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 -------------------------------------------------------------------------------------------- -------------- 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 -------------------------------------------------------------------------------------------- -------------- 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 -------------------------------------------------------------------------------------------- -------------- 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 -------------------------------------------------------------------------------------------- -------------- Total $6,353 -------------------------------------------------------------------------------------------- -------------- First Trust Advisors L.P. $45,250 First Trust Portfolios L.P. $6,464 -------------------------------------------------------------------------------------------- -------------- Total $129,288