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A unit investment trust that seeks above-average total return; however, there is no assurance the objective will be met. The stocks in the portfolio are selected by applying a disciplined investment strategy which adheres to pre-determined factors.
Please note that there is no assurance the objective will be met.
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Product Code: |
TR4Q20 |
Portfolio Status: |
Secondary |
Initial Offer Date: |
10/12/2020 |
Secondary Date: |
01/11/2021 |
Portfolio Ending Date: |
01/07/2022 |
Tax Structure: |
Regulated Investment Company |
Distributions: |
Semi-Annual |
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Initial Offer Price: |
$10.0000 |
NAV(*): |
$11.5672 |
POP(*): |
$11.7255 |
Remaining Deferred Sales Charge: |
$0.0900 |
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* As of Trade Date: 01/22/2021 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. 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 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.
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. For trusts that include funds, distributions may include realized short term
capital gains, realized long-term capital gains and/or return of capital.
Communication Services |
7.53% |
Consumer Discretionary |
14.60% |
Consumer Staples |
6.18% |
Energy |
9.82% |
Financials |
8.04% |
Health Care |
14.51% |
Industrials |
10.01% |
Information Technology |
16.03% |
Materials |
9.78% |
Real Estate |
0.00% |
Utilities |
2.80% |
Other |
0.70% |
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Large |
Mid |
Small |
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Growth |
23.65% |
16.14% |
1.76% |
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Value |
21.29% |
22.77% |
13.69% |
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Large-Cap Growth |
23.65% |
Large-Cap Value |
21.29% |
Mid-Cap Growth |
16.14% |
Mid-Cap Value |
22.77% |
Small-Cap Growth |
1.76% |
Small-Cap Value |
13.69% |
Undetermined |
0.70% |
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U.S. Stocks |
76.48% |
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Other |
0.70% |
Non-U.S. Stocks |
22.82% |
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The style and sector characteristics of the portfolio are determined as of 01/21/2021
and will likely vary thereafter due to market fluctuations in the underlying securities. |
Weighted Average Market Cap |
$95,373.54 |
Price/Earnings |
17.73 |
Price/Book |
2.02 |
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As of 1/21/2021
All market capitalization numbers are in USD$ Millions
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Enphase Energy, Inc.
| ENPH |
Information Technology
| Large-Cap Growth |
3.36%
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CRISPR Therapeutics AG
| CRSP |
Health Care
| Mid-Cap Growth |
3.27%
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Darling Ingredients Inc.
| DAR |
Consumer Staples
| Mid-Cap Value |
2.79%
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Howmet Aerospace Inc.
| HWM |
Industrials
| Mid-Cap Value |
2.40%
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Cheniere Energy, Inc.
| LNG |
Energy
| Mid-Cap Growth |
2.32%
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United Rentals, Inc.
| URI |
Industrials
| Mid-Cap Value |
2.17%
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Cadence Design Systems, Inc.
| CDNS |
Information Technology
| Large-Cap Growth |
2.11%
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Trex Company, Inc.
| TREX |
Industrials
| Mid-Cap Growth |
2.10%
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Avantor, Inc.
| AVTR |
Health Care
| Mid-Cap Growth |
2.10%
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Apple Inc.
| AAPL |
Information Technology
| Large-Cap Growth |
1.99%
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Square, Inc. (Class A)
| SQ |
Information Technology
| Large-Cap Growth |
1.98%
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ServiceNow, Inc.
| NOW |
Information Technology
| Large-Cap Growth |
1.86%
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The Sherwin-Williams Company
| SHW |
Materials
| Large-Cap Growth |
1.83%
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Bio-Rad Laboratories, Inc. (Class A)
| BIO |
Health Care
| Mid-Cap Value |
1.83%
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eBay Inc.
| EBAY |
Consumer Discretionary
| Large-Cap Growth |
1.82%
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Pool Corporation
| POOL |
Consumer Discretionary
| Mid-Cap Growth |
1.82%
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Netflix, Inc.
| NFLX |
Communication Services
| Large-Cap Growth |
1.80%
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Lowe's Companies, Inc.
| LOW |
Consumer Discretionary
| Large-Cap Growth |
1.71%
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Facebook, Inc. (Class A)
| FB |
Communication Services
| Large-Cap Value |
1.69%
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Ollie's Bargain Outlet Holdings, Inc.
| OLLI |
Consumer Discretionary
| Mid-Cap Growth |
1.68%
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D.R. Horton, Inc.
| DHI |
Consumer Discretionary
| Large-Cap Value |
1.64%
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PulteGroup, Inc.
| PHM |
Consumer Discretionary
| Mid-Cap Value |
1.62%
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DexCom, Inc.
| DXCM |
Health Care
| Large-Cap Growth |
1.60%
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Horizon Therapeutics Plc
| HZNP |
Health Care
| Mid-Cap Value |
1.56%
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S&P Global Inc.
| SPGI |
Financials
| Large-Cap Growth |
1.48%
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Barrick Gold Corporation
| GOLD |
Materials
| Large-Cap Value |
1.46%
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Kinross Gold Corporation
| KGC |
Materials
| Mid-Cap Value |
1.39%
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B2Gold Corp.
| BTG |
Materials
| Mid-Cap Value |
1.32%
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Zoom Video Communications, Inc. (Class A)
| ZM |
Information Technology
| Large-Cap Growth |
1.31%
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Quidel Corporation
| QDEL |
Health Care
| Mid-Cap Growth |
1.29%
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Dillard's, Inc. (Class A)
| DDS |
Consumer Discretionary
| Small-Cap Value |
1.15%
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Carpenter Technology Corporation
| CRS |
Materials
| Small-Cap Value |
1.15%
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Sinclair Broadcast Group, Inc.
| SBGI |
Communication Services
| Small-Cap Growth |
1.02%
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Imperial Oil Limited
| IMO |
Energy
| Mid-Cap Value |
1.02%
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Delek US Holdings, Inc.
| DK |
Energy
| Small-Cap Value |
1.00%
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ViacomCBS Inc.
| VIAC |
Communication Services
| Large-Cap Value |
0.95%
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EOG Resources, Inc.
| EOG |
Energy
| Large-Cap Value |
0.92%
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Ryder System, Inc.
| R |
Industrials
| Small-Cap Value |
0.92%
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Lincoln National Corporation
| LNC |
Financials
| Mid-Cap Value |
0.91%
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Magna International Inc. (Class A)
| MGA |
Consumer Discretionary
| Mid-Cap Value |
0.91%
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Air Lease Corporation
| AL |
Industrials
| Mid-Cap Value |
0.89%
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Graham Holdings Company
| GHC |
Consumer Discretionary
| Small-Cap Value |
0.87%
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Citizens Financial Group, Inc.
| CFG |
Financials
| Mid-Cap Value |
0.86%
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Trinity Industries, Inc.
| TRN |
Industrials
| Small-Cap Value |
0.85%
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Unum Group
| UNM |
Financials
| Mid-Cap Value |
0.84%
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HollyFrontier Corporation
| HFC |
Energy
| Small-Cap Value |
0.84%
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MetLife, Inc.
| MET |
Financials
| Large-Cap Value |
0.81%
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NRG Energy, Inc.
| NRG |
Utilities
| Mid-Cap Growth |
0.80%
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AbbVie Inc.
| ABBV |
Health Care
| Large-Cap Growth |
0.80%
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Walgreens Boots Alliance, Inc.
| WBA |
Consumer Staples
| Large-Cap Value |
0.80%
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The Andersons, Inc.
| ANDE |
Consumer Staples
| Small-Cap Value |
0.79%
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Hewlett Packard Enterprise Company
| HPE |
Information Technology
| Mid-Cap Value |
0.77%
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Seagate Technology Plc
| STX |
Information Technology
| Mid-Cap Growth |
0.76%
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Steel Dynamics, Inc.
| STLD |
Materials
| Mid-Cap Value |
0.75%
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LyondellBasell Industries N.V.
| LYB |
Materials
| Large-Cap Value |
0.75%
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Hollysys Automation Technologies Ltd.
| HOLI |
Information Technology
| Small-Cap Value |
0.75%
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Phibro Animal Health Corporation (Class A)
| PAHC |
Health Care
| Small-Cap Growth |
0.74%
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Universal Corporation
| UVV |
Consumer Staples
| Small-Cap Value |
0.73%
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Tyson Foods, Inc. (Class A)
| TSN |
Consumer Staples
| Large-Cap Value |
0.70%
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Juniper Networks, Inc.
| JNPR |
Information Technology
| Mid-Cap Value |
0.70%
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Kronos Worldwide, Inc.
| KRO |
Materials
| Small-Cap Value |
0.69%
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Telephone and Data Systems, Inc.
| TDS |
Communication Services
| Small-Cap Value |
0.68%
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Exelon Corporation
| EXC |
Utilities
| Large-Cap Value |
0.68%
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NorthWestern Corporation
| NWE |
Utilities
| Small-Cap Value |
0.68%
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The Greenbrier Companies, Inc.
| GBX |
Industrials
| Small-Cap Value |
0.68%
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National HealthCare Corporation
| NHC |
Health Care
| Small-Cap Value |
0.66%
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AT&T Inc.
| T |
Communication Services
| Large-Cap Value |
0.64%
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South Jersey Industries, Inc.
| SJI |
Utilities
| Small-Cap Value |
0.64%
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Pfizer Inc.
| PFE |
Health Care
| Large-Cap Value |
0.62%
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Big Lots, Inc.
| BIG |
Consumer Discretionary
| Small-Cap Value |
0.61%
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Banco Bilbao Vizcaya Argentaria, S.A. (ADR)
| BBVA |
Financials
| Large-Cap Value |
0.58%
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Royal Dutch Shell Plc (ADR)
| RDS/A |
Energy
| Large-Cap Value |
0.51%
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Barclays Plc (ADR)
| BCS |
Financials
| Large-Cap Value |
0.48%
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Petroleo Brasileiro S.A. - Petrobras (ADR)
| PBR |
Energy
| Large-Cap Value |
0.48%
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Suncor Energy Inc.
| SU |
Energy
| Large-Cap Value |
0.47%
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BP Plc (ADR)
| BP |
Energy
| Large-Cap Value |
0.46%
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Canadian Natural Resources Limited
| CNQ |
Energy
| Large-Cap Value |
0.46%
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Ecopetrol S.A. (ADR)
| EC |
Energy
| Large-Cap Value |
0.46%
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Lloyds Banking Group Plc (ADR)
| LYG |
Financials
| Large-Cap Value |
0.45%
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Equinor ASA
| EQNR |
Energy
| Large-Cap Value |
0.45%
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Canon Inc. (ADR)
| CAJ |
Information Technology
| Large-Cap Value |
0.44%
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Credit Suisse Group AG (ADR)
| CS |
Financials
| Large-Cap Value |
0.44%
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Nutrien Ltd.
| NTR |
Materials
| Large-Cap Value |
0.44%
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Total SE (ADR)
| TOT |
Energy
| Large-Cap Value |
0.43%
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UBS Group AG
| UBS |
Financials
| Large-Cap Value |
0.43%
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ING Groep N.V. (ADR)
| ING |
Financials
| Large-Cap Value |
0.40%
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Telefonica, S.A. (ADR)
| TEF |
Communication Services
| Large-Cap Value |
0.39%
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Honda Motor Co., Ltd. (ADR)
| HMC |
Consumer Discretionary
| Large-Cap Value |
0.39%
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Toyota Motor Corporation (ADR)
| TM |
Consumer Discretionary
| Large-Cap Value |
0.38%
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British American Tobacco Plc (ADR)
| BTI |
Consumer Staples
| Large-Cap Value |
0.37%
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Orange (ADR)
| ORAN |
Communication Services
| Large-Cap Value |
0.36%
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Mizuho Financial Group, Inc. (ADR)
| MFG |
Financials
| Large-Cap Value |
0.36%
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Viatris Inc.
| VTRS |
Health Care
| Mid-Cap Value |
0.04%
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Total Number of Holdings: 93 |
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Underlying Securities information represented above is as of 01/21/2021 but will vary with future fluctuations in the market. |
Deferred Sales Charge Schedule |
$0.04500
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January 20, 2021
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$0.04500
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February 19, 2021
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$0.04500
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March 19, 2021
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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. COVID-19 Economic Impact Risk. 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.
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. Large-Cap Risk. Large capitalization companies may grow at a slower rate than the overall market. 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 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 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.
Source ICE Data Indices, LLC, is used with permission. "NYSE®" is a service/trade mark of ICE Data Indices, LLC or its affiliates and has been licensed, along with the NYSE® International 100 Index ("Index") for use by First Trust Portfolios L.P. Neither First Trust Portfolios L.P. nor the product, as applicable, is sponsored, endorsed, sold or promoted by ICE Data Indices, LLC, its affiliates or its Third Party Suppliers ("ICE Data and its Suppliers"). ICE Data and its Suppliers make no representations or warranties regarding the advisability of investing in securities generally, in the Product particularly, or the ability of the Index to track general market performance. Past performance of an Index is not an indicator of or a guarantee of future results.
ICE DATA AND ITS SUPPLIERS DISCLAIM ANY AND ALL WARRANTIES AND REPRESENTATIONS, EXPRESS AND/OR IMPLIED, INCLUDING ANY WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OR USE, INCLUDING THE INDICES, INDEX DATA AND ANY INFORMATION INCLUDED IN, RELATED TO, OR DERIVED THEREFROM ("INDEX DATA"). ICE DATA AND ITS SUPPLIERS SHALL NOT BE SUBJECT TO ANY DAMAGES OR LIABILITY WITH RESPECT TO THE ADEQUACY, ACCURACY, TIMELINESS OR COMPLETENESS OF THE INDICES AND THE INDEX DATA, WHICH ARE PROVIDED ON AN "AS IS" BASIS AND YOUR USE IS AT YOUR OWN RISK.
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30316B226 |
(Cash) |
30316B234 |
(Reinvest) |
30316B242 |
(Cash-Fee) |
30316B259 |
(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.
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