-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P9gWiui9i6kGKBPjUabxQNOiopZOnB1jVbnwzyC5B/Wtfn8Q1uAIa4OEkWJVYD+0 RpRCYc3NXk6zwp8sTG72EQ== 0000875626-07-000918.txt : 20070420 0000875626-07-000918.hdr.sgml : 20070420 20070420172424 ACCESSION NUMBER: 0000875626-07-000918 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070420 DATE AS OF CHANGE: 20070420 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: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-33424 FILM NUMBER: 07779751 BUSINESS ADDRESS: STREET 1: 1001 WARRENVILLE ROAD, SUITE 300 CITY: LISLE STATE: IL ZIP: 60532 BUSINESS PHONE: 630-241-4141 MAIL ADDRESS: STREET 1: 1001 WARRENVILLE ROAD, SUITE 300 CITY: LISLE STATE: IL ZIP: 60532 8-A12B 1 alphadex_8a.txt REGISTRATION OF SECURITIES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED ALPHADEX(TM) FUND - ------------------------------------------------------------------------------- (Exact name of registrant as specified in its charter) MASSACHUSETTS 20-5536216 20-5536701 20-5536939 20-5537108 20-5537344 20-5537771 20-5538090 20-5538411 20-5538486 20-8689204 20-8689316 20-8689409 20-8689490 20-8689652 20-8689778 20-8689863 - ---------------------------------------- -------------------------------------- (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 1001 Warrenville Road, Suite 300, Lisle, Illinois 60532 - ------------------------------------------------- ----------------- (Address of Principal Executive Offices) (Zip Code) If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A. (c), check the following box.-- [X] If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A. (d), check the following box.-- [ ] Securities Act registration statement file number to which this form relates: 333-140895. Securities to be registered pursuant to Section 12(b) of the Act:
TITLE OF EACH CLASS NAME OF EACH EXCHANGE ON WHICH EACH CLASS IS TO BE TO BE SO REGISTERED REGISTERED Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Consumer Discretionary AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Consumer Staples AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Energy AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Financial AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Health Care AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Industrials AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Materials AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Technology AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Utilities AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Large Cap Core AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Mid Cap Core AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Small Cap Core AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value per American Stock Exchange LLC share, of First Trust Large Cap Value Opportunities AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value American Stock Exchange LLC per share, of First Trust Large Cap Growth Opportunities AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value American Stock Exchange LLC per share, of First Trust Multi Cap Value AlphaDEX(TM) Fund Common Shares of Beneficial Interest, $.01 par value American Stock Exchange LLC per share, of First Trust Multi Cap Growth AlphaDEX(TM) Fund
Securities to be registered pursuant to Section 12(g) of the Act: NONE --------------------------------------- (Title of Class) INFORMATION REQUIRED IN REGISTRATION STATEMENT ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED The securities to be registered hereunder are common shares of beneficial interest, $.01 par value per share (the "Shares"), of each of the First Trust Consumer Discretionary AlphaDEX(TM) Fund, First Trust Consumer Staples AlphaDEX(TM) Fund, First Trust Energy AlphaDEX(TM) Fund, First Trust Financial AlphaDEX(TM) Fund, First Trust Health Care AlphaDEX(TM) Fund, First Trust Industrials AlphaDEX(TM) Fund, First Trust Materials AlphaDEX(TM) Fund, First Trust Technology AlphaDEX(TM) Fund, First Trust Utilities AlphaDEX(TM) Fund, First Trust Large Cap Core AlphaDEX(TM) Fund, First Trust Mid Cap Core AlphaDEX(TM) Fund, First Trust Small Cap Core AlphaDEX(TM) Fund, First Trust Large Cap Value Opportunities AlphaDEX(TM) Fund, First Trust Large Cap Growth Opportunities AlphaDEX(TM) Fund, First Trust Multi Cap Value AlphaDEX(TM) Fund and First Trust Multi Cap Growth AlphaDEX(TM) Fund, each a series of the First Trust Exchange-Traded AlphaDEXTM Fund (the "Registrant"). An application for listing of the Shares has been filed with the American Stock Exchange LLC. A description of the Shares is contained in the Preliminary Prospectuses, which were a part of the Registration Statements on Form N-1A (Registration Nos. 333-140895, 811-222019), filed with the Securities and Exchange Commission on February 6, 2007 and March 14, 2007. Such descriptions are incorporated by reference herein. ITEM 2. EXHIBITS Pursuant to the "Instruction as to Exhibits" of Form 8-A, no exhibits are filed herewith or incorporated by reference. SIGNATURE Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized. FIRST TRUST EXCHANGE-TRADED ALPHADEXTM FUND By: /s/ W. Scott Jardine ------------------------------------------ W. Scott Jardine, Secretary April 20, 2007
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