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40/60 Strategic Allocation Portfolio, 1st Quarter 2020 Series
Ticker Symbol: FONGBX

Holdings (As of Day of Deposit)
Ticker Company Name Initial
Weight
Price*
Large-Cap Growth Stocks
GOOGL Alphabet Inc. 0.33% $1,440.03
ADP Automatic Data Processing, Inc. 0.33% 172.36
BBY Best Buy Co., Inc. 0.33% 91.26
CTAS Cintas Corporation 0.34% 282.85
CPRT Copart, Inc. 0.33% 96.26
COST Costco Wholesale Corporation 0.33% 299.87
DE Deere & Company 0.33% 174.74
DG Dollar General Corporation 0.33% 154.12
EW Edwards Lifesciences Corporation 0.33% 233.40
LLY Eli Lilly and Company 0.33% 138.94
EQIX Equinix, Inc. 0.34% 594.96
EL The Estee Lauder Companies Inc. 0.34% 213.47
HCA HCA Healthcare, Inc. 0.33% 147.16
HSY The Hershey Company 0.33% 149.69
LMT Lockheed Martin Corporation 0.34% 419.02
MNST Monster Beverage Corporation 0.33% 65.53
NKE NIKE, Inc. 0.33% 102.16
NOC Northrop Grumman Corporation 0.33% 376.83
OKE ONEOK, Inc. 0.33% 76.24
PEP PepsiCo, Inc. 0.33% 136.53
PSA Public Storage 0.33% 216.78
ROST Ross Stores, Inc. 0.33% 119.97
SYK Stryker Corporation 0.33% 206.89
SYY Sysco Corporation 0.33% 83.72
TGT Target Corporation 0.33% 123.87
TJX The TJX Companies, Inc. 0.33% 62.52
UNH UnitedHealth Group Incorporated 0.33% 285.85
VRTX Vertex Pharmaceuticals Incorporated 0.33% 226.49
VIAC ViacomCBS Inc. 0.33% 40.80
VMW VMware, Inc. 0.33% 152.00
Large-Cap Value Stocks
APD Air Products and Chemicals, Inc. 0.34% 236.86
ALXN Alexion Pharmaceuticals, Inc. 0.34% 113.92
ANTM Anthem, Inc. 0.33% 296.74
T AT&T Inc. 0.33% 38.10
BIIB Biogen Inc. 0.34% 293.90
CNC Centene Corporation 0.33% 63.40
CVX Chevron Corporation 0.33% 116.66
CI Cigna Corporation 0.34% 203.51
COP ConocoPhillips 0.33% 65.13
CMI Cummins Inc. 0.33% 172.49
DAL Delta Air Lines, Inc. 0.33% 59.49
DUK Duke Energy Corporation 0.33% 91.24
EA Electronic Arts Inc. 0.33% 109.82
EOG EOG Resources, Inc. 0.34% 85.52
XOM Exxon Mobil Corporation 0.33% 69.80
FITB Fifth Third Bancorp 0.33% 29.86
HRL Hormel Foods Corporation 0.33% 45.90
INTC Intel Corporation 0.33% 59.59
LHX L3Harris Technologies Inc. 0.34% 212.60
MTB M&T Bank Corporation 0.33% 166.85
MU Micron Technology, Inc. 0.33% 57.45
NEM Newmont Corporation 0.33% 42.45
PCAR PACCAR Inc 0.33% 78.06
REGN Regeneron Pharmaceuticals, Inc. 0.34% 378.93
LUV Southwest Airlines Co. 0.33% 53.99
TMUS T-Mobile US, Inc. 0.33% 79.40
TROW T. Rowe Price Group, Inc. 0.33% 131.03
TWTR Twitter, Inc. 0.33% 32.69
TSN Tyson Foods, Inc. 0.33% 93.46
WBA Walgreens Boots Alliance, Inc. 0.33% 54.06
Mid-Cap Growth Stocks
AMED Amedisys, Inc. 0.14% 176.46
ARWR Arrowhead Pharmaceuticals, Inc. 0.13% 56.66
AJG Arthur J. Gallagher & Co. 0.13% 95.37
CRI Carter’s, Inc. 0.13% 108.90
CASY Casey’s General Stores, Inc. 0.13% 168.92
COLM Columbia Sportswear Company 0.13% 97.51
CW Curtiss-Wright Corporation 0.13% 145.44
EHC Encompass Health Corporation 0.14% 76.68
ENTG Entegris, Inc. 0.13% 53.39
ERIE Erie Indemnity Company 0.13% 165.58
EXEL Exelixis, Inc. 0.13% 18.47
EXPD Expeditors International of Washington, Inc. 0.13% 77.62
FTNT Fortinet, Inc. 0.13% 116.69
GNTX Gentex Corporation 0.13% 30.17
HSIC Henry Schein, Inc. 0.13% 66.22
LANC Lancaster Colony Corporation 0.13% 162.91
LSTR Landstar System, Inc. 0.13% 113.92
LECO Lincoln Electric Holdings, Inc. 0.13% 96.73
MMS MAXIMUS, Inc. 0.13% 75.60
MOH Molina Healthcare, Inc. 0.13% 139.77
NEU NewMarket Corporation 0.13% 465.82
NVR NVR, Inc. 0.15% 3,809.51
OMC Omnicom Group Inc. 0.13% 79.68
PFGC Performance Food Group Company 0.13% 50.59
RH RH 0.13% 215.51
TTWO Take-Two Interactive Software, Inc. 0.13% 128.45
TER Teradyne, Inc. 0.13% 69.27
ULTA Ulta Beauty, Inc. 0.14% 275.70
GWW W.W. Grainger, Inc. 0.13% 344.44
WSO Watsco, Inc. 0.14% 176.33
Mid-Cap Value Stocks
AYI Acuity Brands, Inc. 0.13% 120.30
AGR Avangrid, Inc. 0.13% 50.76
XEC Cimarex Energy Co. 0.13% 52.62
CXO Concho Resources Inc. 0.13% 88.80
DHI D.R. Horton, Inc. 0.13% 53.57
FANG Diamondback Energy, Inc. 0.13% 90.48
DKS Dick’s Sporting Goods, Inc. 0.13% 49.23
ETFC E*TRADE Financial Corporation 0.13% 46.76
EWBC East West Bancorp, Inc. 0.13% 47.39
FAF First American Financial Corporation 0.13% 59.01
FCNCA First Citizens BancShares, Inc. 0.14% 528.45
FL Foot Locker, Inc. 0.13% 38.91
JBLU JetBlue Airways Corporation 0.13% 18.60
KNX Knight-Swift Transportation Holdings Inc. 0.13% 37.45
LHCG LHC Group, Inc. 0.13% 143.44
MRO Marathon Oil Corporation 0.13% 13.19
MDU MDU Resources Group, Inc. 0.13% 28.93
MHK Mohawk Industries, Inc. 0.13% 129.92
MSM MSC Industrial Direct Co., Inc. 0.13% 76.58
MUR Murphy Oil Corporation 0.13% 27.30
NUE Nucor Corporation 0.13% 53.37
ORI Old Republic International Corporation 0.13% 22.32
OSK Oshkosh Corporation 0.13% 92.13
PE Parsley Energy, Inc. 40.43
PVH PVH Corp. 0.13% 100.25
RS Reliance Steel & Aluminum Co. 0.13% 120.52
SNA Snap-on Incorporated 0.13% 167.48
STLD Steel Dynamics, Inc. 0.13% 33.25
ZION Zions Bancorporation 0.13% 51.02
Small-Cap Growth Stocks
BRC Brady Corporation 0.07% 57.89
CNS Cohen & Steers, Inc. 0.07% 65.20
DIOD Diodes Incorporated 0.06% 58.50
EVR Evercore Inc. 0.07% 74.48
EXPO Exponent, Inc. 0.06% 70.57
HMSY HMS Holdings Corp. 0.07% 30.52
HLI Houlihan Lokey, Inc. 0.07% 50.68
NSIT Insight Enterprises, Inc. 0.07% 71.63
IPAR Inter Parfums, Inc. 0.07% 72.05
IBKR Interactive Brokers Group, Inc. 0.07% 49.04
JJSF J & J Snack Foods Corp. 0.06% 185.20
LSCC Lattice Semiconductor Corporation 0.07% 22.07
LCII LCI Industries 0.07% 107.80
LAD Lithia Motors, Inc. 0.07% 143.38
FIZZ National Beverage Corp. 0.07% 46.27
NMIH NMI Holdings, Inc. 0.07% 32.28
OTTR Otter Tail Corporation 0.07% 52.44
PLXS Plexus Corp. 0.07% 78.41
PSMT PriceSmart, Inc. 0.07% 64.20
QDEL Quidel Corporation 0.07% 79.92
SAIA Saia, Inc. 0.06% 94.00
SAFM Sanderson Farms, Inc. 0.07% 174.03
SSD Simpson Manufacturing Co., Inc. 0.07% 83.05
SCL Stepan Company 0.06% 105.48
SHOO Steven Madden, Ltd. 0.07% 42.11
TXRH Texas Roadhouse, Inc. 0.07% 57.22
BLD TopBuild Corp. 0.07% 104.88
UFPI Universal Forest Products, Inc. 0.07% 49.32
WERN Werner Enterprises, Inc. 0.07% 37.46
WWW Wolverine World Wide, Inc. 0.07% 33.75
Small-Cap Value Stocks
ABM ABM Industries Incorporated 0.07% 39.22
AEO American Eagle Outfitters, Inc. 0.07% 14.60
ARNA Arena Pharmaceuticals, Inc. 0.07% 45.06
AVX AVX Corporation 0.07% 20.57
OZK Bank OZK 0.07% 30.72
BMCH BMC Stock Holdings, Inc. 0.07% 30.10
CENTA Central Garden & Pet Company 0.07% 30.15
CNX CNX Resources Corporation 0.07% 7.81
EQT EQT Corporation 0.07% 8.37
EQC Equity Commonwealth 0.07% 32.66
GHC Graham Holdings Company 0.07% 624.35
HUBG Hub Group, Inc. 0.07% 53.77
MDC M.D.C. Holdings, Inc. 0.07% 40.30
MTDR Matador Resources Company 0.07% 17.33
MTH Meritage Homes Corporation 0.07% 64.30
NFG National Fuel Gas Company 0.07% 44.84
PDCE PDC Energy, Inc. 0.07% 25.78
RBC Regal Beloit Corporation 0.07% 87.01
RNST Renasant Corporation 0.07% 34.83
RUSHA Rush Enterprises, Inc. 0.07% 45.11
SBCF Seacoast Banking Corporation of Florida 0.07% 29.83
SAVE Spirit Airlines, Inc. 0.07% 39.76
TDS Telephone and Data Systems, Inc. 0.07% 24.71
TPH TRI Pointe Group, Inc. 0.07% 15.62
UMPQ Umpqua Holdings Corporation 0.07% 18.00
USM United States Cellular Corporation 0.07% 34.97
X United States Steel Corporation 0.07% 10.72
URBN Urban Outfitters, Inc. 0.07% 26.09
VSH Vishay Intertechnology, Inc. 0.07% 21.91
WD Walker & Dunlop, Inc. 0.07% 66.44
International Stocks
ADDYY adidas AG 0.27% 173.00
BNS The Bank of Nova Scotia 0.27% 55.34
BNPQY BNP Paribas S.A. 0.27% 28.98
BTI British American Tobacco Plc 0.27% 45.40
DASTY Dassault Systemes S.E. 0.26% 171.73
ENB Enbridge Inc. 0.27% 40.27
E Eni SpA 0.27% 31.32
EQNR Equinor ASA 0.27% 20.49
ESLOY EssilorLuxottica S.A. 0.26% 77.43
HENKY Henkel AG & Co. KGaA 0.27% 23.84
HMC Honda Motor Co., Ltd. 0.27% 28.04
IBDRY Iberdrola S.A. 0.27% 40.25
IDEXY Industria de Diseno Textil, S.A. 0.27% 17.61
KDDIY KDDI Corporation 0.27% 14.99
LRLCY L’Oreal S.A. 0.27% 58.31
LIN Linde Plc 0.27% 211.80
MURGY Muenchener Rueckversicherungs-Gesellschaft AG (MunichRe) 0.26% 29.85
NTDOY Nintendo Co., Ltd. 0.27% 49.60
NTTYY Nippon Telegraph and Telephone Corporation 0.27% 50.97
NVO Novo Nordisk A/S 0.27% 58.97
RIO Rio Tinto Plc 0.27% 59.13
RHHBY Roche Holding AG 0.27% 41.17
RDS/A Royal Dutch Shell Plc 0.27% 58.96
SBGSY Schneider Electric SE 0.27% 20.39
SHECY Shin-Etsu Chemical Co., Ltd. 0.27% 27.42
SNE Sony Corporation 0.27% 71.64
SU Suncor Energy Inc. 0.27% 34.02
TOT Total S.A. 0.27% 55.40
VCISY Vinci S.A. 0.27% 27.76
VWAGY Volkswagen AG 0.27% 20.24
Exchange-Traded Funds
LMBS First Trust Low Duration Opportunities ETF 2.40% 51.93
FPE First Trust Preferred Securities and Income ETF 2.10% 20.25
FTSL First Trust Senior Loan Fund 2.70% 48.14
HYLS First Trust Tactical High Yield ETF 2.10% 48.92
BKLN Invesco Senior Loan ETF 2.70% 22.86
SHYG iShares 0-5 Year High Yield Corporate Bond ETF 2.40% 46.63
USIG iShares Broad USD Investment Grade Corporate Bond ETF 2.10% 58.53
LQD iShares iBoxx $ Investment Grade Corporate Bond ETF 2.10% 128.39
IGIB iShares Intermediate-Term Corporate Bond ETF 2.40% 58.23
IGLB iShares Long-Term Corporate Bond ETF 2.40% 67.13
MBB iShares MBS ETF 2.40% 108.43
SHV iShares Short Treasury Bond ETF 2.10% 110.50
SRLN SPDR Blackstone/GSO Senior Loan ETF 2.70% 46.77
EBND SPDR Bloomberg Barclays Emerging Markets Local Bond ETF 2.40% 27.91
JNK SPDR Bloomberg Barclays High Yield Bond ETF 2.70% 110.17
SJNK SPDR Bloomberg Barclays Short Term High Yield Bond ETF 2.70% 27.07
SPLB SPDR Portfolio Long Term Corporate Bond ETF 2.70% 30.28
SPMB SPDR Portfolio Mortgage Backed Bond ETF 2.40% 26.20
SPIP SPDR Portfolio TIPS ETF 2.10% 28.69
PSK SPDR Wells Fargo Preferred Stock ETF 2.70% 44.53
EMLC VanEck Vectors J.P. Morgan EM Local Currency Bond ETF 2.70% 33.92
VCIT Vanguard Intermediate-Term Corporate Bond ETF 2.40% 91.66
VMBS Vanguard Mortgage-Backed Securities ETF 2.40% 53.32
VTIP Vanguard Short-Term Inflation-Protected Securities Index Fund 2.10% 49.30
BNDX Vanguard Total International Bond ETF 2.10% 56.69

* As of the close of business on 1/13/20.
Market values are for reference only and are not indicative of your individual cost basis.


Not FDIC Insured • Not Bank Guaranteed • May Lose Value

Portfolio Objective

The 40/60 Strategic Allocation Portfolio is a unit investment trust that seeks above-average total return, however there is no assurance the objective will be met.

Portfolio Summary
Initial Offering Date 1/14/2020
Initial Public Offering Price $10.00 per Unit
Portfolio Ending Date 4/16/2021
Historical 12-Month Distribution Rate of Trust Holdings:* 2.77%
Historical 12-Month Distribution Per Unit:* $0.2772
Cash CUSIP 30312Q847
Reinvestment CUSIP 30312Q854
Fee Accounts Cash CUSIP 30312Q862
Fee Accounts Reinvestment CUSIP 30312Q870

*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 12-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. Distributions may include realized short term capital gains, realized long-term capital gains and/or return of capital. Certain of the issuers may have reduced their dividends or distributions over the prior 12 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.


Sales Charges (based on a $10 public offering price)
Standard Accounts
Transactional Sales Charges: Initial: 0.00%
  Deferred: 1.35%
Creation & Development Fee:   0.50%
Maximum Sales Charge:   1.85%
Fee/Wrap Accounts
Maximum Sales Charge:   0.50%

The deferred sales charge will be deducted in three monthly installments commencing 4/20/20.

When the public offering price is less than or equal to $10.00 per unit, there will be no initial sales charge. If the price exceeds $10.00 per unit, you will pay an initial sales charge.

The maximum sales charge for investors in fee accounts consists of the creation and development fee. Investors in fee accounts are not assessed any transactional sales charges. Standard accounts sales charges apply to units purchased as an ineligible asset.

The creation and development fee is a charge of $.050 per unit collected at the end of the initial offering period. If the price you pay exceeds $10 per unit, the creation and development fee will be less than 0.50%; if the price you pay is less than $10 per unit, the creation and development fee will exceed 0.50%.

In addition to the sales charges listed, UITs are subject to annual operating expenses and organization costs.

You should consider the portfolio's investment objective, risks, and charges and expenses carefully 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 portfolio. Read it carefully before you invest.

Risk Considerations

An investment in these unmanaged unit investment trusts should be made with an understanding of the risks involved with an investment in a portfolio of common stocks and/or exchange-traded funds (ETFs).

Common stocks are 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.

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. Certain ETFs may employ the use of leverage, which increases the volatility of such funds.

An investment in a portfolio containing equity securities of foreign issuers is subject to additional risks, including currency fluctuations, political risks, withholding, the lack of adequate financial information, and exchange control restrictions impacting foreign issuers.

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

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.

Large capitalization companies may grow at a slower rate than the overall market.

Certain of the ETFs invest in U.S. Treasury obligations which are subject to numerous risks including higher interest rates, economic recession and deterioration of the bond market or investors’ perceptions thereof.

Certain of the ETFs invest in high-yield securities or "junk" bonds. Investing in high-yield securities 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.

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.

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.

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.

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.

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

 
Fund Cusip Information
30312Q847 (Cash)
30312Q854 (Reinvest)
30312Q862 (Cash-Fee)
30312Q870 (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.
First Trust Portfolios L.P.  Member SIPC and FINRA.
First Trust Advisors L.P.
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