as otherwise provided in writing to the Underwriter.
Z. "Property" means the following tangible items: money, postage and revenue
stamps, precious metals, Securities, bills of exchange, acceptances,
checks, drafts, or other written orders or directions to pay sums certain
in money, certificates of deposit, due bills, money orders, letters of
credit, financial futures contracts, conditional sales contracts,
abstracts of title, insurance policies, deeds, mortgages, and assignments
of any of the foregoing, and other valuable papers, including books of
account and other records used by the Insured in the conduct of its
business, and all other instruments similar to or in the nature of the
foregoing (but excluding all data processing records), (1) in which the
Insured has a legally cognizable interest, (2) in which the Insured
acquired or should have acquired such an interest by reason of a
predecessor's declared financial condition at the time of the Insured's
consolidation or merger with, or purchase of the principal assets of, such
predecessor or (3) which are held by the Insured for any purpose or in any
capacity.
AA. "Securities" means original negotiable or non-negotiable agreements or
instruments which represent an equitable or legal interest, ownership or
debt (including stock certificates, bonds, promissory notes, and
assignments thereof), which are in the ordinary course of business
transferable by physical delivery with appropriate endorsement or
assignment. "Securities" does not include bills of exchange, acceptances,
certificates of deposit, checks, drafts, or other written orders or
directions to pay sums certain in money, due bills, money orders, or
letters of credit.
BB. "Security Company" means an entity which provides or purports to provide
the transport of Property by secure means, including, without limitation,
by use of armored vehicles or guards.
10 Bond (6/18)
CC. "Self-Regulatory Organization" means any association of investment
advisers or securities dealers registered under the federal securities
laws, or any Exchange.
DD. "Shareholder of Record" A. means the record owner of shares issued by an
Investment Company or, in the case of joint ownership of such shares, all
record owners, as designated (1) in the initial account application, or
(2) in writing accompanied by a signature guarantee, or (3) pursuant to
procedures as set forth in the Application and/or as otherwise provided in
writing to the Underwriter.
EE. "Single Loss" means:
(1) all loss caused by any one act (other than a Dishonest or Fraudulent
Act) committed by one person, or
(2) all loss caused by Dishonest or Fraudulent Acts committed by one
person, or
(3) all expenses incurred with respect to any one audit or examination,
or
(4) all loss caused by any one occurrence or event other than those
specified in subsections (1) through (3) above.
All acts or omissions of one or more persons which directly or indirectly
aid or, by failure to report or otherwise, permit the continuation of an
act referred to in subsections (1) and (2) above of any other person shall
be deemed to be the acts of such other person for purposes of this
subsection.
All acts or occurrences or events which have as a common nexus any fact,
circumstance, situation, transaction or series of facts, circumstances,
situations, or transactions shall be deemed to be one act, one occurrence,
or one event.
FF. "Telefacsimile" means a system of transmitting and reproducing fixed
graphic material (as, for example, printing) by means of signals
transmitted over telephone lines or over the Internet.
GG. "Written" means expressed through letters or marks placed upon paper and
visible to the eye.
SECTION 2. EXCLUSIONS
THIS BOND DOES NOT COVER:
A. Loss resulting from (1) riot or civil commotion outside the United States
of America and Canada, or (2) war, revolution, insurrection, action by
armed forces, or usurped power, wherever occurring; except if such loss
occurs while the Property is in transit, is otherwise covered under
Insuring Agreement D, and when such transit was initiated, the Insured or
any person initiating such transit on the Insured's behalf had no
knowledge of such riot, civil commotion, war, revolution, insurrection,
action by armed forces, or usurped power.
B. Loss in time of peace or war resulting from nuclear fission or fusion or
radioactivity, or biological or chemical agents or hazards, or fire,
smoke, or explosion, or the effects of any of the foregoing.
C. Loss resulting from any Dishonest or Fraudulent Act committed by any
person while acting in the capacity of a member of the Board of Directors
or any equivalent body of the Insured or of any other entity.
11 Bond (6/18)
D. Loss resulting from any nonpayment or other default of any loan or similar
transaction made by the Insured or any of its partners, directors,
officers or employees, whether or not authorized and whether procured in
good faith or through a Dishonest or Fraudulent Act, unless such loss is
otherwise covered under Insuring Agreement A, E, or F.
E. Loss resulting from any violation by the Insured or by any Employee of any
law, or any rule or regulation pursuant thereto or adopted by a
Self-Regulatory Organization, regulating the issuance, purchase or sale of
securities, securities transactions upon security exchanges or over the
counter markets, Investment Companies, or investment advisers, unless such
loss, in the absence of such law, rule or regulation, would be covered
under Insuring Agreement A, E, or F.
F. Loss resulting from Property that is the object of a Dishonest or
Fraudulent Act or Mysterious Disappearance while in the custody of any
Security Company, unless such loss is covered under this Bond and is in
excess of the amount recovered or received by the Insured under (1) the
Insured's contract with such Security Company, and (2) insurance or
indemnity of any kind carried by such Security Company for the benefit of,
or otherwise available to, users of its service, in which case this Bond
shall cover only such excess, subject to the applicable Limit of Liability
and Deductible Amount.
G. Potential income, including but not limited to interest and dividends, not
realized by the Insured because of a loss covered under this Bond, except
when covered under Insuring Agreement H.
H. Loss in the form of (1) damages of any type for which the Insured is
legally liable, except direct compensatory damages, or (2) taxes, fines,
or penalties, including without limitation two-thirds of treble damage
awards pursuant to judgments under any statute or regulation.
I. Loss resulting from the surrender of Property away from an office of the
Insured as a result of kidnap, ransom, or extortion, or a threat
(1) to do bodily harm to any person, except where the Property is in
transit in the custody of any person acting as messenger as a result
of a threat to do bodily harm to such person, if the Insured had no
knowledge of such threat at the time such transit was initiated, or
(2) to do damage to the premises or Property of the Insured,
unless such loss is otherwise covered under Insuring Agreement A.
J. All costs, fees, and other expenses incurred by the Insured in
establishing the existence of or amount of loss covered under this Bond,
except to the extent certain audit expenses are covered under Insuring
Agreement B.
K. Loss resulting from payments made to or withdrawals from any account,
involving funds erroneously credited to such account, unless such loss is
otherwise covered under Insuring Agreement A.
L. Loss resulting from uncollectible Items of Deposit which are drawn upon a
financial institution outside the United States of America, its
territories and possessions, or Canada.
M. Loss resulting from the Dishonest or Fraudulent Acts or other acts or
omissions of an Employee primarily engaged in the sale of shares issued by
an Investment Company to persons other than (1) a person registered as a
broker under the Securities Exchange Act of 1934 or (2) an "accredited
investor" as defined in Rule 501(a) of Regulation D under the Securities
Act of 1933, which is not an individual.
12 Bond (6/18)
N. Loss resulting from the use of credit, debit, charge, access, convenience,
identification, cash management or other cards, whether such cards were
issued or purport to have been issued by the Insured or by anyone else,
unless such loss is otherwise covered under Insuring Agreement A.
O. Loss resulting from any purchase, redemption or exchange of securities
issued by an Investment Company or other Insured, or any other
instruction, request, acknowledgement, notice or transaction involving
securities issued by an Investment Company or other Insured or the
dividends in respect thereof, when any of the foregoing is requested,
authorized or directed or purported to be requested, authorized or
directed by voice over the telephone or by Electronic Transmission, unless
such loss is otherwise covered under Insuring Agreement A or Insuring
Agreement I.
P. Loss resulting from any Dishonest or Fraudulent Act or committed by an
Employee as defined in Section 1.N(2), unless such loss (1) could not have
been reasonably discovered by the due diligence of the Insured at or prior
to the time of acquisition by the Insured of the assets acquired from a
predecessor, and (2) arose out of a lawsuit or valid claim brought against
the Insured by a person unaffiliated with the Insured or with any person
affiliated with the Insured.
Q. Loss resulting from the unauthorized entry of data into, or the deletion
or destruction of data in, or the change of data elements or programs
within, any Computer System, unless such loss is otherwise covered under
Insuring Agreement A.
R. Loss resulting from the theft, disappearance, destruction, disclosure, or
unauthorized use of confidential or personal information (including, but
not limited to, trade secrets, personal shareholder or client information,
shareholder or client lists, personally identifiable financial or medical
information, intellectual property, or any other type of non-public
information), whether such information is owned by the Insured or held by
the Insured in any capacity (including concurrently with another person);
provided, however, this exclusion shall not apply to loss arising out of
the use of such information to support or facilitate the commission of an
act otherwise covered by this Bond.
S. All costs, fees, and other expenses arising from a data security breach or
incident, including, but not limited to, forensic audit expenses, fines,
penalties, expenses to comply with federal and state laws and expenses
related to notifying affected individuals.
T. Loss resulting from vandalism or malicious mischief.
U. Loss resulting from the theft, disappearance, or destruction of
Cryptocurrency or from the change in value of Cryptocurrency, unless such
loss (1) is sustained by any investment company registered under the
Investment Company Act of 1940 that is named as an Insured and (2) is
otherwise covered under Insuring Agreement A.
SECTION 3. ASSIGNMENT OF RIGHTS
Upon payment to the Insured hereunder for any loss, the Underwriter shall
be subrogated to the extent of such payment to all of the Insured's rights
and claims in connection with such loss; provided, however, that the
Underwriter shall not be subrogated to any such rights or claims one named
Insured under this Bond may have against another named Insured under this
Bond. At the request of the Underwriter, the Insured shall execute all
assignments or other documents and take such action as the Underwriter may
deem necessary or desirable to secure and perfect such rights and claims,
including the execution of documents necessary to enable the Underwriter
to bring suit in the name of the Insured.
13 Bond (6/18)
Assignment of any rights or claims under this Bond shall not bind the
Underwriter without the Underwriter's written consent.
SECTION 4. LOSS--NOTICE--PROOF--LEGAL PROCEEDINGS
This Bond is for the use and benefit only of the Insured and the
Underwriter shall not be liable hereunder to anyone other than the
Insured. As soon as practicable and not more than sixty (60) days after
discovery of any loss covered hereunder, the Insured shall give the
Underwriter written notice thereof and, as soon as practicable and within
one year after such discovery, shall also furnish to the Underwriter
affirmative proof of loss with full particulars. The Underwriter may
extend the sixty-day notice period or the one-year proof of loss period if
the Insured requests an extension and shows good cause therefor.
The Insured shall provide the Underwriter with such information,
assistance, and cooperation as the Underwriter may reasonably request.
See also General Agreement C (Court Costs and Attorneys' Fees).
The Underwriter shall not be liable hereunder for loss of Securities
unless each of the Securities is identified in such proof of loss by a
certificate or bond number or by such identification means as the
Underwriter may require. The Underwriter shall have a reasonable period
after receipt of a proper affirmative proof of loss within which to
investigate the claim, but where the Property is Securities and the loss
is clear and undisputed, settlement shall be made within forty-eight (48)
hours even if the loss involves Securities of which duplicates may be
obtained.
The Insured shall not bring legal proceedings against the Underwriter to
recover any loss hereunder prior to sixty (60) days after filing such
proof of loss or subsequent to twenty-four (24) months after the discovery
of such loss or, in the case of a legal proceeding to recover hereunder on
account of any judgment against the Insured in or settlement of any suit
mentioned in General Agreement C or to recover court costs or attorneys'
fees paid in any such suit, twenty-four (24) months after the date of the
final judgment in or settlement of such suit. If any limitation in this
Bond is prohibited by any applicable law, such limitation shall be deemed
to be amended to be equal to the minimum period of limitation permitted by
such law.
Notice hereunder shall be given to Manager, Professional Liability Claims,
ICI Mutual Insurance Company, RRG, 1401 H St. NW, Washington, DC 20005.
SECTION 5. DISCOVERY
For all purposes under this Bond, a loss is discovered, and discovery of a
loss occurs, when the Insured
(1) becomes aware of facts, or
(2) receives notice of an actual or potential claim by a third party
which alleges that the Insured is liable under circumstances,
which would cause a reasonable person to assume that a loss of a type
covered by this Bond has been or is likely to be incurred, regardless of
when the act or acts causing or contributing to such loss occurred, even
though the exact amount or details of the loss may not be known.
14 Bond (6/18)
SECTION 6. VALUATION OF PROPERTY
For the purpose of determining the amount of any loss hereunder, the value
of any Property shall be the market value of such Property at the close of
business on the first business day before the discovery of such loss;
except that
(1) the value of any Property replaced by the Insured prior to the
payment of a claim therefor shall be the actual market value of such
Property at the time of replacement, but not in excess of the market
value of such Property on the first business day before the
discovery of the loss of such Property;
(2) the value of Securities which must be produced to exercise
subscription, conversion, redemption or deposit privileges shall be
the market value of such privileges immediately preceding the
expiration thereof if the loss of such Securities is not discovered
until after such expiration, but if there is no quoted or other
ascertainable market price for such Property or privileges referred
to in clauses (1) and (2), their value shall be fixed by agreement
between the parties or by arbitration before an arbitrator or
arbitrators acceptable to the parties; and
(3) the value of books of accounts or other records used by the Insured
in the conduct of its business shall be limited to the actual cost
of blank books, blank pages or other materials if the books or
records are reproduced plus the cost of labor for the transcription
or copying of data furnished by the Insured for reproduction.
SECTION 7. LOST SECURITIES
The maximum liability of the Underwriter hereunder for lost Securities
shall be the payment for, or replacement of, such Securities having an
aggregate value not to exceed the applicable Limit of Liability. If the
Underwriter shall make payment to the Insured for any loss of Securities,
the Insured shall assign to the Underwriter all of the Insured's right,
title and interest in and to such Securities. In lieu of such payment, the
Underwriter may, at its option, replace such lost Securities, and in such
case the Insured shall cooperate to effect such replacement. To effect the
replacement of lost Securities, the Underwriter may issue or arrange for
the issuance of a lost instrument bond. If the value of such Securities
does not exceed the applicable Deductible Amount (at the time of the
discovery of the loss), the Insured will pay the usual premium charged for
the lost instrument bond and will indemnify the issuer of such bond
against all loss and expense that it may sustain because of the issuance
of such bond.
If the value of such Securities exceeds the applicable Deductible Amount
(at the time of discovery of the loss), the Insured will pay a proportion
of the usual premium charged for the lost instrument bond, equal to the
percentage that the applicable Deductible Amount bears to the value of
such Securities upon discovery of the loss, and will indemnify the issuer
of such bond against all loss and expense that is not recovered from the
Underwriter under the terms and conditions of this Bond, subject to the
applicable Limit of Liability.
SECTION 8. SALVAGE
If any recovery is made, whether by the Insured or the Underwriter, on
account of any loss within the applicable Limit of Liability hereunder,
the Underwriter shall be entitled to the full amount of such recovery to
reimburse the Underwriter for all amounts paid hereunder with respect to
such loss. If any recovery is made, whether by the Insured or the
Underwriter, on account of any loss in excess of the applicable Limit of
Liability hereunder plus the Deductible Amount applicable to such loss
from any source other than suretyship, insurance, reinsurance, security or
indemnity taken by or for the benefit of the Underwriter, the amount of
such recovery, net of the actual costs and expenses of recovery, shall
15 Bond (6/18)
be applied to reimburse the Insured in full for the portion of such loss
in excess of such Limit of Liability, and the remainder, if any, shall be
paid first to reimburse the Underwriter for all amounts paid hereunder
with respect to such loss and then to the Insured to the extent of the
portion of such loss within the Deductible Amount. The Insured shall
execute all documents which the Underwriter deems necessary or desirable
to secure to the Underwriter the rights provided for herein.
SECTION 9. NON-REDUCTION AND NON-ACCUMULATION OF LIABILITY AND TOTAL LIABILITY
Prior to its termination, this Bond shall continue in force up to the
Limit of Liability for each Insuring Agreement for each Single Loss,
notwithstanding any previous loss (other than such Single Loss) for which
the Underwriter may have paid or be liable to pay hereunder; PROVIDED,
however, that regardless of the number of years this Bond shall continue
in force and the number of premiums which shall be payable or paid, the
liability of the Underwriter under this Bond with respect to any Single
Loss shall be limited to the applicable Limit of Liability irrespective of
the total amount of such Single Loss and shall not be cumulative in
amounts from year to year or from period to period.
SECTION 10. MAXIMUM LIABILITY OF UNDERWRITER; OTHER BONDS OR POLICIES
The maximum liability of the Underwriter for any Single Loss covered by
any Insuring Agreement under this Bond shall be the Limit of Liability
applicable to such Insuring Agreement, subject to the applicable
Deductible Amount and the other provisions of this Bond. Recovery for any
Single Loss may not be made under more than one Insuring Agreement. If any
Single Loss covered under this Bond is recoverable or recovered in whole
or in part because of an unexpired discovery period under any other bonds
or policies issued by the Underwriter to the Insured or to any predecessor
in interest of the Insured, the maximum liability of the Underwriter shall
be the greater of either (1) the applicable Limit of Liability under this
Bond, or (2) the maximum liability of the Underwriter under such other
bonds or policies.
SECTION 11. OTHER INSURANCE
Notwithstanding anything to the contrary herein, if any loss covered by
this Bond shall also be covered by other insurance or suretyship for the
benefit of the Insured, the Underwriter shall be liable hereunder only for
the portion of such loss in excess of the amount recoverable under such
other insurance or suretyship, but not exceeding the applicable Limit of
Liability of this Bond.
SECTION 12. DEDUCTIBLE AMOUNT
The Underwriter shall not be liable under any Insuring Agreement unless
the amount of the loss covered thereunder, after deducting the net amount
of all reimbursement and/or recovery received by the Insured with respect
to such loss (other than from any other bond, suretyship or insurance
policy or as an advance by the Underwriter hereunder) shall exceed the
applicable Deductible Amount; in such case the Underwriter shall be liable
only for such excess, subject to the applicable Limit of Liability and the
other terms of this Bond.
No Deductible Amount shall apply to any loss covered under Insuring
Agreement A sustained by any Investment Company named as an Insured.
16 Bond (6/18)
SECTION 13. TERMINATION
The Underwriter may terminate this Bond as to any Insured or all Insureds
only by written notice to such Insured or Insureds and, if this Bond is
terminated as to any Investment Company, to each such Investment Company
terminated thereby and to the Securities and Exchange Commission,
Washington, D.C., in all cases not less than sixty (60) days prior to the
effective date of termination specified in such notice.
The Insured may terminate this Bond only by written notice to the
Underwriter not less than sixty (60) days prior to the effective date of
the termination specified in such notice. Notwithstanding the foregoing,
when the Insured terminates this Bond as to any Investment Company, the
effective date of termination shall be not less than sixty (60) days from
the date the Underwriter provides written notice of the termination to
each such Investment Company terminated thereby and to the Securities and
Exchange Commission, Washington, D.C.
This Bond will terminate as to any Insured that is a Non-Fund immediately
and without notice upon (1) the takeover of such Insured's business by any
State or Federal official or agency, or by any receiver or liquidator, or
(2) the filing of a petition under any State or Federal statute relative
to bankruptcy or reorganization of the Insured, or assignment for the
benefit of creditors of the Insured.
Premiums are earned until the effective date of termination. The
Underwriter shall refund the unearned premium computed at short rates in
accordance with the Underwriter's standard short rate cancellation tables
if this Bond is terminated by the Insured or pro rata if this Bond is
terminated by the Underwriter.
Upon the detection by any Insured that an Employee has committed any
Dishonest or Fraudulent Act(s), the Insured shall immediately remove such
Employee from a position that may enable such Employee to cause the
Insured to suffer a loss by any subsequent Dishonest or Fraudulent Act(s).
The Insured, within two (2) business days of such detection, shall notify
the Underwriter with full and complete particulars of the detected
Dishonest or Fraudulent Act(s).
For purposes of this section, detection occurs when any partner, officer,
or supervisory employee of any Insured, who is not in collusion with such
Employee, becomes aware that the Employee has committed any Dishonest or
Fraudulent Act(s).
This Bond shall terminate as to any Employee by written notice from the
Underwriter to each Insured and, if such Employee is an Employee of an
Insured Investment Company, to the Securities and Exchange Commission, in
all cases not less than sixty (60) days prior to the effective date of
termination specified in such notice.
SECTION 14. RIGHTS AFTER TERMINATION
At any time prior to the effective date of termination of this Bond as to
any Insured, such Insured may, by written notice to the Underwriter, elect
to purchase the right under this Bond to an additional period of twelve
(12) months within which to discover loss sustained by such Insured prior
to the effective date of such termination and shall pay an additional
premium therefor as the Underwriter may require.
Such additional discovery period shall terminate immediately and without
notice upon the takeover of such Insured's business by any State or
Federal official or agency, or by any receiver or liquidator. Promptly
after such termination the Underwriter shall refund to the Insured any
unearned premium.
17 Bond (6/18)
The right to purchase such additional discovery period may not be
exercised by any State or Federal official or agency, or by any receiver
or liquidator, acting or appointed to take over the Insured's business.
SECTION 15. CENTRAL HANDLING OF SECURITIES
The Underwriter shall not be liable for loss in connection with the
central handling of securities within the systems established and
maintained by any Depository ("Systems"), unless the amount of such loss
exceeds the amount recoverable or recovered under any bond or policy or
participants' fund insuring the Depository against such loss (the
"Depository's Recovery"); in such case the Underwriter shall be liable
hereunder only for the Insured's share of such excess loss, subject to the
applicable Limit of Liability, the Deductible Amount and the other terms
of this Bond.
For determining the Insured's share of such excess loss, (1) the Insured
shall be deemed to have an interest in any certificate representing any
security included within the Systems equivalent to the interest the
Insured then has in all certificates representing the same security
included within the Systems; (2) the Depository shall have reasonably and
fairly apportioned the Depository's Recovery among all those having an
interest as recorded by appropriate entries in the books and records of
the Depository in Property involved in such loss, so that each such
interest shall share in the Depository's Recovery in the ratio that the
value of each such interest bears to the total value of all such
interests; and (3) the Insured's share of such excess loss shall be the
amount of the Insured's interest in such Property in excess of the
amount(s) so apportioned to the Insured by the Depository.
This Bond does not afford coverage in favor of any Depository or Exchange
or any nominee in whose name is registered any security included within
the Systems.
SECTION 16. ADDITIONAL COMPANIES INCLUDED AS INSURED
If more than one entity is named as the Insured:
A. the total liability of the Underwriter hereunder for each Single
Loss shall not exceed the Limit of Liability which would be
applicable if there were only one named Insured, regardless of the
number of Insured entities which sustain loss as a result of such
Single Loss,
B. the Insured first named in Item 1 of the Declarations shall be
deemed authorized to make, adjust, and settle, and receive and
enforce payment of, all claims hereunder as the agent of each other
Insured for such purposes and for the giving or receiving of any
notice required or permitted to be given hereunder; provided, that
the Underwriter shall promptly furnish each named Insured Investment
Company with (1) a copy of this Bond and any amendments thereto, (2)
a copy of each formal filing of a claim hereunder by any other
Insured, and (3) notification of the terms of the settlement of each
such claim prior to the execution of such settlement,
C. the Underwriter shall not be responsible or have any liability for
the proper application by the Insured first named in Item 1 of the
Declarations of any payment made hereunder to the first named
Insured,
D. for the purposes of Sections 4 and 13, knowledge possessed or
discovery made by any partner, officer or supervisory Employee of
any Insured shall constitute knowledge or discovery by every named
Insured,
18 Bond (6/18)
E. if the first named Insured ceases for any reason to be covered under
this Bond, then the Insured next named shall thereafter be
considered as the first named Insured for the purposes of this Bond,
and
F. each named Insured shall constitute "the Insured" for all purposes
of this Bond.
SECTION 17. NOTICE AND CHANGE OF CONTROL
Within thirty (30) days after learning that there has been a change in
control of an Insured by transfer of its outstanding voting securities the
Insured shall give written notice to the Underwriter of:
A. the names of the transferors and transferees (or the names of the
beneficial owners if the voting securities are registered in another
name), and
B. the total number of voting securities owned by the transferors and
the transferees (or the beneficial owners), both immediately before
and after the transfer, and
C. the total number of outstanding voting securities.
As used in this Section, "control" means the power to exercise a
controlling influence over the management or policies of the Insured.
SECTION 18. CHANGE OR MODIFICATION
This Bond may only be modified by written Rider forming a part hereof over
the signature of the Underwriter's authorized representative. Any Rider
which modifies the coverage provided by Insuring Agreement A, Fidelity, in
a manner which adversely affects the rights of an Insured Investment
Company shall not become effective until at least sixty (60) days after
the Underwriter has given written notice thereof to the Securities and
Exchange Commission, Washington, D.C., and to each Insured Investment
Company affected thereby.
SECTION 19. COMPLIANCE WITH APPLICABLE TRADE AND ECONOMIC SANCTIONS
This Bond shall not be deemed to provide any coverage, and the Underwriter
shall not be required to pay any loss or provide any benefit hereunder, to
the extent that the provision of such coverage, payment of such loss or
provision of such benefit would cause the Underwriter to be in violation
of any applicable trade or economic sanctions, laws or regulations,
including, but not limited to, any sanctions, laws or regulations
administered and enforced by the U.S. Department of Treasury Office of
Foreign Assets Control (OFAC).
SECTION 20. ANTI-BUNDLING
If any Insuring Agreement requires that an enumerated type of document be
Counterfeit, or contain a Forgery or Alteration, the Counterfeit, Forgery,
or Alteration must be on or of the enumerated document itself, not on or
of some other document submitted with, accompanying or incorporated by
reference into the enumerated document.
IN WITNESS WHEREOF, the Underwriter has caused this Bond to be executed on the
Declarations Page.
19 Bond (6/18)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 1
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following:
First Trust Advisors LP
First Trust Portfolios LP
FT Cayman Subsidiary
FT Cayman Subsidiary II
FT Cayman Subsidiary III
First Trust Series Fund, a series fund consisting of:
o First Trust/Confluence Small Cap Value Fund
o First Trust Preferred Securities and Income Fund
o First Trust Short Duration High Income Fund
First Trust Variable Insurance Trust, a series fund consisting of:
o First Trust Dorsey Wright Tactical Core Portfolio
o First Trust/Dow Jones Dividend & Income Allocation Portfolio
o First Trust Multi Income Allocation Portfolio
First Trust Closed-End Funds, a series fund consisting of:
o First Trust/Aberdeen Emerging Opportunity Fund
o First Trust/Aberdeen Global Opportunity Income Fund
o First Trust Dynamic Europe Equity Income Fund
o First Trust Energy Income and Growth Fund
o First Trust Energy Infrastructure Fund
o First Trust Enhanced Equity Income Fund
o First Trust High Income Long/Short Fund
o First Trust Intermediate Duration Preferred & Income Fund
o First Trust MLP and Energy Income Fund
o First Trust Mortgage Income Fund
o First Trust New Opportunities MLP & Energy Fund
o First Trust Senior Floating Rate 2022 Target Term Fund
o First Trust Senior Floating Rate Income Fund II
o First Trust Specialty Finance & Financial Opportunities Fund
o Macquarie/First Trust Global Infrastructure/Utilities Dividend &
Income Fund
First Trust Exchange-Traded Fund, a series fund consisting of:
o First Trust Capital Strength ETF
o First Trust Chindia ETF
o First Trust Dorsey Wright People's Portfolio ETF
o First Trust Dow 30 Equal Weight ETF
o First Trust Dow Jones Internet Index Fund
o First Trust Dow Jones Select MicroCap Index Fund
o First Trust Lunt U.S. Factor Rotation ETF
o First Trust Morningstar Dividend Leaders Index Fund
o First Trust NASDAQ-100 Equal Weighted Index Fund
o First Trust NASDAQ-100 Ex-Technology Sector Index Fund
o First Trust NASDAQ-100-Technology Sector Index Fund
o First Trust NASDAQ(R) ABA Community Bank Index Fund
o First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund
o First Trust Natural Gas ETF
o First Trust NYSE Arca Biotechnology Index Fund
o First Trust S&P REIT Index Fund
o First Trust Total US Market AlphaDEX(R) ETF
o First Trust US Equity Opportunities ETF
o First Trust Value Line(R) 100 Exchange-Traded Fund
o First Trust Value Line(R) Dividend Index Fund
o First Trust Water ETF
First Trust Exchange-Traded AlphaDEX(R) Fund, a series fund consisting of:
o First Trust Consumer Discretionary AlphaDEX(R) Fund
o First Trust Consumer Staples AlphaDEX(R) Fund
o First Trust Energy AlphaDEX(R) Fund
o First Trust Financials AlphaDEX(R) Fund
o First Trust Health Care AlphaDEX(R) Fund
o First Trust Industrials/Producer Durables AlphaDEX(R) Fund
o First Trust Large Cap Core AlphaDEX(R) Fund
o First Trust Large Cap Growth AlphaDEX(R) Fund
o First Trust Large Cap Value AlphaDEX(R) Fund
o First Trust Materials AlphaDEX(R) Fund
o First Trust Mega Cap AlphaDEX(R) Fund
o First Trust Mid Cap Core AlphaDEX(R) Fund
o First Trust Mid Cap Growth AlphaDEX(R) Fund
o First Trust Mid Cap Value AlphaDEX(R) Fund
o First Trust Multi Cap Value AlphaDEX(R) Fund
o First Trust Multi Cap Growth AlphaDEX(R) Fund
o First Trust Small Cap Core AlphaDEX(R) Fund
o First Trust Small Cap Growth AlphaDEX(R) Fund
o First Trust Small Cap Value AlphaDEX(R) Fund
o First Trust Technology AlphaDEX(R) Fund
o First Trust Utilities AlphaDEX(R) Fund
First Trust Exchange-Traded Fund II, a series fund consisting of:
o First Trust BICK Index Fund
o First Trust Cloud Computing ETF
o First Trust Dow Jones Global Select Dividend Index Fund
o First Trust Dow Jones International Internet ETF
o First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund
o First Trust Global Wind Energy ETF
o First Trust Global Engineering and Construction ETF
o First Trust Indxx Global Natural Resources Income ETF
o First Trust Indxx Global Agriculture ETF
o First Trust Indxx NextG ETF
o First Trust International Equity Opportunities ETF
o First Trust IPOX(R) Europe Equity Opportunities ETF
o First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure
Index Fund
o First Trust NASDAQ Global Auto Index Fund
o First Trust Nasdaq Cybersecurity ETF
o First Trust STOXX(R) European Select Dividend Index Fund
First Trust Exchange-Traded AlphaDEX(R) Fund II, a series fund consisting of:
o First Trust Asia Pacific ex-Japan AlphaDEX(R) Fund
o First Trust Australia AlphaDEX(R) Fund
o First Trust Brazil AlphaDEX(R) Fund
o First Trust Canada AlphaDEX(R) Fund
o First Trust China AlphaDEX(R) Fund
o First Trust Developed Markets ex-US AlphaDEX(R) Fund
o First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund
o First Trust Emerging Markets AlphaDEX(R) Fund
o First Trust Emerging Markets Small Cap AlphaDEX(R) Fund
o First Trust Europe AlphaDEX(R) Fund
o First Trust Eurozone AlphaDEX(R) ETF
o First Trust Germany AlphaDEX(R) Fund
o First Trust Hong Kong AlphaDEX(R) Fund
o First Trust India NIFTY 50 Equal Weight ETF
o First Trust Japan AlphaDEX(R) Fund
o First Trust Latin America AlphaDEX(R) Fund
o First Trust South Korea AlphaDEX(R) Fund
o First Trust Switzerland AlphaDEX(R) Fund
o First Trust United Kingdom AlphaDEX(R) Fund
First Trust Exchange-Traded Fund III, a series fund consisting of:
o First Trust California Municipal High Income ETF
o First Trust Emerging Markets Local Currency Bond ETF
o First Trust Horizon Managed Volatility Developed International ETF
o First Trust Horizon Managed Volatility Domestic ETF
o First Trust Institutional Preferred Securities and Income ETF
o First Trust Long/Short Equity ETF
o First Trust Managed Municipal ETF
o First Trust Municipal High Income ETF
o First Trust Preferred Securities and Income ETF
o First Trust RiverFront Dynamic Asia Pacific ETF
o First Trust RiverFront Dynamic Developed International ETF
o First Trust RiverFront Dynamic Emerging Markets ETF
o First Trust RiverFront Dynamic Europe ETF
o First Trust Short Duration Managed Municipal ETF
o First Trust Ultra Short Duration Municipal ETF
First Trust Exchange-Traded Fund IV, a series fund consisting of:
o First Trust EIP Carbon Impact ETF
o First Trust Enhanced Short Maturity ETF
o First Trust Long Duration Opportunities ETF
o First Trust Low Duration Opportunities ETF
o First Trust North American Energy Infrastructure Fund
o First Trust Senior Loan Fund
o First Trust Strategic Income ETF
o First Trust Tactical High Yield ETF
o First Trust SSI Strategic Convertible Securities ETF
First Trust Exchange-Traded Fund V, a series fund consisting of:
o First Trust Managed Futures Strategy Fund
First Trust Exchange-Traded Fund VI, a series fund consisting of:
o Developed International Equity Select ETF
o Emerging Markets Equity Select ETF
o First Trust BuyWrite Income ETF
o First Trust Dorsey Wright DALI 1 ETF
o First Trust Dorsey Wright Dynamic Focus 5 ETF
o First Trust Dorsey Wright Focus 5 ETF
o First Trust Dorsey Wright International Focus 5 ETF
o First Trust Dorsey Wright Momentum & Dividend ETF
o First Trust Dorsey Wright Momentum & Low Volatility ETF
o First Trust Dorsey Wright Momentum & Value ETF
o First Trust Hedged BuyWrite Income ETF
o First Trust Indxx Innovative Transaction & Process ETF
o First Trust Nasdaq Artificial Intelligence and Robotics ETF
o First Trust Nasdaq Bank ETF
o First Trust NASDAQ Technology Dividend Index Fund
o First Trust Nasdaq Food & Beverage ETF
o First Trust Nasdaq Oil & Gas ETF
o First Trust Nasdaq Pharmaceuticals ETF
o First Trust Nasdaq Retail ETF
o First Trust Nasdaq Semiconductor ETF
o First Trust Nasdaq Transportation ETF
o First Trust RBA American Industrial Renaissance(R) ETF
o First Trust Rising Dividend Achievers ETF
o First Trust S&P International Dividend Aristocrats ETF
o First Trust SMID Cap Rising Dividend Achievers ETF
o Large Cap US Equity Select ETF
o Mid Cap US Equity Select ETF
o Multi-Asset Diversified Income Index Fund
o Small Cap US Equity Select ETF
o US Equity Dividend Select ETF
First Trust Exchange-Traded Fund VII, a series fund consisting of:
o First Trust Alternative Absolute Return Strategy ETF
o First Trust Global Tactical Commodity Strategy Fund
First Trust Exchange-Traded Fund VIII, a series fund consisting of:
o EquityCompass Risk Manager ETF
o EquityCompass Tactical Risk Manager ETF
o First Trust CEF Income Opportunity ETF
o First Trust Low Duration Strategic Focus ETF
o First Trust Municipal CEF Income Opportunity ETF
o First Trust TCW Opportunistic Fixed Income ETF
o First Trust TCW Unconstrained Plus Bond ETF
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0001.0-00 (01/02) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 2
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that this Bond (other than Insuring Agreements C and D) does not
cover loss resulting from or in connection with any business, activities, or
acts or omissions of (including services rendered by) any Insured which is not
an Insured Fund ("Non-Fund") or any Employee of a Non-Fund, except loss,
otherwise covered by the terms of this Bond, resulting from or in connection
with
(1) services rendered by a Non-Fund to an Insured Fund, or to
shareholders of such Fund in connection with the issuance, transfer,
or redemption of their Fund shares; or
(2) Investment Advisory Services rendered by a Non-Fund to an investment
advisory client of such Non-Fund; or
(3) in the case of a Non-Fund substantially all of whose business is
rendering the services described in (1) or (2) above, the general
business, activities or operations of such Non-Fund, excluding (a)
the rendering of services (other than those described in (1) or (2)
above) to any person, or (b) the sale of goods or property of any
kind.
It is further understood and agreed that with respect to any Non-Fund, Insuring
Agreements C and D only cover loss of Property which a Non-Fund uses or holds,
or in which a Non-Fund has an interest, in each case wholly or partially in
connection with the rendering of services described in (1) or (2) above.
As used herein, "Investment Advisory Services" means (a) advice with respect to
the desirability of investing in, purchasing or selling securities or other
property, including the power to determine what securities or other property
shall be purchased or sold, but not including furnishing only statistical and
other factual information (such as economic factors and trends); and (b) the
provision of financial, economic or investment management services, but only if
ancillary and related to the advice referred to in clause (a) above.
For purposes of this Rider, Investment Advisory Services shall not include
Personal Financial Planning Services.
It is further understood and agreed that as used herein, "Personal Financial
Planning Services" means the provision of financial plans to individuals for
compensation and the provision of services related thereto, and may include
specific recommendations for the implementation of such plans and advice with
respect to tax planning, retirement planning, estate planning, insurance
planning, budgeting and cash management, or similar types of financial advice,
but not including solely Investment Advisory Services.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0003.1-02 (01/02) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 3
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that notwithstanding anything to the contrary in this Bond, this Bond
shall not cover loss resulting from or in connection with the discretionary
voting by any Insured of securities owned or held by any client of such Insured,
where such securities are issued by (1) such Insured, or (2) any entity
controlling, controlled by, or under common control with such Insured,
("Affiliated Entity"), or (3) any Fund to which such Insured or any Affiliated
Entity provides any services.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0012.0-01 (01/02) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 4
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that the Deductible Amount for Insuring Agreement E, Forgery or
Alteration, and Insuring Agreement F, Securities, shall not apply with respect
to loss through Forgery of a signature on the following documents:
(1) letter requesting redemption of $50,000 or less payable by check to
the Shareholder of Record and sent to an Authorized Address; or
(2) letter requesting redemption of $50,000 or less by wire transfer to
the Shareholder of Record of an Authorized Bank Account; or
(3) written request to a trustee or custodian for a Designated
Retirement Account ("DRA") which holds shares of an Insured Fund,
where such request (a) purports to be from or at the instruction of
the Owner of such DRA, and (b) directs such trustee or custodian to
transfer $50,000 or less from such DRA to a trustee or custodian for
another DRA established for the benefit of such Owner;
provided, that the Limit of Liability for a Single Loss as described above shall
be $50,000 and that the Insured shall bear 20% of each such loss. This Rider
shall not apply in the case of any such Single Loss which exceeds $50,000; in
such case the Deductible Amounts and Limits of Liability set forth in Item 3 of
the Declarations shall control.
For purposes of this Rider:
(A) "Designated Retirement Account" means any retirement plan or account
described or qualified under the Internal Revenue Code of 1986, as
amended, or a subaccount thereof.
(B) "Owner" means the individual for whose benefit the DRA, or a
subaccount thereof, is established.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0027.0-02 (07/18) nb
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 5
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that this Bond does not cover any loss resulting from or in
connection with the acceptance of any Third Party Check, unless
(1) such Third Party Check is used to open or increase an account which
is registered in the name of one or more of the payees on such Third
Party Check, and
(2) reasonable efforts are made by the Insured, or by the entity
receiving Third Party Checks on behalf of the Insured, to verify all
endorsements on all Third Party Checks made payable in amounts
greater than $100,000 (provided, however, that the isolated failure
to make such efforts in a particular instance will not preclude
coverage, subject to the exclusions herein and in the Bond),
and then only to the extent such loss is otherwise covered under this Bond.
For purposes of this Rider, "Third Party Check" means a check made payable to
one or more parties and offered as payment to one or more other parties.
It is further understood and agreed that notwithstanding anything to the
contrary above or elsewhere in the Bond, this Bond does not cover any loss
resulting from or in connection with the acceptance of a Third Party Check
where:
(1) any payee on such Third Party Check reasonably appears to be a
corporation or other entity; or
(2) such Third Party Check is made payable in an amount greater than
$100,000 and does not include the purported endorsements of all
payees on such Third Party Check.
It is further understood and agreed that this Rider shall not apply with respect
to any coverage that may be available under Insuring Agreement A, "Fidelity."
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0030.0-01 (01/02) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 6
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
Most property and casualty insurers, including ICI Mutual Insurance Company, a
Risk Retention Group ("ICI Mutual"), are subject to the requirements of the
Terrorism Risk Insurance Act of 2002, as amended (the "Act"). The Act
establishes a federal insurance backstop under which ICI Mutual and these other
insurers may be partially reimbursed by the United States Government for future
"INSURED LOSSES" resulting from certified "ACTS OF TERRORISM." (Each of these
BOLDED TERMS is defined by the Act.) The Act also places certain disclosure and
other obligations on ICI Mutual and these other insurers.
Pursuant to the Act, any future losses to ICI Mutual caused by certified "ACTS
OF TERRORISM" may be partially reimbursed by the United Sates government under a
formula established by the Act. Under this formula, the United States government
would generally reimburse ICI Mutual for the Federal Share of Compensation of
ICI Mutual's "INSURED LOSSES" in excess of ICI Mutual's "INSURER DEDUCTIBLE"
until total "INSURED LOSSES" of all participating insurers reach $100 billion
(the "Cap on Annual Liability"). If total "INSURED LOSSES" of all property and
casualty insurers reach the Cap on Annual Liability in any one calendar year,
the Act limits U.S. Government reimbursement and provides that the insurers will
not be liable under their policies for their portions of such losses that exceed
such amount. Amounts otherwise payable under this Bond may be reduced as a
result.
This Bond has no express exclusion for "ACTS OF TERRORISM." However, coverage
under this Bond remains subject to all applicable terms, conditions, and
limitations of the Bond (including exclusions) that are permissible under the
Act.
The portion of the premium that is attributable to any coverage potentially
available under the Bond for "ACTS OF TERRORISM" is one percent (1%) and does
not include any charges for the portion of loss that may be covered by the U.S.
Government under the Act
As used herein, "Federal Share of Compensation" shall mean 85% in calendar year
2015 and shall be reduced by 1% per calendar year until equal to 80%.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0053.1-00 (07/18) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 7
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that the Underwriter will use its best efforts to notify the
Financial Industry Regulatory Authority, Inc. within 30 days in the event the
Bond is substantially modified, terminated or canceled.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0025.0-02 (10/08) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 8
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that no action involving any Foreign Entity as a party, or otherwise
relating to any Foreign Entity may be brought against the Underwriter anywhere
other than in a court within the State of Vermont in the United States of
America. In the case of any such action, this Bond shall be governed by and
construed and enforced only in accordance with (1) the internal laws of the
State of Vermont (without reference to choice of law doctrine applicable in such
state); and (2) the English text as it appears in this Bond.
It is further understood and agreed that as used in Insuring Agreement E.,
Forgery or Alteration, Sections 1.N(5), 2.E, and 2.O of, and Rider No. 2 to this
Bond only, the term "Fund" or "Investment Company," shall be deemed to include
the Foreign Funds.
It is further understood and agreed that as used in Insuring Agreement B., Audit
Expense, Insuring Agreement F., Securities and Section 2.E of this Bond only,
the term "Self Regulatory Organization" shall be deemed to include any
association or organization of investment advisers or securities dealers
registered or authorized under the securities laws of any government or any
securities exchange registered with any government.
It is further understood and agreed that notwithstanding Section 16 or any other
provision of this Bond, this Bond shall terminate immediately as to any Foreign
Entity without prior notice to such Foreign Entity:
(1) if there is a change in control (as defined in Section 16 of this
Bond) of such Foreign Entity by transfer of its outstanding voting
securities or otherwise, or
(2) if such Foreign Entity shall merge or consolidate with an entity
such that the Foreign Entity is the surviving entity, or purchase or
otherwise acquire any other entity or substantially all the assets
of another entity, or acquire or create a subsidiary or separate
investment portfolio,
unless, prior to such change in control, or merger or consolidation, or
purchase, or acquisition or creation, respectively ("Event"), the Foreign Entity
notifies the Underwriter in writing of the impending Event and the Underwriter,
in its sole discretion, determines to continue the Bond upon such terms and
conditions as the Underwriter may deem appropriate.
As used herein, "Foreign Entity" shall mean:
all Foreign Funds
As used herein, "Foreign Funds" shall mean:
FT Cayman Subsidiary
FT Cayman Subsidiary II
FT Cayman Subsidiary III
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN00014.0-02 (06/18) nb
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 9
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that the Underwriter shall use its best efforts to enter into an
agreement with each Facultative Reinsurer on this Bond, regarding the Insureds'
rights against such Facultative Reinsurer ("Cut Through Agreement"), in
substantially the form(s) previously reviewed and agreed to by the Insureds.
It is further understood and agreed that as used in this rider, "Facultative
Reinsurer" means any entity providing reinsurance for this Bond to the
Underwriter on a facultative basis (and always excluding any entity providing
reinsurance for this Bond to the Underwriter pursuant to treaty).
Nothing herein contained shall be held to vary, alter, waive or extend any of
the terms, conditions, provisions, agreements or limitations of this Bond other
than as above stated.
RNM0011.0-00-516 (12/11)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 10
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that notwithstanding Section 2.Q of this Bond, this Bond is amended
by adding an additional Insuring Agreement J as follows:
J. COMPUTER SECURITY
Loss (including loss of Property) resulting directly from Computer Fraud;
provided, that the Insured has adopted in writing and generally maintains and
follows during the Bond Period all Computer Security Procedures. The isolated
failure of the Insured to maintain and follow a particular Computer Security
Procedure in a particular instance will not preclude coverage under this
Insuring Agreement, subject to the specific exclusions herein and in the Bond.
1. Definitions. The following terms used in this Insuring Agreement
shall have the following meanings:
a. "Authorized User" means any person or entity designated by the
Insured (through contract, assignment of User Identification,
or otherwise) as authorized to use a Covered Computer System,
or any part thereof. An individual who invests in an Insured
Fund shall not be considered to be an Authorized User solely
by virtue of being an investor.
b. "Computer Fraud" means the unauthorized entry of data into, or
the deletion or destruction of data in, or change of data
elements or programs within, a Covered Computer System which:
(1) is committed by any Unauthorized Third Party anywhere,
alone or in collusion with other Unauthorized Third
Parties; and
(2) is committed with the conscious manifest intent (a) to
cause the Insured to sustain a loss, and (b) to obtain
financial benefit for the perpetrator or any other
person; and
(3) causes (x) Property to be transferred, paid or
delivered; or (y) an account of the Insured, or of its
customer, to be added, deleted, debited or credited; or
(z) an unauthorized or fictitious account to be debited
or credited.
c. "Computer Security Procedures" means procedures for prevention
of unauthorized computer access and use and administration of
computer access and use as provided in writing to the
Underwriter.
d. "Covered Computer System" means any Computer System as to
which the Insured has possession, custody and control.
e. "Unauthorized Third Party" means any person or entity that, at
the time of the Computer Fraud, is not an Authorized User.
f. "User Identification" means any unique user name (i.e., a
series of characters) that is assigned to a person or entity
by the Insured.
2. Exclusions. It is further understood and agreed that this Insuring
Agreement J shall not cover:
a. Any loss covered under Insuring Agreement A, "Fidelity," of
this Bond; and
b. Any loss resulting from the intentional failure to adhere to
one or more Computer Security Procedures; and
c. Any loss resulting from a Computer Fraud committed by or in
collusion with:
(1) any Authorized User (whether a natural person or an
entity); or
(2) in the case of any Authorized User which is an entity,
(a) any director, officer, partner, employee or agent of
such Authorized User, or (b) any entity which controls,
is controlled by, or is under common control with such
Authorized User ("Related Entity"), or (c) any director,
officer, partner, employee or agent of such Related
Entity; or
(3) in the case of any Authorized User who is a natural
person, (a) any entity for which such Authorized User is
a director, officer, partner, employee or agent
("Employer Entity"), or (b) any director, officer,
partner, employee or agent of such Employer Entity, or
(c) any entity which controls, is controlled by, or is
under common control with such Employer Entity
("Employer-Related Entity"), or (d) any director,
officer, partner, employee or agent of such
Employer-Related Entity;
and
d. Any loss resulting from physical damage to or destruction of
any Covered Computer System, or any part thereof, or any data,
data elements or media associated therewith; and
e. Any loss resulting from Computer Fraud committed by means of
wireless access to any Covered Computer System, or any part
thereof, or any data, data elements or media associated
therewith; and
f. Any loss not directly and proximately caused by Computer Fraud
(including, without limitation, disruption of business and
extra expense); and
g. Payments made to any person(s) who has threatened to deny or
has denied authorized access to a Covered Computer System or
otherwise has threatened to disrupt the business of the
Insured.
For purposes of this Insuring Agreement, "Single Loss," as defined in Section
1.EE of this Bond, shall also include all loss caused by Computer Fraud(s)
committed by one person, or in which one person is implicated, whether or not
that person is specifically identified. A series of losses involving
unidentified individuals, but arising from the same method of operation, may be
deemed by the Underwriter to involve the same individual and in that event shall
be treated as a Single Loss.
It is further understood and agreed that nothing in this Rider shall affect the
exclusion set forth in Section 2.O of this Bond.
Coverage under this Insuring Agreement shall terminate upon termination of this
Bond. Coverage under this Insuring Agreement may also be terminated without
terminating this Bond as an entirety:
(a) by written notice from the Underwriter not less than sixty (60) days
prior to the effective date of termination specified in such notice;
or
(b) immediately by written notice from the Insured to the Underwriter.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0019.0-04 (07/18) nb
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 11
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that, notwithstanding anything to the contrary in General Agreement A
of this Bond, Item 1 of the Declarations shall include any Newly Created
Investment Company or portfolio, provided that the Insured shall submit to the
Underwriter, at least annually, a list of all Newly Created Investment Companies
or portfolios, the estimated annual assets of each Newly Created Investment
Company or portfolio.
For purposes of this Rider, Newly Created Investment Company or portfolio shall
mean any Investment Company or portfolio declared effective by the U.S.
Securities & Exchange Commission after the inception date of this Bond which is
advised, distributed or administered by any Insured which is not an Insured Fund
("Non-Fund") and for which such Non-Fund has the responsibility of placing
fidelity bond coverage.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RNV0033.0-00-516 (08/18)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 12
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2019 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
SOCIAL ENGINEERING FRAUD
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that this Bond is amended by adding an additional Insuring Agreement
M, as follows:
M. Social Engineering Fraud
Loss resulting directly from the Insured, in good faith, transferring, paying,
or delivering money from its own account as a direct result of a Social
Engineering Fraud;
PROVIDED, that the entity receiving such request generally maintains and follows
during the Bond Period all Social Engineering Security Procedures.
The Limit of Liability for a Single Loss under this Insuring Agreement M shall
be the lesser of (a) 50% of the amount by which such Single Loss exceeds the
Deductible Amount or (b) $1,000,000 (One Million Dollars), and the Insured shall
bear the remainder of any such Single Loss. The Deductible Amount for this
Insuring Agreement M is $50,000 (Fifty Thousand Dollars).
Notwithstanding any other provision of this Bond, the aggregate Limit of
Liability under this Bond with respect to any and all loss or losses under this
Insuring Agreement M shall be $1,000,000 (One Million Dollars) for the Bond
Period, irrespective of the total amount of such loss or losses.
This Insuring Agreement M does not cover loss covered under any other Insuring
Agreement of this Bond.
It is further understood and agreed that for purposes of this rider:
1. "Communication" means an instruction that (a) directs an Employee to
transfer, pay, or deliver money from the Insured's own account, (b)
contains a material misrepresentation of fact, and (c) is relied
upon by the Employee, believing it to be true.
2. "Social Engineering Fraud" means the intentional misleading of an
Employee through the use of a Communication, where such
Communication:
(a) is transmitted to the Employee in writing, by voice over the
telephone, or by Electronic Transmission;
(b) is made by an individual who purports to be (i) an Employee
who is duly authorized by the Insured to instruct another
Employee to transfer, pay, or deliver money, or (ii) an
officer or employee of a Vendor who is duly authorized by the
Insured to instruct an Employee to transfer, pay, or deliver
money; ands
(c) is unauthorized, dishonest or fraudulent and is made with the
manifest intent to deceive.
3. "Social Engineering Security Procedures" means security procedures
intended to prevent Social Engineering Fraud as set forth in the
Application and/or as otherwise provided in writing to the
Underwriter.
4. "Vendor" means any entity or individual that provides goods or
services to the Insured under a pre-existing, written agreement.
Except as above stated, nothing herein shall be held to alter, waive, or extend
any of the terms of this Bond.
RN0054.0-00 (07/18) nb
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 13
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
See below OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following as of the effective date indicated:
FUND NAME EFFECTIVE DATE
o FT Cboe Vest U.S. Equity Buffer ETF - August November 6, 2019
o FT Cboe Vest U.S. Equity Deep Buffer ETF - August November 6, 2019
o FT Cboe Vest U.S. Equity Buffer ETF - November November 15, 2019
o FT Cboe Vest U.S. Equity Deep Buffer ETF - November November 15, 2019
o First Trust Active Factor Small Cap ETF December 4, 2019
o First Trust Active Factor Mid Cap ETF December 4, 2019
o First Trust Active Factor Large Cap ETF, each a December 4, 2019
series fund of:
First Trust Exchange-Traded Fund VIII
Nothing herein contained shall be held to vary, alter, waive or extend any of
the terms, conditions, provisions, agreements or limitations of this policy
other than as above stated.
RN0001.1-00 (1/02) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 14
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
FEBRUARY 5, 2020 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following as of the effective date indicated:
o First Trust Merger Arbitrage ETF, a series fund of:
First Trust Exchange-Traded Fund III
Nothing herein contained shall be held to vary, alter, waive or extend any of
the terms, conditions, provisions, agreements or limitations of this policy
other than as above stated.
RN0001.1-00 (1/02) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 15
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
JANUARY 31, 2020 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that the Limit of Liability for the following Insuring Agreements is
hereby amended, effective January 31, 2020, to be:
Limit of
---------
Liability
---------
Insuring Agreement A- FIDELITY $34,000,000
Insuring Agreement C- ON PREMISES $34,000,000
Insuring Agreement D- IN TRANSIT $34,000,000
Insuring Agreement E- FORGERY OR ALTERATION $34,000,000
Insuring Agreement F- SECURITIES $34,000,000
Insuring Agreement G- COUNTERFEIT CURRENCY $34,000,000
Insuring Agreement J- COMPUTER SECURITY $34,000,000
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN0004.0-02 (10/08) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 16
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
FEBRUARY 21, 2020 OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following as of the effective date indicated:
o FT Cboe Vest U.S. Equity Buffer ETF - February
o FT Cboe Vest U.S. Equity Deep Buffer ETF - February, each a series
fund of:
First Trust Exchange-Traded Fund VIII
Nothing herein contained shall be held to vary, alter, waive or extend any of
the terms, conditions, provisions, agreements or limitations of this policy
other than as above stated.
RN0001.1-00 (1/02) sp
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 17
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST TRUST EXCHANGE-TRADED FUND 99516119B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
SEE BELOW OCTOBER 9, 2019 TO OCTOBER 9, 2020 /S/ SWENITHA NALLI
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following as of the effective date indicated:
EFFECTIVE
FUND NAME DATE
o First Trust Horizon Managed Volatility April 6, 2020
Small/Mid ETF, a series fund of:
First Trust Exchange-Traded Fund III
o First Trust Capital Strength Portfolio May 1, 2020
o First Trust International Developed Capital May 1, 2020
Strength Portfolio, each a series fund of:
First Trust Variable Insurance Trust
o First Trust TCW Securitized Plus ETF April 29, 2020
o FT Cboe Vest U.S. Equity Buffer ETF - May May 15, 2020
o FT Cboe Vest U.S. Equity Deep Buffer ETF - May May 15, 2020
o FT Cboe Vest U.S. Equity Buffer ETF - June June 19, 2020
o FT Cboe Vest U.S. Equity Deep Buffer ETF - June, June 19, 2020
each a series fund of:
First Trust Exchange-Traded Fund VIII
o First Trust High Yield Opportunities 2027 June 26, 2020
Term Fund, a series fund of:
First Trust Closed End Funds
Nothing herein contained shall be held to vary, alter, waive or extend any of
the terms, conditions, provisions, agreements or limitations of this policy
other than as above stated.
RN0001.1-00 (01/02) sp
EX-99
3
exhibit4.txt
CERTIFICATE OF ASSISTANT SECRETARY
CERTIFICATE OF ASSISTANT SECRETARY
The undersigned, Kristi A. Maher, Assistant Secretary of Macquarie/First
Trust Global Infrastructure/Utilities Dividend & Income Fund, a Massachusetts
Business Trust, First Trust Senior Floating Rate Income Fund II, a Massachusetts
Business Trust, First Trust Energy Income and Growth Fund, a Massachusetts
Business Trust, First Trust Enhanced Equity Income Fund, a Massachusetts
Business Trust, First Trust/Aberdeen Global Opportunity Income Fund, a
Massachusetts Business Trust, First Trust Mortgage Income Fund, a Massachusetts
Business Trust, First Trust Exchange-Traded Fund, a Massachusetts Business
Trust, First Trust/Aberdeen Emerging Opportunity Fund, a Massachusetts Business
Trust, First Trust Specialty Finance and Financial Opportunities Fund, a
Massachusetts Business Trust, First Trust Exchange-Traded Fund II, a
Massachusetts Business Trust, First Trust Exchange-Traded AlphaDEX(R) Fund, a
Massachusetts Business Trust, First Trust High Income Long/Short Fund, a
Massachusetts Business Trust, First Trust Exchange-Traded AlphaDEX(R) Fund II, a
Massachusetts Business Trust, First Trust Series Fund, a Massachusetts Business
Trust, First Trust Energy Infrastructure Fund, a Massachusetts Business Trust,
First Trust MLP and Energy Income Fund, a Massachusetts Business Trust, First
Trust Exchange Traded Fund VI, a Massachusetts Business Trust, First Trust
Exchange-Traded Fund IV, a Massachusetts Business Trust, First Trust Variable
Insurance Trust, a Massachusetts Business Trust, First Trust Exchange-Traded
Fund III, a Massachusetts Business Trust, First Trust Intermediate Duration
Preferred & Income Fund, a Massachusetts Business Trust, First Trust
Exchange-Traded Fund V, a Massachusetts Business Trust, First Trust
Exchange-Traded Fund VII, a Massachusetts Business Trust, First Trust New
Opportunities MLP & Energy Fund, a Massachusetts Business Trust, First Trust
Dynamic Europe Equity Income Fund, a Massachusetts Business Trust, First Trust
Exchange-Traded Fund VIII, a Massachusetts Business Trust and First Trust Senior
Floating Rate 2022 Target Term Fund, a Massachusetts Business Trust, First Trust
High Yield Opportunities 2027 Term Fund, a Massachusetts Business Trust
(individually, the "Company" and collectively, the "Companies"), does hereby
certify that:
1. This certificate is being delivered to the Securities and Exchange
Commission (the "SEC") in connection with the filing of the Companies' joint
fidelity bond (the "Bond") pursuant to Rule 17g-1 of the Investment Company Act
of 1940, as amended, and the SEC is entitled to rely on this certificate for
purposes of the filing.
2. The undersigned is duly elected, qualified and acting Assistant
Secretary of each Company, and has custody of the corporate records of each
Company and is a proper officer to make this certification.
3. Attached hereto as Exhibit A is a copy of the form of resolutions of a
majority of the Board of Trustees who are not "interested persons" of each
Company approving the amount, type, form and coverage of the Bond and the
portion of the premium to be paid by each Company.
4. Attached hereto as Exhibit B is a list of the amount of the single
insured bond which each Company would have provided and maintained had it not
been named as an insured under the Bond.
5. Premiums have been paid for the period October 9, 2019 to October 9,
2020.
IN WITNESS WHEREOF, the undersigned has caused this certificate to be
executed this 9th day of July, 2020.
/s/ Kristi A. Maher
----------------------------
Kristi A. Maher, Assistant Secretary
EXHIBIT A
MACQUARIE/FIRST TRUST GLOBAL INFRASTRUCTURE/UTILITIES DIVIDEND & INCOME FUND
FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
FIRST TRUST ENERGY INCOME AND GROWTH FUND
FIRST TRUST ENHANCED EQUITY INCOME FUND
FIRST TRUST/ABERDEEN GLOBAL OPPORTUNITY INCOME FUND
FIRST TRUST MORTGAGE INCOME FUND
FIRST TRUST EXCHANGE-TRADED FUND
FIRST TRUST/ABERDEEN EMERGING OPPORTUNITY FUND
FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND
FIRST TRUST EXCHANGE-TRADED FUND II
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
FIRST TRUST SERIES FUND
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIRST TRUST MLP AND ENERGY INCOME FUND
FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND
FIRST TRUST EXCHANGE-TRADED FUND IV
FIRST TRUST EXCHANGE TRADED FUND VI
FIRST TRUST VARIABLE INSURANCE TRUST
FIRST TRUST EXCHANGE-TRADED FUND III
FIRST TRUST EXCHANGE-TRADED FUND V
FIRST TRUST EXCHANGE-TRADED FUND VII
FIRST TRUST NEW OPPORTUNITIES MLP & ENERGY FUND
FIRST TRUST DYNAMIC EUROPE EQUITY INCOME FUND
FIRST TRUST EXCHANGE-TRADED FUND VIII
FIRST TRUST SENIOR FLOATING RATE 2022 TARGET TERM FUND
FIRST TRUST HIGH YIELD OPPORTUNITIES 2027 TERM FUND
RESOLUTIONS REGARDING INVESTMENT COMPANY BLANKET BOND
RESOLVED, that the officers of the First Trust Series Fund, First Trust
Exchange-Traded Fund, First Trust Exchange-Traded Fund II, First Trust
Exchange-Traded AlphaDEX(R) Fund, First Trust Exchange-Traded AlphaDEX(R) Fund
II, Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income
Fund, First Trust Senior Floating Rate Income Fund II, First Trust Energy Income
and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/Aberdeen
Global Opportunity Income Fund, First Trust Mortgage Income Fund, First
Trust/Aberdeen Emerging Opportunity Fund, First Trust Specialty Finance and
Financial Opportunities Fund, First Trust High Income Long/Short Fund, First
Trust Energy Infrastructure Fund, First Trust MLP and Energy Income Fund, First
Trust Exchange-Traded Fund IV, First Trust Exchange Traded Fund VI, First Trust
Variable Insurance Trust, First Trust Exchange-Traded Fund III, First Trust
Intermediate Duration Preferred & Income Fund, First Trust Exchange-Traded Fund
V, First Trust Exchange-Traded Fund VII, First Trust New Opportunities MLP &
Energy Fund, First Trust Dynamic Europe Equity Income Fund, First Trust
Exchange-Traded Fund VIII and First Trust Senior Floating Rate 2022 Target Term
Fund, First Trust High Yield Opportunities 2027 Term Fund (each a "Fund" and
collectively the "Funds") be and they hereby are, authorized and directed to
make application for and maintain fidelity bond coverage for the Funds, jointly
with First Trust Advisors L.P., First Trust Portfolios L.P. and such other First
Trust managed funds as they, in their judgment, shall deem advisable and to
enter into an agreement with the other parties concerning such coverage as
required by Rule 17g-1(f) under the Investment Company Act of 1940 (the "1940
Act"), such agreement being in substantially the form presented to this meeting;
and it is
FURTHER RESOLVED, that fidelity bond coverage insuring the Funds in the
amount required by Rule 17g-1 under the 1940 Act, or such greater amounts as
officers of the Funds may from time to time determine in accordance with the
provisions of Rule 17g-1 under the 1940 Act, is hereby deemed to be reasonable
in form and amount as required by and considering all relevant factors as
provided in Rule 17g-1 and is hereby approved; and it is
FURTHER RESOLVED, that each Fund's participation with other management
investment companies advised by First Trust Advisors in the purchase and
maintenance of fidelity bond coverage with ICI Mutual Insurance Company as
required by Rule 17g-1 under the 1940 Act, and the payment by the Funds of that
portion of the premium for such coverage as may be allocated to each Fund in
accordance with the premium allocation methodology approved by the Trustees at
this meeting, is hereby approved; and it is
FURTHER RESOLVED, that the Secretary or any Assistant Secretary of the
Funds is hereby designated the officer to make the filings and give or cause to
be given the notices required by Paragraph (g) of Rule 17g-1 under the 1940 Act.
EXHIBIT B
Each Company listed below would have provided and maintained a single insured
bond in the following amounts had it not been named as an insured under a joint
Fidelity Bond:
FIRST TRUST CLOSED-END FUNDS
First Trust Senior Floating Rate Income Fund II $750,000
First Trust Energy Income and Growth Fund $750,000
First Trust Enhanced Equity Income Fund $750,000
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund $450,000
First Trust/Aberdeen Global Opportunity Income Fund $600,000
First Trust Mortgage Income Fund $400,000
First Trust/Aberdeen Emerging Opportunity Fund $400,000
First Trust Specialty Finance and Financial Opportunities Fund $350,000
First Trust High Income Long/Short Fund $900,000
First Trust Energy Infrastructure Fund $750,000
First Trust MLP and Energy Income Fund $750,000
First Trust Intermediate Duration Preferred & Income Fund $1,250,000
First Trust New Opportunities MLP & Energy Fund $600,000
First Trust Dynamic Europe Equity Income Fund $600,000
First Trust Senior Floating Rate 2022 Target Term Fund $750,000
First Trust High Yield Opportunities 2027 Term Fund $900,000
-------------------------------------------------------------------------------------------- --------------
Sub-Total $10,950,000
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Jones Select MicroCap Index Fund N/A
First Trust Morningstar Dividend Leaders Index Fund N/A
First Trust US Equity Opportunities ETF N/A
First Trust NASDAQ-100 Equal Weighted Index Fund N/A
First Trust NASDAQ-100-Technology Sector Index Fund N/A
First Trust NYSE Arca Biotechnology Index Fund N/A
First Trust Dow Jones Internet Index Fund N/A
First Trust Capital Strength ETF N/A
First Trust Total US Market AlphaDEX(R) ETF N/A
First Trust Value Line(R) Dividend Index Fund N/A
First Trust NASDAQ-100 Ex-Technology Sector Index Fund N/A
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund N/A
First Trust S&P REIT Index Fund N/A
First Trust Water ETF N/A
First Trust Natural Gas ETF N/A
First Trust Chindia ETF N/A
First Trust Value Line(R) 100 Exchange-Traded Fund N/A
First Trust NASDAQ(R) ABA Community Bank Index Fund N/A
First Trust Dorsey Wright People's Portfolio ETF N/A
First Trust Dow 30 Equal Weight ETF N/A
First Trust Lunt U.S. Factor Rotation ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Consumer Discretionary AlphaDEX(R) Fund N/A
First Trust Consumer Staples AlphaDEX(R) Fund N/A
First Trust Energy AlphaDEX(R) Fund N/A
First Trust Financials AlphaDEX(R) Fund N/A
First Trust Health Care AlphaDEX(R) Fund N/A
First Trust Industrials/Producer Durables AlphaDEX(R) Fund N/A
First Trust Materials AlphaDEX(R) Fund N/A
First Trust Technology AlphaDEX(R) Fund N/A
First Trust Utilities AlphaDEX(R) Fund N/A
First Trust Large Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Growth AlphaDEX(R) Fund N/A
First Trust Mid Cap Value AlphaDEX(R) Fund N/A
First Trust Small Cap Core AlphaDEX(R) Fund N/A
First Trust Small Cap Value AlphaDEX(R) Fund N/A
First Trust Small Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Growth AlphaDEX(R) Fund N/A
First Trust Multi Cap Value AlphaDEX(R) Fund N/A
First Trust Multi Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Value AlphaDEX(R) Fund N/A
First Trust Mega Cap AlphaDEX(R) Fund N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund N/A
First Trust STOXX(R) European Select Dividend Index Fund N/A
First Trust Dow Jones Global Select Dividend Index Fund N/A
First Trust Global Wind Energy ETF N/A
First Trust Global Engineering and Construction ETF N/A
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund N/A
First Trust Indxx Global Natural Resources Income ETF N/A
First Trust Indxx Global Agriculture ETF N/A
First Trust BICK Index Fund N/A
First Trust Cloud Computing ETF N/A
First Trust Indxx NextG ETF N/A
First Trust NASDAQ Global Auto Index Fund N/A
First Trust International Equity Opportunities ETF N/A
First Trust Nasdaq Cybersecurity ETF N/A
First Trust IPOX(R) Europe Equity Opportunities ETF N/A
First Trust Dow Jones International Internet ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets ex-US AlphaDEX(R) Fund N/A
First Trust Emerging Markets AlphaDEX(R) Fund N/A
First Trust Asia Pacific ex-Japan AlphaDEX(R) Fund N/A
First Trust Europe AlphaDEX(R) Fund N/A
First Trust Latin America AlphaDEX(R) Fund N/A
First Trust Brazil AlphaDEX(R) Fund N/A
First Trust China AlphaDEX(R) Fund N/A
First Trust Japan AlphaDEX(R) Fund N/A
First Trust South Korea AlphaDEX(R) Fund N/A
First Trust Germany AlphaDEX(R) Fund N/A
First Trust Canada AlphaDEX(R) Fund N/A
First Trust Australia AlphaDEX(R) Fund N/A
First Trust United Kingdom AlphaDEX(R) Fund N/A
First Trust India NIFTY 50 Equal Weight ETF N/A
First Trust Hong Kong AlphaDEX(R) Fund N/A
First Trust Switzerland AlphaDEX(R) Fund N/A
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund N/A
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund N/A
First Trust Eurozone AlphaDEX(R) ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $1,500,000
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF N/A
First Trust Managed Municipal ETF N/A
First Trust Long/Short Equity ETF N/A
First Trust Emerging Markets Local Currency Bond ETF N/A
First Trust Horizon Managed Volatility Domestic ETF N/A
First Trust Horizon Managed Volatility Developed International ETF N/A
First Trust RiverFront Dynamic Asia Pacific ETF N/A
First Trust RiverFront Dynamic Developed International ETF N/A
First Trust RiverFront Dynamic Europe ETF N/A
First Trust RiverFront Dynamic Emerging Markets ETF N/A
First Trust California Municipal High Income ETF N/A
First Trust Institutional Preferred Securities and Income ETF N/A
First Trust Municipal High Income ETF N/A
First Trust Ultra Short Duration Municipal ETF N/A
First Trust Short Duration Managed Municipal ETF N/A
First Trust Horizon Managed Volatility Small/Mid ETF N/A
First Trust Merger Arbitrage ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund N/A
First Trust Tactical High Yield ETF N/A
First Trust Senior Loan Fund N/A
First Trust Enhanced Short Maturity ETF N/A
First Trust Strategic Income ETF N/A
First Trust Low Duration Opportunities ETF N/A
First Trust SSI Strategic Convertible Securities ETF N/A
First Trust EIP Carbon Impact ETF N/A
First Trust Long Duration Opportunities ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Managed Futures Strategy Fund N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $300,000
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi-Asset Diversified Income Index Fund N/A
First Trust NASDAQ Technology Dividend Index Fund N/A
First Trust S&P International Dividend Aristocrats ETF N/A
First Trust BuyWrite Income ETF N/A
First Trust Hedged BuyWrite Income ETF N/A
First Trust Rising Dividend Achievers ETF N/A
First Trust Dorsey Wright Focus 5 ETF N/A
First Trust RBA American Industrial Renaissance(R) ETF N/A
First Trust Dorsey Wright Momentum & Dividend ETF N/A
First Trust Dorsey Wright International Focus 5 ETF N/A
First Trust Dorsey Wright Dynamic Focus 5 ETF N/A
First Trust Nasdaq Bank ETF N/A
First Trust Nasdaq Food & Beverage ETF N/A
First Trust Nasdaq Oil & Gas ETF N/A
First Trust Nasdaq Pharmaceuticals ETF N/A
First Trust Nasdaq Retail ETF N/A
First Trust Nasdaq Semiconductor ETF N/A
First Trust Nasdaq Transportation ETF N/A
Developed International Equity Select ETF N/A
Emerging Markets Equity Select ETF N/A
Large Cap US Equity Select ETF N/A
Mid Cap US Equity Select ETF N/A
Small Cap US Equity Select ETF N/A
US Equity Dividend Select ETF N/A
First Trust Indxx Innovative Transaction & Process ETF N/A
First Trust SMID Cap Rising Dividend Achievers ETF N/A
First Trust Nasdaq Artificial Intelligence and Robotics ETF N/A
First Trust Dorsey Wright DALI 1 ETF N/A
First Trust Dorsey Wright Momentum & Low Volatility ETF N/A
First Trust Dorsey Wright Momentum & Value ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund N/A
First Trust Alternative Absolute Return Strategy ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $525,000
FIRST TRUST EXCHANGE-TRADED FUND VIII
First Trust CEF Income Opportunity ETF N/A
First Trust Municipal CEF Income Opportunity ETF N/A
First Trust TCW Opportunistic Fixed Income ETF N/A
EquityCompass Risk Manager ETF N/A
EquityCompass Tactical Risk Manager ETF N/A
First Trust TCW Unconstrained Plus Bond ETF N/A
First Trust Low Duration Strategic Focus ETF N/A
FT Cboe Vest U.S. Equity Buffer ETF - August N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - August N/A
FT Cboe Vest U.S. Equity Buffer ETF - November N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - November N/A
FT Cboe Vest U.S. Equity Buffer ETF - February N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - February N/A
FT Cboe Vest U.S. Equity Buffer ETF - May N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - May N/A
FT Cboe Vest U.S. Equity Buffer ETF - June N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - June N/A
First Trust TCW Securitized Plus ETF N/A
First Trust Active Factor Large Cap ETF N/A
First Trust Active Factor Mid Cap ETF N/A
First Trust Active Factor Small Cap ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST SERIES FUND
First Trust Preferred Securities and Income Fund N/A
First Trust/Confluence Small Cap Value Fund N/A
First Trust Short Duration High Income Fund N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $750,000
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Jones Dividend & Income Allocation Portfolio N/A
First Trust Multi Income Allocation Portfolio N/A
First Trust Dorsey Wright Tactical Core Portfolio N/A
First Trust Capital Strength Portfolio N/A
First Trust International Developed Capital Strength Portfolio N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $1,000,000
GRAND TOTAL $32,525,000
EX-99
4
exhibit5.txt
BLANKET BOND INSURANCE AGREEMENT
BLANKET BOND INSURANCE AGREEMENT
THIS AGREEMENT is made as of the 9th day of July, 2020, by and among
the investment companies listed in Appendix A (collectively referred to herein
as the "Funds"), First Trust Advisors L.P. (the "Advisor") and First Trust
Portfolios L.P. (collectively, with the Advisor and the Funds referred to as the
"Parties").
WITNESSETH:
WHEREAS, the Parties have agreed to acquire a joint insured policy (the
"Policy") issued by ICI Mutual Insurance Company containing broker's blanket
bond coverage ("Blanket Bond Coverage") which shall cover all Parties;
WHEREAS, the total amount of the Blanket Bond Coverage under the Policy
will be $34,000,000 ("Bond Amount") based upon the determination of each Fund's
Board of Trustees that such insured Parties should have an amount of coverage,
in the aggregate, of at least $32,525,000 ("Basic Bond Coverage") as provided in
Appendix B;
WHEREAS, the Parties desire to provide herein for an allocation of the
premiums for the Blanket Bond Coverage and a manner of allocating any loss
proceeds received under the Policy.
The Parties, therefore, agree that:
1. Allocation of Blanket Bond Coverage Premium. Each Party shall pay a
proportionate share of the Blanket Bond Coverage annual premium based on the
allocation as set forth in Appendix C.
2. Losses.
(a) General. The Policy is a "claims made" insurance policy and a Policy
Year is the period from October 9th to the next succeeding October 9th (or any
modification of that period as may be agreed by the Parties and the insurer).
The insured loss (including all related expenses) of a Party which relates to a
claim made by that Party relating to a particular Policy Year under the Blanket
Bond Coverage is hereinafter referred to as a "Blanket Bond Loss." Party
includes the trustees and officers of an insured Party and other insured agents
or employees of such a Party.
(b) Blanket Bond Loss. If only one insured Party incurs a Blanket Bond
Loss relating to a Policy Year, the proceeds of the Blanket Bond Coverage for
that Policy Year will be allocated to that Party. If more than one insured Party
incurs a Blanket Bond Loss relating to a particular Policy Year, the proceeds of
the Blanket Bond Coverage for that Policy Year will first be allocated among
those insured Parties in proportion to their respective premiums paid under
Paragraph 1 hereof for Blanket Bond Coverage. If, for that particular Policy
Year, after initial allocation, there are remaining proceeds of the Blanket Bond
Coverage and there are then insured Parties whose Blanket Bond Losses have not
been paid in full, such proceeds shall be further allocated among such insured
Parties in proportion to their respective premiums paid for such Coverage
(repeating this further allocation procedure as each of such insured Parties is
paid in full, until all proceeds have been allocated). If all Blanket Bond
Losses relating to a particular Policy Year are not paid at the same time, the
insured Parties who claim such Losses for that Policy Year shall make such
provisions as they deem suitable to the particular circumstances (taking into
account the size of any payment received, the size, nature and expected result
of any remaining claims, and all other relevant factors) to permit a later
re-allocation of amounts first paid. In no event shall any insured Party that
incurs a Blanket Bond Loss relating to a Policy Year which equals or exceeds its
Basic Bond Coverage be allocated proceeds of the Blanket Bond Coverage for that
particular Policy Year in an amount less than its Basic Bond Coverage.
3. Notices. Each Party agrees to give promptly to the insurer all notices
required under the Policy.
4. Agent. The Advisor is hereby appointed as the agent for all of the
Parties for the purpose of making, adjusting, receiving and enforcing payment of
all claims under the Policy and otherwise dealing with the insurer with respect
to the Policy. All expenses incurred by the Advisor in its capacity as agent for
claims shall be shared by the Parties (including the Advisor) in the same manner
as above provided for the sharing of Losses.
5. Modification and Termination. This Agreement may be modified or amended
from time to time by mutual written agreement among all of the Parties. It may
be terminated with respect to any one Party by not less than 60 days' written
notice to the other Parties which are still parties to the Agreement. It shall
terminate with respect to any Party as of the date that Party ceases to be an
insured under the Policy; provided that such termination shall not affect that
Party's rights and obligations hereunder with respect to any claims on behalf of
that Party which are paid under the Policy by the insurer after the date the
Party ceases to be an insured under the Policy.
6. Further Assurances. Each Party agrees to perform such further acts and
execute such further documents as are necessary to effectuate the purposes
hereof.
IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed
as of the day and year first above written.
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust Senior Floating Rate Income Fund II
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
First Trust/Aberdeen Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust Intermediate Duration Preferred & Income Fund
First Trust New Opportunities MLP & Energy Fund
First Trust Dynamic Europe Equity Income Fund
First Trust Senior Floating Rate 2022 Target Term Fund
First Trust High Yield Opportunities 2027 Term Fund
First Trust Exchange-Traded Fund
First Trust Exchange-Traded Fund II
First Trust Exchange-Traded Fund III
First Trust Exchange-Traded Fund IV
First Trust Exchange-Traded Fund V
First Trust Exchange-Traded Fund VI
First Trust Exchange-Traded Fund VII
First Trust Exchange-Traded Fund VIII
First Trust Exchange-Traded AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX(R) Fund II
First Trust Series Fund
First Trust Variable Insurance Trust
By /s/ Kristi A. Maher
-------------------------------------
Kristi A. Maher, Assistant Secretary
First Trust Advisors L.P.
First Trust Portfolios L.P.
By /s/ Kristi A. Maher
---------------------------------------
Kristi A. Maher, Deputy General Counsel
APPENDIX A
CLOSED-END FUNDS
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust/Aberdeen Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust Senior Floating Rate Income Fund II
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust New Opportunities MLP & Energy Fund
First Trust Senior Floating Rate 2022 Target Term Fund
First Trust Intermediate Duration Preferred & Income Fund
First Trust Dynamic Europe Equity Income Fund
First Trust High Yield Opportunities 2027 Term Fund
EXCHANGE-TRADED FUNDS
First Trust Exchange-Traded Fund
First Trust Dow Jones Select MicroCap Index Fund
First Trust Morningstar Dividend Leaders Index Fund
First Trust US Equity Opportunities ETF
First Trust NASDAQ-100 Equal Weighted Index Fund
First Trust NASDAQ-100-Technology Sector Index Fund
First Trust NYSE Arca Biotechnology Index Fund
First Trust Dow Jones Internet Index Fund
First Trust Capital Strength ETF
First Trust Total US Market AlphaDEX(R) ETF
First Trust Value Line(R) Dividend Index Fund
First Trust NASDAQ-100 Ex-Technology Sector Index Fund
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund
First Trust S&P REIT Index Fund
First Trust Chindia ETF
First Trust Natural Gas ETF
First Trust Water ETF
First Trust Value Line(R) 100 Exchange-Traded Fund
First Trust NASDAQ(R) ABA Community Bank Index Fund
First Trust Dorsey Wright People's Portfolio ETF
First Trust Dow 30 Equal Weight ETF
First Trust Lunt U.S. Factor Rotation ETF
First Trust Exchange-Traded Fund II
First Trust STOXX(R) European Select Dividend Index Fund
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund
First Trust Dow Jones Global Select Dividend Index Fund
First Trust Global Wind Energy ETF
First Trust Global Engineering and Construction ETF
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund
First Trust Indxx Global Natural Resources Income ETF
First Trust Indxx Global Agriculture ETF
First Trust BICK Index Fund
First Trust Indxx NextG ETF
First Trust NASDAQ Global Auto Index Fund
First Trust Cloud Computing ETF
First Trust International Equity Opportunities ETF
First Trust Nasdaq Cybersecurity ETF
First Trust IPOX(R) Europe Equity Opportunities ETF
First Trust Dow Jones International Internet ETF
First Trust Exchange-Traded AlphaDEX(R) Fund
First Trust Large Cap Core AlphaDEX(R) Fund
First Trust Mid Cap Core AlphaDEX(R) Fund
First Trust Small Cap Core AlphaDEX(R) Fund
First Trust Large Cap Value AlphaDEX(R) Fund
First Trust Large Cap Growth AlphaDEX(R) Fund
First Trust Multi Cap Value AlphaDEX(R) Fund
First Trust Multi Cap Growth AlphaDEX(R) Fund
First Trust Consumer Discretionary AlphaDEX(R) Fund
First Trust Consumer Staples AlphaDEX(R) Fund
First Trust Energy AlphaDEX(R) Fund
First Trust Financials AlphaDEX(R) Fund
First Trust Health Care AlphaDEX(R) Fund
First Trust Industrials/Producer Durables AlphaDEX(R) Fund
First Trust Materials AlphaDEX(R) Fund
First Trust Technology AlphaDEX(R) Fund
First Trust Utilities AlphaDEX(R) Fund
First Trust Mid Cap Growth AlphaDEX(R) Fund
First Trust Mid Cap Value AlphaDEX(R) Fund
First Trust Small Cap Growth AlphaDEX(R) Fund
First Trust Small Cap Value AlphaDEX(R) Fund
First Trust Mega Cap AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX(R) Fund II
First Trust Developed Markets ex-US AlphaDEX(R) Fund
First Trust Emerging Markets AlphaDEX(R) Fund
First Trust Asia Pacific ex-Japan AlphaDEX(R) Fund
First Trust Europe AlphaDEX(R) Fund
First Trust Latin America AlphaDEX(R) Fund
First Trust Brazil AlphaDEX(R) Fund
First Trust China AlphaDEX(R) Fund
First Trust Japan AlphaDEX(R) Fund
First Trust South Korea AlphaDEX(R) Fund
First Trust Germany AlphaDEX(R) Fund
First Trust Canada AlphaDEX(R) Fund
First Trust Australia AlphaDEX(R) Fund
First Trust United Kingdom AlphaDEX(R) Fund
First Trust India NIFTY 50 Equal Weight ETF
First Trust Hong Kong AlphaDEX(R) Fund
First Trust Switzerland AlphaDEX(R) Fund
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund
First Trust Eurozone AlphaDEX(R) ETF
First Trust Exchange-Traded Fund III
First Trust Preferred Securities and Income ETF
First Trust Managed Municipal ETF
First Trust Long/Short Equity ETF
First Trust Emerging Markets Local Currency Bond ETF
First Trust RiverFront Dynamic Asia Pacific ETF
First Trust RiverFront Dynamic Developed International ETF
First Trust RiverFront Dynamic Europe ETF
First Trust RiverFront Dynamic Emerging Markets ETF
First Trust Horizon Managed Volatility Domestic ETF
First Trust Horizon Managed Volatility Developed International ETF
First Trust California Municipal High Income ETF
First Trust Institutional Preferred Securities and Income ETF
First Trust Municipal High Income ETF
First Trust Ultra Short Duration Municipal ETF
First Trust Short Duration Managed Municipal ETF
First Trust Merger Arbitrage ETF
First Trust Horizon Managed Volatility Small/Mid ETF
First Trust Exchange-Traded Fund IV
First Trust North American Energy Infrastructure Fund
First Trust Tactical High Yield ETF
First Trust Senior Loan Fund
First Trust Enhanced Short Maturity ETF
First Trust Strategic Income ETF
First Trust Low Duration Opportunities ETF
First Trust SSI Strategic Convertible Securities ETF
First Trust EIP Carbon Impact ETF
First Trust Long Duration Opportunities ETF
First Trust Exchange-Traded Fund V
First Trust Managed Futures Strategy Fund
First Trust Exchange-Traded Fund VI
First Trust NASDAQ Technology Dividend Index Fund
Multi-Asset Diversified Income Index Fund
First Trust S&P International Dividend Aristocrats ETF
First Trust BuyWrite Income ETF
First Trust Hedged BuyWrite Income ETF
First Trust Rising Dividend Achievers ETF
First Trust Dorsey Wright Focus 5 ETF
First Trust RBA American Industrial Renaissance(R) ETF
First Trust Dorsey Wright Momentum & Dividend ETF
First Trust Dorsey Wright International Focus 5 ETF
First Trust Dorsey Wright Dynamic Focus 5 ETF
First Trust SMID Cap Rising Dividend Achievers ETF
First Trust Indxx Innovative Transaction & Process ETF
First Trust Nasdaq Artificial Intelligence and Robotics ETF
First Trust Nasdaq Bank ETF
First Trust Nasdaq Food & Beverage ETF
First Trust Nasdaq Oil & Gas ETF
First Trust Nasdaq Pharmaceuticals ETF
First Trust Nasdaq Retail ETF
First Trust Nasdaq Semiconductor ETF
First Trust Nasdaq Transportation ETF
Developed International Equity Select ETF
Emerging Markets Equity Select ETF
Large Cap US Equity Select ETF
Mid Cap US Equity Select ETF
Small Cap US Equity Select ETF
US Equity Dividend Select ETF
First Trust Dorsey Wright DALI 1 ETF
First Trust Dorsey Wright Momentum & Value ETF
First Trust Dorsey Wright Momentum & Low Volatility ETF
First Trust Exchange-Traded Fund VII
First Trust Global Tactical Commodity Strategy Fund
First Trust Alternative Absolute Return Strategy ETF
First Trust Exchange-Traded Fund VIII
First Trust CEF Income Opportunity ETF
First Trust Municipal CEF Income Opportunity ETF
First Trust TCW Opportunistic Fixed Income ETF
EquityCompass Risk Manager ETF
EquityCompass Tactical Risk Manager ETF
First Trust TCW Unconstrained Plus Bond ETF
First Trust Low Duration Strategic Focus ETF
FT Cboe Vest U.S. Equity Buffer ETF-August
FT Cboe Vest U.S. Equity Deep Buffer ETF-August
FT Cboe Vest U.S. Equity Buffer ETF-November
FT Cboe Vest U.S. Equity Deep Buffer ETF-November
FT Cboe Vest U.S. Equity Buffer ETF-February
FT Cboe Vest U.S. Equity Deep Buffer ETF-February
FT Cboe Vest U.S. Equity Buffer ETF-May
FT Cboe Vest U.S. Equity Deep Buffer ETF-May
FT Cboe Vest U.S. Equity Buffer ETF-June
FT Cboe Vest U.S. Equity Deep Buffer ETF-June
First Trust TCW Securitized Plus ETF
First Trust Active Factor Large Cap ETF
First Trust Active Factor Mid Cap ETF
First Trust Active Factor Small Cap ETF
OPEN END FUNDS
First Trust Series Fund
First Trust Preferred Securities and Income Fund
First Trust/Confluence Small Cap Value Fund
First Trust Short Duration High Income Fund
First Trust Variable Insurance Trust
First Trust/Dow Jones Dividend & Income Allocation Portfolio
First Trust Multi Income Allocation Portfolio
First Trust Dorsey Wright Tactical Core Portfolio
First Trust Capital Strength Portfolio
First Trust International Developed Capital Strength Portfolio
APPENDIX B
FIRST TRUST CLOSED-END FUNDS
First Trust Senior Floating Rate Income Fund II $750,000
First Trust Energy Income and Growth Fund $750,000
First Trust Enhanced Equity Income Fund $750,000
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund $450,000
First Trust/Aberdeen Global Opportunity Income Fund $600,000
First Trust Mortgage Income Fund $400,000
First Trust/Aberdeen Emerging Opportunity Fund $400,000
First Trust Specialty Finance and Financial Opportunities Fund $350,000
First Trust High Income Long/Short Fund $900,000
First Trust Energy Infrastructure Fund $750,000
First Trust MLP and Energy Income Fund $750,000
First Trust Intermediate Duration Preferred & Income Fund $1,250,000
First Trust New Opportunities MLP & Energy Fund $600,000
First Trust Dynamic Europe Equity Income Fund $600,000
First Trust Senior Floating Rate 2022 Target Term Fund $750,000
First Trust High Yield Opportunities 2027 Term Fund $900,000
-------------------------------------------------------------------------------------------- --------------
Sub-Total $10,950,000
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Jones Select MicroCap Index Fund N/A
First Trust Morningstar Dividend Leaders Index Fund N/A
First Trust US Equity Opportunities ETF N/A
First Trust NASDAQ-100 Equal Weighted Index Fund N/A
First Trust NASDAQ-100-Technology Sector Index Fund N/A
First Trust NYSE Arca Biotechnology Index Fund N/A
First Trust Dow Jones Internet Index Fund N/A
First Trust Capital Strength ETF N/A
First Trust Total US Market AlphaDEX(R) ETF N/A
First Trust Value Line(R) Dividend Index Fund N/A
First Trust NASDAQ-100 Ex-Technology Sector Index Fund N/A
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund N/A
First Trust S&P REIT Index Fund N/A
First Trust Water ETF N/A
First Trust Natural Gas ETF N/A
First Trust Chindia ETF N/A
First Trust Value Line(R) 100 Exchange-Traded Fund N/A
First Trust NASDAQ(R) ABA Community Bank Index Fund N/A
First Trust Dorsey Wright People's Portfolio ETF N/A
First Trust Dow 30 Equal Weight ETF N/A
First Trust Lunt U.S. Factor Rotation ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Consumer Discretionary AlphaDEX(R) Fund N/A
First Trust Consumer Staples AlphaDEX(R) Fund N/A
First Trust Energy AlphaDEX(R) Fund N/A
First Trust Financials AlphaDEX(R) Fund N/A
First Trust Health Care AlphaDEX(R) Fund N/A
First Trust Industrials/Producer Durables AlphaDEX(R) Fund N/A
First Trust Materials AlphaDEX(R) Fund N/A
First Trust Technology AlphaDEX(R) Fund N/A
First Trust Utilities AlphaDEX(R) Fund N/A
First Trust Large Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Growth AlphaDEX(R) Fund N/A
First Trust Mid Cap Value AlphaDEX(R) Fund N/A
First Trust Small Cap Core AlphaDEX(R) Fund N/A
First Trust Small Cap Value AlphaDEX(R) Fund N/A
First Trust Small Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Growth AlphaDEX(R) Fund N/A
First Trust Multi Cap Value AlphaDEX(R) Fund N/A
First Trust Multi Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Value AlphaDEX(R) Fund N/A
First Trust Mega Cap AlphaDEX(R) Fund N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund N/A
First Trust STOXX(R) European Select Dividend Index Fund N/A
First Trust Dow Jones Global Select Dividend Index Fund N/A
First Trust Global Wind Energy ETF N/A
First Trust Global Engineering and Construction ETF N/A
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund N/A
First Trust Indxx Global Natural Resources Income ETF N/A
First Trust Indxx Global Agriculture ETF N/A
First Trust BICK Index Fund N/A
First Trust Cloud Computing ETF N/A
First Trust Indxx NextG ETF N/A
First Trust NASDAQ Global Auto Index Fund N/A
First Trust International Equity Opportunities ETF N/A
First Trust Nasdaq Cybersecurity ETF N/A
First Trust IPOX(R) Europe Equity Opportunities ETF N/A
First Trust Dow Jones International Internet ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets ex-US AlphaDEX(R) Fund N/A
First Trust Emerging Markets AlphaDEX(R) Fund N/A
First Trust Asia Pacific ex-Japan AlphaDEX(R) Fund N/A
First Trust Europe AlphaDEX(R) Fund N/A
First Trust Latin America AlphaDEX(R) Fund N/A
First Trust Brazil AlphaDEX(R) Fund N/A
First Trust China AlphaDEX(R) Fund N/A
First Trust Japan AlphaDEX(R) Fund N/A
First Trust South Korea AlphaDEX(R) Fund N/A
First Trust Germany AlphaDEX(R) Fund N/A
First Trust Canada AlphaDEX(R) Fund N/A
First Trust Australia AlphaDEX(R) Fund N/A
First Trust United Kingdom AlphaDEX(R) Fund N/A
First Trust India NIFTY 50 Equal Weight ETF N/A
First Trust Hong Kong AlphaDEX(R) Fund N/A
First Trust Switzerland AlphaDEX(R) Fund N/A
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund N/A
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund N/A
First Trust Eurozone AlphaDEX(R) ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $1,500,000
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF N/A
First Trust Managed Municipal ETF N/A
First Trust Long/Short Equity ETF N/A
First Trust Emerging Markets Local Currency Bond ETF N/A
First Trust Horizon Managed Volatility Domestic ETF N/A
First Trust Horizon Managed Volatility Developed International ETF N/A
First Trust RiverFront Dynamic Asia Pacific ETF N/A
First Trust RiverFront Dynamic Developed International ETF N/A
First Trust RiverFront Dynamic Europe ETF N/A
First Trust RiverFront Dynamic Emerging Markets ETF N/A
First Trust California Municipal High Income ETF N/A
First Trust Institutional Preferred Securities and Income ETF N/A
First Trust Municipal High Income ETF N/A
First Trust Ultra Short Duration Municipal ETF N/A
First Trust Short Duration Managed Municipal ETF N/A
First Trust Horizon Managed Volatility Small/Mid ETF N/A
First Trust Merger Arbitrage ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund N/A
First Trust Tactical High Yield ETF N/A
First Trust Senior Loan Fund N/A
First Trust Enhanced Short Maturity ETF N/A
First Trust Strategic Income ETF N/A
First Trust Low Duration Opportunities ETF N/A
First Trust SSI Strategic Convertible Securities ETF N/A
First Trust EIP Carbon Impact ETF N/A
First Trust Long Duration Opportunities ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Managed Futures Strategy Fund N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $300,000
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi-Asset Diversified Income Index Fund N/A
First Trust NASDAQ Technology Dividend Index Fund N/A
First Trust S&P International Dividend Aristocrats ETF N/A
First Trust BuyWrite Income ETF N/A
First Trust Hedged BuyWrite Income ETF N/A
First Trust Rising Dividend Achievers ETF N/A
First Trust Dorsey Wright Focus 5 ETF N/A
First Trust RBA American Industrial Renaissance(R) ETF N/A
First Trust Dorsey Wright Momentum & Dividend ETF N/A
First Trust Dorsey Wright International Focus 5 ETF N/A
First Trust Dorsey Wright Dynamic Focus 5 ETF N/A
First Trust Nasdaq Bank ETF N/A
First Trust Nasdaq Food & Beverage ETF N/A
First Trust Nasdaq Oil & Gas ETF N/A
First Trust Nasdaq Pharmaceuticals ETF N/A
First Trust Nasdaq Retail ETF N/A
First Trust Nasdaq Semiconductor ETF N/A
First Trust Nasdaq Transportation ETF N/A
Developed International Equity Select ETF N/A
Emerging Markets Equity Select ETF N/A
Large Cap US Equity Select ETF N/A
Mid Cap US Equity Select ETF N/A
Small Cap US Equity Select ETF N/A
US Equity Dividend Select ETF N/A
First Trust Indxx Innovative Transaction & Process ETF N/A
First Trust SMID Cap Rising Dividend Achievers ETF N/A
First Trust Nasdaq Artificial Intelligence and Robotics ETF N/A
First Trust Dorsey Wright DALI 1 ETF N/A
First Trust Dorsey Wright Momentum & Low Volatility ETF N/A
First Trust Dorsey Wright Momentum & Value ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund N/A
First Trust Alternative Absolute Return Strategy ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $525,000
FIRST TRUST EXCHANGE-TRADED FUND VIII
First Trust CEF Income Opportunity ETF N/A
First Trust Municipal CEF Income Opportunity ETF N/A
First Trust TCW Opportunistic Fixed Income ETF N/A
EquityCompass Risk Manager ETF N/A
EquityCompass Tactical Risk Manager ETF N/A
First Trust TCW Unconstrained Plus Bond ETF N/A
First Trust Low Duration Strategic Focus ETF N/A
FT Cboe Vest U.S. Equity Buffer ETF - August N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - August N/A
FT Cboe Vest U.S. Equity Buffer ETF - November N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - November N/A
FT Cboe Vest U.S. Equity Buffer ETF - February N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - February N/A
FT Cboe Vest U.S. Equity Buffer ETF - May N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - May N/A
FT Cboe Vest U.S. Equity Buffer ETF - June N/A
FT Cboe Vest U.S. Equity Deep Buffer ETF - June N/A
First Trust TCW Securitized Plus ETF N/A
First Trust Active Factor Large Cap ETF N/A
First Trust Active Factor Mid Cap ETF N/A
First Trust Active Factor Small Cap ETF N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $2,500,000
FIRST TRUST SERIES FUND
First Trust Preferred Securities and Income Fund N/A
First Trust/Confluence Small Cap Value Fund N/A
First Trust Short Duration High Income Fund N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $750,000
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Jones Dividend & Income Allocation Portfolio N/A
First Trust Multi Income Allocation Portfolio N/A
First Trust Dorsey Wright Tactical Core Portfolio N/A
First Trust Capital Strength Portfolio N/A
First Trust International Developed Capital Strength Portfolio N/A
-------------------------------------------------------------------------------------------- --------------
Sub-Total $1,000,000
GRAND TOTAL $32,525,000
APPENDIX C
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Jones Dividend & Income Allocation Portfolio $820
First Trust Multi Income Allocation Portfolio $26
First Trust Dorsey Wright Tactical Core Portfolio $45
First Trust Capital Strength Portfolio $0
First Trust International Developed Capital Strength Portfolio $0
-------------------------------------------------------------------------------------------- --------------
Total $891
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Jones Select MicroCap Index Fund $125
First Trust Morningstar Dividend Leaders Index Fund $1,502
First Trust US Equity Opportunities ETF $1,114
First Trust NASDAQ-100 Equal Weighted Index Fund $606
First Trust NASDAQ-100-Technology Sector Index Fund $2,225
First Trust NYSE Arca Biotechnology Index Fund $1,469
First Trust Dow Jones Internet Index Fund $7,207
First Trust Capital Strength ETF $2,569
First Trust Total US Market AlphaDEX(R) ETF $15
First Trust Value Line(R) Dividend Index Fund $7,065
First Trust NASDAQ-100 Ex-Technology Sector Index Fund $83
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund $102
First Trust S&P REIT Index Fund $165
First Trust Chindia ETF $83
First Trust Natural Gas ETF $67
First Trust Water ETF $420
First Trust Value Line(R) 100 Exchange-Traded Fund $36
First Trust NASDAQ(R) ABA Community Bank Index Fund $130
First Trust Dorsey Wright People's Portfolio ETF $49
First Trust Dow 30 Equal Weight ETF $43
First Trust Lunt U.S. Factor Rotation ETF $43
-------------------------------------------------------------------------------------------- --------------
Total $25,118
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust STOXX(R) European Select Dividend Index Fund $264
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund $51
First Trust Dow Jones Global Select Dividend Index Fund $478
First Trust Global Wind Energy ETF $67
First Trust Global Engineering and Construction ETF $8
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund $24
First Trust Indxx Global Natural Resources Income ETF $7
First Trust Indxx Global Agriculture ETF $3
First Trust BICK Index Fund $105
First Trust Indxx NextG ETF $177
First Trust NASDAQ Global Auto Index Fund $16
First Trust Cloud Computing ETF $1,943
First Trust International Equity Opportunities ETF $28
First Trust Nasdaq Cybersecurity ETF $881
First Trust IPOX(R) Europe Equity Opportunities ETF $2
First Trust Dow Jones International Internet ETF $4
-------------------------------------------------------------------------------------------- --------------
Total $4,058
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Large Cap Core AlphaDEX(R) Fund $1,187
First Trust Mid Cap Core AlphaDEX(R) Fund $754
First Trust Small Cap Core AlphaDEX(R) Fund $507
First Trust Large Cap Value AlphaDEX(R) Fund $986
First Trust Large Cap Growth AlphaDEX(R) Fund $922
First Trust Multi Cap Value AlphaDEX(R) Fund $74
First Trust Multi Cap Growth AlphaDEX(R) Fund $161
First Trust Consumer Discretionary AlphaDEX(R) Fund $289
First Trust Consumer Staples AlphaDEX(R) Fund $332
First Trust Energy AlphaDEX(R) Fund $90
First Trust Financials AlphaDEX(R) Fund $1,608
First Trust Health Care AlphaDEX(R) Fund $940
First Trust Industrials/Producer Durables AlphaDEX(R) Fund $275
First Trust Materials AlphaDEX(R) Fund $108
First Trust Technology AlphaDEX(R) Fund $1,984
First Trust Utilities AlphaDEX(R) Fund $1,169
First Trust Mid Cap Growth AlphaDEX(R) Fund $260
First Trust Mid Cap Value AlphaDEX(R) Fund $47
First Trust Small Cap Growth AlphaDEX(R) Fund $219
First Trust Small Cap Value AlphaDEX(R) Fund $50
First Trust Mega Cap AlphaDEX(R) Fund $21
-------------------------------------------------------------------------------------------- --------------
Total $11,983
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets ex-US AlphaDEX(R) Fund $608
First Trust Emerging Markets AlphaDEX(R) Fund $524
First Trust Asia Pacific ex-Japan AlphaDEX(R) Fund $26
First Trust Europe AlphaDEX(R) Fund $460
First Trust Latin America AlphaDEX(R) Fund $102
First Trust Brazil AlphaDEX(R) Fund $98
First Trust China AlphaDEX(R) Fund $8
First Trust Japan AlphaDEX(R) Fund $72
First Trust South Korea AlphaDEX(R) Fund $3
First Trust Germany AlphaDEX(R) Fund $113
First Trust Canada AlphaDEX(R) Fund $4
First Trust Australia AlphaDEX(R) Fund $1
First Trust United Kingdom AlphaDEX(R) Fund $8
First Trust India NIFTY 50 Equal Weight ETF $3
First Trust Hong Kong AlphaDEX(R) Fund $3
First Trust Switzerland AlphaDEX(R) Fund $118
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund $8
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund $119
First Trust Eurozone AlphaDEX(R) ETF $44
-------------------------------------------------------------------------------------------- --------------
Total $2,322
FIRST TRUST OPEN-END FUNDS
First Trust Preferred Securities and Income Fund $245
First Trust/Confluence Small Cap Value Fund $23
First Trust Short Duration High Income Fund $144
-------------------------------------------------------------------------------------------- --------------
Total $412
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF $3,970
First Trust Managed Municipal ETF $956
First Trust Long/Short Equity ETF $204
First Trust Emerging Markets Local Currency Bond ETF $127
First Trust RiverFront Dynamic Asia Pacific ETF $24
First Trust RiverFront Dynamic Developed International ETF $228
First Trust RiverFront Dynamic Europe ETF $33
First Trust RiverFront Dynamic Emerging Markets ETF $73
First Trust Horizon Managed Volatility Domestic ETF $218
First Trust Horizon Managed Volatility Developed International ETF $119
First Trust California Municipal High Income ETF $45
First Trust Institutional Preferred Securities and Income ETF $191
First Trust Municipal High Income ETF $64
First Trust Ultra Short Duration Municipal ETF $19
First Trust Short Duration Managed Municipal ETF $17
First Trust Merger Arbitrage ETF $0
First Trust Horizon Managed Volatility Small/Mid ETF $0
-------------------------------------------------------------------------------------------- --------------
Total $6,288
First Trust Exchange-Traded Fund IV
First Trust North American Energy Infrastructure Fund $2,329
First Trust Tactical High Yield ETF $1,248
First Trust Senior Loan Fund $1,438
First Trust Enhanced Short Maturity ETF $4,376
First Trust Strategic Income ETF $79
First Trust Low Duration Opportunities ETF $3,192
First Trust SSI Strategic Convertible Securities ETF $171
First Trust EIP Carbon Impact ETF $2
First Trust Long Duration Opportunities ETF $10
-------------------------------------------------------------------------------------------- --------------
Total $12,845
FIRST TRUST EXCHANGE-TRADED FUND V
First Trust Managed Futures Strategy Fund $8
-------------------------------------------------------------------------------------------- --------------
Total $8
FIRST TRUST EXCHANGE-TRADED FUND VI
First Trust NASDAQ Technology Dividend Index Fund $906
Multi-Asset Diversified Income Index Fund $640
First Trust S&P International Dividend Aristocrats ETF $17
First Trust BuyWrite Income ETF $72
First Trust Hedged BuyWrite Income ETF $8
First Trust Rising Dividend Achievers ETF $750
First Trust Dorsey Wright Focus 5 ETF $2,102
First Trust RBA American Industrial Renaissance(R) ETF $60
First Trust Dorsey Wright Momentum & Dividend ETF $38
First Trust Dorsey Wright International Focus 5 ETF $406
First Trust Dorsey Wright Dynamic Focus 5 ETF $418
First Trust SMID Cap Rising Dividend Achievers ETF $6
First Trust Indxx Innovative Transaction & Process ETF $37
First Trust Nasdaq Artificial Intelligence and Robotics ETF $55
First Trust Nasdaq Bank ETF $125
First Trust Nasdaq Food & Beverage ETF $5
First Trust Nasdaq Oil & Gas ETF $8
First Trust Nasdaq Pharmaceuticals ETF $6
First Trust Nasdaq Retail ETF $7
First Trust Nasdaq Semiconductor ETF $28
First Trust Nasdaq Transportation ETF $2
Developed International Equity Select ETF $24
Emerging Markets Equity Select ETF $9
Large Cap US Equity Select ETF $16
Mid Cap US Equity Select ETF $12
Small Cap US Equity Select ETF $6
US Equity Dividend Select ETF $5
First Trust Dorsey Wright DALI 1 ETF $63
First Trust Dorsey Wright Momentum & Value ETF $17
First Trust Dorsey Wright Momentum & Low Volatility ETF $116
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Total $5,964
FIRST TRUST EXCHANGE-TRADED FUND VII
First Trust Global Tactical Commodity Strategy Fund $146
First Trust Alternative Absolute Return Strategy ETF $40
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Total $186
FIRST TRUST EXCHANGE-TRADED FUND VIII
First Trust CEF Income Opportunity ETF $34
First Trust Municipal CEF Income Opportunity ETF $9
First Trust TCW Opportunistic Fixed Income ETF $818
EquityCompass Risk Manager ETF $19
EquityCompass Tactical Risk Manager ETF $27
First Trust TCW Unconstrained Plus Bond ETF $188
First Trust Low Duration Strategic Focus ETF $51
FT Cboe Vest U.S. Equity Buffer ETF-August $0
FT Cboe Vest U.S. Equity Deep Buffer ETF-August $0
FT Cboe Vest U.S. Equity Buffer ETF-November $0
FT Cboe Vest U.S. Equity Deep Buffer ETF-November $0
FT Cboe Vest U.S. Equity Buffer ETF-February $0
FT Cboe Vest U.S. Equity Deep Buffer ETF-February $0
FT Cboe Vest U.S. Equity Buffer ETF-May $0
FT Cboe Vest U.S. Equity Deep Buffer ETF-May $0
FT Cboe Vest U.S. Equity Buffer ETF-June $0
FT Cboe Vest U.S. Equity Deep Buffer ETF-June $0
First Trust TCW Securitized Plus ETF $0
First Trust Active Factor Large Cap ETF $0
First Trust Active Factor Mid Cap ETF $0
First Trust Active Factor Small Cap ETF $0
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Total $1,146
FIRST TRUST CLOSED-END FUNDS
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund $120
First Trust Energy Income and Growth Fund $522
First Trust Enhanced Equity Income Fund $285
First Trust/Aberdeen Global Opportunity Income Fund $190
First Trust Mortgage Income Fund $57
First Trust/Aberdeen Emerging Opportunity Fund $74
First Trust Specialty Finance and Financial Opportunities Fund $100
First Trust Senior Floating Rate Income Fund II $469
First Trust High Income Long/Short Fund $523
First Trust Energy Infrastructure Fund $381
First Trust MLP and Energy Income Fund $699
First Trust New Opportunities MLP & Energy Fund $311
First Trust Senior Floating Rate 2022 Target Term Fund $423
First Trust Intermediate Duration Preferred & Income Fund $1,884
First Trust Dynamic Europe Equity Income Fund $315
First Trust High Yield Opportunities 2027 Term Fund $0
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Total $6,353
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First Trust Advisors L.P. $45,250
First Trust Portfolios L.P. $6,464
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Total $129,288