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Holdings of the Fund as of 12/7/2018 *
Total Number of Holdings: 116
| Wells Fargo & Company, Series L, 7.50% |
WFC.L |
3,745 |
$4,721,471.30 |
2.63% |
| Bank of America Corporation, Series L, 7.25% |
BAC.L |
3,104 |
$3,951,392.00 |
2.20% |
| PALO ALTO NETWORKS Convertible, 0.75%, due 07/01/2023 |
697435AC9 |
3,725,000 |
$3,589,387.65 |
2.00% |
| Becton, Dickinson and Company, Series A, 6.125%, Due 05/01/2020 |
BDXA |
60,000 |
$3,563,400.00 |
1.98% |
| SQUARE INC Convertible, 0.50%, due 05/15/2023 |
852234AC7 |
3,125,000 |
$3,399,706.25 |
1.89% |
| MICROCHIP TECHNOLOGY INC Convertible, 1.625%, due 02/15/2027 |
595017AF1 |
3,090,000 |
$3,010,123.50 |
1.67% |
| ILLUMINA INC Convertible, 0%, due 08/15/2023 |
452327AJ8 |
2,750,000 |
$2,906,975.51 |
1.62% |
| HERBALIFE LTD Convertible, 2.625%, due 03/15/2024 |
42703MAC7 |
2,545,000 |
$2,787,011.69 |
1.55% |
| TESLA MOTORS INC Convertible, 0.25%, due 03/01/2019 |
88160RAB7 |
2,365,000 |
$2,544,628.84 |
1.42% |
| NextEra Energy Inc, 6.123%, Due 09/01/2019 |
NEE.R |
41,500 |
$2,487,925.00 |
1.38% |
| Sempra Energy, Series A, Convertible, 6.00%, Due 01/15/2021 |
SRE.A |
23,750 |
$2,415,850.00 |
1.34% |
| INTEL CORP Convertible, 3.25%, due 08/01/2039 |
458140AF7 |
1,050,000 |
$2,364,069.74 |
1.31% |
| JAZZ INVESTMENTS I LTD Convertible, 1.875%, due 08/15/2021 |
472145AB7 |
2,300,000 |
$2,335,937.53 |
1.30% |
| MICROCHIP TECHNOLOGY INC Convertible, 1.625%, due 02/15/2025 |
595017AD6 |
1,650,000 |
$2,306,538.30 |
1.28% |
| WORKDAY INC Convertible, 0.25%, due 10/01/2022 |
98138HAF8 |
1,840,000 |
$2,272,874.72 |
1.26% |
| ILLUMINA INC Convertible, 0.50%, due 06/15/2021 |
452327AH2 |
1,610,000 |
$2,228,246.44 |
1.24% |
| Crown Castle Intl Corp, Series A, 6.875%, Due 08/01/2020 |
CCI.A |
2,000 |
$2,187,624.81 |
1.22% |
| ADVANCED MICRO DEVICES Convertible, 2.125%, due 09/01/2026 |
007903BD8 |
855,000 |
$2,165,837.27 |
1.20% |
| ZENDESK INC Convertible, 0.25%, due 03/15/2023 |
98936JAA9 |
1,850,000 |
$2,118,037.28 |
1.18% |
| SPLUNK INC Convertible, 0.50%, due 09/15/2023 |
848637AA2 |
2,135,000 |
$2,103,954.97 |
1.17% |
| DEXCOM INC Convertible, 0.75%, due 12/01/2023 |
252131AG2 |
2,045,000 |
$2,072,795.64 |
1.15% |
| AKAMAI TECHNOLOGIES INC Convertible, 0.125%, due 05/01/2025 |
00971TAH4 |
2,155,000 |
$2,048,618.44 |
1.14% |
| EXTRA SPACE STORAGE LP Convertible, 3.125%, due 10/01/2035 |
30225VAD9 |
1,800,000 |
$2,038,777.20 |
1.13% |
| CITRIX SYSTEMS INC Convertible, 0.50%, due 04/15/2019 |
177376AD2 |
1,330,000 |
$1,984,260.30 |
1.10% |
| GCI LIBERTY INC Convertible, 1.75%, due 09/30/2046 |
36164VAA5 |
1,895,000 |
$1,959,032.05 |
1.09% |
| CHENIERE ENERGY INC Convertible, 4.25%, due 03/15/2045 |
16411RAG4 |
2,525,000 |
$1,871,918.86 |
1.04% |
| DISH NETWORK CORP Convertible, 3.375%, due 08/15/2026 |
25470MAB5 |
2,105,000 |
$1,852,160.03 |
1.03% |
| INSULET CORPORATION Convertible, 1.375%, due 11/15/2024 |
45784PAG6 |
1,720,000 |
$1,844,620.88 |
1.03% |
| ATLASSIAN INC Convertible, 0.625%, due 05/01/2023 |
04947PAA0 |
1,555,000 |
$1,838,995.87 |
1.02% |
| Fortive Corporation, Series A, 5.00%, Due 07/01/2021 |
FTV.A |
1,915 |
$1,812,049.60 |
1.01% |
| LIGAND PHARMACEUTICALS INC Convertible, 0.75%, due 05/15/2023 |
53220KAE8 |
2,000,000 |
$1,815,240.00 |
1.01% |
| ON SEMICONDUCTOR CORP 1%, due 12/01/2020 |
682189AK1 |
1,585,000 |
$1,796,282.12 |
1.00% |
| TWITTER INC Convertible, 0.25%, due 06/15/2024 |
90184LAE2 |
1,925,000 |
$1,780,109.09 |
0.99% |
| SERVICENOW INC Convertible, 0%, due 06/01/2022 |
81762PAC6 |
1,240,000 |
$1,770,324.44 |
0.98% |
| WRIGHT MEDICAL GROUP INC Convertible, 1.625%, due 06/15/2023 |
98235TAF4 |
1,695,000 |
$1,726,399.88 |
0.96% |
| Dominion Resources Inc, Series A, 6.75%, Due 08/15/2019 |
DCUD |
33,920 |
$1,672,256.00 |
0.93% |
| NRG ENERGY INC Convertible, 2.75%, due 06/01/2048 |
629377CF7 |
1,530,000 |
$1,680,131.25 |
0.93% |
| TOTAL SA Convertible, 0.50%, due 12/02/2022 |
F92124BF6 |
1,600,000 |
$1,674,400.00 |
0.93% |
| ATLAS AIR WORLDWIDE HLDG Convertible, 2.25%, due 06/01/2022 |
049164BH8 |
1,600,000 |
$1,653,478.40 |
0.92% |
| BIOMARIN PHARMACEUTICAL Convertible, 0.599%, due 08/01/2024 |
09061GAH4 |
1,585,000 |
$1,643,958.83 |
0.91% |
| THE PRICELINE GROUP INC Coinvertible, 0.90%, due 09/15/2021 |
741503AX4 |
1,445,000 |
$1,640,342.35 |
0.91% |
| IAC FINANCECO INC Convertible, 0.875%, due 10/01/2022 |
44931RAA0 |
1,225,000 |
$1,606,080.36 |
0.89% |
| PACIRA PHARMACEUTICALS Convertible, 2.375%, due 04/01/2022 |
695127AD2 |
1,545,000 |
$1,593,077.31 |
0.89% |
| LIBERTY MEDIA CORP Convertible, 1.375%, due 10/15/2023 |
531229AB8 |
1,390,000 |
$1,540,398.00 |
0.86% |
| CREE INC Convertible, 0.875%, due 09/01/2023 |
225447AA9 |
1,550,000 |
$1,520,444.60 |
0.85% |
| SUPERNUS PHARMACEUTICALS Convertible, 0.625%, due 04/01/2023 |
868459AC2 |
1,580,000 |
$1,527,491.86 |
0.85% |
| VERINT SYSTEMS INC Convertible, 1.50%, due 06/01/2021 |
92343XAA8 |
1,535,000 |
$1,525,467.65 |
0.85% |
| ANTHEM INC Convertible, 2.75%, due 10/15/2042 |
94973VBG1 |
390,000 |
$1,519,025.45 |
0.84% |
| RH Convertible, 0%, due 06/15/2023 |
74967XAB9 |
1,580,000 |
$1,514,332.04 |
0.84% |
| MERITOR INC Convertible, 3.25%, due 10/15/2037 |
59001KAF7 |
1,690,000 |
$1,483,694.94 |
0.83% |
| BLACKSTONE MORTGAGE TRUST Convertible, 4.375%, due 05/05/2022 |
09257WAB6 |
1,425,000 |
$1,433,806.50 |
0.80% |
| IONIS PHARMACEUTICALS INC Convertible, 1%, due 11/15/2021 |
464337AJ3 |
1,350,000 |
$1,439,999.11 |
0.80% |
| TESLA INC Convertible, 2.375%, due 03/15/2022 |
88160RAD3 |
1,135,000 |
$1,435,260.85 |
0.80% |
| SAREPTA THERAPEUTICS INC Convertible, 1.50%, due 11/15/2024 |
803607AA8 |
772,000 |
$1,408,372.72 |
0.78% |
| TELADOC HEALTH INC Convertible, 1.375%, due 05/15/2025 |
87918AAD7 |
1,135,000 |
$1,402,819.14 |
0.78% |
| VISHAY INTERTECHNOLOGY Convertible, 2.25%, due 06/15/2025 |
928298AN8 |
1,530,000 |
$1,406,331.64 |
0.78% |
| VIAVI SOLUTIONS INC Convertible, 1%, due 03/01/2024 |
925550AB1 |
1,360,000 |
$1,357,742.40 |
0.76% |
| PURE STORAGE INC Convertible, 0.125%, due 04/15/2023 |
74624MAA0 |
1,410,000 |
$1,354,936.68 |
0.75% |
| AXA SA Convertible, 7.25%, due 05/15/2021 |
054536AD9 |
1,460,000 |
$1,335,393.38 |
0.74% |
| WHITING PETROLEUM CORP Convertible, 1.25%, due 04/01/2020 |
966387AL6 |
1,395,000 |
$1,329,900.93 |
0.74% |
| LIVE NATION ENTERTAINMENT Convertible, 2.50%, due 03/15/2023 |
538034AM1 |
1,215,000 |
$1,287,607.19 |
0.72% |
| NEW RELIC INC Convertible, 0.50%, due 05/01/2023 |
64829BAA8 |
1,270,000 |
$1,291,800.82 |
0.72% |
| ETSY INC Convertible, 0%, due 03/01/2023 |
29786AAA4 |
805,000 |
$1,280,956.25 |
0.71% |
| HORIZON PHARMA INV LTD 2.50%, due 03/15/2022 |
44052TAB7 |
1,285,000 |
$1,284,164.75 |
0.71% |
| TWILIO INC Convertible, 0.25%, due 06/01/2023 |
90138FAA0 |
895,000 |
$1,272,811.72 |
0.71% |
| THE PRICELINE GROUP INC Convertible, 0.35%, due 06/15/2020 |
741503AS5 |
890,000 |
$1,260,880.80 |
0.70% |
| CHESAPEAKE ENERGY CORP Convertible, 5.50%, due 09/15/2026 |
165167CY1 |
1,445,000 |
$1,244,711.44 |
0.69% |
| TWO HARBORS INV CORP Convertible, 6.25%, due 01/15/2022 |
90187BAA9 |
1,230,000 |
$1,243,758.78 |
0.69% |
| CenterPoint Energy Inc, Series B, 7.00%, Due 09/01/2021 |
CNP.B |
24,375 |
$1,225,087.50 |
0.68% |
| NUVASIVE INC Convertible, 2.25%, due 03/15/2021 |
670704AG0 |
1,095,000 |
$1,217,576.49 |
0.68% |
| Welltower Inc, Series I, 6.50% |
WELL.I |
18,215 |
$1,213,847.60 |
0.68% |
| CHEGG INC Convertible, 0.25%, due 05/15/2023 |
163092AA7 |
980,000 |
$1,197,437.52 |
0.67% |
| FIVE9 INC Convertible, 0.125%, due 05/01/2023 |
338307AA9 |
1,045,000 |
$1,202,852.48 |
0.67% |
| Intl Flavor & Fragrances, Convertible, 6%, Due 09/15/2021 |
IFFT |
22,525 |
$1,212,070.25 |
0.67% |
| MICRON TECHNOLOGY INC Convertible, 2.125%, due 02/15/2033 |
595112AV5 |
375,000 |
$1,210,473.36 |
0.67% |
| ALLSCRIPTS HEALTHCARE SOLNS Convertible, 1.25%, due 07/01/2020 |
01988PAD0 |
1,230,000 |
$1,185,395.28 |
0.66% |
| SILICON LABORATORIES INC Convertible, 1.375%, due 03/01/2022 |
826919AB8 |
1,100,000 |
$1,185,402.91 |
0.66% |
| FTI CONSULTING INC Convertible, 2%, due 08/15/2023 |
302941AN9 |
1,235,000 |
$1,158,597.96 |
0.64% |
| GUIDEWIRE SOFTWARE INC Convertible, 1.25%, due 03/15/2025 |
40171VAA8 |
1,145,000 |
$1,139,540.63 |
0.63% |
| EXACT SCIENCES CORP Convertible, 1%, due 01/15/2025 |
30063PAA3 |
920,000 |
$1,078,242.77 |
0.60% |
| QIAGEN NV Convertible, 0.50%, due 09/13/2023 |
|
1,000,000 |
$1,066,840.00 |
0.59% |
| DOCUSIGN INC Convertible, 0.50%, due 09/15/2023 |
256163AA4 |
1,125,000 |
$1,034,816.63 |
0.58% |
| FIREEYE INC Convertible, 0.875%, due 06/01/2024 |
31816QAE1 |
945,000 |
$1,035,235.22 |
0.58% |
| MOLINA HEALTHCARE INC Convertible, 1.125%, due 01/15/2020 |
60855RAC4 |
318,000 |
$1,039,772.55 |
0.58% |
| NEUROCRINE BIOSCIENCES Convertible, 2.25%, due 05/15/2024 |
64125CAD1 |
800,000 |
$1,044,984.00 |
0.58% |
| PERFICIENT INC Convertible, 2.375%, due 09/15/2023 |
71375UAA9 |
1,150,000 |
$1,047,939.80 |
0.58% |
| CAESARS ENTERTAIN CORP Convertible, 5%, due 10/01/2024 |
127686AA1 |
770,000 |
$1,018,806.26 |
0.57% |
| RINGCENTRAL INC Convertible, 0%, due 03/15/2023 |
76680RAC1 |
890,000 |
$1,031,304.41 |
0.57% |
| CHART INDUSTRIES INC Convertible, 1%, due 11/15/2024 |
16115QAD2 |
855,000 |
$1,010,739.11 |
0.56% |
| OIL STATES INTL INC Convertible, 1.50%, due 02/15/2023 |
678026AG0 |
1,135,000 |
$1,010,490.50 |
0.56% |
| RED HAT INC Convertible, 0.25%, due 10/01/2019 |
756577AD4 |
410,000 |
$987,956.50 |
0.55% |
| Bunge Ltd, 4.875% |
BGEPF |
9,500 |
$954,750.00 |
0.53% |
| KBR INC Convertible, 2.50%, due 11/01/2023 |
48242WAA4 |
1,015,000 |
$945,785.12 |
0.53% |
| Hess Corp, 8.00%, Due 02/01/2019 |
HES.A |
16,075 |
$942,316.50 |
0.52% |
| II-VI INC Convertible, 0.25%, due 09/01/2022 |
902104AB4 |
940,000 |
$928,691.80 |
0.52% |
| Stanley Black & Decker, Inc., Convertible, 5.375%, Due 05/15/2020 |
SWP |
10,125 |
$935,347.50 |
0.52% |
| WIX LTD Convertible, 0%, due 07/01/2023 |
92940WAA7 |
990,000 |
$940,500.00 |
0.52% |
| PDC ENERGY INC Convertible, 1.125%, due 09/15/2021 |
69327RAD3 |
995,000 |
$911,668.75 |
0.51% |
| TRANSOCEAN INC Convertible, 0.50%, due 01/30/2023 |
893830BJ7 |
870,000 |
$908,016.40 |
0.51% |
| WORLD WRESTLING ENTERTAINMENT Convertible, 3.375%, due 12/15/2023 |
98156QAA6 |
300,000 |
$920,638.51 |
0.51% |
| Rexnord Corp, Series A, 5.75%, Due 11/15/2019 |
RXN.A |
16,350 |
$902,193.00 |
0.50% |
| NOVELLUS SYSTEMS INC Convertible, 2.625%, due 05/15/2041 |
670008AD3 |
195,000 |
$822,968.85 |
0.46% |
| OASIS PETROLEUM INC Convertible, 2.625%, due 09/15/2023 |
674215AJ7 |
860,000 |
$824,296.24 |
0.46% |
| OKTA INC Convertible, 0.25%, due 02/15/2023 |
679295AA3 |
570,000 |
$819,630.93 |
0.46% |
| NUTANIX INC Convertible, 0%, due 01/15/2023 |
67059NAA6 |
731,000 |
$809,216.27 |
0.45% |
| AIR TRANSPORT SERVICES GROUP Convertible, 1.125%, due 10/15/2024 |
00922RAA3 |
929,000 |
$798,561.90 |
0.44% |
| Q2 HOLDINGS INC Convertible, 0.75%, due 02/15/2023 |
74736LAA7 |
730,000 |
$761,462.27 |
0.42% |
| DYCOM INDUSTRIES INC Convertible, 0.75%, due 09/15/2021 |
267475AB7 |
775,000 |
$725,761.16 |
0.40% |
| MICRON TECHNOLOGY INC Convertible, 3%, due 11/15/2043 |
595112AY9 |
595,000 |
$727,496.98 |
0.40% |
| ZILLOW INC Convertible, 2%, due 12/01/2021 |
98954MAB7 |
705,000 |
$718,471.85 |
0.40% |
| KAMAN CORP Convertible, 3.25%, due 05/01/2024 |
483548AF0 |
665,000 |
$696,711.86 |
0.39% |
| EURONET WORLDWIDE INC Convertible, 1.50%, due 10/01/2044 |
298736AH2 |
435,000 |
$672,971.97 |
0.37% |
| HUBSPOT INC Convertible, 0.25%, due 06/01/2022 |
443573AB6 |
425,000 |
$621,088.64 |
0.35% |
| CYPRESS SEMICONDUCTOR CO Convertible, 4.50%, due 01/15/2022 |
232806AM1 |
515,000 |
$610,817.32 |
0.34% |
| REALPAGE INC Convertible, 1.50%, due 11/15/2022 |
75606NAB5 |
455,000 |
$605,345.20 |
0.34% |
| ENVESTNET INC Convertible, 1.75%, due 12/15/2019 |
29404KAA4 |
440,000 |
$452,368.84 |
0.25% |
Holdings are subject to change.
* The holdings information set forth above for the date indicated reflects creation and redemption transactions from the prior business day and may differ from the holdings information currently available from the Fund's custodian and accounting agent. With respect to the market value of the Fund's holdings set forth above, the pricing sources are generally third party vendors. The Fund ultimately relies on pricing information provided by the Fund's accounting agent.
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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.
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