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Technology Dividend Buy-Write Portfolio, Series 9
Ticker Symbol: FUUKFX

54 Holdings (As of Day of Deposit)
Ticker Company Name Initial
Weight
Price1
Equity Securities
ACN Accenture Plc 3.88% $274.16
ADI Analog Devices, Inc. 4.53% 159.92
AVGO Broadcom Inc. 4.04% 570.57
CSCO Cisco Systems, Inc. 4.28% 48.36
CTSH Cognizant Technology Solutions Corporation 3.97% 70.23
GLW Corning Incorporated 4.22% 34.06
FIS Fidelity National Information Services, Inc. 4.11% 96.73
HPE Hewlett Packard Enterprise Company 4.13% 15.76
HPQ HP Inc. 4.04% 36.85
INTC Intel Corporation 4.04% 42.35
IBM International Business Machines Corporation 3.76% 132.94
JNPR Juniper Networks, Inc. 4.12% 29.85
KLAC KLA Corporation 4.72% 333.85
LRCX Lam Research Corporation 3.38% 477.48
MCHP Microchip Technology Incorporated 4.21% 66.14
MSFT Microsoft Corporation 3.59% 254.08
NTAP NetApp, Inc. 4.00% 70.73
NXPI NXP Semiconductors N.V. 3.72% 175.39
ORCL Oracle Corporation 3.87% 68.30
PAYX Paychex, Inc. 4.15% 117.44
QCOM QUALCOMM Incorporated 3.69% 130.45
STX Seagate Technology Holdings Plc 4.16% 84.10
SWKS Skyworks Solutions, Inc. 4.32% 101.79
TSM Taiwan Semiconductor Manufacturing Company Ltd. 3.84% 90.53
TXN Texas Instruments Incorporated 3.61% 170.30
Description of Call Options Call Premium2
LEAPS
ACN 01/19/24 Accenture Plc C 330 -0.40% $2,838.00
ADI 01/19/24 Analog Devices, Inc. C 195 -0.36% 1,260.00
AVGO 01/19/24 Broadcom Inc. C 680 -0.38% 5,420.00
CSCO 01/19/24 Cisco Systems, Inc. C 57.50 -0.31% 355.00
CTSH 01/19/24 Cognizant Technology Solutions Corporation C 85 -0.32% 560.00
GLW 01/19/24 Corning Incorporated C 42 -0.33% 265.00
FIS 01/19/24 Fidelity National Information Services, Inc. C 115 -0.38% 890.00
HPE 01/19/24 Hewlett Packard Enterprise Company C 20 -0.32% 123.00
HPQ 01/19/24 HP Inc. C 45 -0.52% 470.00
INTC 01/19/24 Intel Corporation C 50 -0.46% 477.00
IBM 01/19/24 International Business Machines Corporation C 160 -0.23% 825.00
JNPR 01/19/24 Juniper Networks, Inc. C 37 -0.26% 185.00
KLAC 01/19/24 KLA Corporation C 400 -0.59% 4,160.00
LRCX 01/19/24 Lam Research Corporation C 580 -0.46% 6,550.00
MCHP 01/19/24 Microchip Technology Incorporated C 80 -0.53% 830.00
MSFT 01/19/24 Microsoft Corporation C 310 -0.33% 2,299.00
NTAP 01/19/24 NetApp, Inc. C 85 -0.43% 760.00
NXPI 01/19/24 NXP Semiconductors N.V. C 210 -0.47% 2,220.00
ORCL 01/19/24 Oracle Corporation C 82.50 -0.35% 610.00
PAYX 01/19/24 Paychex, Inc. C 140 -0.26% 730.00
QCOM 01/19/24 QUALCOMM Incorporated C 160 -0.46% 1625.00
STX 01/19/24 Seagate Technology Holdings Plc C 100 -0.46% 930.00
SWKS 01/19/24 Skyworks Solutions, Inc. C 125 -0.50% 1,180.00
TSM 01/19/24 Taiwan Semiconductor Manufacturing Company Ltd. C 110 -0.39% 930.00
TXN 01/19/24 Texas Instruments Incorporated C 210 -0.23% 1,090.00
Treasury Obligations
U.S. Treasury Note, 0.125%, due 08/31/2022 2.33%  
U.S. Treasury Note, 1.625%, due 11/15/2022 2.34%  
U.S. Treasury Note, 2.625%, due 02/28/2023 2.35%  
U.S. Treasury Note, 1.75%, due 05/15/2023 2.33%  

1 As of the close of business on 5/18/22.
Market values are for reference only and are not indicative of your individual cost basis.

2 Represents market value per contract. Each contract entitles the holder to purchase 100 shares of common stock at the strike price.


Not FDIC Insured • Not Bank Guaranteed • May Lose Value


Portfolio Summary
Initial Date of Deposit 5/19/2022
Initial Public Offering Price $10.00 per Unit
Portfolio Ending Date 1/24/2024
Estimated Strike Price of the LEAPS as a % of the Market Price of the Common Stocks 121.13%
Historical 12-Month Distribution Rate of Trust Holdings* 1.94%
Historical 12-Month Distribution Per Unit* $0.1941
CUSIP 30326N822
Fee Account Cash CUSIP 30326N830

*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. 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 (C&D 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 8/19/22. 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 C&D 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 C&D 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 C&D fee will be less than 0.50%; if the price you pay is less than $10.00 per unit, the C&D 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 the understanding of the risks involved with common stocks, LEAPS, and U.S. Treasury notes.

Common stocks are subject to 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.

The value of U.S. Treasury notes will be adversely affected by decreases in bond prices and increases in interest rates.

The value of the LEAPS is deducted from the value of the portfolio assets when determining the value of a unit. As the value of the LEAPS increases, it has a more negative impact on the value of the units. The value of the LEAPS will also be affected by changes in the value and dividend rates of the underlying stocks, an increase in interest rates, a change in the actual and perceived volatility of the stock market and the stocks and the remaining time to expiration. Additionally, the value of the LEAPS does not increase or decrease at the same rate as the underlying stock. However, as the LEAPS approach their expiration date, their value increasingly moves with the price of the stock.

Options are subject to various risks including that their value may be adversely affected if the market for the option becomes less liquid or smaller. In addition, options will be affected by changes in the value and dividend rates of the stock subject to the option, an increase in interest rates, a change in the actual and perceived volatility of the stock market and the common stock and the remaining time to expiration.

You should be aware that the portfolio is concentrated in stocks in the information technology sector which involves additional risks, including limited diversification. The companies engaged in the information technology sector are subject to fierce competition, high research and development costs, and their products and services may be subject to rapid obsolescence. Technology company stocks, especially those which are Internet-related, may experience extreme price and volume fluctuations that are often unrelated to their operating performance.

Securities of non-U.S. issuers are subject to additional risks, including currency fluctuations, political risks, withholding, the lack of adequate financial information, and exchange control restrictions impacting non- U.S. issuers.

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.

In February 2022, Russia invaded Ukraine which has caused and could continue to cause significant market disruptions and volatility within the markets in Russia, Europe, and the United States. The hostilities and sanctions resulting from those hostilities could have a significant impact on certain investments as well as performance.

The COVID-19 global pandemic has caused and may continue to cause significant volatility and declines in global financial markets. While the U.S. has resumed “reasonably” normal business activity, many countries continue to impose lockdown measures. Additionally, there is no guarantee that vaccines will be effective against emerging variants of the disease.

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
30326N822 (Cash)
30326N830 (Cash-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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