0001445546-16-007801.txt : 20160329 0001445546-16-007801.hdr.sgml : 20160329 20160329161930 ACCESSION NUMBER: 0001445546-16-007801 CONFORMED SUBMISSION TYPE: 25 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160329 DATE AS OF CHANGE: 20160329 EFFECTIVENESS DATE: 20160329 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: 25 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33424 FILM NUMBER: 161535608 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 25 1 adex_style25.txt REMOVAL FROM LISTING ON NYSE ARCA UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(B) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 333-140895 First Trust Exchange-Traded AlphaDEX Fund/NYSE Arca -------------------------------------------------------------------------------- (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187; (800) 621-1675 -------------------------------------------------------------------------------- (Address, including zip code, and telephone number, including area code, of Issuer's principal executive offices) See Attachment A -------------------------------------------------------------------------------- (Description of class of securities) Please place an X in the box to designate the rule provision relied upon to strike the class of securities from listing and registration: [_] 17 CFR 240.12d2-2(a)(1) [_] 17 CFR 240.12d2-2(a)(2) [_] 17 CFR 240.12d2-2(a)(3) [_] 17 CFR 240.12d2-2(a)(4) [_] Pursuant to 17 CFR 240.12d2-2(b), the Exchange has complied with its rules to strike the class of securities from listing and/or withdraw registration on the Exchange.(1) [X] Pursuant to 17 CFR 240.12d2-2(c), the Issuer has complied with the rules of the Exchange and the requirements of 17 CFR 240.12d2-2(c) governing the voluntary withdrawal of the class of securities from listing and registration on the Exchange. Pursuant to the requirements of the Securities Exchange Act of 1934, First Trust Exchange Traded AlphaDEX(R) Fund certifies that it has reasonable grounds to believe that it meets all of the requirements for filing the Form 25 and has caused this notification to be signed on its behalf by the undersigned duly authorized person. March 29, 2016 By /s/ W. Scott Jardine Secretary ------------------------- ------------------------ Date Name Title --------------- (1) Form 25 and attached Notice will be considered compliance with the provisions of 17 CFR 240.19d-l as applicable. See General Instructions. ATTACHMENT A
NAME OF CLASS OF SECURITIES DESCRIPTION OF CLASS OF SECURITIES First Trust Large Cap Core AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Mid Cap Core AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Small Cap Core AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Large Cap Value AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Large Cap Growth AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Multi Cap Value AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Multi Cap Growth AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Mid Cap Value AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Mid Cap Growth AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Small Cap Value AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Small Cap Growth AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share First Trust Mega Cap AlphaDEX(R) Fund Common Shares of Beneficial Interest, $.01 par value per share