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A unit investment trust that seeks above-average capital appreciation by investing in a portfolio of companies selected by Dorsey Wright & Associates using a comprehensive evaluation process.
Please note that there is no assurance the objective will be met.
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Product Code: |
DW5036 |
Portfolio Status: |
Secondary |
Initial Offer Date: |
08/28/2019 |
Secondary Date: |
11/25/2019 |
Portfolio Ending Date: |
11/30/2020 |
Tax Structure: |
Regulated Investment Company |
Distributions: |
Semi-Annual |
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Initial Offer Price: |
$10.0000 |
NAV(*): |
$10.0919 |
POP(*): |
$10.2300 |
Remaining Deferred Sales Charge: |
$0.1350 |
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* As of Trade Date: 12/11/2019 4:00pm ET
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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.
Historical 12-Month Distribution of Trust Holdings:^ |
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^There is no guarantee the issuers of the securities included in the trust will declare dividends or distributions in the future.
The historical 12-month distribution per unit and historical 12-month distribution rate of the securities included in the trust
are for illustrative purposes only and are not indicative of the trust's distribution or distribution rate. The historical 12-month
distribution per unit is based on the weighted average of the trailing twelve month distributions paid by the securities included in
the portfolio. The historical 12-month distribution rate is calculated by dividing the historical 12-month distributions by the trust's
offering price. The historical 12-month distribution and rate are reduced to account for the effects of fees and expenses, which will
be incurred when investing in a trust. For trusts that include funds, distributions may include realized short term capital gains,
realized long-term capital gains and/or return of capital. PLEASE NOTE: For trusts that hold preferred securities, the historical
distribution rate is calculated using only the holdings that have 12 months of distribution history. Any holdings without a 12 month history
of dividends were excluded from the calculation. Certain of the issuers may have reduced their dividends or distributions over the prior
twelve months. The distribution per unit and rate paid by the trust may be higher or lower than the amount shown above due to certain
factors that may include, but are not limited to, a change in the dividends or distributions paid by issuers, actual expenses incurred,
or the sale of securities in the portfolio.
Communication Services |
3.95% |
Consumer Discretionary |
20.54% |
Consumer Staples |
3.63% |
Energy |
2.22% |
Financials |
6.05% |
Health Care |
13.30% |
Industrials |
8.27% |
Information Technology |
23.48% |
Materials |
5.77% |
Real Estate |
8.81% |
Utilities |
3.95% |
Other |
0.03% |
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Large |
Mid |
Small |
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Growth |
55.25% |
27.08% |
0.00% |
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Value |
9.65% |
7.99% |
0.00% |
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Large-Cap Growth |
55.25% |
Large-Cap Value |
9.65% |
Mid-Cap Growth |
27.08% |
Mid-Cap Value |
7.99% |
Small-Cap Growth |
0.00% |
Small-Cap Value |
0.00% |
Undetermined |
0.03% |
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U.S. Stocks |
99.97% |
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Other |
0.03% |
Non-U.S. Stocks |
0.00% |
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The style and sector characteristics of the portfolio are determined as of 12/11/2019
and will likely vary thereafter due to market fluctuations in the underlying securities. |
Weighted Average Market Cap |
$111,647.11 |
Price/Earnings |
31.40 |
Price/Book |
5.76 |
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As of 12/11/2019
All market capitalization numbers are in USD$ Millions
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Apple Inc.
| AAPL |
Information Technology
| Large-Cap Growth |
2.52%
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Amphenol Corporation
| APH |
Information Technology
| Large-Cap Growth |
2.38%
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ANSYS, Inc.
| ANSS |
Information Technology
| Large-Cap Growth |
2.34%
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NIKE, Inc. (Class B)
| NKE |
Consumer Discretionary
| Large-Cap Growth |
2.29%
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Broadcom Inc.
| AVGO |
Information Technology
| Large-Cap Growth |
2.28%
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AMETEK, Inc.
| AME |
Industrials
| Large-Cap Growth |
2.27%
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Wyndham Destinations, Inc.
| WYND |
Consumer Discretionary
| Mid-Cap Growth |
2.25%
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HollyFrontier Corporation
| HFC |
Energy
| Mid-Cap Value |
2.22%
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Monolithic Power Systems, Inc.
| MPWR |
Information Technology
| Mid-Cap Growth |
2.22%
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The Sherwin-Williams Company
| SHW |
Materials
| Large-Cap Growth |
2.21%
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O'Reilly Automotive, Inc.
| ORLY |
Consumer Discretionary
| Large-Cap Growth |
2.19%
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TransDigm Group Incorporated
| TDG |
Industrials
| Large-Cap Growth |
2.19%
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The TJX Companies, Inc.
| TJX |
Consumer Discretionary
| Large-Cap Growth |
2.15%
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Ross Stores, Inc.
| ROST |
Consumer Discretionary
| Large-Cap Growth |
2.14%
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Tyler Technologies, Inc.
| TYL |
Information Technology
| Mid-Cap Growth |
2.14%
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MSCI Inc.
| MSCI |
Financials
| Large-Cap Growth |
2.14%
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Facebook, Inc. (Class A)
| FB |
Communication Services
| Large-Cap Growth |
2.11%
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NextEra Energy, Inc.
| NEE |
Utilities
| Large-Cap Value |
2.07%
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Mastercard Incorporated
| MA |
Information Technology
| Large-Cap Growth |
2.07%
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Churchill Downs Incorporated
| CHDN |
Consumer Discretionary
| Mid-Cap Growth |
2.05%
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Moody's Corporation
| MCO |
Financials
| Large-Cap Growth |
2.04%
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Edwards Lifesciences Corporation
| EW |
Health Care
| Large-Cap Growth |
2.02%
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Ashland Global Holdings Inc.
| ASH |
Materials
| Mid-Cap Value |
2.02%
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Becton, Dickinson and Company
| BDX |
Health Care
| Large-Cap Value |
2.00%
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Adobe Incorporated
| ADBE |
Information Technology
| Large-Cap Growth |
2.00%
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Visa Inc. (Class A)
| V |
Information Technology
| Large-Cap Growth |
1.99%
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McCormick & Company, Incorporated
| MKC |
Consumer Staples
| Large-Cap Growth |
1.96%
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Masimo Corporation
| MASI |
Health Care
| Mid-Cap Growth |
1.94%
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West Pharmaceutical Services, Inc.
| WST |
Health Care
| Mid-Cap Growth |
1.93%
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Amazon.com, Inc.
| AMZN |
Consumer Discretionary
| Large-Cap Growth |
1.92%
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Lockheed Martin Corporation
| LMT |
Industrials
| Large-Cap Growth |
1.91%
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Chemed Corporation
| CHE |
Health Care
| Mid-Cap Growth |
1.91%
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Roper Technologies, Inc.
| ROP |
Industrials
| Large-Cap Value |
1.90%
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Atmos Energy Corporation
| ATO |
Utilities
| Mid-Cap Value |
1.88%
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Service Corporation International
| SCI |
Consumer Discretionary
| Mid-Cap Growth |
1.88%
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Cadence Design Systems, Inc.
| CDNS |
Information Technology
| Mid-Cap Growth |
1.88%
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CoreSite Realty Corporation
| COR |
Real Estate
| Mid-Cap Growth |
1.88%
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W.R. Berkley Corporation
| WRB |
Financials
| Mid-Cap Value |
1.87%
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The Home Depot, Inc.
| HD |
Consumer Discretionary
| Large-Cap Growth |
1.86%
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The Cooper Companies, Inc.
| COO |
Health Care
| Mid-Cap Growth |
1.85%
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Essex Property Trust, Inc.
| ESS |
Real Estate
| Large-Cap Value |
1.84%
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T-Mobile US, Inc.
| TMUS |
Communication Services
| Large-Cap Value |
1.84%
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Hasbro, Inc.
| HAS |
Consumer Discretionary
| Mid-Cap Growth |
1.81%
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American Tower Corporation
| AMT |
Real Estate
| Large-Cap Growth |
1.74%
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SBA Communications Corporation
| SBAC |
Real Estate
| Large-Cap Growth |
1.68%
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Church & Dwight Co., Inc.
| CHD |
Consumer Staples
| Mid-Cap Growth |
1.67%
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Extra Space Storage Inc.
| EXR |
Real Estate
| Mid-Cap Growth |
1.67%
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Intuit Inc.
| INTU |
Information Technology
| Large-Cap Growth |
1.66%
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IDEXX Laboratories, Inc.
| IDXX |
Health Care
| Large-Cap Growth |
1.65%
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Ball Corporation
| BLL |
Materials
| Large-Cap Growth |
1.54%
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Total Number of Holdings: 50 |
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Underlying Securities information represented above is as of 12/11/2019 but will vary with future fluctuations in the market. |
Deferred Sales Charge Schedule |
$0.04500
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December 20, 2019
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$0.04500
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January 17, 2020
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$0.04500
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February 20, 2020
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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. 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. 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. 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 cybersecurity.
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.
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30311G808 |
(Cash) |
30311G865 |
(Reinvest) |
30311G873 |
(Cash-Fee) |
30311G881 |
(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 advisors 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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