EX-99.D ADVSR CONTR 2 exhibit_d4.txt EXHIBIT A TO EXPENSE REIMBURSEMENT, FEE WAIVER AND RECOVERY AGREEMENT EXHIBIT A
---------------------------------------------- ------------------- --------------------- --------------------------- NAME OF FUND EXPENSE CAP EFFECTIVE DATE EXPENSE CAP TERM (OF AVERAGE NET ASSETS) ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Consumer Discretionary AlphaDEX(R) 0.70% October 12, 2010 November 30, 2016 Fund ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Consumer Staples AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Energy AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Financials AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Health Care AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Industrials/Producer Durables 0.70% October 12, 2010 November 30, 2016 AlphaDEX(R) Fund ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Materials AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Technology AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Utilities AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Large Cap Core AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Mid Cap Core AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Small Cap Core AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Large Cap Value Opportunities 0.70% October 12, 2010 November 30, 2016 AlphaDEX(R) Fund ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Large Cap Growth Opportunities 0.70% October 12, 2010 November 30, 2016 AlphaDEX(R) Fund ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Multi Cap Value AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- --------------------------- First Trust Multi Cap Growth AlphaDEX(R) Fund 0.70% October 12, 2010 November 30, 2016 ---------------------------------------------- ------------------- --------------------- ---------------------------