NPORT-EX 2 edgar.htm ETF VI BOOK 2 (9/30)
First Trust SMID Cap Rising Dividend Achievers ETF (SDVY)
Portfolio of Investments
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.9%
    Aerospace & Defense – 1.0%    
23,362   Huntington Ingalls Industries, Inc.   $4,362,620
    Air Freight & Logistics – 1.0%    
33,105   Expeditors International of Washington, Inc.   4,445,671
    Auto Components – 1.0%    
98,586   BorgWarner, Inc.   4,443,271
    Banks – 16.0%    
197,321   Associated Banc-Corp.   4,457,481
103,272   Cathay General Bancorp   4,439,663
76,235   Eagle Bancorp, Inc.   4,447,550
56,856   East West Bancorp, Inc.   4,473,430
272,594   First Horizon Corp.   4,451,460
123,722   Hilltop Holdings, Inc.   4,347,591
191,091   KeyCorp   4,419,935
29,232   M&T Bank Corp.   4,489,450
55,646   Popular, Inc.   4,565,198
60,850   Prosperity Bancshares, Inc.   4,399,455
202,226   Regions Financial Corp.   4,408,527
14,179   Signature Bank   4,586,481
94,470   Synovus Financial Corp.   4,522,279
42,425   Western Alliance Bancorp   4,567,051
49,252   Wintrust Financial Corp.   4,473,067
70,279   Zions Bancorp N.A.   4,438,822
        71,487,440
    Building Products – 6.1%    
53,166   A.O. Smith Corp.   4,564,301
33,569   Advanced Drainage Systems, Inc.   4,569,748
33,636   Allegion PLC   4,454,752
18,235   Carlisle Cos., Inc.   4,524,468
32,344   Simpson Manufacturing Co., Inc.   4,498,080
51,865   UFP Industries, Inc.   4,772,099
        27,383,448
    Capital Markets – 3.9%    
32,145   Evercore, Inc., Class A   4,366,898
114,894   Jefferies Financial Group, Inc.   4,457,887
101,354   Lazard Ltd., Class A   4,422,075
44,169   Raymond James Financial, Inc.   4,434,568
        17,681,428
    Chemicals – 2.0%    
27,010   Celanese Corp.   4,539,300
35,958   Stepan Co.   4,469,220
        9,008,520
    Commercial Services &
Supplies – 2.0% 		   
26,508   Tetra Tech, Inc.   4,501,058
20,990   UniFirst Corp.   4,416,296
        8,917,354
Shares   Description   Value
    Construction & Engineering – 1.0%    
83,512   Arcosa, Inc.   $4,401,082
    Consumer Finance – 2.0%    
93,030   Ally Financial, Inc.   4,429,159
235,063   SLM Corp.   4,623,689
        9,052,848
    Diversified Consumer
Services – 0.9% 		   
73,784   Strategic Education, Inc.   4,267,667
    Electric Utilities – 1.0%    
106,255   NRG Energy, Inc.   4,577,465
    Electronic Equipment,
Instruments & Components – 3.1% 		   
56,653   Cognex Corp.   4,405,337
96,074   Methode Electronics, Inc.   4,723,959
213,683   Vishay Intertechnology, Inc.   4,673,247
        13,802,543
    Food & Staples Retailing – 1.0%    
22,292   Casey’s General Stores, Inc.   4,399,326
    Food Products – 1.0%    
1,106   Seaboard Corp.   4,352,121
    Health Care Providers &
Services – 1.0% 		   
8,363   Chemed Corp.   4,424,362
    Household Durables – 5.1%    
102,489   KB Home   4,584,333
80,713   MDC Holdings, Inc.   4,506,207
81,192   PulteGroup, Inc.   4,640,935
62,761   Toll Brothers, Inc.   4,543,269
18,672   Whirlpool Corp.   4,381,571
        22,656,315
    Insurance – 5.9%    
32,175   American Financial Group, Inc.   4,418,271
38,066   Cincinnati Financial Corp.   4,336,859
182,569   CNO Financial Group, Inc.   4,352,445
104,223   Employers Holdings, Inc.   4,312,748
85,434   Fidelity National Financial, Inc.   4,457,946
57,361   First American Financial Corp.   4,487,351
        26,365,620
    Internet & Direct Marketing
Retail – 1.0% 		   
40,658   Shutterstock, Inc.   4,508,159
    IT Services – 4.0%    
84,882   Genpact Ltd.   4,505,537
55,982   Maximus, Inc.   4,460,086
 
First Trust SMID Cap Rising Dividend Achievers ETF (SDVY)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS (Continued)
    IT Services (Continued)    
49,976   TTEC Holdings, Inc.   $4,525,327
247,436   Western Union (The) Co.   4,414,258
        17,905,208
    Leisure Products – 3.9%    
83,671   Acushnet Holdings Corp.   4,441,257
45,692   Brunswick Corp.   4,602,555
44,711   Johnson Outdoors, Inc., Class A   4,188,973
64,491   Sturm Ruger & Co., Inc.   4,386,678
        17,619,463
    Machinery – 7.0%    
38,268   AGCO Corp.   4,439,853
44,794   Crane Co.   4,556,894
56,321   Graco, Inc.   4,540,599
18,809   IDEX Corp.   4,444,943
39,740   Oshkosh Corp.   4,479,095
20,541   Snap-on, Inc.   4,424,121
44,994   Toro (The) Co.   4,495,350
        31,380,855
    Media – 1.0%    
2,568   Cable One, Inc.   4,528,540
    Metals & Mining – 2.0%    
42,455   Royal Gold, Inc.   4,466,690
83,348   Worthington Industries, Inc.   4,555,802
        9,022,492
    Multiline Retail – 1.0%    
101,105   Big Lots, Inc.   4,554,780
    Oil, Gas & Consumable Fuels – 1.0%    
164,556   World Fuel Services Corp.   4,355,797
    Paper & Forest Products – 1.0%    
57,581   Louisiana-Pacific Corp.   4,511,471
    Personal Products – 1.9%    
20,307   Medifast, Inc.   4,252,895
86,844   Nu Skin Enterprises, Inc., Class A   4,407,333
        8,660,228
    Professional Services – 5.0%    
52,493   Booz Allen Hamilton Holding Corp.   4,450,881
38,971   Insperity, Inc.   4,602,865
31,738   Jacobs Engineering Group, Inc.   4,418,882
58,788   Kforce, Inc.   4,422,033
40,382   Robert Half International, Inc.   4,503,401
        22,398,062
    Road & Rail – 1.0%    
25,248   Landstar System, Inc.   4,519,897
Shares   Description   Value
    Semiconductors &
Semiconductor Equipment – 4.1% 		   
194,286   Amkor Technology, Inc.   $4,816,350
23,001   CMC Materials, Inc.   4,409,062
32,344   Entegris, Inc.   4,482,231
27,952   Universal Display Corp.   4,612,919
        18,320,562
    Software – 2.0%    
46,961   Dolby Laboratories, Inc., Class A   4,471,626
91,943   Progress Software Corp.   4,438,089
        8,909,715
    Specialty Retail – 3.0%    
41,372   Dick’s Sporting Goods, Inc.   4,757,366
91,202   Rent-A-Center, Inc.   4,381,344
25,390   Williams-Sonoma, Inc.   4,294,211
        13,432,921
    Technology Hardware,
Storage & Peripherals – 1.0% 		   
48,847   NetApp, Inc.   4,493,436
    Thrifts & Mortgage Finance – 2.0%    
309,455   MGIC Investment Corp.   4,462,341
212,014   Radian Group, Inc.   4,479,856
        8,942,197
    Trading Companies &
Distributors – 2.0% 		   
66,904   Boise Cascade Co.   4,763,565
106,323   Global Industrial Co.   4,348,611
        9,112,176
    Wireless Telecommunication
Services – 1.0% 		   
224,252   Telephone & Data Systems, Inc.   4,518,678
    Total Investments – 99.9%   447,723,738
    (Cost $434,555,935) (a)    
    Net Other Assets and Liabilities – 0.1%   250,164
    Net Assets – 100.0%   $447,973,902
    
(a) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $21,000,604 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $7,832,801. The net unrealized appreciation was $13,167,803.
 
First Trust SMID Cap Rising Dividend Achievers ETF (SDVY)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2021 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2021 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 447,723,738 $ 447,723,738 $ — $ —
    
* See Portfolio of Investments for industry breakout.
First Trust Indxx Innovative Transaction & Process ETF (LEGR)
Portfolio of Investments
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 100.0%
    Aerospace & Defense – 2.4%    
9,134   Airbus SE (a)   $1,168,438
5,812   Boeing (The) Co. (a)   1,170,072
3,562   Lockheed Martin Corp.   1,265,971
        3,604,481
    Automobiles – 2.9%    
13,371   Bayerische Motoren Werke AG   1,347,073
15,351   Daimler AG   1,181,278
1,646   Tesla, Inc. (a)   1,739,460
        4,267,811
    Banks – 26.8%    
61,210   Australia & New Zealand Banking Group Ltd.   1,225,112
115,587   Axis Bank Ltd. (a)   1,055,100
190,769   Banco Bilbao Vizcaya Argentaria S.A.   1,140,250
343,409   Banco Santander S.A.   1,149,651
30,359   Bank of America Corp.   1,350,672
3,489,673   Bank of China Ltd., Class H   1,257,572
2,101,357   Bank of Communications Co., Ltd., Class H   1,269,295
493,837   Barclays PLC   1,249,970
19,567   BNP Paribas S.A.   1,353,775
405,497   BOC Hong Kong Holdings Ltd.   1,328,680
3,982,979   China CITIC Bank Corp., Ltd., Class H   1,726,500
2,552,703   China Construction Bank Corp., Class H   1,767,811
145,134   China Merchants Bank Co., Ltd., Class H   1,127,003
17,636   Citigroup, Inc.   1,065,038
55,200   DBS Group Holdings Ltd.   1,337,810
16,387   HDFC Bank, Ltd., ADR   1,066,302
238,411   HSBC Holdings PLC   1,447,799
63,627   ICICI Bank, Ltd., ADR   1,259,178
3,287,300   Industrial & Commercial Bank of China Ltd., Class H   1,854,957
89,981   ING Groep N.V., ADR   1,252,536
7,806   JPMorgan Chase & Co.   1,236,080
14,625   KBC Group N.V.   1,256,451
50,241   Kotak Mahindra Bank Ltd.   1,213,924
542,635   Lloyds Banking Group PLC, ADR   1,383,719
324,730   Mitsubishi UFJ Financial Group, Inc., ADR   1,773,026
152,365   Nordea Bank Abp   1,871,021
1,667,859   Postal Savings Bank of China Co., Ltd., Class H (b) (c)   1,170,007
12,106   Royal Bank of Canada   1,284,818
104,277   Sberbank of Russia PJSC, ADR   1,673,646
65,777   Westpac Banking Corp.   1,021,727
        40,169,430
Shares   Description   Value
    Capital Markets – 6.8%    
23,499   Bank of New York Mellon (The) Corp.   $1,364,822
6,457   CME Group, Inc.   1,475,166
7,280   Deutsche Boerse AG   1,219,206
3,072   Goldman Sachs Group (The), Inc.   1,175,194
11,091   London Stock Exchange Group PLC   1,040,347
6,278   Nasdaq, Inc.   1,318,443
718   Partners Group Holding AG   1,191,807
74,921   UBS Group AG   1,350,091
        10,135,076
    Communications Equipment – 2.9%    
21,206   Cisco Systems, Inc.   1,343,824
210,260   Nokia Oyj, ADR (a)   1,307,817
156,345   Telefonaktiebolaget LM Ericsson, Class B   1,726,574
        4,378,215
    Diversified Telecommunication
Services – 4.2% 		   
67,977   AT&T, Inc.   1,672,234
88,951   Deutsche Telekom AG   1,650,713
3,201   Swisscom AG   1,807,764
22,826   Verizon Communications, Inc.   1,186,039
        6,316,750
    Electric Utilities – 1.7%    
102,338   Iberdrola S.A.   1,212,888
11,198   Verbund AG   1,260,868
        2,473,756
    Electronic Equipment,
Instruments & Components – 0.7% 		   
1,941   Samsung SDI Co., Ltd.   1,069,489
    Food & Staples Retailing – 1.6%    
26,938   Kroger (The) Co.   1,219,214
8,487   Walmart, Inc.   1,227,984
        2,447,198
    Household Durables – 1.7%    
613,847   Haier Smart Home Co., Ltd., Class D   1,121,678
11,302   Sony Corp., ADR   1,428,573
        2,550,251
    Industrial Conglomerates – 1.2%    
8,361   Honeywell International, Inc.   1,743,352
    Insurance – 4.1%    
103,619   AIA Group Ltd.   1,044,489
 
First Trust Indxx Innovative Transaction & Process ETF (LEGR)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS (Continued)
    Insurance (Continued)    
5,416   Allianz SE   $1,280,394
22,722   American International Group, Inc.   1,291,973
45,033   AXA S.A.   1,342,507
144,492   China Life Insurance Co., Ltd., ADR   1,189,169
        6,148,532
    Interactive Media & Services – 1.1%    
11,390   Baidu, Inc., ADR (a)   1,694,718
    Internet & Direct Marketing
Retail – 3.2% 		   
11,140   Alibaba Group Holding Ltd., ADR (a)   1,323,320
535   Amazon.com, Inc. (a)   1,783,872
23,224   JD.com, Inc., ADR (a)   1,627,306
        4,734,498
    IT Services – 13.4%    
5,464   Accenture PLC, Class A   2,265,101
8,324   Capgemini SE   2,042,266
24,372   Cognizant Technology Solutions Corp., Class A   2,162,284
9,600   Fujitsu Ltd.   1,646,597
81,288   Infosys Ltd., ADR   2,057,399
13,532   International Business Machines Corp.   1,808,687
2,668   Kyndryl Holdings, Inc. (a)   48,291
5,304   Mastercard, Inc., Class A   1,905,833
6,497   PayPal Holdings, Inc. (a)   1,225,204
36,133   Tata Consultancy Services Ltd.   1,817,134
5,462   Visa, Inc., Class A   1,183,670
197,872   Wipro Ltd., ADR   1,931,231
        20,093,697
    Machinery – 0.2%    
7,684   Daimler Truck Holding AG (a)   282,480
    Marine – 1.4%    
601   AP Moller - Maersk A.S., Class B   2,157,585
    Metals & Mining – 1.6%    
41,151   BHP Group Ltd. (d)   1,242,486
17,244   Rio Tinto PLC, ADR (d)   1,154,313
        2,396,799
    Multi-Utilities – 1.3%    
131,396   Engie S.A.   1,946,821
    Oil, Gas & Consumable Fuels – 2.2%    
209,338   Gazprom PJSC, ADR   1,934,283
Shares   Description   Value
    Oil, Gas & Consumable
Fuels (Continued) 		   
31,579   Shell PLC, ADR, Class A   $1,370,529
        3,304,812
    Semiconductors &
Semiconductor Equipment – 8.3% 		   
17,560   Advanced Micro Devices, Inc. (a)   2,526,884
28,641   Infineon Technologies AG   1,329,093
34,905   Intel Corp.   1,797,607
25,579   Micron Technology, Inc.   2,382,684
8,405   NVIDIA Corp.   2,471,995
15,193   Taiwan Semiconductor Manufacturing Co., Ltd., ADR   1,827,870
        12,336,133
    Software – 6.9%    
6,271   Microsoft Corp.   2,109,063
20,817   Oracle Corp.   1,815,451
7,149   salesforce.com, Inc. (a)   1,816,775
12,795   SAP SE   1,819,432
12,806   VMware, Inc., Class A   1,483,959
4,603   Workday, Inc., Class A (a)   1,257,447
        10,302,127
    Specialty Retail – 1.0%    
3,747   Home Depot (The), Inc.   1,555,042
    Technology Hardware,
Storage & Peripherals – 1.3% 		   
28,946   Samsung Electronics Co., Ltd.   1,906,601
    Wireless Telecommunication
Services – 1.1% 		   
129,100   Softbank Corp.   1,632,408
    Total Common Stocks   149,648,062
    (Cost $129,916,297)    
MONEY MARKET FUNDS – 0.8%
1,308,104   Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (e) (f)   1,308,104
    (Cost $1,308,104)    
 
First Trust Indxx Innovative Transaction & Process ETF (LEGR)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
Principal
Value 		  Description   Value
REPURCHASE AGREEMENTS – 0.4%
$580,821   BNP Paribas S.A., 0.03% (e), dated 12/31/21, due 1/3/22, with a maturity value of $580,822. Collateralized by U.S. Treasury Note, interest rate of 1.50%, due 11/30/28. The value of the collateral including accrued interest is $592,182. (f)   $580,821
    (Cost $580,821)    
    Total Investments – 101.2%   151,536,987
    (Cost $131,805,222) (g)    
    Net Other Assets and Liabilities – (1.2)%   (1,862,142)
    Net Assets – 100.0%   $149,674,845
    
(a) Non-income producing security.
(b) This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the Securities Act of 1933, as amended (the “1933 Act”).
(c) This security is exempt from registration upon resale under Rule 144A of 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.
(d) All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $1,802,175 and the total value of the collateral held by the Fund is $1,888,925.
(e) Rate shown reflects yield as of December 31, 2021.
(f) This security serves as collateral for securities on loan.
(g) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $23,302,772 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $3,571,007. The net unrealized appreciation was $19,731,765.
    
ADR American Depositary Receipt
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2021 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2021 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 149,648,062 $ 149,648,062 $ — $ —
Money Market Funds  1,308,104  1,308,104  —  —
Repurchase Agreements  580,821  —  580,821  —
Total Investments $ 151,536,987 $ 150,956,166 $ 580,821 $—
    
* See Portfolio of Investments for industry breakout.
    
Currency Exposure
Diversification 		% of Total
Investments
United States Dollar 55.1%
Euro 17.8
Hong Kong Dollar 8.3
Swiss Franc 2.9
Indian Rupee 2.7
British Pound Sterling 2.5
Australian Dollar 2.3
Japanese Yen 2.2
South Korean Won 2.0
Danish Krone 1.4
Swedish Krona 1.1
Singapore Dollar 0.9
Canadian Dollar 0.8
Total 100.0%
 
First Trust Nasdaq Artificial Intelligence and Robotics ETF (ROBT)
Portfolio of Investments
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.6%
    Aerospace & Defense – 6.3%    
72,431   AeroVironment, Inc. (a)   $4,492,895
39,960   Elbit Systems Ltd.   6,927,883
3,144   Northrop Grumman Corp.   1,216,948
1,694,028   QinetiQ Group PLC   6,099,251
        18,736,977
    Auto Components – 4.0%    
6,840   Aptiv PLC (a)   1,128,258
10,289   Continental AG (a)   1,090,693
14,900   Denso Corp.   1,234,305
169,896   Gentex Corp.   5,920,876
14,577   Magna International, Inc.   1,179,862
38,152   Valeo S.A.   1,154,530
        11,708,524
    Automobiles – 0.6%    
28,030   NIO, Inc., ADR (a)   887,991
958   Tesla, Inc. (a)   1,012,395
        1,900,386
    Communications Equipment – 2.5%    
97,119   Ciena Corp. (a)   7,475,249
    Electrical Equipment – 3.6%    
55,837   ABB Ltd.   2,138,621
12,486   Emerson Electric Co.   1,160,823
87,400   Mitsubishi Electric Corp.   1,108,171
16,900   Nidec Corp.   1,986,334
5,723   Rockwell Automation, Inc.   1,996,468
10,942   Schneider Electric SE   2,148,415
        10,538,832
    Electronic Equipment,
Instruments & Components – 11.2% 		   
24,909   Cognex Corp.   1,936,924
208,988   Delta Electronics, Inc.   2,077,265
27,703   FARO Technologies, Inc. (a)   1,939,764
402,142   Hexagon AB, Class B   6,392,919
3,100   Keyence Corp.   1,947,909
46,343   National Instruments Corp.   2,023,799
19,900   Omron Corp.   1,982,561
370,800   Topcon Corp.   5,347,798
68,121   Trimble, Inc. (a)   5,939,470
102,300   Yokogawa Electric Corp.   1,844,477
3,268   Zebra Technologies Corp., Class A (a)   1,945,114
        33,378,000
    Entertainment – 0.4%    
74,100   DeNA Co., Ltd.   1,140,842
    Health Care Equipment &
Supplies – 3.7% 		   
4,365,319   Asensus Surgical, Inc. (a) (b)   4,845,504
Shares   Description   Value
    Health Care Equipment &
Supplies (Continued) 		   
595,300   CYBERDYNE, Inc. (a) (b)   $1,832,011
5,933   Intuitive Surgical, Inc. (a)   2,131,727
10,279   Medtronic PLC   1,063,362
4,635   Stryker Corp.   1,239,492
        11,112,096
    Health Care Technology – 0.7%    
6,196   Omnicell, Inc. (a)   1,118,007
10,832   Teladoc Health, Inc. (a)   994,594
        2,112,601
    Household Durables – 2.1%    
77,059   iRobot Corp. (a)   5,076,647
9,000   Sony Group Corp.   1,132,531
        6,209,178
    Industrial Conglomerates – 0.4%    
6,897   Siemens AG   1,198,879
    Interactive Media & Services – 1.1%    
387   Alphabet, Inc., Class A (a)   1,121,154
7,320   Baidu, Inc., ADR (a)   1,089,143
3,420   NAVER Corp.   1,088,934
        3,299,231
    Internet & Direct Marketing
Retail – 1.0% 		   
8,601   Alibaba Group Holding Ltd., ADR (a)   1,021,713
313   Amazon.com, Inc. (a)   1,043,648
13,040   JD.com, Inc., ADR (a)   913,713
        2,979,074
    IT Services – 5.2%    
9,732   Akamai Technologies, Inc. (a)   1,139,033
137,482   Atos SE   5,852,405
7,007   Endava PLC, ADR (a)   1,176,616
9,367   International Business Machines Corp.   1,251,993
31,600   Obic Co., Ltd.   5,933,756
        15,353,803
    Life Sciences Tools &
Services – 2.7% 		   
16,011   Illumina, Inc. (a)   6,091,225
3,246   Tecan Group AG   1,978,877
        8,070,102
    Machinery – 9.8%    
40,702   ANDRITZ AG   2,102,874
51,780   ATS Automation Tooling Systems, Inc. (a)   2,056,545
 
First Trust Nasdaq Artificial Intelligence and Robotics ETF (ROBT)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS (Continued)
    Machinery (Continued)    
41,411   Cargotec OYJ, Class B   $2,066,899
24,000   Daifuku Co., Ltd.   1,961,228
3,174   Deere & Co.   1,088,333
48,676   Duerr AG   2,223,355
9,800   FANUC Corp.   2,077,058
36,600   Hirata Corp.   2,033,157
12,196   John Bean Technologies Corp.   1,872,818
65,300   Kawasaki Heavy Industries, Ltd.   1,179,635
38,392   Proto Labs, Inc. (a)   1,971,429
67,826   SFA Engineering Corp. (a)   2,056,889
64,800   Shibaura Machine Co., Ltd.   2,118,126
47,223   Valmet Oyj   2,027,955
42,900   Yaskawa Electric Corp.   2,103,416
        28,939,717
    Pharmaceuticals – 0.4%    
7,034   Johnson & Johnson   1,203,306
    Semiconductors &
Semiconductor Equipment – 7.5% 		   
6,925   Advanced Micro Devices, Inc. (a)   996,507
32,584   Ambarella, Inc. (a)   6,610,968
17,014   Azenta, Inc.   1,754,313
22,292   Intel Corp.   1,148,038
4,715   KLA Corp.   2,027,969
5,889   NVIDIA Corp.   1,732,014
8,615   NXP Semiconductors N.V.   1,962,325
10,657   QUALCOMM, Inc.   1,948,845
16,425   Taiwan Semiconductor Manufacturing Co., Ltd., ADR   1,976,092
12,587   Teradyne, Inc.   2,058,352
        22,215,423
    Software – 34.7%    
14,942   ANSYS, Inc. (a)   5,993,535
78,676   Appian Corp. (a)   5,130,462
4,315   Autodesk, Inc. (a)   1,213,335
7,852   Avalara, Inc. (a)   1,013,772
137,868   AVEVA Group PLC   6,352,246
614,446   BlackBerry Ltd. (a)   5,745,070
340,370   Blue Prism Group PLC (a)   5,818,740
4,412,607   BrainChip Holdings Ltd. (a) (b)   2,183,067
32,962   Cadence Design Systems, Inc. (a)   6,142,469
97,703   Dassault Systemes SE   5,818,696
93,071   Dynatrace, Inc. (a)   5,616,835
3,318   Microsoft Corp.   1,115,910
10,374   Netcompany Group A.S. (c) (d)   1,118,865
20,035   Nice Ltd., ADR (a)   6,082,626
10,695   Palo Alto Networks, Inc. (a)   5,954,548
50,945   Pegasystems, Inc.   5,696,670
285,300   PKSHA Technology, Inc. (a) (b)   6,230,319
161,055   PROS Holdings, Inc. (a)   5,554,787
Shares   Description   Value
    Software (Continued)    
10,009   PTC, Inc. (a)   $1,212,590
9,031   ServiceNow, Inc. (a)   5,862,112
17,154   Synopsys, Inc. (a)   6,321,249
121,234   UiPath, Inc., Class A (a)   5,228,822
75,046   Veritone, Inc. (a)   1,687,034
        103,093,759
    Technology Hardware,
Storage & Peripherals – 1.4% 		   
84,468   3D Systems Corp. (a)   1,819,441
18,273   Samsung Electronics Co., Ltd.   1,203,597
68,000   Seiko Epson Corp.   1,224,272
        4,247,310
    Wireless Telecommunication
Services – 0.3% 		   
20,700   SoftBank Group Corp.   977,865
    Total Common Stocks   295,891,154
    (Cost $263,081,108)    
REAL ESTATE INVESTMENT TRUSTS – 0.4%
    Equity Real Estate Investment
Trusts – 0.4% 		   
1,351   Equinix, Inc.   1,142,730
    (Cost $971,288)    
MONEY MARKET FUNDS – 1.2%
3,635,219   Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (e) (f)   3,635,219
    (Cost $3,635,219)    
Principal
Value 		  Description   Value
REPURCHASE AGREEMENTS – 0.6%
$1,614,100   BNP Paribas S.A., 0.03% (e), dated 12/31/21, due 1/3/22, with a maturity value of $1,614,104. Collateralized by U.S. Treasury Note, interest rate of 1.50%, due 11/30/28. The value of the collateral including accrued interest is $1,645,673. (f)   1,614,100
    (Cost $1,614,100)    
    Total Investments – 101.8%   302,283,203
    (Cost $269,301,715) (g)    
    Net Other Assets and Liabilities – (1.8)%   (5,201,920)
    Net Assets – 100.0%   $297,081,283
    
(a) Non-income producing security.
 
First Trust Nasdaq Artificial Intelligence and Robotics ETF (ROBT)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
(b) All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $4,962,250 and the total value of the collateral held by the Fund is $5,249,319.
(c) This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the Securities Act of 1933, as amended (the “1933 Act”).
(d) This security is exempt from registration upon resale under Rule 144A of 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) Rate shown reflects yield as of December 31, 2021.
(f) This security serves as collateral for securities on loan.
(g) Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of December 31, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $53,093,832 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $20,112,344. The net unrealized appreciation was $32,981,488.
    
ADR American Depositary Receipt
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2021 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2021 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 295,891,154 $ 295,891,154 $ — $ —
Real Estate Investment Trusts*  1,142,730  1,142,730  —  —
Money Market Funds  3,635,219  3,635,219  —  —
Repurchase Agreements  1,614,100  —  1,614,100  —
Total Investments $ 302,283,203 $ 300,669,103 $ 1,614,100 $—
    
* See Portfolio of Investments for industry breakout.
    
Currency Exposure
Diversification 		% of Total
Investments
United States Dollar 60.8%
Japanese Yen 15.0
Euro 8.5
British Pound Sterling 6.0
Israeli Shekel 2.3
Swedish Krona 2.1
South Korean Won 1.4
Swiss Franc 1.4
Australian Dollar 0.7
New Taiwan Dollar 0.7
Canadian Dollar 0.7
Danish Krone 0.4
Total 100.0%
 
First Trust Dorsey Wright Momentum & Value ETF (DVLU)
Portfolio of Investments
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 99.0%
    Banks – 7.9%    
5,253   Bank of America Corp.   $233,706
4,236   Comerica, Inc.   368,532
6,608   Fifth Third Bancorp   287,778
3,864   US Bancorp   217,041
10,110   Wells Fargo & Co.   485,078
6,452   Zions Bancorp N.A.   407,508
        1,999,643
    Building Products – 4.3%    
12,481   Builders FirstSource, Inc. (a)   1,069,747
    Capital Markets – 4.7%    
2,839   Morgan Stanley   278,676
3,235   Raymond James Financial, Inc.   324,794
8,290   Stifel Financial Corp.   583,782
        1,187,252
    Chemicals – 6.5%    
4,464   CF Industries Holdings, Inc.   315,962
17,016   Mosaic (The) Co.   668,559
6,770   Westlake Chemical Corp.   657,570
        1,642,091
    Consumer Finance – 10.6%    
12,018   Ally Financial, Inc.   572,177
3,844   Capital One Financial Corp.   557,726
1,964   Discover Financial Services   226,960
10,692   OneMain Holdings, Inc.   535,028
19,044   SLM Corp.   374,595
8,413   Synchrony Financial   390,279
        2,656,765
    Distributors – 2.2%    
9,031   LKQ Corp.   542,131
    Food & Staples Retailing – 4.2%    
11,414   Albertsons Cos., Inc., Class A   344,589
15,961   Kroger (The) Co.   722,395
        1,066,984
    Health Care Providers &
Services – 7.1% 		   
1,948   HCA Healthcare, Inc.   500,480
1,824   Laboratory Corp of America Holdings (a)   573,119
963   Molina Healthcare, Inc. (a)   306,311
4,971   Tenet Healthcare Corp. (a)   406,081
        1,785,991
    Household Durables – 3.4%    
7,434   Lennar Corp., Class A   863,533
    Insurance – 11.9%    
2,677   American Financial Group, Inc.   367,606
Shares   Description   Value
    Insurance (Continued)    
11,675   American International Group, Inc.   $663,841
9,940   Lincoln National Corp.   678,504
9,962   Principal Financial Group, Inc.   720,551
6,990   Selective Insurance Group, Inc.   572,761
        3,003,263
    Metals & Mining – 3.2%    
13,619   Alcoa Corp.   811,420
    Multiline Retail – 3.1%    
29,930   Macy’s, Inc.   783,567
    Oil, Gas & Consumable Fuels – 11.7%    
10,118   Chesapeake Energy Corp.   652,813
3,542   ConocoPhillips   255,662
4,172   Diamondback Energy, Inc.   449,950
3,512   EOG Resources, Inc.   311,971
4,361   Marathon Petroleum Corp.   279,060
18,284   Ovintiv, Inc.   616,171
7,070   Targa Resources Corp.   369,337
        2,934,964
    Professional Services – 2.0%    
5,085   ManpowerGroup, Inc.   494,923
    Real Estate Management &
Development – 1.6% 		   
1,504   Jones Lang LaSalle, Inc. (a)   405,087
    Semiconductors &
Semiconductor Equipment – 2.5% 		   
25,130   Amkor Technology, Inc.   622,973
    Specialty Retail – 9.2%    
5,673   AutoNation, Inc. (a)   662,890
6,280   Bath & Body Works, Inc.   438,281
4,435   Dick’s Sporting Goods, Inc.   509,981
6,665   Penske Automotive Group, Inc.   714,621
        2,325,773
    Trading Companies &
Distributors – 2.9% 		   
5,495   WESCO International, Inc. (a)   723,087
    Total Common Stocks   24,919,194
    (Cost $23,588,941)    
 
First Trust Dorsey Wright Momentum & Value ETF (DVLU)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
Shares   Description   Value
REAL ESTATE INVESTMENT TRUSTS – 0.9%
    Mortgage Real Estate
Investment Trusts – 0.9% 		   
9,795   Starwood Property Trust, Inc.   $238,019
    (Cost $249,969)    
    Total Investments – 99.9%   25,157,213
    (Cost $23,838,910) (b)    
    Net Other Assets and Liabilities – 0.1%   26,617
    Net Assets – 100.0%   $25,183,830
    
(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, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $1,903,966 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $585,663. The net unrealized appreciation was $1,318,303.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2021 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2021 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 24,919,194 $ 24,919,194 $ — $ —
Real Estate Investment Trusts*  238,019  238,019  —  —
Total Investments $ 25,157,213 $ 25,157,213 $— $—
    
* See Portfolio of Investments for industry breakout.
First Trust Dorsey Wright Momentum & Low Volatility ETF (DVOL)
Portfolio of Investments
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 75.5%
    Building Products – 4.1%    
6,869   Carlisle Cos., Inc.   $1,704,337
29,404   Johnson Controls International PLC   2,390,839
7,604   Trane Technologies PLC   1,536,236
        5,631,412
    Capital Markets – 9.0%    
15,775   Ares Management Corp., Class A   1,282,034
1,892   BlackRock, Inc.   1,732,240
18,904   KKR & Co., Inc.   1,408,348
17,080   Nasdaq, Inc.   3,586,971
6,642   S&P Global, Inc.   3,134,559
6,453   T Rowe Price Group, Inc.   1,268,918
        12,413,070
    Chemicals – 2.9%    
11,407   Sherwin-Williams (The) Co.   4,017,089
    Commercial Services &
Supplies – 3.1% 		   
25,463   Waste Management, Inc.   4,249,775
    Containers & Packaging – 1.0%    
6,240   Avery Dennison Corp.   1,351,397
    Diversified Consumer
Services – 1.4% 		   
26,947   Service Corp. International   1,912,967
    Electrical Equipment – 4.2%    
25,595   AMETEK, Inc.   3,763,489
6,004   Rockwell Automation, Inc.   2,094,495
        5,857,984
    Electronic Equipment,
Instruments & Components – 4.4% 		   
42,850   Amphenol Corp., Class A   3,747,661
11,473   Keysight Technologies, Inc. (a)   2,369,289
        6,116,950
    Food & Staples Retailing – 3.3%    
8,088   Costco Wholesale Corp.   4,591,558
    Health Care Providers &
Services – 1.8% 		   
7,677   Laboratory Corp of America Holdings (a)   2,412,190
    Hotels, Restaurants &
Leisure – 4.6% 		   
21,864   Starbucks Corp.   2,557,432
27,478   Yum! Brands, Inc.   3,815,595
        6,373,027
Shares   Description   Value
    Household Durables – 2.0%    
20,642   Garmin Ltd.   $2,810,821
    Industrial Conglomerates – 1.6%    
10,851   Honeywell International, Inc.   2,262,542
    Insurance – 3.9%    
5,145   Aon PLC, Class A   1,546,381
22,375   Arthur J. Gallagher & Co.   3,796,366
        5,342,747
    IT Services – 8.7%    
10,210   Accenture PLC, Class A   4,232,556
15,861   Automatic Data Processing, Inc.   3,911,005
28,618   Paychex, Inc.   3,906,357
        12,049,918
    Life Sciences Tools &
Services – 7.2% 		   
21,051   Agilent Technologies, Inc.   3,360,792
4,714   Danaher Corp.   1,550,953
6,431   IQVIA Holdings, Inc. (a)   1,814,443
882   Mettler-Toledo International, Inc. (a)   1,496,939
3,523   West Pharmaceutical Services, Inc.   1,652,322
        9,875,449
    Machinery – 3.5%    
11,967   IDEX Corp.   2,828,041
16,155   Xylem, Inc.   1,937,308
        4,765,349
    Multiline Retail – 1.7%    
10,005   Target Corp.   2,315,557
    Road & Rail – 1.1%    
4,372   Old Dominion Freight Line, Inc.   1,566,837
    Software – 3.4%    
9,326   Microsoft Corp.   3,136,521
17,868   Oracle Corp.   1,558,268
        4,694,789
    Trading Companies &
Distributors – 2.6% 		   
56,848   Fastenal Co.   3,641,683
    Total Common Stocks   104,253,111
    (Cost $87,674,964)    
REAL ESTATE INVESTMENT TRUSTS – 24.4%
    Equity Real Estate Investment
Trusts – 24.4% 		   
34,073   American Campus Communities, Inc.   1,952,042
11,991   American Tower Corp.   3,507,368
62,682   CubeSmart   3,567,233
 
First Trust Dorsey Wright Momentum & Low Volatility ETF (DVOL)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
Shares   Description   Value
REAL ESTATE INVESTMENT TRUSTS (Continued)
    Equity Real Estate Investment
Trusts (Continued) 		   
66,044   Duke Realty Corp.   $4,335,128
11,202   Extra Space Storage, Inc.   2,539,829
83,291   Invitation Homes, Inc.   3,776,414
22,437   Life Storage, Inc.   3,436,900
17,278   Mid-America Apartment Communities, Inc.   3,964,264
25,478   Prologis, Inc.   4,289,476
11,503   Sun Communities, Inc.   2,415,285
    Total Real Estate Investment Trusts   33,783,939
    (Cost $29,117,246)    
    Total Investments – 99.9%   138,037,050
    (Cost $116,792,210) (b)    
    Net Other Assets and Liabilities – 0.1%   93,960
    Net Assets – 100.0%   $138,131,010
    
(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, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $21,617,248 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $372,408. The net unrealized appreciation was $21,244,840.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2021 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2021 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 104,253,111 $ 104,253,111 $ — $ —
Real Estate Investment Trusts*  33,783,939  33,783,939  —  —
Total Investments $ 138,037,050 $ 138,037,050 $— $—
    
* See Portfolio of Investments for industry breakout.
First Trust International Developed Capital Strength ETF (FICS)
Portfolio of Investments
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS – 97.7%
    Aerospace & Defense – 1.7%    
4,316   Thales S.A.   $367,550
    Air Freight & Logistics – 2.0%    
6,816   Deutsche Post AG   438,751
    Banks – 3.8%    
21,638   FinecoBank Banca Fineco S.p.A.   380,239
5,928   Toronto-Dominion Bank (The)   454,482
        834,721
    Beverages – 4.0%    
2,496   Carlsberg A.S., Class B   431,600
8,385   Diageo PLC   458,066
        889,666
    Biotechnology – 1.8%    
1,888   CSL Ltd.   399,337
    Capital Markets – 1.9%    
2,440   Deutsche Boerse AG   408,635
    Chemicals – 4.3%    
3,800   Akzo Nobel N.V.   417,488
1,238   Sika AG   516,558
        934,046
    Commercial Services &
Supplies – 1.8% 		   
51,069   Rentokil Initial PLC   403,687
    Communications Equipment – 1.7%    
33,988   Telefonaktiebolaget LM Ericsson, Class B   375,342
    Diversified Financial Services – 2.1%    
18,256   Investor AB, Class B   460,128
    Electrical Equipment – 2.1%    
3,875   Legrand S.A.   453,963
    Food & Staples Retailing – 3.8%    
10,821   Alimentation Couche-Tard, Inc.   453,388
13,994   Woolworths Group Ltd.   386,992
        840,380
    Food Products – 2.1%    
3,356   Nestle S.A.   469,369
    Health Care Providers &
Services – 2.2% 		   
14,375   Sonic Healthcare Ltd.   487,681
    Household Products – 2.0%    
13,342   Essity AB, Class B   436,160
Shares   Description   Value
    Insurance – 3.7%    
3,076   Intact Financial Corp.   $399,823
7,467   Sun Life Financial, Inc.   415,630
        815,453
    IT Services – 5.9%    
1,916   Capgemini SE   470,084
4,607   CGI, Inc. (a)   407,362
2,200   Obic Co., Ltd.   413,110
        1,290,556
    Machinery – 8.0%    
6,467   Atlas Copco AB, Class A   447,870
18,224   Epiroc AB, Class A   462,245
6,033   Kone Oyj, Class B   432,995
1,503   Schindler Holding AG   404,946
        1,748,056
    Marine – 2.0%    
1,343   Kuehne + Nagel International AG   433,910
    Multiline Retail – 2.1%    
10,616   Wesfarmers Ltd.   458,014
    Personal Products – 1.9%    
7,868   Unilever PLC   420,185
    Pharmaceuticals – 14.1%    
3,446   AstraZeneca PLC   404,771
11,924   Chugai Pharmaceutical Co., Ltd.   387,170
21,659   GlaxoSmithKline PLC   470,999
1,870   Merck KGaA   483,282
5,006   Novartis AG   441,047
4,067   Novo Nordisk A.S., Class B   457,627
1,069   Roche Holding AG   444,752
        3,089,648
    Professional Services – 8.3%    
141   SGS S.A.   471,496
1,018   Teleperformance   454,325
3,578   Thomson Reuters Corp.   427,878
3,924   Wolters Kluwer N.V.   462,830
        1,816,529
    Road & Rail – 1.9%    
3,399   Canadian National Railway Co.   417,516
    Software – 3.9%    
239   Constellation Software, Inc.   443,431
2,847   SAP SE   404,840
        848,271
    Textiles, Apparel & Luxury
Goods – 4.2% 		   
278   Hermes International   486,149
3,541   Puma SE   433,378
        919,527
 
First Trust International Developed Capital Strength ETF (FICS)
Portfolio of Investments (Continued)
December 31, 2021 (Unaudited)
Shares   Description   Value
COMMON STOCKS (Continued)
    Trading Companies &
Distributors – 4.4% 		   
12,024   Bunzl PLC   $469,536
2,860   Ferguson PLC   507,315
        976,851
    Total Common Stocks   21,433,932
    (Cost $20,652,478)    
REAL ESTATE INVESTMENT TRUSTS – 2.3%
    Equity Real Estate Investment
Trusts – 2.3% 		   
26,232   Goodman Group   505,755
    (Cost $449,763)    
    Total Investments – 100.0%   21,939,687
    (Cost $21,102,241) (b)    
    Net Other Assets and Liabilities – (0.0)%   (8,467)
    Net Assets – 100.0%   $21,931,220
    
(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, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $1,018,861 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $181,415. The net unrealized appreciation was $837,446.
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of December 31, 2021 is as follows (see Valuation Inputs in the Additional Information section):
  Total
Value at
12/31/2021 		Level 1
Quoted
Prices 		Level 2
Significant
Observable
Inputs 		Level 3
Significant
Unobservable
Inputs
Common Stocks* $ 21,433,932 $ 21,433,932 $ — $ —
Real Estate Investment Trusts*  505,755  505,755  —  —
Total Investments $ 21,939,687 $ 21,939,687 $— $—
    
* See Portfolio of Investments for industry breakout.
    
Currency Exposure
Diversification 		% of Total
Investments
Euro 27.8%
Canadian Dollar 15.6
Swiss Franc 14.5
British Pound Sterling 14.3
Australian Dollar 10.2
Swedish Krona 9.9
Danish Krone 4.1
Japanese Yen 3.6
Total 100.0%
 
Additional Information
First Trust Exchange-Traded Fund VI
December 31, 2021 (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 Small Mid Cap Rising Dividend Achievers™ Index, Nasdaq CTA Artificial Intelligence and Robotics IndexSM, Dorsey Wright Momentum Plus Low VolatilityTM Index, Dorsey Wright Momentum Plus ValueTM Index, and The International Developed Capital Strength IndexSM (“the Nasdaq Indexes”) are registered trademarks and service marks of Nasdaq, Inc. (together with its affiliates hereinafter 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 PRODUCTS.
Indxx and Indxx Blockchain Index (“Indxx Indexes”) are trademarks of Indxx, LLC (“Indxx”) and have been licensed for use for certain purposes by First Trust. The Fund is not sponsored, endorsed, sold or promoted by Indxx and Indxx makes no representation regarding the advisability of trading in such product. The Indxx Indexes are determined, composed and calculated by Indxx without regard to First Trust or the Fund.