<SEC-DOCUMENT>0001445546-17-005268-index.html : 20171128 <SEC-HEADER>0001445546-17-005268.hdr.sgml : 20171128 <ACCEPTANCE-DATETIME>20171128130403 ACCESSION NUMBER: 0001445546-17-005268 CONFORMED SUBMISSION TYPE: 485BPOS PUBLIC DOCUMENT COUNT: 30 FILED AS OF DATE: 20171128 DATE AS OF CHANGE: 20171128 EFFECTIVENESS DATE: 20171201 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: 485BPOS SEC ACT: 1933 Act SEC FILE NUMBER: 333-140895 FILM NUMBER: 171224919 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 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: 485BPOS SEC ACT: 1940 Act SEC FILE NUMBER: 811-22019 FILM NUMBER: 171224920 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 <SERIES-AND-CLASSES-CONTRACTS-DATA> <EXISTING-SERIES-AND-CLASSES-CONTRACTS> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017337 <SERIES-NAME>First Trust Large Cap Core AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000047995 <CLASS-CONTRACT-NAME>First Trust Large Cap Core AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FEX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017338 <SERIES-NAME>First Trust Mid Cap Core AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000047996 <CLASS-CONTRACT-NAME>First Trust Mid Cap Core AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FNX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017339 <SERIES-NAME>First Trust Small Cap Core AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000047997 <CLASS-CONTRACT-NAME>First Trust Small Cap Core AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FYX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017340 <SERIES-NAME>First Trust Large Cap Value AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000047998 <CLASS-CONTRACT-NAME>First Trust Large Cap Value Opportunities AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FTA </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017341 <SERIES-NAME>First Trust Large Cap Growth AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000047999 <CLASS-CONTRACT-NAME>First Trust Large Cap Growth AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FTC </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017342 <SERIES-NAME>First Trust Multi Cap Value AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048000 <CLASS-CONTRACT-NAME>First Trust Multi Cap Value AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FAB </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017343 <SERIES-NAME>First Trust Multi Cap Growth AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048001 <CLASS-CONTRACT-NAME>First Trust Multi Cap Growth AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FAD </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017696 <SERIES-NAME>First Trust Consumer Discretionary AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048896 <CLASS-CONTRACT-NAME>First Trust Consumer Discretionary AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXD </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017697 <SERIES-NAME>First Trust Consumer Staples AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048897 <CLASS-CONTRACT-NAME>First Trust Consumer Staples AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXG </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017698 <SERIES-NAME>First Trust Energy AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048898 <CLASS-CONTRACT-NAME>First Trust Energy AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXN </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017699 <SERIES-NAME>First Trust Financials AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048899 <CLASS-CONTRACT-NAME>First Trust Financials AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXO </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017700 <SERIES-NAME>First Trust Health Care AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048900 <CLASS-CONTRACT-NAME>First Trust Health Care AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXH </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017701 <SERIES-NAME>First Trust Industrials/Producer Durables AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048901 <CLASS-CONTRACT-NAME>First Trust Industrials/Producer Durables AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXR </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017702 <SERIES-NAME>First Trust Materials AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048902 <CLASS-CONTRACT-NAME>First Trust Materials AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXZ </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017703 <SERIES-NAME>First Trust Technology AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048903 <CLASS-CONTRACT-NAME>First Trust Technology AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXL </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000017704 <SERIES-NAME>First Trust Utilities AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000048904 <CLASS-CONTRACT-NAME>First Trust Utilities AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FXU </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000031804 <SERIES-NAME>First Trust Mid Cap Growth AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000099059 <CLASS-CONTRACT-NAME>First Trust Mid Cap Growth AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FNY </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000031805 <SERIES-NAME>First Trust Mid Cap Value AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000099060 <CLASS-CONTRACT-NAME>First Trust Mid Cap Value AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FNK </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000031806 <SERIES-NAME>First Trust Small Cap Growth AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000099061 <CLASS-CONTRACT-NAME>First Trust Small Cap Growth AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FYC </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000031807 <SERIES-NAME>First Trust Small Cap Value AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000099062 <CLASS-CONTRACT-NAME>First Trust Small Cap Value AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FYT </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0001383496 <SERIES-ID>S000032963 <SERIES-NAME>First Trust Mega Cap AlphaDEX Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000101702 <CLASS-CONTRACT-NAME>First Trust Mega Cap AlphaDEX Fund <CLASS-CONTRACT-TICKER-SYMBOL>FMK </CLASS-CONTRACT> </SERIES> </EXISTING-SERIES-AND-CLASSES-CONTRACTS> </SERIES-AND-CLASSES-CONTRACTS-DATA> </SEC-HEADER> <DOCUMENT> <TYPE>485BPOS <SEQUENCE>1 <FILENAME>adex_485b.htm <DESCRIPTION>POST-EFFECTIVE AMENDMENT <TEXT> Document 1 - file: adex_485b.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.A CHARTER <SEQUENCE>2 <FILENAME>exhibit_a2.txt <DESCRIPTION>AMENDED AND RESTATED DECLARATION OF TRUST <TEXT> Document 2 - file: exhibit_a2.txt
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.C HOLDERS RTS <SEQUENCE>3 <FILENAME>exhibit_d4.txt <DESCRIPTION>EXHIBIT A TO EXPENSE REIMBURSEMENT, FEE WAIVER AND RECOVERY AGREEMENT <TEXT> Document 3 - file: exhibit_d4.txt
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.J OTHER OPININ <SEQUENCE>4 <FILENAME>exhibit_j.txt <DESCRIPTION>CONSENT OF DELOITTE AND TOUCHE LLP <TEXT> Document 4 - file: exhibit_j.txt
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.M 12B-1 PLAN <SEQUENCE>5 <FILENAME>exhibit_m2.txt <DESCRIPTION>12B-1 PLAN EXTENSION LETTER AGREEMENT <TEXT> Document 5 - file: exhibit_m2.txt
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