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Defensive Equity, 41  Ticker: FQUPAX
 
Description
A unit investment trust which seeks above average capital appreciation by investing in a diversified portfolio of common stocks from less economically-sensitive sectors.
 
Summary
Product Code: DFEQ41
Portfolio Status: Secondary
Initial Offer Date: 06/21/2017
Secondary Date: 09/13/2017
Portfolio Ending Date: 06/18/2019
Tax Structure: Regulated Investment Company
Distributions: Semi-Annual
 
Initial Offer Price: $10.0000
NAV(*): $9.5003
POP(*): $9.7190
Remaining Deferred Sales Charge: $0.2250
* As of Trade Date: 09/22/2017 4:00pm ET
The Public Offering Price (POP) represents the net asset value per unit plus any applicable organization costs and sales charges. The Net Asset Value (NAV) represents the value per unit of a trust’s portfolio securities and other assets reduced by applicable deferred sales charges and other liabilities.

 Estimated Net Annual Distribution Per Unit
Estimated Net Annual Distribution * $0.1317
Subsequent Years * $0.1312
As of 09/18/2017
* The estimated net annual distribution for subsequent years is expected to be less than the amount for the first year because a portion of the securities included in the portfolio will be sold to pay for organization costs, the deferred sales charge and the creation and development fee.  The estimates are based on annualizing the most recent dividends declared by the issuers of the securities included in the portfolio. There is no guarantee that the issuers of the securities included in the portfolio will declare distributions in the future or that, if declared, they will either remain at current levels or increase over time.

 Holdings Analysis Click here to Perform a Benchmark Comparison  
 Sector Weighting
Consumer Discretionary  Consumer Discretionary 0.00%
Consumer Staples  Consumer Staples 48.79%
Energy  Energy 0.00%
Financials  Financials 0.00%
Health Care  Health Care 50.90%
Industrials  Industrials 0.00%
Information Technology  Information Technology 0.00%
Materials  Materials 0.00%
Real Estate  Real Estate 0.00%
Telecommunication Services  Telecommunication Services 0.00%
Utilities  Utilities 0.00%
Other  Other 0.31%
 
  Large Mid Small  
Growth  58.18% 12.56% 0.00%  
Value  28.95% 0.00% 0.00%  

 Style Weighting
Large-Cap Growth 58.18%
Large-Cap Value 28.95%
Mid-Cap Growth 12.56%
Mid-Cap Value 0.00%
Small-Cap Growth 0.00%
Small-Cap Value 0.00%
Undetermined 0.31%
 Composition
U.S. Stocks 90.04%   Other 0.31%
Non-U.S. Stocks 9.65%      
The style and sector characteristics of the portfolio are determined as of 09/22/2017 and will likely vary thereafter due to market fluctuations in the underlying securities.  

 Key Stats
Weighted Average Market Cap $99,835.29
Weighted Average Price/Earnings 22.47
Weighted Average Price/Book 3.76
As of 9/22/2017
All market capitalization numbers are in USD$ Millions

 Holdings  Export Current Holdings | View Initial Holdings  
NameSymbolSectorStyleWeighting
 AbbVie Inc. ABBV Health Care  Health Care Large-Cap Growth 4.13%
 Biogen Inc. BIIB Health Care  Health Care Large-Cap Growth 3.99%
 Celgene Corporation CELG Health Care  Health Care Large-Cap Growth 3.85%
 Amgen Inc. AMGN Health Care  Health Care Large-Cap Growth 3.70%
 Monster Beverage Corporation MNST Consumer Staples  Consumer Staples Large-Cap Growth 3.68%
 Constellation Brands, Inc. (Class A) STZ Consumer Staples  Consumer Staples Large-Cap Growth 3.67%
 Thermo Fisher Scientific Inc. TMO Health Care  Health Care Large-Cap Value 3.64%
 Wal-Mart Stores, Inc. WMT Consumer Staples  Consumer Staples Large-Cap Value 3.53%
 Unilever Plc (ADR) UL Consumer Staples  Consumer Staples Large-Cap Growth 3.53%
 UnitedHealth Group Incorporated UNH Health Care  Health Care Large-Cap Growth 3.51%
 The Procter & Gamble Company PG Consumer Staples  Consumer Staples Large-Cap Growth 3.46%
 Aetna Inc. AET Health Care  Health Care Large-Cap Value 3.41%
 Ingredion Incorporated INGR Consumer Staples  Consumer Staples Mid-Cap Growth 3.41%
 Walgreens Boots Alliance, Inc. WBA Consumer Staples  Consumer Staples Large-Cap Value 3.35%
 Costco Wholesale Corporation COST Consumer Staples  Consumer Staples Large-Cap Growth 3.30%
 Johnson & Johnson JNJ Health Care  Health Care Large-Cap Growth 3.29%
 The Cooper Companies, Inc. COO Health Care  Health Care Mid-Cap Growth 3.27%
 Anthem, Inc. ANTM Health Care  Health Care Large-Cap Value 3.23%
 Nestle S.A. (ADR) NSRGY Consumer Staples  Consumer Staples Large-Cap Growth 3.21%
 PepsiCo, Inc. PEP Consumer Staples  Consumer Staples Large-Cap Growth 3.18%
 Pinnacle Foods Inc. PF Consumer Staples  Consumer Staples Mid-Cap Growth 3.18%
 HCA Healthcare Inc. HCA Health Care  Health Care Large-Cap Growth 3.12%
 Zimmer Biomet Holdings, Inc. ZBH Health Care  Health Care Large-Cap Value 2.99%
 Mondelez International, Inc. MDLZ Consumer Staples  Consumer Staples Large-Cap Value 2.98%
 Regeneron Pharmaceuticals, Inc. REGN Health Care  Health Care Large-Cap Growth 2.95%
 Allergan Plc AGN Health Care  Health Care Large-Cap Value 2.91%
 AmerisourceBergen Corporation ABC Health Care  Health Care Large-Cap Growth 2.91%
 The Kraft Heinz Company KHC Consumer Staples  Consumer Staples Large-Cap Value 2.91%
 Altria Group, Inc. MO Consumer Staples  Consumer Staples Large-Cap Growth 2.70%
 Spectrum Brands Holdings, Inc. SPB Consumer Staples  Consumer Staples Mid-Cap Growth 2.70%
 
Total Number of Holdings:    30
Underlying Securities information represented above is as of 09/22/2017 but will vary with future fluctuations in the market.

 Deferred Sales Charge Schedule
Amount Date
$0.07500 October 20, 2017
$0.07500 November 20, 2017
$0.07500 December 20, 2017

Risk Considerations

Equity Risk. An investment in a portfolio containing common stocks is subject to certain risks, such as an economic recession and the possible deterioration of either the financial condition of the issuers of the equity securities or the general condition of the stock market.

Sector Concentration Risk. A portfolio which is concentrated in an individual sector is subject to additional risks, including limited diversification.

Buy & Hold Risk – Taxable Trusts. This UIT is a buy and hold strategy and investors should consider their ability to hold the trust until maturity. There may be tax consequences unless units are purchased in an IRA or other qualified plan.

Consumer Products Risk. The companies engaged in the consumer products sector are subject to global competition, changing government regulations and trade policies, currency fluctuations, and the financial and political risks inherent in producing products for foreign markets.

Foreign Securities Risk. An investment in securities of foreign issuers should be made with an understanding of the additional risks involved, such as currency fluctuations, political risk, withholding, the lack of adequate financial information, and exchange control restrictions impacting foreign issuers.

Health Care Risk. The companies engaged in the health care sector are subject to fierce competition, high research and development costs, governmental regulations, loss of patent protection, and changing consumer spending trends.

Small-Cap and Mid-Cap Risk. An investment in a portfolio containing small-cap and mid-cap companies is subject to additional risks, as the share prices of small-cap companies and certain mid-cap companies are often more volatile than those of larger companies due to several factors, including limited trading volumes, products, financial resources, management inexperience and less publicly available information.

Volatility Risk. The value of the securities held by the trust may be subject to steep declines or increased volatility due to changes in performance or perception of the issuers.

All data used for the sector and style classification comparisons is from Bloomberg Finance L.P, which we believe to be reliable, but do not take responsibility for its accuracy.

The style and capitalization characteristics used to describe the stocks are designed to help you understand how they fit into your overall investment plan. Due to changes in the value of the stocks the characteristics may vary over time. In general, growth stocks have high relative price-to-book ratios while value stocks have low relative price-to-book ratios. In determining market capitalization characteristics, we analyze the market capitalizations of the 3,000 largest stocks in the U.S. (excluding foreign securities, ADRs, limited partnerships and regulated investment companies) on a monthly basis. Companies with market capitalizations among the largest 10% are considered Large-Cap securities, the next 20% are considered Mid-Cap securities and the remaining securities are considered Small-Cap securities.

You should carefully consider the trust's investment objectives, risks, and charges and expenses before investing. Contact your financial advisor or call First Trust Portfolios, L.P. at 1.800.621.1675 to request a prospectus, which contains this and other information about the trust. Read it carefully before you invest.

This product information does not constitute an offer to sell, or a solicitation of an offer to buy securities in any state to any person to whom it is not lawful to make such an offer. Sales of any of these securities must include prospectus delivery and the services of a retail broker/dealer duly licensed in the appropriate states.

Not FDIC Insured, Not Bank Guaranteed and May Lose Value.

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The information presented is not intended to constitute an investment recommendation for, or advice to, any specific person. By providing this information, First Trust is not undertaking to give advice in any fiduciary capacity within the meaning of ERISA and the Internal Revenue Code. First Trust has no knowledge of and has not been provided any information regarding any investor. Financial advisors must determine whether particular investments are appropriate for their clients. First Trust believes the financial advisor is a fiduciary, is capable of evaluating investment risks independently and is responsible for exercising independent judgment with respect to its retirement plan clients.
First Trust Portfolios L.P.  Member SIPC and FINRA.
First Trust Advisors L.P.
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