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
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(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
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(Address, including zip code, and telephone number, including area code, of
Issuer's principal executive offices)
See Attachment A
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(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
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(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