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40/60 Strategic Allocation, 4th Qtr 2017 (Terminated)   Ticker: FYOVSX
 

 From Date: 
To Date: 

* All distributions are considered estimated until Record Date.
** Reinvestment price reflects the price at which distributions were reinvested and applies only to units purchased through the reinvestment CUSIP.
Record
Date *
Distribution
Date
Reinvest
Date
Reinvest
Price **
Reinvest
Interest
Principal
Distributions
(per unit)
Income Distributions (per unit)
Monthly Quarterly Semi-Annual Annual
11/10/17 11/25/17 11/22/17 $9.93380 N/A --- $0.01910 --- --- ---
12/10/17 12/25/17 12/21/17 $9.98700 N/A --- $0.02650 --- --- ---
12/29/17 01/09/18 01/05/18 $10.07490 N/A --- $0.02280 --- --- ---
02/10/18 02/25/18 02/22/18 $9.86810 N/A --- $0.02500 --- --- ---
03/10/18 03/25/18 03/22/18 $9.80850 N/A --- $0.02290 --- --- ---
04/10/18 04/25/18 04/23/18 $9.85280 N/A --- $0.02810 --- --- ---
05/10/18 05/25/18 05/23/18 $9.83710 N/A --- $0.02430 --- --- ---
06/10/18 06/25/18 06/21/18 $9.84860 N/A --- $0.02900 --- --- ---
07/10/18 07/25/18 07/23/18 $9.89370 N/A --- $0.02710 --- --- ---
08/10/18 08/25/18 08/23/18 $9.96390 N/A --- $0.02350 --- --- ---
09/10/18 09/25/18 09/21/18 $9.99350 N/A --- $0.02780 --- --- ---
10/10/18 10/25/18 10/23/18 $9.62310 N/A $0.00010 $0.02420 --- --- ---
11/10/18 11/25/18 11/21/18 $9.49560 N/A $0.00330 $0.02210 --- --- ---
12/10/18 12/25/18 12/21/18 $9.04810 N/A $0.00780 $0.03120 --- --- ---
01/17/19 01/22/19 N/A N/A N/A $9.50570 --- --- --- ---
      Sub-Totals:          
      2017 --- $0.04560 --- --- ---
      2018 $0.01120 $0.30800 --- --- ---
      2019 $9.50570 --- --- --- ---
      Totals:          
        $9.51690 $0.35360 --- --- ---

Final determination of the source and tax status of all distributions paid in the current year are to be made after year-end and distributed to your financial reporting institution, via the Trustee, during the 1st calendar quarter annually.

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.

Emerging Markets Risk. Risks associated with investing in non-U.S. securities may be more pronounced in emerging and developing markets where the securities markets are substantially smaller, less developed, less liquid, less regulated, and more volatile than the U.S. and developed non-U.S. markets.

ETF Risk. ETFs are subject to various risks, including management's ability to meet the fund's investment objective, and to manage the fund's portfolio when the underlying securities are redeemed or sold, during periods of market turmoil and as investors' perceptions regarding ETFs or their underlying investments change. Unlike open-end funds, which trade at prices based on a current determination of the fund's net asset value, ETFs frequently trade at a discount from their net asset value in the secondary market.

Floating Rate Risk. Certain of the funds invest in floating-rate securities. A floating-rate security is an instrument in which the interest rate payable on the obligation fluctuates on a periodic basis based upon changes in an interest rate benchmark. As a result, the yield on such a security will generally decline in a falling interest rate environment, causing the trust to experience a reduction in the income it receives from such securities.   

Foreign Securities Risk. Securities of non-U.S. issuers are subject to additional risks, including currency fluctuations, political risks, withholding, the lack of adequate financial information, and exchange control restrictions impacting non-U.S. issuers.

High-Yield or Junk Bonds Risk. Investing in high-yield securities or "junk" bonds should be viewed as speculative and you should review your ability to assume the risks associated with investments which utilize such securities. High-yield securities are subject to numerous risks, including higher interest rates, economic recession, deterioration of the junk bond market, possible downgrades and defaults of interest and/or principal. High-yield security prices tend to fluctuate more than higher rated securities and are affected by short-term credit developments to a greater degree.

Investment Grade Bonds Risk. Investment grade securities are subject to numerous risks including higher interest rates, economic recession, deterioration of the investment grade security market or investors' perception thereof, possible downgrades and defaults of interest and/or principal.

Preferred Securities Risk. Preferred securities are equity securities of the issuing company which pay income in the form of dividends. Preferred securities are typically subordinated to bonds and other debt instruments in a company's capital structure, and therefore will be subject to greater credit risk than those debt instruments.

REITs Risk. An investment in a portfolio containing REIT securities is subject to additional risks including limited diversification. 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.

Senior Loans Risk. The yield on senior loans will generally decline in a falling interest rate environment and increase in a rising interest rate environment. Senior loans are generally below investment grade quality ("junk" bonds). An investment in senior loans involves the risk that the borrowers may default on their obligations to pay principal or interest when due.

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.

US Treasury Debt Instruments Risk. Debt instruments, such as U.S. Treasury obligations, are subject to numerous risks including higher interest rates, economic recession and deterioration of the bond market or investors' perceptions thereof.

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.

Additional Risk. For a discussion of additional risks of investing in the trust see the "Risk Factors" section of the prospectus.

Important Note. It is important to note that an investment can be made in the underlying funds directly rather than through the trust. These direct investments can be made without paying the trust's sales charge, operating expenses and organizational costs.

Operational Risk. As the use of Internet technology has become more prevalent in the course of business, the trust has become more susceptible to potential operational risks through breaches in cybersecurity.


Income distributions per unit will vary with changes in dividends received on the underlying securities and with changes in the trust's fees and expenses. Principal distributions per unit will be made only when the trust receives principal cash and will therefore vary. Both income and principal distributions may be affected by the sale of securities in the portfolio. Refer to the prospectus for a further discussion of the factors which could affect income and principal distributions.

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.

CUSIP identifiers have been provided by CUSIP Global Services, managed on behalf of the American Bankers Association by FactSet Research Systems Inc. and are not for use or dissemination in a manner that would serve as a substitute for any CUSIP service. The CUSIP Database, ©2024 CUSIP Global Services. "CUSIP" is a registered trademark of the American Bankers Association.

Fund Cusip Information
30305A767 (Cash)
30305A775 (Reinvest)
30305A783 (Cash-Fee)
30305A791 (Reinvest-Fee)
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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, the Internal Revenue Code or any other regulatory framework. Financial professionals are responsible for evaluating investment risks independently and for exercising independent judgment in determining whether investments are appropriate for their clients.
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