NPORT-EX 2 edgar.htm
First Trust Nasdaq Bank ETF (FTXO)
Portfolio of Investments
December 31, 2019 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.7%
    Banks – 98.0%    
166,383   Bank of America Corp.   $5,860,009
80,207   Bank OZK   2,446,715
147,600   Citigroup, Inc.   11,791,764
144,146   Citizens Financial Group, Inc.   5,853,769
33,810   Comerica, Inc.   2,425,868
25,444   Cullen/Frost Bankers, Inc.   2,487,914
51,954   East West Bancorp, Inc.   2,530,160
183,633   Fifth Third Bancorp   5,644,878
340,534   First Horizon National Corp.   5,639,243
21,661   First Republic Bank   2,544,085
372,322   Huntington Bancshares, Inc.   5,614,616
84,151   JPMorgan Chase & Co.   11,730,649
231,357   KeyCorp   4,682,666
14,450   M&T Bank Corp.   2,452,888
63,925   PacWest Bancorp   2,446,410
144,276   People’s United Financial, Inc.   2,438,264
72,370   PNC Financial Services Group (The), Inc.   11,552,423
300,934   Regions Financial Corp.   5,164,027
19,298   Signature Bank   2,636,300
116,579   Sterling Bancorp   2,457,485
10,273   SVB Financial Group (a)   2,578,934
62,498   Synovus Financial Corp.   2,449,922
41,186   Texas Capital Bancshares, Inc. (a)   2,338,129
43,504   Truist Financial Corp.   2,450,145
145,422   Umpqua Holdings Corp.   2,573,969
184,703   US Bancorp   10,951,041
203,594   Wells Fargo & Co.   10,953,357
45,639   Western Alliance Bancorp   2,601,423
111,367   Zions Bancorp N.A.   5,782,175
        141,079,228
    Thrifts & Mortgage Finance – 1.7%    
199,711   New York Community Bancorp, Inc.   2,400,526
    Total Investments – 99.7%   143,479,754
    (Cost $136,190,036) (b)    
    Net Other Assets and Liabilities – 0.3%   385,462
    Net Assets – 100.0%   $143,865,216
    
(a) Non-income producing security.
(b) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2019, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $11,064,555 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $3,774,837. The net unrealized appreciation was $7,289,718.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2019 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2019 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 143,479,754 $ 143,479,754 $ — $ —
    
* See Portfolio of Investments for industry breakout.
 
First Trust Nasdaq Food & Beverage ETF (FTXG)
Portfolio of Investments
December 31, 2019 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.9%
    Beverages – 19.6%    
2,498   Brown-Forman Corp., Class B   $168,865
1,944   Coca-Cola (The) Co.   107,600
426   Constellation Brands, Inc., Class A   80,833
1,574   Molson Coors Brewing Co., Class B   84,839
1,327   Monster Beverage Corp. (a)   84,331
2,495   PepsiCo, Inc.   340,992
        867,460
    Food & Staples Retailing – 8.1%    
8,523   US Foods Holding Corp. (a)   357,028
    Food Products – 68.1%    
7,894   Archer-Daniels-Midland Co.   365,887
3,174   Bunge Ltd.   182,664
1,706   Campbell Soup Co.   84,311
2,750   Conagra Brands, Inc.   94,160
3,179   General Mills, Inc.   170,267
3,212   Hain Celestial Group (The), Inc. (a)   83,367
2,287   Hershey (The) Co.   336,143
1,783   Hormel Foods Corp.   80,431
2,038   Ingredion, Inc.   189,432
783   JM Smucker (The) Co.   81,534
2,603   Kellogg Co.   180,024
2,603   Kraft Heinz (The) Co.   83,634
2,019   Lamb Weston Holdings, Inc.   173,695
470   McCormick & Co., Inc.   79,773
3,226   Mondelez International, Inc., Class A   177,688
1,301   Post Holdings, Inc. (a)   141,939
479   Sanderson Farms, Inc.   84,409
1,624   TreeHouse Foods, Inc. (a)   78,764
3,770   Tyson Foods, Inc., Class A   343,221
        3,011,343
    Personal Products – 4.1%    
1,741   Herbalife Nutrition Ltd. (a)   82,993
903   Medifast, Inc.   98,951
        181,944
    Total Investments – 99.9%   4,417,775
    (Cost $4,353,973) (b)    
    Net Other Assets and Liabilities – 0.1%   4,424
    Net Assets – 100.0%   $4,422,199
    
(a) Non-income producing security.
(b) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2019, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $115,191 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $51,389. The net unrealized appreciation was $63,802.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2019 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2019 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 4,417,775 $ 4,417,775 $ — $ —
    
* See Portfolio of Investments for industry breakout.
 
First Trust Nasdaq Oil & Gas ETF (FTXN)
Portfolio of Investments
December 31, 2019 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.8%
    Electric Utilities – 7.9%    
10,267   OGE Energy Corp.   $456,574
    Energy Equipment &
Services – 5.2% 		   
5,107   Baker Hughes Co.   130,892
646   Halliburton Co.   15,808
343   Helmerich & Payne, Inc.   15,583
6,577   Nabors Industries Ltd.   18,942
601   National Oilwell Varco, Inc.   15,055
1,516   Patterson-UTI Energy, Inc.   15,918
1,732   Schlumberger Ltd.   69,626
2,721   Transocean Ltd. (a)   18,720
        300,544
    Oil, Gas & Consumable Fuels – 86.7%    
6,809   Antero Resources Corp. (a)   19,406
608   Apache Corp.   15,559
850   Cabot Oil & Gas Corp.   14,798
3,713   Callon Petroleum Co. (a)   17,934
3,567   Cheniere Energy, Inc. (a)   217,837
22,761   Chesapeake Energy Corp. (a)   18,791
3,687   Chevron Corp.   444,320
295   Cimarex Energy Co.   15,485
186   Concho Resources, Inc.   16,288
3,602   ConocoPhillips   234,238
438   Continental Resources, Inc.   15,023
6,294   Delek US Holdings, Inc.   211,038
9,864   Devon Energy Corp.   256,168
175   Diamondback Energy, Inc.   16,250
191   EOG Resources, Inc.   15,998
1,552   EQT Corp.   16,917
3,169   Exxon Mobil Corp.   221,133
3,171   Hess Corp.   211,854
4,189   HollyFrontier Corp.   212,424
22,022   Kinder Morgan, Inc.   466,206
1,163   Marathon Oil Corp.   15,793
3,561   Marathon Petroleum Corp.   214,550
9,384   Murphy Oil Corp.   251,491
653   Noble Energy, Inc.   16,220
5,791   Oasis Petroleum, Inc. (a)   18,879
351   Occidental Petroleum Corp.   14,465
3,039   ONEOK, Inc.   229,961
905   Parsley Energy, Inc., Class A   17,114
4,015   PBF Energy, Inc., Class A   125,951
3,764   Phillips 66   419,347
106   Pioneer Natural Resources Co.   16,045
4,144   QEP Resources, Inc.   18,648
3,882   Range Resources Corp.   18,828
1,630   SM Energy Co.   18,321
114,685   Southwestern Energy Co. (a)   277,538
371   Targa Resources Corp.   15,148
4,523   Valero Energy Corp.   423,579
2,958   Whiting Petroleum Corp. (a)   21,712
9,504   Williams (The) Cos., Inc.   225,435
Shares   Description   Value
    Oil, Gas & Consumable
Fuels (Continued) 		   
1,377   WPX Energy, Inc. (a)   $18,920
        5,035,612
    Total Investments – 99.8%   5,792,730
    (Cost $6,126,344) (b)    
    Net Other Assets and Liabilities – 0.2%   12,616
    Net Assets – 100.0%   $5,805,346
    
(a) Non-income producing security.
(b) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2019, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $96,155 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $429,769. The net unrealized depreciation was $333,614.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2019 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2019 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 5,792,730 $ 5,792,730 $ — $ —
    
* See Portfolio of Investments for industry breakout.
 
First Trust Nasdaq Pharmaceuticals ETF (FTXH)
Portfolio of Investments
December 31, 2019 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.9%
    Biotechnology – 25.9%    
4,164   AbbVie, Inc.   $368,681
7,603   Alkermes PLC (a)   155,101
15,250   Amicus Therapeutics, Inc. (a)   148,535
1,948   Blueprint Medicines Corp. (a)   156,054
3,112   Esperion Therapeutics, Inc. (a)   185,569
6,253   Heron Therapeutics, Inc. (a)   146,945
13,296   Ironwood Pharmaceuticals, Inc. (a)   176,970
1,444   Madrigal Pharmaceuticals, Inc. (a)   131,563
8,677   Medicines (The) Co. (a)   737,024
1,033   Sage Therapeutics, Inc. (a)   74,572
9,553   Vanda Pharmaceuticals, Inc. (a)   156,765
        2,437,779
    Health Care Equipment &
Supplies – 4.0% 		   
4,275   Abbott Laboratories   371,327
    Pharmaceuticals – 70.0%    
12,831   Bristol-Myers Squibb Co.   823,622
7,026   Catalent, Inc. (a)   395,564
12,457   Corcept Therapeutics, Inc. (a)   150,730
3,113   Eli Lilly & Co.   409,141
31,460   Endo International PLC (a)   147,547
11,144   Horizon Therapeutics PLC (a)   403,413
27,099   Innoviva, Inc. (a)   383,722
2,417   Jazz Pharmaceuticals PLC (a)   360,810
5,314   Johnson & Johnson   775,153
8,380   Merck & Co., Inc.   762,161
8,510   Mylan N.V. (a)   171,051
3,458   Pacira BioSciences, Inc. (a)   156,647
3,120   Perrigo Co. PLC   161,179
18,967   Pfizer, Inc.   743,127
6,836   Supernus Pharmaceuticals, Inc. (a)   162,150
3,031   Zoetis, Inc.   401,153
3,345   Zogenix, Inc. (a)   174,375
        6,581,545
    Total Investments – 99.9%   9,390,651
    (Cost $8,294,075) (b)    
    Net Other Assets and Liabilities – 0.1%   5,779
    Net Assets – 100.0%   $9,396,430
    
(a) Non-income producing security.
(b) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2019, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $1,359,266 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $262,690. The net unrealized appreciation was $1,096,576.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2019 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2019 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 9,390,651 $ 9,390,651 $ — $ —
    
* See Portfolio of Investments for industry breakout.
 
First Trust Nasdaq Retail ETF (FTXD)
Portfolio of Investments
December 31, 2019 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.9%
    Commercial Services &
Supplies – 3.8% 		   
3,650   Copart, Inc. (a)   $331,931
    Diversified Consumer
Services – 3.2% 		   
11,155   H&R Block, Inc.   261,920
492   WW International, Inc. (a)   18,799
        280,719
    Entertainment – 0.3%    
68   Netflix, Inc. (a)   22,003
    Food & Staples Retailing – 29.2%    
1,084   Costco Wholesale Corp.   318,609
23,766   Kroger (The) Co.   688,976
8,067   Sysco Corp.   690,051
3,113   Walgreens Boots Alliance, Inc.   183,543
5,456   Walmart, Inc.   648,391
        2,529,570
    Health Care Providers &
Services – 4.2% 		   
242   AmerisourceBergen Corp.   20,575
4,316   CVS Health Corp.   320,635
147   McKesson Corp.   20,333
        361,543
    Internet & Direct Marketing
Retail – 2.8% 		   
12   Amazon.com, Inc. (a)   22,174
4,394   eBay, Inc.   158,667
490   Etsy, Inc. (a)   21,707
493   GrubHub, Inc. (a)   23,980
244   Stamps.com, Inc. (a)   20,379
        246,907
    Multiline Retail – 15.0%    
1,725   Dollar General Corp.   269,065
233   Dollar Tree, Inc. (a)   21,914
1,069   Kohl’s Corp.   54,466
1,389   Macy’s, Inc.   23,613
8,511   Nordstrom, Inc.   348,355
325   Ollie’s Bargain Outlet Holdings, Inc. (a)   21,226
4,373   Target Corp.   560,662
        1,299,301
    Specialty Retail – 41.4%    
135   Advance Auto Parts, Inc.   21,622
1,421   American Eagle Outfitters, Inc.   20,889
429   AutoZone, Inc. (a)   511,072
1,459   Bed Bath & Beyond, Inc.   25,241
3,510   Best Buy Co., Inc.   308,178
95   Burlington Stores, Inc. (a)   21,663
3,340   CarMax, Inc. (a)   292,818
223   Carvana Co. (a)   20,527
Shares   Description   Value
    Specialty Retail (Continued)    
7,092   Dick’s Sporting Goods, Inc.   $350,983
172   Five Below, Inc. (a)   21,992
531   Foot Locker, Inc.   20,704
2,991   Gap (The), Inc.   52,881
1,473   Home Depot (The), Inc.   321,674
1,446   L Brands, Inc.   26,201
181   Lowe’s Cos., Inc.   21,676
673   O’Reilly Automotive, Inc. (a)   294,949
1,580   RH (a)   337,330
2,455   Ross Stores, Inc.   285,811
1,067   Tiffany & Co.   142,604
5,315   TJX (The) Cos., Inc.   324,534
225   Tractor Supply Co.   21,024
91   Ulta Beauty, Inc. (a)   23,036
829   Urban Outfitters, Inc. (a)   23,021
1,398   Williams-Sonoma, Inc.   102,669
        3,593,099
    Total Investments – 99.9%   8,665,073
    (Cost $7,832,790) (b)    
    Net Other Assets and Liabilities – 0.1%   5,460
    Net Assets – 100.0%   $8,670,533
    
(a) Non-income producing security.
(b) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2019, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $899,697 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $67,414. The net unrealized appreciation was $832,283.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2019 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2019 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 8,665,073 $ 8,665,073 $ — $ —
    
* See Portfolio of Investments for industry breakout.
 
First Trust Nasdaq Semiconductor ETF (FTXL)
Portfolio of Investments
December 31, 2019 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 100.0%
    Communications Equipment – 1.5%    
12,170   InterDigital, Inc.   $663,143
    Semiconductors &
Semiconductor Equipment – 98.5% 		   
17,657   Advanced Micro Devices, Inc. (a)   809,750
14,107   Analog Devices, Inc.   1,676,476
27,519   Applied Materials, Inc.   1,679,760
3,876   Broadcom, Inc.   1,224,894
5,181   Cabot Microelectronics Corp.   747,722
22,222   Cirrus Logic, Inc. (a)   1,831,315
15,636   Cree, Inc. (a)   721,601
67,343   Entegris, Inc.   3,373,211
9,928   Inphi, Corp. (a)   734,871
54,895   Intel Corp.   3,285,466
9,724   KLA Corp.   1,732,525
5,971   Lam Research Corp.   1,745,920
26,214   Marvell Technology Group Ltd.   696,244
56,232   Maxim Integrated Products, Inc.   3,458,830
7,977   Microchip Technology, Inc.   835,351
22,927   Micron Technology, Inc. (a)   1,233,014
6,504   MKS Instruments, Inc.   715,505
4,302   Monolithic Power Systems, Inc.   765,842
3,189   NVIDIA Corp.   750,372
32,196   ON Semiconductor Corp. (a)   784,938
30,579   Qorvo, Inc. (a)   3,554,197
8,274   QUALCOMM, Inc.   730,015
14,264   Semtech Corp. (a)   754,566
6,526   Silicon Laboratories, Inc. (a)   756,885
32,418   Skyworks Solutions, Inc.   3,918,688
25,457   Teradyne, Inc.   1,735,913
13,255   Texas Instruments, Inc.   1,700,484
7,450   Xilinx, Inc.   728,387
        42,682,742
    Total Investments – 100.0%   43,345,885
    (Cost $37,793,776) (b)    
    Net Other Assets and Liabilities – 0.0%   13,444
    Net Assets – 100.0%   $43,359,329
    
(a) Non-income producing security.
(b) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2019, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $5,674,474 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $122,365. The net unrealized appreciation was $5,552,109.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2019 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2019 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 43,345,885 $ 43,345,885 $ — $ —
    
* See Portfolio of Investments for industry breakout.
 
First Trust Nasdaq Transportation ETF (FTXR)
Portfolio of Investments
December 31, 2019 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.8%
    Air Freight & Logistics – 10.8%    
278   CH Robinson Worldwide, Inc.   $21,739
285   Expeditors International of Washington, Inc.   22,236
133   FedEx Corp.   20,111
178   United Parcel Service, Inc., Class B   20,837
590   XPO Logistics, Inc. (a)   47,023
        131,946
    Airlines – 34.6%    
707   Alaska Air Group, Inc.   47,899
742   American Airlines Group, Inc.   21,281
1,702   Delta Air Lines, Inc.   99,533
5,061   JetBlue Airways Corp. (a)   94,742
846   Southwest Airlines Co.   45,667
546   Spirit Airlines, Inc. (a)   22,009
1,051   United Airlines Holdings, Inc. (a)   92,583
        423,714
    Auto Components – 11.7%    
976   Adient PLC (a)   20,740
1,160   BorgWarner, Inc.   50,321
3,049   Goodyear Tire & Rubber (The) Co.   47,427
177   Lear Corp.   24,284
        142,772
    Automobiles – 13.9%    
2,354   Ford Motor Co.   21,892
2,709   General Motors Co.   99,149
586   Harley-Davidson, Inc.   21,793
65   Tesla, Inc. (a)   27,192
        170,026
    Distributors – 8.1%    
467   Genuine Parts Co.   49,610
1,382   LKQ Corp. (a)   49,337
        98,947
    Road & Rail – 20.7%    
298   CSX Corp.   21,563
184   JB Hunt Transport Services, Inc.   21,488
640   Kansas City Southern   98,022
577   Knight-Swift Transportation Holdings, Inc.   20,680
110   Norfolk Southern Corp.   21,354
254   Old Dominion Freight Line, Inc.   48,204
Shares   Description   Value
    Road & Rail (Continued)    
121   Union Pacific Corp.   $21,876
        253,187
    Total Investments – 99.8%   1,220,592
    (Cost $1,251,854) (b)    
    Net Other Assets and Liabilities – 0.2%   2,287
    Net Assets – 100.0%   $1,222,879
    
(a) Non-income producing security.
(b) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2019, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $21,279 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $52,541. The net unrealized depreciation was $31,262.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2019 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2019 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 1,220,592 $ 1,220,592 $ — $ —
    
* See Portfolio of Investments for industry breakout.
 
Additional Information
First Trust Exchange-Traded Fund VI
December 31, 2019 (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.
Licensing Information
Nasdaq®, Nasdaq US Smart Banks Index, Nasdaq US Smart Food & Beverage Index, Nasdaq US Smart Oil & Gas Index, Nasdaq US Smart Pharmaceuticals Index, Nasdaq US Smart Retail Index, Nasdaq US Smart Semiconductor Index and Nasdaq US Smart Transportation Index are registered trademarks and service marks of Nasdaq, Inc. (which with its affiliates herein after referred to as the “Corporations”) and are licensed for use by First Trust. The Funds have not been passed on by the Corporations as to their legality or suitability. The Funds are not issued, endorsed, sold, or promoted by the Corporations. THE CORPORATIONS MAKE NO WARRANTIES AND BEAR NO LIABILITY WITH RESPECT TO THE FUNDS.