Home   Logon   Mobile Site   Research and Commentary   About Us   Call 1.800.621.1675 or Email Us       Follow Us: 

Search by Ticker, Keyword or CUSIP       
 
 

SMid Biotechnology, 4  Ticker: FJSUCX
 
Description
A unit investment trust that seeks to provide above average capital appreciation by investing in a concentrated portfolio of small and mid-cap biotechnology companies.
Please note that there is no assurance the objective will be met.
 
Summary
Product Code: SMBT4
Portfolio Status: Secondary
Initial Offer Date: 11/14/2018
Secondary Date: 02/19/2019
Portfolio Ending Date: 02/14/2020
Tax Structure: Regulated Investment Company
Distributions: Semi-Annual
 
Initial Offer Price: $10.0000
NAV(*): $11.1203
POP(*): $11.2725
Remaining Deferred Sales Charge: $0.0900
* As of Trade Date: 03/15/2019 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.

 Holdings Analysis Click here to Perform a Benchmark Comparison  
 Sector Weighting
Communication Services  Communication Services 0.00%
Consumer Discretionary  Consumer Discretionary 0.00%
Consumer Staples  Consumer Staples 0.00%
Energy  Energy 0.00%
Financials  Financials 0.00%
Health Care  Health Care 99.71%
Industrials  Industrials 0.00%
Information Technology  Information Technology 0.00%
Materials  Materials 0.00%
Real Estate  Real Estate 0.00%
Utilities  Utilities 0.00%
Other  Other 0.29%
 
  Large Mid Small  
Growth  3.02% 46.64% 47.71%  
Value  0.00% 2.34% 0.00%  

 Style Weighting
Large-Cap Growth 3.02%
Large-Cap Value 0.00%
Mid-Cap Growth 46.64%
Mid-Cap Value 2.34%
Small-Cap Growth 47.71%
Small-Cap Value 0.00%
Undetermined 0.29%
 Composition
U.S. Stocks 86.18%   Other 0.29%
Non-U.S. Stocks 13.53%      
The style and sector characteristics of the portfolio are determined as of 03/15/2019 and will likely vary thereafter due to market fluctuations in the underlying securities.  

 Key Stats
Weighted Average Market Cap $5,128.57
Weighted Average Price/Earnings
Weighted Average Price/Book 5.59
As of 3/15/2019
All market capitalization numbers are in USD$ Millions

 Holdings  Export Current Holdings | View Initial Holdings  
NameSymbolSectorStyleWeighting
 Array BioPharma Inc. ARRY Health Care  Health Care Mid-Cap Growth 3.64%
 Exelixis, Inc. EXEL Health Care  Health Care Mid-Cap Growth 3.33%
 Sage Therapeutics, Inc. SAGE Health Care  Health Care Mid-Cap Growth 3.31%
 argenx SE (ADR) ARGX Health Care  Health Care Mid-Cap Growth 3.26%
 Blueprint Medicines Corporation BPMC Health Care  Health Care Mid-Cap Growth 3.24%
 FibroGen, Inc. FGEN Health Care  Health Care Mid-Cap Growth 3.14%
 Global Blood Therapeutics, Inc. GBT Health Care  Health Care Small-Cap Growth 3.14%
 Arena Pharmaceuticals, Inc. ARNA Health Care  Health Care Small-Cap Growth 3.12%
 Exact Sciences Corporation EXAS Health Care  Health Care Mid-Cap Growth 3.09%
 Seattle Genetics, Inc. SGEN Health Care  Health Care Mid-Cap Growth 3.09%
 Alnylam Pharmaceuticals, Inc. ALNY Health Care  Health Care Mid-Cap Growth 3.07%
 Incyte Corporation INCY Health Care  Health Care Large-Cap Growth 3.02%
 Amarin Corporation Plc (ADR) AMRN Health Care  Health Care Mid-Cap Growth 3.00%
 bluebird bio, Inc. BLUE Health Care  Health Care Mid-Cap Growth 2.98%
 Enanta Pharmaceuticals, Inc. ENTA Health Care  Health Care Small-Cap Growth 2.97%
 Amicus Therapeutics, Inc. FOLD Health Care  Health Care Small-Cap Growth 2.91%
 BeiGene, Ltd. (ADR) BGNE Health Care  Health Care Mid-Cap Growth 2.71%
 PTC Therapeutics, Inc. PTCT Health Care  Health Care Small-Cap Growth 2.56%
 Myriad Genetics, Inc. MYGN Health Care  Health Care Small-Cap Growth 2.54%
 Sarepta Therapeutics, Inc. SRPT Health Care  Health Care Mid-Cap Growth 2.49%
 CRISPR Therapeutics AG CRSP Health Care  Health Care Small-Cap Growth 2.39%
 Halozyme Therapeutics, Inc. HALO Health Care  Health Care Small-Cap Growth 2.35%
 United Therapeutics Corporation UTHR Health Care  Health Care Mid-Cap Value 2.34%
 AnaptysBio, Inc. ANAB Health Care  Health Care Small-Cap Growth 2.34%
 Immunomedics, Inc. IMMU Health Care  Health Care Small-Cap Growth 2.23%
 Agios Pharmaceuticals, Inc. AGIO Health Care  Health Care Mid-Cap Growth 2.22%
 Galapagos N.V. (ADR) GLPG Health Care  Health Care Mid-Cap Growth 2.17%
 Eagle Pharmaceuticals, Inc. EGRX Health Care  Health Care Small-Cap Growth 2.10%
 Repligen Corporation RGEN Health Care  Health Care Small-Cap Growth 2.08%
 Acceleron Pharma Inc. XLRN Health Care  Health Care Small-Cap Growth 2.08%
 Sangamo Therapeutics, Inc. SGMO Health Care  Health Care Small-Cap Growth 2.04%
 Heron Therapeutics, Inc. HRTX Health Care  Health Care Small-Cap Growth 1.98%
 Neurocrine Biosciences, Inc. NBIX Health Care  Health Care Mid-Cap Growth 1.90%
 Editas Medicine, Inc. EDIT Health Care  Health Care Small-Cap Growth 1.90%
 Aimmune Therapeutics, Inc. AIMT Health Care  Health Care Small-Cap Growth 1.87%
 Vanda Pharmaceuticals Inc. VNDA Health Care  Health Care Small-Cap Growth 1.83%
 Ligand Pharmaceuticals Inc. (Class B) LGND Health Care  Health Care Small-Cap Growth 1.81%
 Spectrum Pharmaceuticals, Inc. SPPI Health Care  Health Care Small-Cap Growth 1.77%
 Emergent BioSolutions Inc. EBS Health Care  Health Care Small-Cap Growth 1.70%
 
Total Number of Holdings:    39
Underlying Securities information represented above is as of 03/15/2019 but will vary with future fluctuations in the market.

 Deferred Sales Charge Schedule
Amount Date
$0.04500 February 20, 2019
$0.04500 March 20, 2019
$0.04500 April 18, 2019

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.

Biotechnology Risk. The companies engaged in the biotechnology and pharmaceutical sectors are subject to fierce competition, substantial research and development costs, governmental regulations and pricing constraints, and their products and services may be subject to rapid obsolescence. Biotechnology and pharmaceutical stocks have experienced extreme price and volume fluctuations that are often unrelated to their operating performance. In addition, implementation of the Health Care and Education Affordability Reconciliation Act of 2010 continues to have significant implications for companies in the health care sector.

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

Pharmaceutical Risk. The companies engaged in the pharmaceutical sector are subject to fierce competition, substantial research and development costs, governmental regulations, pricing constraints, and their products and services may be subject to rapid obsolescence.

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.

Term Risk - 15 months. Although this unit investment trust terminates in approximately 15 months, 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.

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.

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 cyber security.

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.

Fund Cusip Information
30310G445 (Cash)
30310G452 (Reinvest)
30310G460 (Cash-Fee)
30310G478 (Reinvest-Fee)
Printer Friendly Page Printer Friendly Page

 
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 advisors are responsible for evaluating investment risks independently and for exercising independent judgment in determining whether investments are appropriate for their clients.
First Trust Portfolios L.P.  Member SIPC and FINRA.
First Trust Advisors L.P.
Home |  Important Legal Information |  Privacy Policy |  Business Continuity Plan |  FINRA BrokerCheck
Copyright © 2019 All rights reserved.