EX-99.M 12B-1 PLAN 4 exhibit_m2.txt 12B-1 PLAN EXTENSION LETTER AGREEMENT June 30, 2015 First Trust Exchange-Traded AlphaDEX(R) Fund 120 East Liberty Drive, Suite 400 Wheaton, Illinois 60187 Re: 12b-1 Plan Extension Letter for First Trust Exchange-Traded AlphaDEX(R) Fund (the "Trust"). Ladies and Gentlemen: It is hereby acknowledged that First Trust Portfolios L.P. serves as the distributor of the shares of each series of the above-referenced Trust. The Trust is an open-end management investment company registered under the Investment Company Act of 1940, as amended (the "1940 Act"), comprised of various exchange-traded funds (each, a "Fund," and, collectively, the "Funds") set forth on Exhibit A attached hereto, which may be supplemented to add new Funds. It is further acknowledged that the Trust has adopted a Distribution and Service Plan (the "Plan") pursuant to Rule l2b-1 under the 1940 Act with respect to the shares of beneficial interest ("Shares") of the Funds. Pursuant to the Plan, each Fund may bear a fee not to exceed 0.25% per annum of such Fund's average daily net assets. The purpose of this letter agreement is to agree and acknowledge that the Funds shall not pay, and we shall not collect, any fees pursuant to the Plan any time before the date set forth on Exhibit A attached hereto for each Fund. Very Truly Yours, FIRST TRUST PORTFOLIOS L.P. /s/ Mark R. Bradley -------------------------------------- Mark R. Bradley Chief Financial Officer, Chief Operating Officer AGREED AND ACKNOWLEDGED: First Trust Exchange-Traded AlphaDEX(R) Fund /s/ James M. Dykas -------------------------------------- James M. Dykas Treasurer, Chief Financial Officer and Chief Accounting Officer EXHIBIT A ------------------------------------------------------------ ------------------- FUNDS DATES ------------------------------------------------------------ ------------------- First Trust Exchange-Traded AlphaDEX(R) Fund ------------------------------------------------------------ ------------------- First Trust Large Cap Core AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Mid Cap Core AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Small Cap Core AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Large Cap Value AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Large Cap Growth AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Multi Cap Value AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Multi Cap Growth AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Consumer Discretionary AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Consumer Staples AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Energy AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Financials AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Health Care AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Industrials/Producer Durables AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Materials AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Technology AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Utilities AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Mid Cap Growth AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Mid Cap Value AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Small Cap Growth AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Small Cap Value AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ ------------------- First Trust Mega Cap AlphaDEX(R) Fund 12/31/16 ------------------------------------------------------------ -------------------