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Richard Bernstein Advisors Global Dividend Kings®, Series 37
Ticker Symbol: FNCZXX

55 Holdings (As of Day of Deposit)
Ticker Company Name Initial
Weight
Price*
Communication Services
T AT&T Inc. 1.99% $28.22
BCE CN BCE Inc. 2.00% 43.95
HTO GA Hellenic Telecommunications Organization S.A. 2.00% 15.38
IPG The Interpublic Group of Companies, Inc. 1.32% 26.96
9432 JP Nippon Telegraph and Telephone Corporation (NTT) 1.65% 26.04
T CN TELUS Corporation 2.01% 20.65
VZ Verizon Communications Inc. 2.02% 54.98
Consumer Staples
MO Altria Group, Inc. 2.01% 44.72
BATS LN British American Tobacco Plc 2.00% 35.42
K Kellogg Company 1.56% 57.23
PM Philip Morris International Inc. 2.02% 85.07
SPP SJ The Spar Group Limited 2.00% 12.90
ULVR LN Unilever Plc 1.12% 53.23
Energy
ENB CN Enbridge Inc. 2.00% 35.06
KEY CN Keyera Corp. 2.00% 19.64
OKE ONEOK, Inc. 2.01% 46.89
PPL CN Pembina Pipeline Corporation 2.00% 26.06
TRP CN TC Energy Corporation 1.00% 43.43
VLO Valero Energy Corporation 1.04% 76.63
Financials
ALV GY Allianz SE 2.04% 250.00
CM CN Canadian Imperial Bank of Commerce 1.49% 95.04
GWO CN Great-West Lifeco Inc. 2.00% 25.76
POW CN Power Corporation of Canada 2.01% 25.05
PRU Prudential Financial, Inc. 2.00% 89.02
SREN SW Swiss Re AG 1.99% 97.74
Health Care
ABBV AbbVie Inc. 1.98% 107.85
AMGN Amgen Inc. 1.69% 225.69
GILD Gilead Sciences, Inc. 2.01% 63.01
MRK Merck & Co., Inc. 1.39% 72.85
NOVN SW Novartis AG 1.98% 88.53
PFE Pfizer Inc. 2.00% 33.51
SNY Sanofi 1.65% 45.94
Industrials
HOT GY Hochtief AG 2.01% 89.58
Information Technology
AVGO Broadcom Inc. 1.96% 480.51
IBM International Business Machines Corporation 1.96% 120.33
WU The Western Union Company 1.99% 23.68
Materials
BAS GY BASF SE 2.02% 84.95
IP International Paper Company 1.99% 52.27
LYB LyondellBasell Industries N.V. 1.03% 107.90
Real Estate
IRM Iron Mountain Incorporated 2.01% 35.16
823 HK Link Real Estate Investment Trust 2.00% 9.19
MPW Medical Properties Trust, Inc. 1.07% 21.38
OHI Omega Healthcare Investors, Inc. 2.00% 37.20
WPC W.P. Carey Inc. 1.98% 67.87
Utilities
APA AU APA Group 2.00% 7.34
CU CN Canadian Utilities Limited 1.49% 24.10
EIX Edison International 0.52% 54.90
EMA CN Emera Incorporated 2.00% 40.96
ENG SM Enagas S.A. 2.00% 21.02
ELE SM Endesa, S.A. 2.00% 25.12
NG/ LN National Grid Plc 2.00% 11.57
OGE OGE Energy Corp. 2.00% 29.76
PPL PPL Corporation 1.99% 27.14
REE SM Red Electrica Corporacion S.A. 2.00% 16.76
TRN IM TERNA - Rete Elettrica Nazionale SpA 2.00% 6.97

* As of the close of business on 3/2/21.
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 Summary
Initial Date of Deposit 3/3/2021
Initial Public Offering Price $10.00 per Unit
Portfolio Ending Date 3/3/2023
Historical 12-Month Distribution Rate of Trust Holdings:* 4.07%
Historical 12-Month Distribution Per Unit:* $0.4070
Cash CUSIP 30318E509
Reinvestment CUSIP 30318E517
Fee Accounts Cash CUSIP 30318E525
Fee Accounts Reinvestment CUSIP 30318E533

*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. Due to the negative economic impact across many industries caused by the COVID-19 outbreak, certain issuers of the securities included in the trust may elect to reduce the amount of dividends and/or distributions paid in the future. As a result, the “Historical 12-Month Distribution Rate of Trust Holdings,” which is based on the trailing twelve-month distributions paid by the securities included in a trust, will likely be higher, and in some cases significantly higher, than the actual distribution rate achieved by the trust. 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. 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: 2.25%
Creation & Development Fee:   0.50%
Maximum Sales Charge:   2.75%
Fee/Wrap Accounts
Maximum Sales Charge:   0.50%

The deferred sales charge will be deducted in three monthly installments commencing 6/18/21.

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 $0.050 per unit collected at the end of the initial offering period. If the price you pay exceeds $10.00 per unit, the creation and development fee will be less than 0.50%; if the price you pay is less than $10.00 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 objectives, risks, and charges and expenses carefully before investing. Contact your financial professional 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 this unmanaged unit investment trust should be made with an understanding of the risks involved with owning common stocks, 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.

Certain of the securities in the portfolio are issued by Real Estate Investment Trusts (REITs). 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.

Because the portfolio is concentrated in companies headquartered in Europe, the portfolio may present more risks than a portfolio which is broadly diversified over several regions.

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.

About one year after the United Kingdom officially departed the European Union (commonly referred to as “Brexit”), the United Kingdom and the European Union reached a trade agreement that became effective on December 31, 2020. It is not currently possible to determine the extent of the impact the Brexit trade agreement may have on the portfolio’s investments and this certainly could negatively impact current and future economic conditions in the United Kingdom and other countries, which could negatively impact the value of the portfolio’s investments.

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.

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 COVID-19 global pandemic has resulted in major disruptions to economies and markets around the world. Financial markets have experienced extreme volatility and severe losses, negatively impacting global economic growth prospects. The duration of the COVID-19 outbreak and its effects cannot be determined with certainty and may exacerbate other political, social and economic risks.

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.

This UIT is a buy and hold strategy and investors should consider their ability to hold the trust until maturity. There may be tax consequences unless units are purchased in an IRA or other qualified plan.

 
Fund Cusip Information
30318E509 (Cash)
30318E517 (Reinvest)
30318E525 (Cash-Fee)
30318E533 (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.
First Trust Portfolios L.P.  Member SIPC and FINRA. (Form CRS)   •  First Trust Advisors L.P. (Form CRS)
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