| |
| 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: |
F4MY12 |
| Portfolio Status: |
Secondary |
| Initial Offer Date: |
05/01/2012 |
| Secondary Date: |
06/01/2012 |
| Portfolio Ending Date: |
08/09/2013 |
| Tax Structure: |
RIC |
| Distributions: |
Semi-Annual |
|
|
|
| Initial Offer Price: |
$10.0000 |
| NAV(*): |
$11.0814 |
| POP(*): |
$11.3597 |
|
|
* As of Trade Date: 05/17/2013 4:00pm ET |
|
| Estimated Net Annual Distribution Per Unit |
| Estimated Net Annual Distribution Per Unit * |
$0.2372 |
| 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 |
20.09% |
Consumer Staples |
0.00% |
Energy |
7.76% |
Financials |
27.89% |
Health Care |
2.99% |
Industrials |
6.49% |
Information Technology |
11.51% |
Materials |
6.37% |
Telecommunication Services |
5.62% |
Utilities |
10.24% |
Other |
1.04% |
|
|
| |
Large |
Mid |
Small |
|
| Growth |
7.52% |
1.27% |
2.52% |
|
| Value |
42.80% |
15.29% |
29.56% |
|
| Large-Cap Growth |
7.52% |
| Large-Cap Value |
42.80% |
| Mid-Cap Growth |
1.27% |
| Mid-Cap Value |
15.29% |
| Small-Cap Growth |
2.52% |
| Small-Cap Value |
29.56% |
| Undetermined |
1.04% |
|
| U.S. Stocks |
83.54% |
|
Other |
1.04% |
| Non-U.S. Stocks |
15.42% |
|
|
|
|
|
| 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. |
|
Comcast Corporation (Class A)
| CMCSA |
Consumer Discretionary
| Large-Cap Value |
7.40%
|
|
Apple Inc.
| AAPL |
Information Technology
| Large-Cap Value |
4.71%
|
|
BT Group PLC (ADR)
| BT |
Telecommunication Services
| Large-Cap Growth |
3.12%
|
|
Time Warner Cable, Inc.
| TWC |
Consumer Discretionary
| Large-Cap Growth |
2.54%
|
|
The Allstate Corporation
| ALL |
Financials
| Large-Cap Value |
1.97%
|
|
Sempra Energy
| SRE |
Utilities
| Large-Cap Value |
1.73%
|
|
Republic Services, Inc.
| RSG |
Industrials
| Large-Cap Value |
1.71%
|
|
Northrop Grumman Corporation
| NOC |
Industrials
| Large-Cap Value |
1.69%
|
|
DTE Energy Company
| DTE |
Utilities
| Large-Cap Value |
1.68%
|
|
American Electric Power Company, Inc.
| AEP |
Utilities
| Large-Cap Value |
1.68%
|
|
Macy's, Inc.
| M |
Consumer Discretionary
| Large-Cap Value |
1.65%
|
|
Merck & Co., Inc.
| MRK |
Health Care
| Large-Cap Value |
1.58%
|
|
PPL Corporation
| PPL |
Utilities
| Large-Cap Value |
1.55%
|
|
Chevron Corporation
| CVX |
Energy
| Large-Cap Value |
1.55%
|
|
Olin Corporation
| OLN |
Materials
| Small-Cap Value |
1.53%
|
|
Seagate Technology
| STX |
Information Technology
| Large-Cap Growth |
1.53%
|
|
People’s United Financial Inc.
| PBCT |
Financials
| Mid-Cap Value |
1.48%
|
|
Avista Corporation
| AVA |
Utilities
| Small-Cap Value |
1.45%
|
|
First Niagara Financial Group, Inc.
| FNFG |
Financials
| Mid-Cap Value |
1.44%
|
|
Entergy Corporation
| ETR |
Utilities
| Large-Cap Value |
1.43%
|
|
FirstMerit Corporation
| FMER |
Financials
| Mid-Cap Value |
1.41%
|
|
Commercial Metals Company
| CMC |
Materials
| Small-Cap Value |
1.38%
|
|
F.N.B. Corporation
| FNB |
Financials
| Small-Cap Value |
1.34%
|
|
Mercury General Corporation
| MCY |
Financials
| Small-Cap Value |
1.32%
|
|
BB&T Corporation
| BBT |
Financials
| Large-Cap Value |
1.31%
|
|
Trustmark Corporation
| TRMK |
Financials
| Small-Cap Value |
1.30%
|
|
Tata Motors Limited (ADR)
| TTM |
Consumer Discretionary
| Large-Cap Value |
1.23%
|
|
CA Inc.
| CA |
Information Technology
| Large-Cap Value |
1.11%
|
|
Community Health Systems Inc.
| CYH |
Health Care
| Mid-Cap Value |
1.06%
|
|
CF Industries Holdings, Inc.
| CF |
Materials
| Mid-Cap Value |
1.04%
|
|
HollyFrontier Corporation
| HFC |
Energy
| Mid-Cap Value |
0.91%
|
|
AOL, Inc.
| AOL |
Information Technology
| Mid-Cap Value |
0.87%
|
|
Barnes & Noble, Inc.
| BKS |
Consumer Discretionary
| Small-Cap Value |
0.85%
|
|
Terex Corporation
| TEX |
Industrials
| Mid-Cap Value |
0.83%
|
|
Patterson–UTI Energy, Inc.
| PTEN |
Energy
| Mid-Cap Value |
0.82%
|
|
Convergys Corporation
| CVG |
Information Technology
| Small-Cap Value |
0.79%
|
|
Synovus Financial Corp.
| SNV |
Financials
| Small-Cap Value |
0.77%
|
|
Protective Life Corporation
| PL |
Financials
| Mid-Cap Value |
0.76%
|
|
International Speedway Corporation
| ISCA |
Consumer Discretionary
| Small-Cap Value |
0.76%
|
|
Office Depot, Inc.
| ODP |
Consumer Discretionary
| Small-Cap Value |
0.75%
|
|
BancorpSouth, Inc.
| BXS |
Financials
| Small-Cap Value |
0.74%
|
|
TCF Financial Corporation
| TCB |
Financials
| Small-Cap Value |
0.74%
|
|
PNM Resources Inc.
| PNM |
Utilities
| Small-Cap Value |
0.72%
|
|
Reliance Steel & Aluminum Co.
| RS |
Materials
| Mid-Cap Value |
0.71%
|
|
City National Corporation
| CYN |
Financials
| Mid-Cap Value |
0.68%
|
|
Cathay General Bancorp
| CATY |
Financials
| Small-Cap Value |
0.68%
|
|
Associated Banc-Corp
| ASBC |
Financials
| Small-Cap Value |
0.66%
|
|
Fulton Financial Corporation
| FULT |
Financials
| Small-Cap Value |
0.65%
|
|
Unit Corporation
| UNT |
Energy
| Small-Cap Value |
0.65%
|
|
SL Green Realty Corp.
| SLG |
Financials
| Mid-Cap Value |
0.65%
|
|
Granite Construction Incorporated
| GVA |
Industrials
| Small-Cap Value |
0.64%
|
|
Reinsurance Group of America
| RGA |
Financials
| Mid-Cap Value |
0.64%
|
|
International Bancshares Corporation
| IBOC |
Financials
| Small-Cap Value |
0.62%
|
|
Astoria Financial Corporation
| AF |
Financials
| Small-Cap Value |
0.61%
|
|
Webster Financial Corporation
| WBS |
Financials
| Small-Cap Value |
0.60%
|
|
Telephone and Data Systems, Inc.
| TDS |
Telecommunication Services
| Small-Cap Growth |
0.58%
|
|
Stewart Information Services Corporation
| STC |
Financials
| Small-Cap Value |
0.58%
|
|
Scholastic Corporation
| SCHL |
Consumer Discretionary
| Small-Cap Value |
0.56%
|
|
Arrow Electronics, Inc.
| ARW |
Information Technology
| Mid-Cap Value |
0.55%
|
|
Haverty Furniture Companies, Inc.
| HVT |
Consumer Discretionary
| Small-Cap Growth |
0.54%
|
|
Sumitomo Mitsui Financial Group, Inc. (ADR)
| SMFG |
Financials
| Large-Cap Value |
0.51%
|
|
Mitsubishi UFJ Financial Group, Inc. (MUFG) (ADR)
| MTU |
Financials
| Large-Cap Value |
0.50%
|
|
Barclays Plc (ADR)
| BCS |
Financials
| Large-Cap Value |
0.49%
|
|
Banco Bilbao Vizcaya Argentaria, S.A. (ADR)
| BBVA |
Financials
| Large-Cap Value |
0.49%
|
|
Mizuho Financial Group, Inc. (ADR)
| MFG |
Financials
| Large-Cap Value |
0.48%
|
|
ING Groep N.V. (ADR)
| ING |
Financials
| Large-Cap Value |
0.45%
|
|
Hanmi Financial Corporation
| HAFC |
Financials
| Small-Cap Value |
0.45%
|
|
Stage Stores, Inc.
| SSI |
Consumer Discretionary
| Small-Cap Value |
0.44%
|
|
First BanCorp.
| FBP |
Financials
| Small-Cap Value |
0.42%
|
|
PDC Energy Inc.
| PDCE |
Energy
| Small-Cap Growth |
0.41%
|
|
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%
|
|
Dillard’s, Inc. (Class A)
| DDS |
Consumer Discretionary
| Mid-Cap Value |
0.39%
|
|
Banco Santander Central Hispano S.A. (ADR)
| SAN |
Financials
| Large-Cap Value |
0.39%
|
|
Eni SpA (ADR)
| E |
Energy
| Large-Cap Value |
0.39%
|
|
Horace Mann Educators Corporation
| HMN |
Financials
| Small-Cap Value |
0.39%
|
|
A. M. Castle & Co.
| CAS |
Materials
| Small-Cap Value |
0.39%
|
|
Deutsche Bank AG
| DB |
Financials
| Large-Cap Value |
0.38%
|
|
Kite Realty Group Trust
| KRG |
Financials
| Small-Cap Value |
0.37%
|
|
China Petroleum and Chemical Corporation (Sinopec) (ADR)
| SNP |
Energy
| Large-Cap Value |
0.37%
|
|
VimpelCom Ltd. (ADR)
| VIP |
Telecommunication Services
| Large-Cap Value |
0.37%
|
|
Total S.A. (ADR)
| TOT |
Energy
| Large-Cap Value |
0.36%
|
|
Old Dominion Freight Line, Inc.
| ODFL |
Industrials
| Mid-Cap Growth |
0.36%
|
|
Kelly Services, Inc.
| KELYA |
Industrials
| Small-Cap Value |
0.35%
|
|
PharMerica Corporation
| PMC |
Health Care
| Small-Cap Value |
0.35%
|
|
BP Plc (ADR)
| BP |
Energy
| Large-Cap Value |
0.34%
|
|
Royal Dutch Shell Plc (ADR)
| RDS/A |
Energy
| Large-Cap Value |
0.34%
|
|
United Rentals, Inc.
| URI |
Industrials
| Mid-Cap Growth |
0.34%
|
|
Monster Worldwide Inc.
| MWW |
Information Technology
| Small-Cap Value |
0.33%
|
|
DISH Network Corp.
| DISH |
Consumer Discretionary
| Large-Cap Growth |
0.33%
|
|
NTT DoCoMo, Inc. (ADR)
| DCM |
Telecommunication Services
| Large-Cap Value |
0.33%
|
|
National Penn Bancshares, Inc.
| NPBC |
Financials
| Small-Cap Value |
0.32%
|
|
PetSmart, Inc.
| PETM |
Consumer Discretionary
| Mid-Cap Growth |
0.32%
|
|
EnCana Corp.
| ECA |
Energy
| Large-Cap Value |
0.32%
|
|
The Marcus Corporation
| MCS |
Consumer Discretionary
| Small-Cap Value |
0.32%
|
|
Arkansas Best Corporation
| ABFS |
Industrials
| Small-Cap Value |
0.31%
|
|
Oplink Communications, Inc.
| OPLK |
Information Technology
| Small-Cap Value |
0.31%
|
|
Superior Industries International, Inc.
| SUP |
Consumer Discretionary
| Small-Cap Value |
0.30%
|
|
Old National Bancorp
| ONB |
Financials
| Small-Cap Value |
0.30%
|
|
Sykes Enterprises, Incorporated
| SYKE |
Information Technology
| Small-Cap Value |
0.30%
|
|
Wintrust Financial Corporation
| WTFC |
Financials
| Small-Cap Value |
0.30%
|
|
Talisman Energy Inc.
| TLM |
Energy
| Mid-Cap Value |
0.30%
|
|
POSCO (ADR)
| PKX |
Materials
| Large-Cap Value |
0.30%
|
|
Umpqua Holdings Corporation
| UMPQ |
Financials
| Small-Cap Value |
0.29%
|
|
StatoilHydro ASA (ADR)
| STO |
Energy
| Large-Cap Value |
0.29%
|
|
Perry Ellis International, Inc.
| PERY |
Consumer Discretionary
| Small-Cap Value |
0.29%
|
|
Pioneer Energy Services Corp.
| PES |
Energy
| Small-Cap Value |
0.29%
|
|
China Unicom Ltd. (ADR)
| CHU |
Telecommunication Services
| Large-Cap Value |
0.29%
|
|
Comstock Resources, Inc.
| CRK |
Energy
| Small-Cap Value |
0.28%
|
|
Neenah Paper, Inc.
| NP |
Materials
| Small-Cap Growth |
0.28%
|
|
SYNNEX Corporation
| SNX |
Information Technology
| Small-Cap Value |
0.28%
|
|
Ascena Retail Group Inc.
| ASNA |
Consumer Discretionary
| Mid-Cap Value |
0.26%
|
|
The Timken Company
| TKR |
Industrials
| Mid-Cap Value |
0.26%
|
|
France Telecom S.A. (ADR)
| FTE |
Telecommunication Services
| Large-Cap Value |
0.26%
|
|
Digital River, Inc.
| DRIV |
Information Technology
| Small-Cap Value |
0.26%
|
|
Telecom Italia SpA (ADR)
| TI |
Telecommunication Services
| Large-Cap Value |
0.26%
|
|
ArcelorMittal (ADR)
| MT |
Materials
| Large-Cap Value |
0.26%
|
|
Advance Auto Parts, Inc.
| AAP |
Consumer Discretionary
| Mid-Cap Growth |
0.25%
|
|
Myers Industries, Inc.
| MYE |
Materials
| Small-Cap Growth |
0.24%
|
|
Insight Enterprises, Inc.
| NSIT |
Information Technology
| Small-Cap Value |
0.24%
|
|
VOXX International Corp.
| VOXX |
Consumer Discretionary
| Small-Cap Value |
0.24%
|
|
Coinstar, Inc.
| CSTR |
Consumer Discretionary
| Small-Cap Growth |
0.24%
|
|
Vale S.A. (ADR)
| VALE |
Materials
| Large-Cap Value |
0.24%
|
|
Genesco Inc.
| GCO |
Consumer Discretionary
| Small-Cap Growth |
0.23%
|
|
Jabil Circuit, Inc.
| JBL |
Information Technology
| Mid-Cap Value |
0.23%
|
|
Corinthian Colleges, Inc.
| COCO |
Consumer Discretionary
| Small-Cap Value |
0.20%
|
|
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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