| |
| This unit investment trust seeks above-average total return; however, there is no assurance the objective will be met. The portfolio provides you with the convenience of owning four distinct strategies in one investment. It invests in a fixed portfolio of stocks which are selected by applying pre-determined screens and factors. |
|
|
| Product Code: |
F4AP12 |
| Portfolio Status: |
Secondary |
| Initial Offer Date: |
04/02/2012 |
| Secondary Date: |
05/01/2012 |
| Portfolio Ending Date: |
07/09/2013 |
| Tax Structure: |
RIC |
| Distributions: |
Semi-Annual |
|
|
|
| Initial Offer Price: |
$10.0000 |
| NAV(*): |
$11.0151 |
| POP(*): |
$11.2918 |
|
|
* As of Trade Date: 05/17/2013 4:00pm ET |
|
| Estimated Net Annual Distribution Per Unit |
| Estimated Net Annual Distribution Per Unit * |
$0.2225 |
| As of 05/13/2013 |
|
| * 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.
|
Consumer Discretionary |
13.41% |
Consumer Staples |
0.00% |
Energy |
7.99% |
Financials |
23.21% |
Health Care |
3.11% |
Industrials |
7.51% |
Information Technology |
15.75% |
Materials |
8.56% |
Telecommunication Services |
9.10% |
Utilities |
10.38% |
Other |
0.98% |
|
|
| |
Large |
Mid |
Small |
|
| Growth |
10.26% |
1.59% |
4.00% |
|
| Value |
37.09% |
20.61% |
25.47% |
|
| Large-Cap Growth |
10.26% |
| Large-Cap Value |
37.09% |
| Mid-Cap Growth |
1.59% |
| Mid-Cap Value |
20.61% |
| Small-Cap Growth |
4.00% |
| Small-Cap Value |
25.47% |
| Undetermined |
0.98% |
|
| U.S. Stocks |
77.77% |
|
Other |
0.98% |
| Non-U.S. Stocks |
21.25% |
|
|
|
|
|
| The style and sector characteristics of the portfolio are determined as of 05/17/2013
and will likely vary thereafter due to market fluctuations in the underlying securities. |
|
BT Group PLC (ADR)
| BT |
Telecommunication Services
| Large-Cap Growth |
6.63%
|
|
Apple Inc.
| AAPL |
Information Technology
| Large-Cap Value |
4.65%
|
|
Macy's, Inc.
| M |
Consumer Discretionary
| Large-Cap Value |
3.58%
|
|
Seagate Technology
| STX |
Information Technology
| Large-Cap Growth |
3.30%
|
|
Tata Motors Limited (ADR)
| TTM |
Consumer Discretionary
| Large-Cap Value |
2.64%
|
|
CF Industries Holdings, Inc.
| CF |
Materials
| Mid-Cap Value |
2.26%
|
|
The Allstate Corporation
| ALL |
Financials
| Large-Cap Value |
1.99%
|
|
Sempra Energy
| SRE |
Utilities
| Large-Cap Value |
1.88%
|
|
Northrop Grumman Corporation
| NOC |
Industrials
| Large-Cap Value |
1.76%
|
|
DTE Energy Company
| DTE |
Utilities
| Large-Cap Value |
1.70%
|
|
American Electric Power Company, Inc.
| AEP |
Utilities
| Large-Cap Value |
1.69%
|
|
Merck & Co., Inc.
| MRK |
Health Care
| Large-Cap Value |
1.58%
|
|
Chevron Corporation
| CVX |
Energy
| Large-Cap Value |
1.51%
|
|
Republic Services, Inc.
| RSG |
Industrials
| Large-Cap Value |
1.51%
|
|
PPL Corporation
| PPL |
Utilities
| Large-Cap Value |
1.50%
|
|
Olin Corporation
| OLN |
Materials
| Small-Cap Value |
1.50%
|
|
Avista Corporation
| AVA |
Utilities
| Small-Cap Value |
1.49%
|
|
Entergy Corporation
| ETR |
Utilities
| Large-Cap Value |
1.39%
|
|
FirstMerit Corporation
| FMER |
Financials
| Mid-Cap Value |
1.39%
|
|
Commercial Metals Company
| CMC |
Materials
| Small-Cap Value |
1.39%
|
|
People’s United Financial Inc.
| PBCT |
Financials
| Mid-Cap Value |
1.38%
|
|
Astoria Financial Corporation
| AF |
Financials
| Small-Cap Value |
1.37%
|
|
Mercury General Corporation
| MCY |
Financials
| Small-Cap Value |
1.37%
|
|
BB&T Corporation
| BBT |
Financials
| Large-Cap Value |
1.36%
|
|
First Niagara Financial Group, Inc.
| FNFG |
Financials
| Mid-Cap Value |
1.31%
|
|
F.N.B. Corporation
| FNB |
Financials
| Small-Cap Value |
1.27%
|
|
Community Health Systems Inc.
| CYH |
Health Care
| Mid-Cap Value |
1.16%
|
|
AOL, Inc.
| AOL |
Information Technology
| Mid-Cap Value |
1.12%
|
|
CoreLogic, Inc.
| CLGX |
Information Technology
| Mid-Cap Value |
0.98%
|
|
HollyFrontier Corporation
| HFC |
Energy
| Mid-Cap Value |
0.91%
|
|
Terex Corporation
| TEX |
Industrials
| Mid-Cap Value |
0.84%
|
|
Helix Energy Solutions Group Inc.
| HLX |
Energy
| Mid-Cap Value |
0.83%
|
|
Leucadia National Corporation
| LUK |
Financials
| Mid-Cap Value |
0.81%
|
|
Synovus Financial Corp.
| SNV |
Financials
| Small-Cap Value |
0.80%
|
|
Patterson–UTI Energy, Inc.
| PTEN |
Energy
| Mid-Cap Value |
0.78%
|
|
Convergys Corporation
| CVG |
Information Technology
| Small-Cap Value |
0.78%
|
|
Protective Life Corporation
| PL |
Financials
| Mid-Cap Value |
0.77%
|
|
PNM Resources Inc.
| PNM |
Utilities
| Small-Cap Value |
0.73%
|
|
Reliance Steel & Aluminum Co.
| RS |
Materials
| Mid-Cap Value |
0.71%
|
|
Vishay Intertechnology, Inc.
| VSH |
Information Technology
| Small-Cap Value |
0.70%
|
|
SL Green Realty Corp.
| SLG |
Financials
| Mid-Cap Value |
0.70%
|
|
American Greetings Corporation
| AM |
Consumer Discretionary
| Small-Cap Value |
0.69%
|
|
Hospitality Properties Trust
| HPT |
Financials
| Mid-Cap Value |
0.68%
|
|
General Cable Corporation
| BGC |
Industrials
| Small-Cap Value |
0.68%
|
|
Cathay General Bancorp
| CATY |
Financials
| Small-Cap Value |
0.67%
|
|
Office Depot, Inc.
| ODP |
Consumer Discretionary
| Small-Cap Value |
0.65%
|
|
Associated Banc-Corp
| ASBC |
Financials
| Small-Cap Value |
0.64%
|
|
Stewart Information Services Corporation
| STC |
Financials
| Small-Cap Value |
0.63%
|
|
Haverty Furniture Companies, Inc.
| HVT |
Consumer Discretionary
| Small-Cap Growth |
0.62%
|
|
Sinclair Broadcast Group, Inc.
| SBGI |
Consumer Discretionary
| Mid-Cap Growth |
0.62%
|
|
Webster Financial Corporation
| WBS |
Financials
| Small-Cap Value |
0.61%
|
|
Steel Dynamics, Inc.
| STLD |
Materials
| Mid-Cap Value |
0.61%
|
|
Telephone and Data Systems, Inc.
| TDS |
Telecommunication Services
| Small-Cap Growth |
0.59%
|
|
OfficeMax Inc.
| OMX |
Consumer Discretionary
| Small-Cap Value |
0.59%
|
|
International Bancshares Corporation
| IBOC |
Financials
| Small-Cap Value |
0.59%
|
|
Fairchild Semiconductor International, Inc.
| FCS |
Information Technology
| Small-Cap Value |
0.58%
|
|
Arrow Electronics, Inc.
| ARW |
Information Technology
| Mid-Cap Value |
0.55%
|
|
Avnet Inc.
| AVT |
Information Technology
| Mid-Cap Value |
0.55%
|
|
Sumitomo Mitsui Financial Group, Inc. (ADR)
| SMFG |
Financials
| Large-Cap Value |
0.49%
|
|
Mitsubishi UFJ Financial Group, Inc. (MUFG) (ADR)
| MTU |
Financials
| Large-Cap Value |
0.48%
|
|
Hanmi Financial Corporation
| HAFC |
Financials
| Small-Cap Value |
0.48%
|
|
Boyd Gaming Corporation
| BYD |
Consumer Discretionary
| Small-Cap Growth |
0.47%
|
|
Barclays Plc (ADR)
| BCS |
Financials
| Large-Cap Value |
0.46%
|
|
Live Nation Entertainment Inc.
| LYV |
Consumer Discretionary
| Mid-Cap Value |
0.43%
|
|
A. M. Castle & Co.
| CAS |
Materials
| Small-Cap Value |
0.42%
|
|
Banco Bilbao Vizcaya Argentaria, S.A. (ADR)
| BBVA |
Financials
| Large-Cap Value |
0.42%
|
|
Pinnacle Financial Partners, Inc.
| PNFP |
Financials
| Small-Cap Value |
0.41%
|
|
Nippon Telegraph and Telephone Corporation (ADR)
| NTT |
Telecommunication Services
| Large-Cap Value |
0.41%
|
|
On Assignment, Inc.
| ASGN |
Industrials
| Small-Cap Growth |
0.40%
|
|
Hitachi, Ltd. (ADR)
| HTHIY |
Information Technology
| Large-Cap Value |
0.40%
|
|
Dillard’s, Inc. (Class A)
| DDS |
Consumer Discretionary
| Mid-Cap Value |
0.39%
|
|
ING Groep N.V. (ADR)
| ING |
Financials
| Large-Cap Value |
0.38%
|
|
Horace Mann Educators Corporation
| HMN |
Financials
| Small-Cap Value |
0.38%
|
|
Viad Corp.
| VVI |
Industrials
| Small-Cap Value |
0.38%
|
|
Eni SpA (ADR)
| E |
Energy
| Large-Cap Value |
0.37%
|
|
Credit Suisse Group (ADR)
| CS |
Financials
| Large-Cap Value |
0.37%
|
|
Greatbatch Inc.
| GB |
Health Care
| Small-Cap Value |
0.37%
|
|
Kite Realty Group Trust
| KRG |
Financials
| Small-Cap Value |
0.37%
|
|
United Rentals, Inc.
| URI |
Industrials
| Mid-Cap Growth |
0.36%
|
|
Total S.A. (ADR)
| TOT |
Energy
| Large-Cap Value |
0.35%
|
|
BP Plc (ADR)
| BP |
Energy
| Large-Cap Value |
0.35%
|
|
Old Dominion Freight Line, Inc.
| ODFL |
Industrials
| Mid-Cap Growth |
0.35%
|
|
Oil States International, Inc.
| OIS |
Energy
| Mid-Cap Value |
0.35%
|
|
Sonic Automotive, Inc.
| SAH |
Consumer Discretionary
| Small-Cap Growth |
0.34%
|
|
NTT DoCoMo, Inc. (ADR)
| DCM |
Telecommunication Services
| Large-Cap Value |
0.34%
|
|
Royal Dutch Shell Plc (ADR)
| RDS/A |
Energy
| Large-Cap Value |
0.34%
|
|
China Petroleum and Chemical Corporation (Sinopec) (ADR)
| SNP |
Energy
| Large-Cap Value |
0.34%
|
|
Banco Santander Central Hispano S.A. (ADR)
| SAN |
Financials
| Large-Cap Value |
0.33%
|
|
Kelly Services, Inc.
| KELYA |
Industrials
| Small-Cap Value |
0.33%
|
|
DISH Network Corp.
| DISH |
Consumer Discretionary
| Large-Cap Growth |
0.33%
|
|
EnCana Corp.
| ECA |
Energy
| Large-Cap Value |
0.33%
|
|
Talisman Energy Inc.
| TLM |
Energy
| Mid-Cap Value |
0.33%
|
|
VimpelCom Ltd. (ADR)
| VIP |
Telecommunication Services
| Large-Cap Value |
0.33%
|
|
Gibraltar Industries Inc.
| ROCK |
Industrials
| Small-Cap Value |
0.32%
|
|
Ruby Tuesday, Inc.
| RT |
Consumer Discretionary
| Small-Cap Value |
0.31%
|
|
The Timken Company
| TKR |
Industrials
| Mid-Cap Value |
0.31%
|
|
Monster Worldwide Inc.
| MWW |
Information Technology
| Small-Cap Value |
0.31%
|
|
Olympic Steel, Inc.
| ZEUS |
Materials
| Small-Cap Value |
0.31%
|
|
China Unicom Ltd. (ADR)
| CHU |
Telecommunication Services
| Large-Cap Value |
0.31%
|
|
Comstock Resources, Inc.
| CRK |
Energy
| Small-Cap Value |
0.30%
|
|
Wintrust Financial Corporation
| WTFC |
Financials
| Small-Cap Value |
0.30%
|
|
POSCO (ADR)
| PKX |
Materials
| Large-Cap Value |
0.30%
|
|
Perry Ellis International, Inc.
| PERY |
Consumer Discretionary
| Small-Cap Value |
0.30%
|
|
Sykes Enterprises, Incorporated
| SYKE |
Information Technology
| Small-Cap Value |
0.29%
|
|
MTS Systems Corporation
| MTSC |
Information Technology
| Small-Cap Growth |
0.29%
|
|
Oplink Communications, Inc.
| OPLK |
Information Technology
| Small-Cap Value |
0.29%
|
|
Superior Industries International, Inc.
| SUP |
Consumer Discretionary
| Small-Cap Value |
0.28%
|
|
Myers Industries, Inc.
| MYE |
Materials
| Small-Cap Growth |
0.28%
|
|
SYNNEX Corporation
| SNX |
Information Technology
| Small-Cap Value |
0.28%
|
|
Arkansas Best Corporation
| ABFS |
Industrials
| Small-Cap Value |
0.27%
|
|
Teck Resources Limited (Class B)
| TCK |
Materials
| Large-Cap Value |
0.27%
|
|
Neenah Paper, Inc.
| NP |
Materials
| Small-Cap Growth |
0.27%
|
|
Advance Auto Parts, Inc.
| AAP |
Consumer Discretionary
| Mid-Cap Growth |
0.26%
|
|
Pioneer Energy Services Corp.
| PES |
Energy
| Small-Cap Value |
0.26%
|
|
Ascena Retail Group Inc.
| ASNA |
Consumer Discretionary
| Mid-Cap Value |
0.25%
|
|
Cirrus Logic, Inc.
| CRUS |
Information Technology
| Small-Cap Growth |
0.25%
|
|
France Telecom S.A. (ADR)
| FTE |
Telecommunication Services
| Large-Cap Value |
0.25%
|
|
Quicksilver Resources Inc.
| KWK |
Energy
| Small-Cap Growth |
0.25%
|
|
Petroleo Brasileiro S.A. (ADR)
| PBR |
Energy
| Large-Cap Value |
0.25%
|
|
Telecom Italia SpA (ADR)
| TI |
Telecommunication Services
| Large-Cap Value |
0.24%
|
|
Coinstar, Inc.
| CSTR |
Consumer Discretionary
| Small-Cap Growth |
0.24%
|
|
ArcelorMittal (ADR)
| MT |
Materials
| Large-Cap Value |
0.24%
|
|
VOXX International Corp.
| VOXX |
Consumer Discretionary
| Small-Cap Value |
0.23%
|
|
Insight Enterprises, Inc.
| NSIT |
Information Technology
| Small-Cap Value |
0.22%
|
|
Jabil Circuit, Inc.
| JBL |
Information Technology
| Mid-Cap Value |
0.21%
|
|
Corinthian Colleges, Inc.
| COCO |
Consumer Discretionary
| Small-Cap Value |
0.19%
|
|
Swift Energy Company
| SFY |
Energy
| Small-Cap Value |
0.14%
|
|
| |
| Total Number of Holdings: 127 |
|
| Underlying Securities information represented above is as of 05/17/2013 but will vary with future fluctuations in the market. |
|
An investment in an equity portfolio should be made with an understanding of the risks associated with an investment in common stocks including the risk that the financial condition of the issuers of the equities or the general condition of the stock market may worsen.
A portfolio which is concentrated in an individual sector is subject to additional risks, including limited diversification.
The companies engaged in the financials sector are subject to the adverse effects of volatile interest rates, economic recession, decreases in the availability of capital, increased competition from new entrants in the field, and potential increased regulation.
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.
An investment in a portfolio containing REIT securities is subject to additional risks, as companies involved in the real estate industry are subject to changes in the real estate market, vacancy rates and competition, volatile interest rates and economic recession.
An investment in a portfolio containing small-cap companies is subject to additional risks, as the share prices of small-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.
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.
Although the portfolio terminates in approximately one year, the strategy is long-term. Investors
should consider their ability to pursue investing in successive portfolios, if available. There
may be tax consequences unless units are purchased in an IRA or other qualified plan. The
rollover option is subject to modification, termination, or suspension.
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.
The Dow Jones Industrial AverageSM is a product of Dow Jones Indexes, a licensed trademark of CME Group Index Services LLC ("CME"), and has been licensed for use. "Dow Jones®", "The Dow®", "Dow Jones Industrial AverageSM" and "Dow Jones Indexes" are service marks of Dow Jones Trademark Holdings, LLC ("Dow Jones"), and have been licensed to CME and have been sublicensed for use for certain purposes by First Trust. The portfolio based on the Dow Jones Industrial AverageSM, is not sponsored, endorsed, sold or promoted by Dow Jones, CME or their respective affiliates and none of them makes any representation regarding the advisability of investing in such products.
NYSE® is a registered service mark of, and NYSE International 100 IndexSM is a service mark of, New York Stock Exchange, Inc.("NYSE") and have been licensed for use for certain purposes by First Trust Portfolios L.P. The portfolio is not sponsored, endorsed, sold, or promoted by NYSE and NYSE makes no representation regarding the advisability of investing in such products. "S&P", "S&P MidCap 400", "S&P SmallCap 600", and "Standard & Poor's" are trademarks of The McGraw-Hill Companies, Inc. and have been licensed for use by First Trust Portfolios L.P. The portfolio is not sponsored, endorsed, sold, or promoted by Standard & Poor's and Standard & Poor's makes no representation regarding the advisability of investing in such products.
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