0001752724-24-070611.txt : 20240327 0001752724-24-070611.hdr.sgml : 20240327 20240327124005 ACCESSION NUMBER: 0001752724-24-070611 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240131 FILED AS OF DATE: 20240327 DATE AS OF CHANGE: 20240327 PERIOD START: 20241031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND III CENTRAL INDEX KEY: 0001424212 ORGANIZATION NAME: IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-22245 FILM NUMBER: 24788000 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE STREET 2: SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE STREET 2: SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: First Trust Exchange-Traded Fund III DATE OF NAME CHANGE: 20160419 FORMER COMPANY: FORMER CONFORMED NAME: First Trust Exchange Traded Fund III DATE OF NAME CHANGE: 20080116 0001424212 S000052738 First Trust RiverFront Dynamic Europe ETF C000165610 First Trust RiverFront Dynamic Europe ETF RFEU NPORT-P 1 primary_doc.xml NPORT-P false 0001424212 XXXXXXXX S000052738 C000165610 First Trust Exchange-Traded Fund III 811-22245 0001424212 5493003Z20QMESC6XS29 120 East Liberty Drive, Suite 400 Wheaton 60187 630-765-8000 First Trust RiverFront Dynamic Europe ETF S000052738 549300SDK57MHJ515Y86 2024-10-31 2024-01-31 N 9532169.36 6617.03 9525552.33 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 10635.11000000 N The Fund's Designated Reference Portfolio is the Fund's Securities Portfolio. N/A GSK PLC 5493000HZTVUYLO1D793 GSK PLC 000000000 8417.00000000 NS 166469.04000000 1.747605117613 Long EC CORP GB N 2 N N N Sanofi SA 549300E9PC51EN656011 Sanofi SA 000000000 389.00000000 NS 38956.45000000 0.408967886064 Long EC CORP FR N 2 N N N AP Moller - Maersk A/S 549300D2K6PKKKXVNN73 AP Moller - Maersk A/S 000000000 36.00000000 NS 65277.77000000 0.685291180380 Long EC CORP DK N 2 N N N Carrefour SA 549300B8P6MUJ1YWTS08 Carrefour SA 000000000 3704.00000000 NS 63235.53000000 0.663851583711 Long EC CORP FR N 2 N N N BBVA K8MS7FD7N5Z2WQ51AZ71 Banco Bilbao Vizcaya Argentaria SA 000000000 14669.00000000 NS 137293.07000000 1.441313482343 Long EC CORP ES N 2 N N N Cia de Distribucion Integral L 9598000ANNAL42UJ7X28 Cia de Distribucion Integral Logista Holdings SA 000000000 1937.00000000 NS 54787.81000000 0.575166752561 Long EC CORP ES N 2 N N N First International Bank Of Is 2138002RV6AUUX19F397 First International Bank Of Israel Ltd/The 000000000 1065.00000000 NS 42709.84000000 0.448371270456 Long EC CORP IL N 2 N N N Dunelm Group PLC 213800WCOWEI3T5DUV19 Dunelm Group PLC 000000000 3223.00000000 NS 44396.75000000 0.466080584746 Long EC CORP GB N 2 N N N Rio Tinto Ltd 529900X2VMAQT2PE0V24 Rio Tinto Ltd 000000000 866.00000000 NS 74517.24000000 0.782287865505 Long EC CORP AU N 2 N N N Next PLC 213800WQD8ECPZP9PH98 Next PLC 000000000 513.00000000 NS 54766.02000000 0.574937999422 Long EC CORP GB N 2 N N N Cie de Saint-Gobain SA NFONVGN05Z0FMN5PEC35 Cie de Saint-Gobain SA 000000000 338.00000000 NS 23898.72000000 0.250890648353 Long EC CORP FR N 2 N N N Rexel SA 969500N6AVPA51648T62 Rexel SA 000000000 2041.00000000 NS 54358.32000000 0.570657932651 Long EC CORP FR N 2 N N N Azimut Holding SpA 81560025690EF8540635 Azimut Holding SpA 000000000 2252.00000000 NS 62782.63000000 0.659097003774 Long EC CORP IT N 2 N N N ASML Holding NV 724500Y6DUVHQD6OXN27 ASML Holding NV 000000000 504.00000000 NS 437262.62000000 4.590417488158 Long EC CORP NL N 2 N N N Equinor ASA 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Deutschland Holding AG 000000000 18075.00000000 NS 45820.35000000 0.481025649879 Long EC CORP DE N 2 N N N Roche Holding AG 549300U41AUUVOAAOB37 Roche Holding AG 000000000 854.00000000 NS 243147.77000000 2.552584475697 Long EC CORP CH N 2 N N N AstraZeneca PLC PY6ZZQWO2IZFZC3IOL08 AstraZeneca PLC 000000000 752.00000000 NS 99697.67000000 1.046634006576 Long EC CORP GB N 2 N N N Navigator Co SA/The 549300UNIB7M2AXUXS35 Navigator Co SA/The 000000000 7679.00000000 NS 31641.45000000 0.332174438854 Long EC CORP PT N 2 N N N Bayerische Motoren Werke AG YEH5ZCD6E441RHVHD759 Bayerische Motoren Werke AG 000000000 550.00000000 NS 53740.53000000 0.564172324482 Long EP CORP DE N 2 N N N Galp Energia SGPS SA 2138003319Y7NM75FG53 Galp Energia SGPS SA 000000000 3838.00000000 NS 60416.58000000 0.634258024174 Long EC CORP PT N 2 N N N Acerinox SA 95980020140005582721 Acerinox SA 000000000 4368.00000000 NS 46113.62000000 0.484104421480 Long EC CORP ES N 2 N N N TotalEnergies SE 529900S21EQ1BO4ESM68 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133045.89000000 1.396726251568 Long EC CORP GB N 2 N N N Ferrari NV 549300RIVY5EX8RCON76 Ferrari NV 000000000 126.00000000 NS 43940.69000000 0.461292830879 Long EC CORP IT N 2 N N N OPAP SA 213800M4NRGFJCI34834 OPAP SA 000000000 2970.00000000 NS 51418.85000000 0.539799144644 Long EC CORP GR N 1 N N N Swiss Life Holding AG 5493000KUC3Z24U77V93 Swiss Life Holding AG 000000000 135.00000000 NS 96947.29000000 1.017760300310 Long EC CORP CH N 2 N N N British American Tobacco PLC 213800FKA5MF17RJKT63 British American Tobacco PLC 000000000 4042.00000000 NS 119172.62000000 1.251083568400 Long EC CORP GB N 2 N N N Siemens AG W38RGI023J3WT1HWRP32 Siemens AG 000000000 294.00000000 NS 52632.80000000 0.552543287534 Long EC CORP DE N 2 N N N Ipsen SA 549300M6SGDPB4Z94P11 Ipsen SA 000000000 442.00000000 NS 50961.99000000 0.535002992314 Long EC CORP FR N 2 N N N Enel SpA WOCMU6HCI0OJWNPRZS33 Enel SpA 000000000 17168.00000000 NS 117143.25000000 1.229779082007 Long EC CORP IT N 2 N N N Evolution AB 549300SUH6ZR1RF6TA88 Evolution AB 000000000 684.00000000 NS 79866.31000000 0.838442824448 Long EC CORP SE N 2 N N N Hargreaves Lansdown PLC 2138008ZCE93ZDSESG90 Hargreaves Lansdown PLC 000000000 4626.00000000 NS 44638.15000000 0.468614820994 Long EC CORP GB N 2 N N N Barratt Developments PLC 2138006R85VEOF5YNK29 Barratt Developments PLC 000000000 8557.00000000 NS 58318.75000000 0.612234839299 Long EC CORP GB N 2 N N N Nemetschek SE 529900R0S2IX1S358J38 Nemetschek SE 000000000 672.00000000 NS 62007.66000000 0.650961307563 Long EC CORP DE N 2 N N N Experian PLC 635400RXXHHYT1JTSZ26 Experian PLC 000000000 2793.00000000 NS 116251.23000000 1.220414585660 Long EC CORP IE N 1 N N N Roche Holding AG 549300U41AUUVOAAOB37 Roche Holding AG 000000000 221.00000000 NS 66946.98000000 0.702814678673 Long EC CORP CH N 2 N N N Telefonica SA 549300EEJH4FEPDBBR25 Telefonica SA 879382109 20771.00000000 NS 84513.38000000 0.887228131998 Long EC CORP ES N 2 N N N Telekom Austria AG 529900KCNFQU5OJH7L33 Telekom Austria AG 000000000 6585.00000000 NS 57358.02000000 0.602149019950 Long EC CORP AT N 1 N N N Eni SpA BUCRF72VH5RBN7X3VL35 Eni SpA 000000000 7199.00000000 NS 114761.22000000 1.204772343106 Long EC CORP IT N 2 N N N SGS SA 2138007JNS19JHNA2336 SGS SA 000000000 653.00000000 NS 60341.04000000 0.633464999294 Long EC CORP CH N 2 N N N Redeia Corp SA 5493009HMD0C90GUV498 Redeia Corp SA 000000000 3101.00000000 NS 51600.80000000 0.541709270101 Long EC CORP ES N 2 N N N Evraz PLC 5493005B7DAN39RXLK23 Evraz PLC 000000000 44089.00000000 NS 0.00000000 0.000000 Long EC CORP RU N 3 N N N A2A SpA 81560076E3944316DB24 A2A SpA 000000000 31045.00000000 NS 61551.59000000 0.646173448715 Long EC CORP IT N 2 N N N Diageo PLC 213800ZVIELEA55JMJ32 Diageo PLC 000000000 701.00000000 NS 25318.60000000 0.265796660633 Long EC CORP GB N 2 N N N Vinci SA 213800WFQ334R8UXUG83 Vinci SA 000000000 1052.00000000 NS 132890.56000000 1.395095584971 Long EC CORP FR N 2 N N N Grupo Catalana Occidente SA 959800H2P9S8MS95DT42 Grupo Catalana Occidente SA 000000000 1544.00000000 NS 55340.92000000 0.580973344986 Long EC CORP ES N 2 N N N Raiffeisen Bank International 9ZHRYM6F437SQJ6OUG95 Raiffeisen Bank International AG 000000000 3382.00000000 NS 70511.88000000 0.740239280172 Long EC CORP AT N 2 N N N Ericsson 549300W9JLPW15XIFM52 Telefonaktiebolaget LM Ericsson 000000000 15310.00000000 NS 84870.66000000 0.890978885630 Long EC CORP SE N 2 N N N Admiral Group PLC 213800FGVM7Z9EJB2685 Admiral Group PLC 000000000 2050.00000000 NS 65184.09000000 0.684307720348 Long EC CORP GB N 2 N N N Intermediate Capital Group PLC 549300OGASR5WRKJ8R68 Intermediate Capital Group PLC 000000000 2587.00000000 NS 58324.14000000 0.612291423945 Long EC CORP GB N 2 N N N BT Group PLC 213800LRO7NS5CYQMN21 BT Group PLC 000000000 49012.00000000 NS 69436.81000000 0.728953110480 Long EC CORP GB N 2 N N N Endesa SA 549300LHK07F2CHV4X31 Endesa SA 000000000 3407.00000000 NS 67499.05000000 0.708610353096 Long EC CORP ES N 2 N N N Orange SA 969500MCOONR8990S771 Orange SA 000000000 7502.00000000 NS 89212.91000000 0.936564168767 Long EC CORP FR N 2 N N N DSV A/S 529900X41C0BSLK67H70 DSV A/S 000000000 511.00000000 NS 91422.92000000 0.959765028134 Long EC CORP DK N 2 N N N Mercedes-Benz Group AG 529900R27DL06UVNT076 Mercedes-Benz Group AG 000000000 1664.00000000 NS 112340.81000000 1.179362687937 Long EC CORP DE N 2 N N N Auto Trader Group PLC 213800QLK9BZILB1DI86 Auto Trader Group PLC 000000000 7522.00000000 NS 69201.44000000 0.726482177648 Long EC CORP GB N 2 N N N HSBC Holdings PLC MLU0ZO3ML4LN2LL2TL39 HSBC Holdings PLC 000000000 11294.00000000 NS 88180.11000000 0.925721752871 Long EC CORP GB N 2 N N N RELX PLC 549300WSX3VBUFFJOO66 RELX PLC 000000000 3884.00000000 NS 160308.32000000 1.682929392924 Long EC CORP GB N 2 N N N Wolters Kluwer NV 724500TEM53I0U077B74 Wolters Kluwer NV 000000000 769.00000000 NS 113363.28000000 1.190096658678 Long EC CORP NL N 2 N N N Novo Nordisk A/S 549300DAQ1CVT6CXN342 Novo Nordisk A/S 000000000 3558.00000000 NS 406695.28000000 4.269519140839 Long EC CORP DK N 2 N N N Swisscom AG 5493005SL9HHOXS3B739 Swisscom AG 000000000 133.00000000 NS 79571.76000000 0.835350615306 Long EC CORP CH N 2 N N N B&M European Value Retail SA 213800UK7ZRLY2K1X530 B&M European Value Retail SA 000000000 8082.00000000 NS 52967.13000000 0.556053110255 Long EC CORP GB N 2 N N N Covivio SA/France 969500P8M3W2XX376054 Covivio SA/France 000000000 1009.00000000 NS 48859.53000000 0.512931201334 Long EC CORP FR N 2 N N N Wacker Chemie AG 0NURKC5Q3CJYZPPK5046 Wacker Chemie AG 000000000 308.00000000 NS 33393.44000000 0.350566968120 Long EC CORP DE N 2 N N N Shell PLC 21380068P1DRHMJ8KU70 Shell PLC 000000000 6062.00000000 NS 187935.90000000 1.972965907794 Long EC CORP GB N 2 N N N Amundi SA 96950010FL2T1TJKR531 Amundi SA 000000000 839.00000000 NS 56747.71000000 0.595741937412 Long EC CORP FR N 2 N N N Cofinimmo SA 549300TM914CSF6KI389 Cofinimmo SA 000000000 452.00000000 NS 32850.02000000 0.344862102080 Long EC CORP BE N 2 N N N Dassault Aviation SA 969500CVFTUT88V8QN95 Dassault Aviation SA 000000000 318.00000000 NS 60231.64000000 0.632316509461 Long EC CORP FR N 2 N N N Deutsche Telekom AG 549300V9QSIG4WX4GJ96 Deutsche Telekom AG 000000000 3981.00000000 NS 97724.50000000 1.025919512217 Long EC CORP DE N 2 N N N Allianz SE 529900K9B0N5BT694847 Allianz SE 000000000 673.00000000 NS 179808.73000000 1.887646235837 Long EC CORP DE N 2 N N N Man Group PLC/Jersey 2549003YWC1DW6LALB09 Man Group PLC/Jersey 000000000 16307.00000000 NS 48754.04000000 0.511823758990 Long EC CORP GB N 2 N N N Volkswagen AG 529900NNUPAGGOMPXZ31 Volkswagen AG 000000000 526.00000000 NS 67651.25000000 0.710208160706 Long EP CORP DE N 2 N N N National Bank of Greece SA 5UMCZOEYKCVFAW8ZLO05 National Bank of Greece SA 000000000 6302.00000000 NS 47914.44000000 0.503009571939 Long EC CORP GR N 2 N N N Taylor Wimpey PLC 21380089BTRXTD8S3R66 Taylor Wimpey PLC 000000000 36900.00000000 NS 68891.91000000 0.723232707283 Long EC CORP GB N 2 N N N SAP SE 529900D6BF99LW9R2E68 SAP SE 000000000 450.00000000 NS 77960.62000000 0.818436740455 Long EC CORP DE N 2 N N N Deutsche Post AG 8ER8GIG7CSMVD8VUFE78 Deutsche Post AG 000000000 2432.00000000 NS 116478.07000000 1.222795969879 Long EC CORP DE N 2 N N N Sartorius AG 529900EQV2DY4FOAMU38 Sartorius AG 000000000 152.00000000 NS 55449.76000000 0.582115955894 Long EP CORP DE N 2 N N N Nestle SA KY37LUS27QQX7BB93L28 Nestle SA 000000000 3285.00000000 NS 374327.75000000 3.929722256851 Long EC CORP CH N 2 N N N Hera SpA 8156009414FD99443B48 Hera SpA 000000000 15279.00000000 NS 53822.03000000 0.565027917913 Long EC CORP IT N 2 N N N Novartis AG 5493007HIVTX6SY6XD66 Novartis AG 000000000 2654.00000000 NS 274460.22000000 2.881305046591 Long EC CORP CH N 2 N N N Yara International ASA 213800WKOUWXWFJ5Z514 Yara International ASA 000000000 1260.00000000 NS 41646.36000000 0.437206773499 Long EC CORP NO N 2 N N N National Grid PLC 8R95QZMKZLJX5Q2XR704 National Grid PLC 000000000 8291.00000000 NS 110428.58000000 1.159287946507 Long EC CORP GB N 2 N N N Kuehne + Nagel International A 529900Q0YED3805QXQ66 Kuehne + Nagel International AG 000000000 252.00000000 NS 85397.68000000 0.896511583176 Long EC CORP CH N 2 N N N Tesco PLC 2138002P5RNKC5W2JZ46 Tesco PLC 000000000 26559.00000000 NS 96239.62000000 1.010331124809 Long EC CORP GB N 2 N N N BPER Banca N747OI7JINV7RUUH6190 BPER Banca 000000000 15724.00000000 NS 56714.08000000 0.595388887019 Long EC CORP IT N 2 N N N Sandoz Group AG 5493000JWK6XWFEUD320 Sandoz Group AG 000000000 530.00000000 NS 18176.36000000 0.190816861535 Long EC CORP CH N 2 N N N TietoEVRY Oyj 549300EW2KM4KROKQV31 TietoEVRY Oyj 000000000 1563.00000000 NS 36270.03000000 0.380765636925 Long EC CORP FI N 2 N N N 2024-03-25 First Trust Exchange-Traded Fund III Derek Maltbie Derek Maltbie Treasurer, Chief Financial Officer and Chief Accounting Officer XXXX NPORT-EX 2 658299FT013124.htm EDGAR HTML
First Trust RiverFront Dynamic Developed International ETF (RFDI)
Portfolio of Investments
January 31, 2024 (Unaudited)
 
Shares
Description
Value
COMMON STOCKS (a) (b) — 99.3%
 
Australia — 10.5%
43,974
ALS Ltd. (AUD) (c)
$361,293
48,926
BHP Group Ltd. (AUD) (c)
1,496,848
66,632
Charter Hall Group (AUD) (c)
519,711
190,430
Charter Hall Long Wale REIT
(AUD) (c)
463,680
58,060
Coles Group Ltd. (AUD) (c)
602,512
4,214
Commonwealth Bank of
Australia (AUD) (c)
321,337
54,166
Fortescue Ltd. (AUD) (c)
1,046,856
67,510
Goodman Group (AUD) (c)
1,120,613
135,189
Harvey Norman Holdings Ltd.
(AUD) (c)
388,509
50,109
Iluka Resources Ltd. (AUD) (c)
234,039
242,831
Incitec Pivot Ltd. (AUD) (c)
424,076
15,684
JB Hi-Fi Ltd. (AUD) (c)
583,485
179,845
Medibank Pvt Ltd. (AUD) (c)
450,269
199,349
Metcash Ltd. (AUD) (c)
472,890
39,522
Nine Entertainment Co.
Holdings Ltd. (AUD) (c)
50,707
10,412
Rio Tinto Ltd. (AUD) (c)
895,928
35,483
Sonic Healthcare Ltd. (AUD) (c)
739,830
241,510
South32 Ltd. (AUD) (c)
522,923
195,337
Stockland (AUD) (c)
576,853
362,073
Vicinity Ltd. (AUD) (c)
480,619
171,011
Viva Energy Group Ltd.
(AUD) (c) (d) (e)
389,541
25,812
Wesfarmers Ltd. (AUD) (c)
977,166
13,191
Woodside Energy Group Ltd.
(AUD) (c)
275,907
 
 
13,395,592
 
Austria — 1.1%
65,308
Telekom Austria AG (EUR)
568,859
39,562
UNIQA Insurance Group AG
(EUR) (c)
331,941
14,511
Wienerberger AG (EUR) (c)
491,747
 
 
1,392,547
 
Belgium — 0.3%
36,354
Proximus SADP (EUR) (c)
344,974
 
Bermuda — 0.2%
19,262
Orient Overseas International
Ltd. (HKD) (c)
287,547
 
Canada — 3.4%
29,196
ARC Resources Ltd. (CAD)
453,429
93,897
B2Gold Corp. (CAD)
261,902
11,693
Canadian Natural Resources Ltd.
(CAD)
748,310
18,674
Emera, Inc. (CAD)
659,899
1,363
George Weston Ltd. (CAD)
173,664
14,023
Northland Power, Inc. (CAD)
258,045
23,084
Pembina Pipeline Corp. (CAD)
795,136
Shares
Description
Value
 
 
Canada (Continued)
18,406
Suncor Energy, Inc. (CAD)
$609,495
4,738
West Fraser Timber Co., Ltd.
(CAD)
376,763
 
 
4,336,643
 
Cayman Islands — 0.6%
150,500
CK Hutchison Holdings Ltd.
(HKD) (c)
777,306
 
Denmark — 2.3%
271
AP Moller - Maersk A.S.,
Class A (DKK) (c)
491,396
295
AP Moller - Maersk A.S.,
Class B (DKK) (c)
543,921
16,793
Novo Nordisk A.S., Class B
(DKK) (c)
1,919,515
 
 
2,954,832
 
Finland — 0.7%
6,835
Elisa Oyj (EUR) (c)
311,411
13,236
Orion Oyj, Class B (EUR) (c)
609,353
 
 
920,764
 
France — 8.5%
34,121
AXA S.A. (EUR) (c)
1,145,278
30,097
Carmila S.A. (EUR) (c)
534,791
454
Christian Dior SE (EUR) (c)
359,651
10,679
Covivio S.A. (EUR) (c)
517,117
66,386
Credit Agricole S.A. (EUR) (c)
950,966
551
Hermes International SCA
(EUR) (c)
1,162,418
13,665
La Francaise des Jeux SAEM
(EUR) (c) (d) (e)
553,890
1,539
LVMH Moet Hennessy Louis
Vuitton SE (EUR) (c)
1,280,533
33,312
Metropole Television S.A.
(EUR) (c)
472,446
2,964
Sanofi S.A. (EUR) (c)
296,830
33,337
TotalEnergies SE (EUR) (c)
2,162,748
10,640
Vinci S.A. (EUR) (c)
1,344,064
 
 
10,780,732
 
Germany — 8.5%
6,515
Allianz SE (EUR) (c)
1,740,645
16,879
Bayer AG (EUR) (c)
525,215
9,194
Bayerische Motoren Werke AG
(EUR) (c)
956,660
69,292
Deutsche Bank AG (EUR) (c)
895,092
23,402
Deutsche Post AG (EUR) (c)
1,120,814
63,015
Deutsche Telekom AG
(EUR) (c)
1,546,875
64,719
E.ON SE (EUR) (c)
875,597
26,328
Fresenius SE & Co. KGaA
(EUR) (c)
739,099
1,808
Hapag-Lloyd AG
(EUR) (c) (d) (e)
270,735
First Trust RiverFront Dynamic Developed International ETF (RFDI)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
Shares
Description
Value
COMMON STOCKS (a) (b) (Continued)
 
Germany (Continued)
16,566
Mercedes-Benz Group AG
(EUR) (c)
$1,118,412
3,374
SAP SE (EUR) (c)
584,531
2,449
Siemens AG (EUR) (c)
438,428
 
 
10,812,103
 
Greece — 0.7%
30,888
Eurobank Ergasias Services and
Holdings S.A. (EUR) (c) (f)
59,535
23,320
Hellenic Telecommunications
Organization S.A. (EUR) (c)
323,794
27,448
OPAP S.A. (EUR)
475,200
 
 
858,529
 
Guernsey — 0.4%
10,539
Shurgard Self Storage Ltd.
(EUR) (c)
488,817
 
Hong Kong — 0.2%
26,718
AIA Group Ltd. (HKD) (c)
209,534
 
Israel — 0.6%
11,367
First International Bank Of Israel
Ltd. (ILS) (c)
455,852
80,138
ICL Group Ltd. (ILS) (c)
364,491
 
 
820,343
 
Italy — 3.9%
25,371
ACEA S.p.A (EUR) (c)
400,368
20,781
Azimut Holding S.p.A.
(EUR) (c)
579,346
53,691
Banca Mediolanum S.p.A
(EUR) (c)
549,457
107,060
Banca Popolare di Sondrio
S.p.A. (EUR) (c)
813,439
61,184
Eni S.p.A. (EUR) (c)
975,351
93,460
Pirelli & C S.p.A.
(EUR) (c) (d) (e)
506,497
59,675
Poste Italiane S.p.A.
(EUR) (c) (d) (e)
647,092
85,462
Unipol Gruppo S.p.A. (EUR) (c)
530,683
 
 
5,002,233
 
Japan — 24.5%
32,900
Advantest Corp. (JPY) (c)
1,309,349
30,700
Bandai Namco Holdings, Inc.
(JPY) (c)
664,733
27,500
Chugai Pharmaceutical Co., Ltd.
(JPY) (c)
989,181
3,700
Disco Corp. (JPY) (c)
998,405
3,100
Fast Retailing Co., Ltd. (JPY) (c)
827,629
108,600
Honda Motor Co., Ltd. (JPY) (c)
1,213,938
8,000
Hoya Corp. (JPY) (c)
1,016,234
28,200
ITOCHU Corp. (JPY) (c)
1,279,832
740
Japan Metropolitan Fund Invest
(JPY) (c)
502,344
Shares
Description
Value
 
 
Japan (Continued)
42,600
Japan Tobacco, Inc. (JPY) (c)
$1,122,825
30,800
KDDI Corp. (JPY) (c)
1,020,560
408
KDX Realty Investment Corp.
(JPY) (c)
442,575
9,900
Lawson, Inc. (JPY) (c)
566,657
79,500
Mitsubishi Corp. (JPY) (c)
1,370,178
193,200
Mitsubishi UFJ Financial Group,
Inc. (JPY) (c)
1,809,618
16,700
Mitsui OSK Lines Ltd. (JPY) (c)
599,872
58,000
Mizuho Financial Group, Inc.
(JPY) (c)
1,053,371
23,600
MS&AD Insurance Group
Holdings, Inc. (JPY) (c)
974,556
15,750
Nintendo Co., Ltd. (JPY) (c)
879,967
698,300
Nippon Telegraph & Telephone
Corp. (JPY) (c)
876,894
27,200
Nippon Yusen KK (JPY) (c)
937,335
8,400
Nissan Chemical Corp. (JPY) (c)
335,016
17,300
Niterra Co., Ltd. (JPY) (c)
465,865
11,500
Nitto Denko Corp. (JPY) (c)
954,016
4,000
Obic Co., Ltd. (JPY) (c)
614,439
5,300
Oracle Corp Japan (JPY) (c)
417,689
50,300
ORIX Corp. (JPY) (c)
971,256
34,100
Recruit Holdings Co., Ltd.
(JPY) (c)
1,346,906
8,000
SCREEN Holdings Co., Ltd.
(JPY) (c)
784,475
19,900
Sega Sammy Holdings, Inc.
(JPY) (c)
292,880
32,000
Sekisui House Ltd. (JPY) (c)
722,374
11,700
Shinko Electric Industries Co.,
Ltd. (JPY) (c)
432,574
14,300
Shionogi & Co., Ltd. (JPY) (c)
686,349
40,700
SoftBank Corp. (JPY) (c)
540,734
600
Sojitz Corp. (JPY) (c)
14,161
29,000
Takeda Pharmaceutical Co., Ltd.
(JPY) (c)
852,324
23,100
Tokyo Gas Co., Ltd. (JPY) (c)
530,651
20,800
USS Co., Ltd. (JPY) (c)
393,357
15,500
ZOZO, Inc. (JPY) (c)
339,396
 
 
31,150,515
 
Jersey — 0.4%
172,050
Man Group PLC (GBP) (c)
514,388
 
Luxembourg — 0.4%
69,101
B&M European Value Retail
S.A. (GBP) (c)
452,868
 
Netherlands — 2.8%
2,519
ASML Holding N.V. (EUR) (c)
2,185,446
First Trust RiverFront Dynamic Developed International ETF (RFDI)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
Shares
Description
Value
COMMON STOCKS (a) (b) (Continued)
 
Netherlands (Continued)
2,142
Ferrari N.V. (EUR) (c)
$746,992
187,862
Koninklijke KPN N.V.
(EUR) (c)
639,055
 
 
3,571,493
 
New Zealand — 0.8%
291,393
Genesis Energy Ltd. (NZD) (c)
451,050
166,735
Spark New Zealand Ltd.
(NZD) (c)
540,969
 
 
992,019
 
Norway — 1.0%
31,961
Equinor ASA (NOK) (c)
914,631
9,039
Yara International ASA
(NOK) (c)
298,763
 
 
1,213,394
 
Portugal — 0.5%
92,878
Navigator (The) Co., S.A.
(EUR) (c)
382,705
73,224
NOS SGPS S.A. (EUR)
259,556
 
 
642,261
 
Singapore — 0.8%
216,600
Keppel DC REIT (SGD) (c)
271,968
143,300
Singapore Airlines Ltd.
(SGD) (c)
711,238
 
 
983,206
 
Spain — 2.5%
132,185
Banco Bilbao Vizcaya
Argentaria S.A. (EUR) (c)
1,237,172
17,438
Cia de Distribucion Integral
Logista Holdings S.A.
(EUR) (c)
493,232
37,055
Endesa S.A. (EUR) (c)
734,129
30,930
Inmobiliaria Colonial Socimi
S.A. (EUR) (c)
185,960
32,398
Redeia Corp. S.A. (EUR) (c)
539,104
 
 
3,189,597
 
Sweden — 0.8%
4,501
Boliden AB (SEK) (c)
119,468
168,280
Telefonaktiebolaget LM
Ericsson, Class B (SEK) (c)
932,857
 
 
1,052,325
 
Switzerland — 6.8%
33,655
ABB Ltd. (CHF) (c)
1,424,005
34,096
EFG International AG (CHF) (c)
437,844
2,763
Kuehne + Nagel International
AG (CHF) (c)
936,325
14,713
Nestle S.A. (CHF) (c)
1,676,555
25,285
Novartis AG (CHF) (c)
2,614,818
2,057
Roche Holding AG (CHF) (c)
623,122
Shares
Description
Value
 
 
Switzerland (Continued)
5,057
Sandoz Group AG (CHF) (c) (f)
$173,430
8,780
SGS S.A. (CHF) (c)
811,324
 
 
8,697,423
 
United Kingdom — 16.1%
37,078
3i Group PLC (GBP) (c)
1,160,724
14,533
Admiral Group PLC (GBP) (c)
462,107
325,384
Airtel Africa PLC
(GBP) (c) (d) (e)
462,106
5,829
AstraZeneca PLC (GBP) (c)
772,790
524,171
Barclays PLC (GBP) (c)
974,081
89,673
Barratt Developments PLC
(GBP) (c)
611,151
24,072
Big Yellow Group PLC
(GBP) (c)
348,081
55,828
BP PLC (GBP) (c)
326,058
33,367
British American Tobacco PLC
(GBP) (c)
983,779
178,344
BT Group PLC (GBP) (c)
252,665
74,354
Evraz PLC (GBP) (c) (f) (g) (h)
0
36,709
Hargreaves Lansdown PLC
(GBP) (c)
354,220
82,377
HSBC Holdings PLC (GBP) (c)
643,174
54,072
IG Group Holdings PLC
(GBP) (c)
485,898
38,392
Imperial Brands PLC (GBP) (c)
921,604
31,680
Inchcape PLC (GBP) (c)
272,788
60,108
Investec PLC (GBP) (c)
391,334
120,320
J Sainsbury PLC (GBP) (c)
410,792
294,318
Legal & General Group PLC
(GBP) (c)
946,656
29,815
Mondi PLC (GBP)
534,265
77,278
National Grid PLC (GBP) (c)
1,029,273
275,015
NatWest Group PLC (GBP) (c)
776,130
35,072
Persimmon PLC (GBP) (c)
645,959
20,940
Rio Tinto PLC (GBP) (c)
1,449,453
42,783
Safestore Holdings PLC
(GBP) (c)
445,552
50,459
Shell PLC (GBP) (c)
1,564,345
345,112
Taylor Wimpey PLC (GBP) (c)
644,320
32,049
Unilever PLC (GBP) (c)
1,559,510
199,117
Virgin Money UK PLC
(GBP) (c)
393,271
46,954
Vistry Group PLC (GBP) (c)
593,935
 
 
20,416,021
 
 
 
Total Investments — 99.3%
126,258,006
 
(Cost $112,223,060)
 
Net Other Assets and
Liabilities — 0.7%
831,843
 
Net Assets — 100.0%
$127,089,849
 
First Trust RiverFront Dynamic Developed International ETF (RFDI)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
(a)
Portfolio securities are categorized based upon their country
of incorporation. For a breakdown of the portfolio securities
by sector, please see the Sector Allocation table.
(b)
Securities are issued in U.S. dollars unless otherwise
indicated in the security description.
(c)
This security is fair valued by the Advisor’s Pricing
Committee in accordance with procedures approved by the
Trust’s Board of Trustees, and in accordance with provisions
of the Investment Company Act of 1940 and rules
thereunder, as amended. At January 31, 2024, securities
noted as such are valued at $120,083,483 or 94.5% of net
assets. Certain of these securities are fair valued using a
factor provided by a third-party pricing service due to the
change in value between the foreign markets’ close and the
New York Stock Exchange close exceeding a certain
threshold. On days when this threshold is not exceeded, these
securities are typically valued at the last sale price on the
exchange on which they are principally traded.
(d)
This security is exempt from registration upon resale under
Rule 144A of the Securities Act of 1933, as amended (the
“1933 Act”) and may be resold in transactions exempt from
registration, normally to qualified institutional buyers. This
security is not restricted on the foreign exchange where it
trades freely without any additional registration. As such, it
does not require the additional disclosure required of
restricted securities.
(e)
This security may be resold to qualified foreign investors and
foreign institutional buyers under Regulation S of the 1933
Act.
(f)
Non-income producing security.
(g)
Pursuant to procedures adopted by the Trust’s Board of
Trustees, this security has been determined to be illiquid by
First Trust Advisors L.P., the Fund’s advisor.
(h)
This security’s value was determined using significant
unobservable inputs (see Valuation Inputs in the Additional
Information section).
 
Abbreviations throughout the Portfolio of Investments:
AUD
–  Australian Dollar
CAD
–  Canadian Dollar
CHF
–  Swiss Franc
DKK
–  Danish Krone
EUR
–  Euro
GBP
–  British Pound Sterling
HKD
–  Hong Kong Dollar
ILS
–  Israeli Shekel
JPY
–  Japanese Yen
NOK
–  Norwegian Krone
NZD
–  New Zealand Dollar
SEK
–  Swedish Krona
SGD
–  Singapore Dollar
 
Sector Allocation
% of Total
Long-Term
Investments
Financials
18.4%
Consumer Discretionary
13.7
Industrials
12.3
Health Care
10.0
Materials
8.1
Energy
7.3
Communication Services
7.2
Consumer Staples
6.7
Information Technology
6.5
Real Estate
5.5
Utilities
4.3
Total
100.0%
 
Currency Exposure Diversification
% of Total
Investments
EUR
30.1%
JPY
24.7
GBP
16.9
AUD
10.6
CHF
6.9
CAD
3.4
DKK
2.3
HKD
1.0
NOK
1.0
SEK
0.8
NZD
0.8
SGD
0.8
ILS
0.7
Total
100.0%
First Trust RiverFront Dynamic Developed International ETF (RFDI)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of January 31, 2024 is as follows (see Valuation Inputs in the Additional Information section):
 
 
Total
Value at
1/31/2024
Level 1
Quoted
Prices
Level 2
Significant
Observable
Inputs
Level 3
Significant
Unobservable
Inputs
Common Stocks:
Austria
$ 1,392,547
$ 568,859
$ 823,688
$ —
Canada
 4,336,643
 4,336,643
 —
 —
Greece
 858,529
 475,200
 383,329
 —
Portugal
 642,261
 259,556
 382,705
 —
United Kingdom
 20,416,021
 534,265
 19,881,756
 —**
Other Country
Categories*
 98,612,005
 —
 98,612,005
 —
Total Investments
$126,258,006
$6,174,523
$120,083,483
$—**
 
*
See Portfolio of Investments for country breakout.
**
Investment is valued at $0.
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust RiverFront Dynamic Europe ETF (RFEU)
Portfolio of Investments
January 31, 2024 (Unaudited)
 
Shares
Description
Value
COMMON STOCKS (a) (b) — 99.1%
 
Australia — 0.8%
866
Rio Tinto Ltd. (AUD) (c)
$74,517
 
Austria — 2.1%
1,517
OMV AG (EUR) (c)
67,524
3,382
Raiffeisen Bank International
AG (EUR) (c)
70,512
6,585
Telekom Austria AG (EUR)
57,358
 
 
195,394
 
Belgium — 0.3%
452
Cofinimmo S.A. (EUR) (c)
32,850
 
Denmark — 7.0%
36
AP Moller - Maersk A.S.,
Class A (DKK) (c)
65,278
38
AP Moller - Maersk A.S.,
Class B (DKK) (c)
70,064
511
DSV A.S. (DKK) (c)
91,423
113
Genmab A.S. (DKK) (c) (d)
31,247
3,558
Novo Nordisk A.S., Class B
(DKK) (c)
406,695
 
 
664,707
 
Finland — 1.0%
1,256
Orion Oyj, Class B (EUR) (c)
57,823
1,563
TietoEVRY Oyj (EUR) (c)
36,270
 
 
94,093
 
France — 14.1%
839
Amundi S.A. (EUR) (c) (e) (f)
56,748
3,704
Carrefour S.A. (EUR) (c)
63,235
76
Christian Dior SE (EUR) (c)
60,206
338
Cie de Saint-Gobain S.A.
(EUR) (c)
23,899
1,009
Covivio S.A. (EUR) (c)
48,860
318
Dassault Aviation S.A.
(EUR) (c)
60,232
29
Hermes International SCA
(EUR) (c)
61,180
442
Ipsen S.A. (EUR) (c)
50,962
1,294
La Francaise des Jeux SAEM
(EUR) (c) (e) (f)
52,450
332
LVMH Moet Hennessy Louis
Vuitton SE (EUR) (c)
276,242
7,502
Orange S.A. (EUR) (c)
89,213
2,041
Rexel S.A. (EUR) (c)
54,358
389
Sanofi S.A. (EUR) (c)
38,956
198
Sartorius Stedim Biotech
(EUR) (c)
53,348
3,434
TotalEnergies SE (EUR) (c)
222,782
1,052
Vinci S.A. (EUR) (c)
132,891
 
 
1,345,562
 
Germany — 12.5%
673
Allianz SE (EUR) (c)
179,809
Shares
Description
Value
 
 
Germany (Continued)
952
Bayerische Motoren Werke AG
(EUR) (c)
$99,058
550
Bayerische Motoren Werke AG
(Preference Shares) (EUR) (c)
53,741
802
Brenntag SE (EUR) (c)
70,905
2,432
Deutsche Post AG (EUR) (c)
116,478
3,981
Deutsche Telekom AG
(EUR) (c)
97,724
1,664
Mercedes-Benz Group AG
(EUR) (c)
112,341
672
Nemetschek SE (EUR) (c)
62,008
450
SAP SE (EUR) (c)
77,961
152
Sartorius AG, (Preference
Shares) (EUR) (c)
55,450
294
Siemens AG (EUR) (c)
52,633
999
Talanx AG (EUR) (c)
70,090
18,075
Telefonica Deutschland Holding
AG (EUR) (c)
45,820
526
Volkswagen AG (Preference
Shares) (EUR) (c)
67,651
308
Wacker Chemie AG (EUR) (c)
33,393
 
 
1,195,062
 
Greece — 1.0%
6,302
National Bank of Greece S.A.
(EUR) (c) (d)
47,914
2,970
OPAP S.A. (EUR)
51,419
 
 
99,333
 
Israel — 0.5%
1,065
First International Bank Of Israel
Ltd. (ILS) (c)
42,710
 
Italy — 4.9%
31,045
A2A S.p.A. (EUR) (c)
61,552
2,252
Azimut Holding S.p.A.
(EUR) (c)
62,783
15,724
BPER Banca (EUR) (c)
56,714
17,168
Enel S.p.A. (EUR) (c)
117,143
7,199
Eni S.p.A. (EUR) (c)
114,761
15,279
Hera S.p.A. (EUR) (c)
53,822
 
 
466,775
 
Jersey — 1.7%
2,793
Experian PLC (GBP) (c)
116,251
16,307
Man Group PLC (GBP) (c)
48,754
 
 
165,005
 
Luxembourg — 0.6%
8,082
B&M European Value Retail
S.A. (GBP) (c)
52,967
 
Netherlands — 6.4%
504
ASML Holding N.V. (EUR) (c)
437,262
126
Ferrari N.V. (EUR) (c)
43,941
First Trust RiverFront Dynamic Europe ETF (RFEU)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
Shares
Description
Value
COMMON STOCKS (a) (b) (Continued)
 
Netherlands (Continued)
684
OCI N.V. (EUR) (c)
$19,538
769
Wolters Kluwer N.V. (EUR) (c)
113,363
 
 
614,104
 
Norway — 1.4%
3,229
Equinor ASA (NOK) (c)
92,405
1,260
Yara International ASA
(NOK) (c)
41,646
 
 
134,051
 
Portugal — 1.0%
3,838
Galp Energia SGPS S.A.
(EUR) (c)
60,417
7,679
Navigator (The) Co., S.A.
(EUR) (c)
31,641
 
 
92,058
 
Spain — 5.7%
4,368
Acerinox S.A. (EUR) (c)
46,114
14,669
Banco Bilbao Vizcaya
Argentaria S.A. (EUR) (c)
137,293
1,937
Cia de Distribucion Integral
Logista Holdings S.A.
(EUR) (c)
54,788
3,407
Endesa S.A. (EUR) (c)
67,499
1,544
Grupo Catalana Occidente S.A.
(EUR) (c)
55,341
9,304
NH Hotel Group S.A. (EUR) (d)
42,733
3,101
Redeia Corp. S.A. (EUR) (c)
51,601
20,771
Telefonica S.A. (EUR) (c)
84,513
 
 
539,882
 
Sweden — 1.7%
684
Evolution AB (SEK) (c) (e) (f)
79,866
15,310
Telefonaktiebolaget LM
Ericsson, Class B (SEK) (c)
84,871
 
 
164,737
 
Switzerland — 14.7%
252
Kuehne + Nagel International
AG (CHF) (c)
85,398
3,285
Nestle S.A. (CHF) (c)
374,328
2,654
Novartis AG (CHF) (c)
274,460
74
Partners Group Holding AG
(CHF) (c)
99,839
854
Roche Holding AG (CHF) (c)
243,148
221
Roche Holding AG (CHF) (c)
66,947
530
Sandoz Group AG (CHF) (c) (d)
18,176
653
SGS S.A. (CHF) (c)
60,341
135
Swiss Life Holding AG
(CHF) (c)
96,947
133
Swisscom AG (CHF) (c)
79,572
 
 
1,399,156
Shares
Description
Value
 
 
United Kingdom — 21.7%
4,250
3i Group PLC (GBP) (c)
$133,046
2,050
Admiral Group PLC (GBP) (c)
65,184
752
AstraZeneca PLC (GBP) (c)
99,698
7,522
Auto Trader Group PLC
(GBP) (c) (e) (f)
69,201
8,557
Barratt Developments PLC
(GBP) (c)
58,319
8,446
BP PLC (GBP) (c)
49,328
4,042
British American Tobacco PLC
(GBP) (c)
119,173
49,012
BT Group PLC (GBP) (c)
69,437
701
Diageo PLC (GBP) (c)
25,319
3,223
Dunelm Group PLC (GBP) (c)
44,397
44,089
Evraz PLC (GBP) (c) (d) (g) (h)
0
8,417
GSK PLC (GBP) (c)
166,469
4,626
Hargreaves Lansdown PLC
(GBP) (c)
44,638
11,294
HSBC Holdings PLC (GBP) (c)
88,180
2,587
Intermediate Capital Group PLC
(GBP) (c)
58,324
1,043
Intertek Group PLC (GBP) (c)
59,201
8,291
National Grid PLC (GBP) (c)
110,428
513
Next PLC (GBP) (c)
54,766
9,311
OSB Group PLC (GBP) (c)
52,982
3,884
RELX PLC (GBP) (c)
160,308
6,062
Shell PLC (GBP) (c)
187,936
36,900
Taylor Wimpey PLC (GBP) (c)
68,892
26,559
Tesco PLC (GBP) (c)
96,240
3,779
Unilever PLC (GBP) (c)
183,887
 
 
2,065,353
 
 
 
Total Investments — 99.1%
9,438,316
 
(Cost $9,261,202)
 
Net Other Assets and
Liabilities — 0.9%
87,236
 
Net Assets — 100.0%
$9,525,552
 
(a)
Portfolio securities are categorized based upon their country
of incorporation. For a breakdown of the portfolio securities
by sector, please see the Sector Allocation table.
(b)
Securities are issued in U.S. dollars unless otherwise
indicated in the security description.
First Trust RiverFront Dynamic Europe ETF (RFEU)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
(c)
This security is fair valued by the Advisor’s Pricing
Committee in accordance with procedures approved by the
Trust’s Board of Trustees, and in accordance with provisions
of the Investment Company Act of 1940 and rules
thereunder, as amended. At January 31, 2024, securities
noted as such are valued at $9,286,806 or 97.5% of net
assets. Certain of these securities are fair valued using a
factor provided by a third-party pricing service due to the
change in value between the foreign markets’ close and the
New York Stock Exchange close exceeding a certain
threshold. On days when this threshold is not exceeded, these
securities are typically valued at the last sale price on the
exchange on which they are principally traded.
(d)
Non-income producing security.
(e)
This security is exempt from registration upon resale under
Rule 144A of the Securities Act of 1933, as amended (the
“1933 Act”) and may be resold in transactions exempt from
registration, normally to qualified institutional buyers. This
security is not restricted on the foreign exchange where it
trades freely without any additional registration. As such, it
does not require the additional disclosure required of
restricted securities.
(f)
This security may be resold to qualified foreign investors and
foreign institutional buyers under Regulation S of the 1933
Act.
(g)
Pursuant to procedures adopted by the Trust’s Board of
Trustees, this security has been determined to be illiquid by
First Trust Advisors L.P., the Fund’s advisor.
(h)
This security’s value was determined using significant
unobservable inputs (see Valuation Inputs in the Additional
Information section).
 
Abbreviations throughout the Portfolio of Investments:
AUD
–  Australian Dollar
CHF
–  Swiss Franc
DKK
–  Danish Krone
EUR
–  Euro
GBP
–  British Pound Sterling
ILS
–  Israeli Shekel
NOK
–  Norwegian Krone
SEK
–  Swedish Krona
 
Sector Allocation
% of Total
Long-Term
Investments
Health Care
16.6%
Financials
15.5
Industrials
14.7
Consumer Discretionary
13.6
Consumer Staples
9.1
Energy
8.4
Information Technology
7.4
Communication Services
6.3
Utilities
4.9
Materials
2.6
Real Estate
0.9
Total
100.0%
 
Currency Exposure Diversification
% of Total
Investments
EUR
49.5%
GBP
24.2
CHF
14.8
DKK
7.0
SEK
1.8
NOK
1.4
AUD
0.8
ILS
0.5
Total
100.0%
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of January 31, 2024 is as follows (see Valuation Inputs in the Additional Information section):
 
 
Total
Value at
1/31/2024
Level 1
Quoted
Prices
Level 2
Significant
Observable
Inputs
Level 3
Significant
Unobservable
Inputs
Common Stocks:
Austria
$ 195,394
$ 57,358
$ 138,036
$ —
Greece
 99,333
 51,419
 47,914
 —
Spain
 539,882
 42,733
 497,149
 —
United Kingdom
 2,065,353
 —
 2,065,353
 —**
Other Country
Categories*
 6,538,354
 —
 6,538,354
 —
Total Investments
$9,438,316
$151,510
$9,286,806
$—**
 
*
See Portfolio of Investments for country breakout.
**
Investment is valued at $0.
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust RiverFront Dynamic Emerging Markets ETF (RFEM)
Portfolio of Investments
January 31, 2024 (Unaudited)
 
Shares
Description
Value
COMMON STOCKS (a) (b) — 100.4%
 
Bermuda — 1.8%
254,000
COSCO SHIPPING Ports Ltd.
(HKD) (c)
$155,544
354,500
Luye Pharma Group Ltd.
(HKD) (c) (d) (e) (f)
119,058
17,000
Orient Overseas International
Ltd. (HKD) (c)
253,780
348,000
Skyworth Group Ltd. (HKD) (c)
110,317
 
 
638,699
 
Brazil — 11.5%
29,514
Allos S.A. (BRL)
146,248
33,622
Banco do Brasil S.A. (BRL)
383,086
50,814
BB Seguridade Participacoes
S.A. (BRL)
351,280
46,474
Fleury S.A. (BRL)
152,618
38,702
Gerdau S.A., ADR
163,709
28,918
Gerdau S.A. (BRL)
115,569
73,775
JBS S.A. (BRL)
348,892
61,885
Petroleo Brasileiro S.A. (BRL)
526,617
22,351
Petroleo Brasileiro S.A., ADR
366,556
20,463
Petroleo Brasileiro S.A., ADR
349,303
31,684
Suzano S.A. (BRL)
330,116
20,075
Vale S.A., ADR
274,827
37,007
Vale S.A. (BRL)
506,135
 
 
4,014,956
 
Cayman Islands — 9.0%
72,772
Alibaba Group Holding Ltd.
(HKD) (c)
652,691
23,858
ANTA Sports Products Ltd.
(HKD) (c)
201,372
255,000
China Feihe Ltd.
(HKD) (c) (d) (f)
116,824
110,000
China Medical System Holdings
Ltd. (HKD) (c)
157,194
148,000
CIMC Enric Holdings Ltd.
(HKD) (c)
121,899
152,000
Dongyue Group Ltd. (HKD) (c)
102,162
278,000
Fufeng Group Ltd. (HKD) (c)
150,793
12,126
Meituan, Class B
(HKD) (c) (d) (e) (f)
97,532
323
PDD Holdings, Inc., ADR (e)
40,979
57,200
Pop Mart International Group
Ltd. (HKD) (c) (d) (f)
128,278
31,433
Tencent Holdings Ltd.
(HKD) (c)
1,091,081
168,000
Topsports International
Holdings, Ltd.
(HKD) (c) (d) (f)
108,895
101,741
Wisdom Marine Lines Co., Ltd.
(TWD) (c)
167,087
 
 
3,136,787
Shares
Description
Value
 
 
Chile — 3.1%
2,869,053
Banco de Chile (CLP)
$321,681
2,843,443
Cia Sud Americana de Vapores
S.A. (CLP)
204,894
82,762
Empresas CMPC S.A. (CLP)
134,851
2,364,688
Enel Chile S.A. (CLP)
142,141
13,003,688
Norte Grande S.A. (CLP)
118,876
3,956
Sociedad Quimica y Minera de
Chile S.A., ADR
166,429
 
 
1,088,872
 
Greece — 1.5%
100,039
Eurobank Ergasias Services and
Holdings S.A. (EUR) (c) (e)
192,821
6,330
Motor Oil Hellas Corinth
Refineries S.A. (EUR) (c)
173,417
9,554
OPAP S.A. (EUR)
165,406
 
 
531,644
 
Hong Kong — 1.7%
124,000
China Merchants Port Holdings
Co., Ltd. (HKD) (c)
153,311
208,000
China Resources Pharmaceutical
Group Ltd. (HKD) (c) (d) (f)
126,822
297,714
Lenovo Group Ltd. (HKD) (c)
311,728
 
 
591,861
 
India — 23.9%
85,923
Adani Power Ltd. (INR) (c) (e)
583,296
4,719
Bajaj Finance Ltd. (INR) (c)
390,599
122,950
Bank of Baroda (INR) (c)
366,104
5,609
Britannia Industries Ltd.
(INR) (c)
350,821
59,503
CG Power & Industrial Solutions
Ltd. (INR) (c)
335,691
25,384
HCL Technologies Ltd.
(INR) (c)
481,425
14,862
Hindustan Unilever Ltd.
(INR) (c)
444,399
52,315
ICICI Bank Ltd. (INR) (c)
647,929
147,172
IDFC, Ltd. (INR) (c)
211,211
20,267
Indian Railway Catering &
Tourism Corp., Ltd. (INR) (c)
238,388
2,155
Infosys Ltd. (INR) (c)
42,962
67,573
ITC Ltd. (INR) (c)
359,224
7,270
Jio Financial Services Ltd.
(INR) (c) (e)
21,706
28,009
LIC Housing Finance Ltd.
(INR) (c)
210,891
2,065
LTIMindtree Ltd.
(INR) (c) (d) (f)
135,255
106,283
Power Finance Corp., Ltd.
(INR) (c)
567,510
55,756
REC Ltd. (INR) (c)
334,935
7,117
Reliance Industries Ltd.
(INR) (c)
244,515
First Trust RiverFront Dynamic Emerging Markets ETF (RFEM)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
Shares
Description
Value
COMMON STOCKS (a) (b) (Continued)
 
India (Continued)
13,566
Shriram Finance Ltd. (INR) (c)
$403,238
49,996
State Bank of India (INR) (c)
386,188
25,267
Sun Pharmaceutical Industries
Ltd. (INR) (c)
431,659
11,705
Tata Consultancy Services Ltd.
(INR) (c)
537,624
9,826
Titan Co., Ltd. (INR) (c)
437,236
51,219
Vedanta Ltd. (INR) (c)
169,107
 
 
8,331,913
 
Indonesia — 0.8%
1,018,449
Adaro Energy Indonesia Tbk PT
(IDR) (c)
154,425
319,066
Indofood Sukses Makmur Tbk
PT (IDR) (c)
128,921
 
 
283,346
 
Israel — 1.3%
32,004
Bank Hapoalim BM (ILS) (c)
272,288
37,121
ICL Group Ltd. (ILS) (c)
168,837
 
 
441,125
 
Malaysia — 2.2%
120,100
Alliance Bank Malaysia Bhd
(MYR) (c)
87,054
177,800
IOI Corp. Bhd (MYR) (c)
149,912
503,500
IOI Properties Group Bhd
(MYR) (c)
229,750
446,400
Sunway Real Estate Investment
Trust (MYR)
149,115
124,000
TIME dotCom Bhd (MYR) (c)
143,977
 
 
759,808
 
Mexico — 1.1%
42,731
Alsea SAB de C.V. (MXN) (e)
166,987
54,333
Banco del Bajio S.A.
(MXN) (d) (f)
206,706
 
 
373,693
 
Philippines — 1.1%
91,120
International Container Terminal
Services, Inc. (PHP) (c)
394,003
 
Poland — 2.2%
7,787
Asseco Poland S.A. (PLN) (c)
141,851
6,875
Bank Handlowy w Warszawie
S.A. (PLN) (c)
177,345
19,495
ORLEN S.A. (PLN) (c)
303,974
75,675
PGE Polska Grupa Energetyczna
S.A. (PLN) (c) (e)
159,352
 
 
782,522
Shares
Description
Value
 
 
Russia — 0.0%
59,735
Rosneft Oil Co. PJSC
(RUB) (c) (e) (g) (h)
$0
23,602
Severstal PAO
(RUB) (c) (e) (g) (h)
0
 
 
0
 
Saudi Arabia — 1.6%
9,123
SABIC Agri-Nutrients Co.
(SAR) (c)
311,056
30,813
Sahara International
Petrochemical Co. (SAR) (c)
257,997
 
 
569,053
 
Singapore — 0.8%
62,700
Sembcorp Industries Ltd.
(SGD) (c)
263,872
 
South Africa — 2.2%
2,219
Absa Group Ltd. (ZAR) (c)
19,375
24,284
Exxaro Resources Ltd. (ZAR) (c)
241,932
37,068
Impala Platinum Holdings Ltd.
(ZAR) (c)
143,885
12,241
Kumba Iron Ore Ltd. (ZAR)
361,565
 
 
766,757
 
South Korea — 10.8%
5,224
GS Holdings Corp. (KRW) (c)
181,165
12,553
HMM Co., Ltd. (KRW) (c)
180,417
2,364
Hyundai Motor Co. (KRW) (c)
343,844
6,179
Kia Corp. (KRW) (c)
474,616
6,314
KT Corp. (KRW) (c)
167,245
7,993
Meritz Financial Group, Inc.
(KRW) (c)
410,361
28,805
Mirae Asset Securities Co., Ltd.
(KRW) (c)
169,365
337
Samsung Biologics Co., Ltd.
(KRW) (c) (d) (e) (f)
212,132
22,858
Samsung Electronics Co., Ltd.
(KRW) (c)
1,242,032
3,208
Samsung SDS Co., Ltd.
(KRW) (c)
364,816
869
SK Square Co., Ltd.
(KRW) (c) (e)
33,759
 
 
3,779,752
 
Taiwan — 22.5%
7,987
Bora Pharmaceuticals Co., Ltd.
(TWD)
171,736
45,623
Chicony Electronics Co., Ltd.
(TWD) (c)
239,212
87,577
Evergreen Marine Corp. Taiwan
Ltd. (TWD) (c)
420,069
7,051
Global Unichip Corp. (TWD) (c)
346,181
7,874
International Games System Co.
Ltd. (TWD) (c)
208,312
First Trust RiverFront Dynamic Emerging Markets ETF (RFEM)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
Shares
Description
Value
COMMON STOCKS (a) (b) (Continued)
 
Taiwan (Continued)
8,121
Jentech Precision Industrial Co.,
Ltd. (TWD) (c)
$194,396
23,439
MediaTek, Inc. (TWD) (c)
723,272
28,050
Micro-Star International Co.,
Ltd. (TWD) (c)
162,691
20,355
Nan Ya Printed Circuit Board
Corp. (TWD) (c)
146,952
96,096
Ruentex Industries Ltd.
(TWD) (c)
184,132
28,814
Sino-American Silicon Products,
Inc. (TWD) (c)
176,181
156,688
Taiwan Semiconductor
Manufacturing Co., Ltd.
(TWD) (c)
3,136,659
3,368
Taiwan Semiconductor
Manufacturing Co., Ltd., ADR
380,449
27,134
Tripod Technology Corp.
(TWD) (c)
162,022
75,429
Unimicron Technology Corp.
(TWD) (c)
423,178
96,963
Wan Hai Lines Ltd. (TWD) (c)
151,388
2,193
Wiwynn Corp. (TWD) (c)
154,608
100,240
WPG Holdings Ltd. (TWD) (c)
279,058
115,669
Yang Ming Marine Transport
Corp. (TWD) (c)
176,375
 
 
7,836,871
 
Turkey — 1.3%
102,867
Aksa Enerji Uretim A.S. (TRY)
122,172
80,291
Enerjisa Enerji A.S.
(TRY) (c) (d) (f)
146,944
74,184
Haci Omer Sabanci Holding A.S.
(TRY) (c)
177,296
 
 
446,412
 
 
 
Total Investments — 100.4%
35,031,946
 
(Cost $32,755,892)
 
Net Other Assets and
Liabilities — (0.4)%
(134,983
)
 
Net Assets — 100.0%
$34,896,963
 
(a)
Portfolio securities are categorized based upon their country
of incorporation. For a breakdown of the portfolio securities
by sector, please see the Sector Allocation table.
(b)
Securities are issued in U.S. dollars unless otherwise
indicated in the security description.
(c)
This security is fair valued by the Advisor’s Pricing
Committee in accordance with procedures approved by the
Trust’s Board of Trustees, and in accordance with provisions
of the Investment Company Act of 1940 and rules
thereunder, as amended. At January 31, 2024, securities
noted as such are valued at $28,163,003 or 80.7% of net
assets. Certain of these securities are fair valued using a
factor provided by a third-party pricing service due to the
change in value between the foreign markets’ close and the
New York Stock Exchange close exceeding a certain
threshold. On days when this threshold is not exceeded, these
securities are typically valued at the last sale price on the
exchange on which they are principally traded.
(d)
This security is exempt from registration upon resale under
Rule 144A of the Securities Act of 1933, as amended (the
“1933 Act”) and may be resold in transactions exempt from
registration, normally to qualified institutional buyers. This
security is not restricted on the foreign exchange where it
trades freely without any additional registration. As such, it
does not require the additional disclosure required of
restricted securities.
(e)
Non-income producing security.
(f)
This security may be resold to qualified foreign investors and
foreign institutional buyers under Regulation S of the 1933
Act.
(g)
Pursuant to procedures adopted by the Trust’s Board of
Trustees, this security has been determined to be illiquid by
First Trust Advisors L.P., the Fund’s advisor.
(h)
This security’s value was determined using significant
unobservable inputs (see Valuation Inputs in the Additional
Information section).
Forward Foreign Currency Contracts at January 31, 2024:
 
Settlement
Date
Counterparty
Amount
Purchased
Amount
Sold
Purchase Value
as of
1/31/2024
Sale Value
as of
1/31/2024
Unrealized
Appreciation
(Depreciation)
2/29/2024
SG
USD
3,086,560
TWD
95,000,000
$3,086,560
$3,046,012
$40,548
 
First Trust RiverFront Dynamic Emerging Markets ETF (RFEM)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
Abbreviations throughout the Portfolio of Investments:
ADR
–  American Depositary Receipt
BRL
–  Brazilian Real
CLP
–  Chilean Peso
EUR
–  Euro
HKD
–  Hong Kong Dollar
IDR
–  Indonesian Rupiah
ILS
–  Israeli Shekel
INR
–  Indian Rupee
KRW
–  South Korean Won
MXN
–  Mexican Peso
MYR
–  Malaysian Ringgit
PHP
–  Philippine Peso
PLN
–  Polish Zloty
RUB
–  Russian Ruble
SAR
–  Saudi Riyal
SG
–  Societe Generale
SGD
–  Singapore Dollar
TRY
–  Turkish Lira
TWD
–  New Taiwan Dollar
USD
–  United States Dollar
ZAR
–  South African Rand
 
Sector Allocation
% of Total
Long-Term
Investments
Information Technology
27.9%
Financials
18.4
Industrials
9.5
Materials
9.1
Consumer Discretionary
8.9
Energy
6.7
Consumer Staples
5.4
Communication Services
4.6
Utilities
4.1
Health Care
3.9
Real Estate
1.5
Total
100.0%
 
Currency Exposure Diversification
% of Total
Investments‡
INR
23.8%
USD
13.8
TWD
13.0
HKD
11.9
KRW
10.8
BRL
8.2
CLP
2.6
PLN
2.2
ZAR
2.2
MYR
2.2
SAR
1.6
EUR
1.5
TRY
1.3
ILS
1.2
PHP
1.1
MXN
1.1
IDR
0.8
SGD
0.7
RUB
0.0‡‡
Total
100.0%
 
‡
 The weightings include the impact of currency forwards.
‡‡
Investments are valued at $0.
First Trust RiverFront Dynamic Emerging Markets ETF (RFEM)
Portfolio of Investments (Continued)
January 31, 2024 (Unaudited)
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of January 31, 2024 is as follows (see Valuation Inputs in the Additional Information section):
 
 
Total
Value at
1/31/2024
Level 1
Quoted
Prices
Level 2
Significant
Observable
Inputs
Level 3
Significant
Unobservable
Inputs
Common Stocks:
Brazil
$ 4,014,956
$ 4,014,956
$ —
$ —
Cayman Islands
 3,136,787
 40,979
 3,095,808
 —
Chile
 1,088,872
 1,088,872
 —
 —
Greece
 531,644
 165,406
 366,238
 —
Malaysia
 759,808
 149,115
 610,693
 —
Mexico
 373,693
 373,693
 —
 —
Russia
 —**
 —
 —
 —**
South Africa
 766,757
 361,565
 405,192
 —
Taiwan
 7,836,871
 552,185
 7,284,686
 —
Turkey
 446,412
 122,172
 324,240
 —
Other Country
Categories*
 16,076,146
 —
 16,076,146
 —
Forward Foreign
Currency
Contracts
 40,548
 —
 40,548
 —
Total
$35,072,494
$6,868,943
$28,203,551
$—**
 
*
See Portfolio of Investments for country breakout.
**
Investments are valued at $0.
Level 3 investments are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. All Level 3 values are based on unobservable inputs.
First Trust Exchange-Traded Fund III
Additional Information
January 31, 2024 (Unaudited)
Valuation Inputs
The Funds are subject to fair value accounting standards that define fair value, establish the framework for measuring fair value and provide a three-level hierarchy for fair valuation based upon the inputs to the valuation as of the measurement date. The three levels of the fair value hierarchy are as follows:
• Level 1 – Level 1 inputs are quoted prices in active markets for identical investments.
• Level 2 – Level 2 inputs are observable inputs, either directly or indirectly. (Quoted prices for similar investments, valuations based on interest rates and yield curves, or valuations derived from observable market data.)
• Level 3 – Level 3 inputs are unobservable inputs that may reflect the reporting entity’s own assumptions about the assumptions that market participants would use in pricing the investment.
The inputs or methodologies used for valuing investments are not necessarily an indication of the risk associated with investing in those investments.