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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 portfolio provides you with the convenience of owning six distinct strategies in one investment. It invests in a fixed portfolio of stocks which are selected by applying pre-determined screens and factors.
Please note that there is no assurance the objective will be met.
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| Product Code: |
VP4Q20 |
| 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(*): |
$10.8758 |
| POP(*): |
$11.0246 |
| Remaining Deferred Sales Charge: |
$0.0900 |
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* As of Trade Date: 01/21/2021 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 |
8.27% |
 Consumer Discretionary |
9.28% |
 Consumer Staples |
4.07% |
 Energy |
4.16% |
 Financials |
14.73% |
 Health Care |
11.07% |
 Industrials |
7.24% |
 Information Technology |
36.44% |
 Materials |
2.21% |
 Real Estate |
0.00% |
 Utilities |
2.53% |
 Other |
0.00% |
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Large |
Mid |
Small |
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| Growth |
41.19% |
2.36% |
9.93% |
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| Value |
38.15% |
0.11% |
8.26% |
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| Large-Cap Growth |
41.19% |
| Large-Cap Value |
38.15% |
| Mid-Cap Growth |
2.36% |
| Mid-Cap Value |
0.11% |
| Small-Cap Growth |
9.93% |
| Small-Cap Value |
8.26% |
| Undetermined |
0.00% |
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| U.S. Stocks |
81.71% |
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Other |
0.00% |
| Non-U.S. Stocks |
18.29% |
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| The style and sector characteristics of the portfolio are determined as of 01/20/2021
and will likely vary thereafter due to market fluctuations in the underlying securities. |
| Weighted Average Market Cap |
$457,536.51 |
| Price/Earnings |
24.15 |
| Price/Book |
3.19 |
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As of 1/20/2021
All market capitalization numbers are in USD$ Millions
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Apple Inc.
| AAPL |
Information Technology
| Large-Cap Growth |
11.80%
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NVIDIA Corporation
| NVDA |
Information Technology
| Large-Cap Growth |
4.48%
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Facebook, Inc. (Class A)
| FB |
Communication Services
| Large-Cap Value |
4.46%
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JPMorgan Chase & Co.
| JPM |
Financials
| Large-Cap Value |
3.92%
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Microsoft Corporation
| MSFT |
Information Technology
| Large-Cap Growth |
3.91%
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The Travelers Companies, Inc.
| TRV |
Financials
| Large-Cap Value |
3.69%
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Intel Corporation
| INTC |
Information Technology
| Large-Cap Value |
3.23%
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Amgen Inc.
| AMGN |
Health Care
| Large-Cap Growth |
3.08%
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Adobe Incorporated
| ADBE |
Information Technology
| Large-Cap Growth |
3.02%
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Lowe's Companies, Inc.
| LOW |
Consumer Discretionary
| Large-Cap Growth |
2.06%
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Regeneron Pharmaceuticals, Inc.
| REGN |
Health Care
| Large-Cap Value |
1.79%
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Alphabet Inc. (Class C)
| GOOG |
Communication Services
| Large-Cap Value |
1.27%
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Royal Dutch Shell Plc (Class A)
| RDSA.NA |
Energy
| Large-Cap Value |
1.15%
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IDEXX Laboratories, Inc.
| IDXX |
Health Care
| Large-Cap Growth |
1.11%
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BP Plc
| BP/.LN |
Energy
| Large-Cap Value |
1.07%
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Texas Instruments Incorporated
| TXN |
Information Technology
| Large-Cap Growth |
1.01%
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Rio Tinto Plc
| RIO.LN |
Materials
| Large-Cap Value |
0.99%
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Eni SpA
| ENI.IM |
Energy
| Large-Cap Value |
0.98%
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Total SE
| FP.FP |
Energy
| Large-Cap Value |
0.96%
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AXA S.A.
| CS.FP |
Financials
| Large-Cap Value |
0.92%
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Allianz SE
| ALV.GY |
Financials
| Large-Cap Value |
0.91%
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AeroVironment, Inc.
| AVAV |
Industrials
| Small-Cap Growth |
0.90%
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Vodafone Group Plc
| VOD.LN |
Communication Services
| Large-Cap Value |
0.89%
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BASF SE
| BAS.GY |
Materials
| Large-Cap Value |
0.89%
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Zurich Insurance Group AG
| ZURN.SW |
Financials
| Large-Cap Value |
0.89%
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Bayer AG
| BAYN.GY |
Health Care
| Large-Cap Value |
0.88%
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S&P Global Inc.
| SPGI |
Financials
| Large-Cap Growth |
0.87%
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Tesco Plc
| TSCO.LN |
Consumer Staples
| Large-Cap Value |
0.87%
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Muenchener Rueckversicherungs-Gesellschaft AG
| MUV2.GY |
Financials
| Large-Cap Value |
0.82%
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Orange
| ORA.FP |
Communication Services
| Large-Cap Value |
0.80%
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Sleep Number Corporation
| SNBR |
Consumer Discretionary
| Small-Cap Growth |
0.80%
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British American Tobacco Plc
| BATS.LN |
Consumer Staples
| Large-Cap Value |
0.78%
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Nordea Bank Abp
| NDA.SS |
Financials
| Large-Cap Value |
0.78%
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BioTelemetry, Inc.
| BEAT |
Health Care
| Small-Cap Growth |
0.76%
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GlaxoSmithKline Plc
| GSK.LN |
Health Care
| Large-Cap Value |
0.75%
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Zoom Video Communications, Inc. (Class A)
| ZM |
Information Technology
| Large-Cap Growth |
0.74%
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National Grid Plc
| NG/.LN |
Utilities
| Large-Cap Value |
0.72%
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Endesa, S.A.
| ELE.SM |
Utilities
| Large-Cap Value |
0.71%
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ServiceNow, Inc.
| NOW |
Information Technology
| Large-Cap Growth |
0.69%
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E.ON SE
| EOAN.GY |
Utilities
| Large-Cap Value |
0.68%
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Advanced Micro Devices, Inc.
| AMD |
Information Technology
| Large-Cap Growth |
0.67%
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Intuit Inc.
| INTU |
Information Technology
| Large-Cap Growth |
0.67%
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Applied Materials, Inc.
| AMAT |
Information Technology
| Large-Cap Growth |
0.62%
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Herc Holdings, Inc.
| HRI |
Industrials
| Small-Cap Growth |
0.62%
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Target Corporation
| TGT |
Consumer Discretionary
| Large-Cap Growth |
0.61%
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Addus HomeCare Corporation
| ADUS |
Health Care
| Small-Cap Growth |
0.61%
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NIC Inc.
| EGOV |
Information Technology
| Small-Cap Growth |
0.60%
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La-Z-Boy Incorporated
| LZB |
Consumer Discretionary
| Small-Cap Growth |
0.59%
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Old Dominion Freight Line, Inc.
| ODFL |
Industrials
| Large-Cap Growth |
0.59%
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Mettler-Toledo International Inc.
| MTD |
Health Care
| Large-Cap Growth |
0.57%
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Patrick Industries, Inc.
| PATK |
Consumer Discretionary
| Small-Cap Growth |
0.57%
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Lam Research Corporation
| LRCX |
Information Technology
| Large-Cap Growth |
0.55%
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USANA Health Sciences, Inc.
| USNA |
Consumer Staples
| Small-Cap Growth |
0.54%
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Alamo Group Inc.
| ALG |
Industrials
| Small-Cap Growth |
0.54%
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Kadant Inc.
| KAI |
Industrials
| Small-Cap Growth |
0.53%
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McGrath RentCorp
| MGRC |
Industrials
| Small-Cap Value |
0.53%
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NetEase, Inc. (ADR)
| NTES |
Communication Services
| Large-Cap Value |
0.53%
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Perficient, Inc.
| PRFT |
Information Technology
| Small-Cap Growth |
0.53%
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Super Micro Computer, Inc.
| SMCI |
Information Technology
| Small-Cap Value |
0.53%
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American Woodmark Corporation
| AMWD |
Industrials
| Small-Cap Value |
0.52%
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Ultra Clean Holdings, Inc.
| UCTT |
Information Technology
| Small-Cap Growth |
0.52%
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Sykes Enterprises, Incorporated
| SYKE |
Information Technology
| Small-Cap Value |
0.50%
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Teradyne, Inc.
| TER |
Information Technology
| Mid-Cap Growth |
0.50%
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Air Transport Services Group, Inc.
| ATSG |
Industrials
| Small-Cap Value |
0.50%
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Ironwood Pharmaceuticals, Inc.
| IRWD |
Health Care
| Small-Cap Growth |
0.50%
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Virtus Investment Partners, Inc.
| VRTS |
Financials
| Small-Cap Value |
0.49%
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Dollar General Corporation
| DG |
Consumer Discretionary
| Large-Cap Growth |
0.49%
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Monster Beverage Corporation
| MNST |
Consumer Staples
| Large-Cap Growth |
0.48%
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Core-Mark Holding Company, Inc.
| CORE |
Consumer Discretionary
| Small-Cap Value |
0.47%
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Century Communities, Inc.
| CCS |
Consumer Discretionary
| Small-Cap Value |
0.47%
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CBIZ, Inc.
| CBZ |
Industrials
| Small-Cap Value |
0.46%
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Kimberly-Clark Corporation
| KMB |
Consumer Staples
| Large-Cap Growth |
0.45%
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HNI Corporation
| HNI |
Industrials
| Small-Cap Value |
0.45%
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M/I Homes, Inc.
| MHO |
Consumer Discretionary
| Small-Cap Value |
0.44%
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Piper Sandler Companies
| PIPR |
Financials
| Small-Cap Value |
0.43%
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Luminex Corporation
| LMNX |
Health Care
| Small-Cap Value |
0.42%
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T. Rowe Price Group, Inc.
| TROW |
Financials
| Large-Cap Value |
0.41%
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eBay Inc.
| EBAY |
Consumer Discretionary
| Large-Cap Growth |
0.41%
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The Clorox Company
| CLX |
Consumer Staples
| Large-Cap Growth |
0.40%
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Expeditors International of Washington, Inc.
| EXPD |
Industrials
| Mid-Cap Growth |
0.39%
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Cadence Design Systems, Inc.
| CDNS |
Information Technology
| Large-Cap Growth |
0.38%
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The Greenbrier Companies, Inc.
| GBX |
Industrials
| Small-Cap Value |
0.38%
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Masco Corporation
| MAS |
Industrials
| Mid-Cap Growth |
0.37%
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e.l.f. Beauty, Inc.
| ELF |
Consumer Staples
| Small-Cap Growth |
0.36%
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Citrix Systems, Inc.
| CTXS |
Information Technology
| Mid-Cap Growth |
0.35%
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Newmont Corporation
| NEM |
Materials
| Large-Cap Value |
0.33%
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Electronic Arts Inc.
| EA |
Communication Services
| Large-Cap Value |
0.32%
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Zumiez Inc.
| ZUMZ |
Consumer Discretionary
| Small-Cap Value |
0.32%
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lululemon athletica inc.
| LULU |
Consumer Discretionary
| Large-Cap Growth |
0.32%
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Fastenal Company
| FAST |
Industrials
| Large-Cap Growth |
0.31%
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Encore Capital Group, Inc.
| ECPG |
Financials
| Small-Cap Value |
0.31%
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Stride Inc.
| LRN |
Consumer Discretionary
| Small-Cap Value |
0.30%
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MarineMax, Inc.
| HZO |
Consumer Discretionary
| Small-Cap Value |
0.29%
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Ameriprise Financial, Inc.
| AMP |
Financials
| Large-Cap Value |
0.29%
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OneSpan Inc.
| OSPN |
Information Technology
| Small-Cap Growth |
0.29%
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Domino's Pizza, Inc.
| DPZ |
Consumer Discretionary
| Mid-Cap Growth |
0.28%
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Synopsys, Inc.
| SNPS |
Information Technology
| Large-Cap Growth |
0.27%
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America's Car-Mart, Inc.
| CRMT |
Consumer Discretionary
| Small-Cap Value |
0.26%
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Align Technology, Inc.
| ALGN |
Health Care
| Large-Cap Growth |
0.25%
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KLA Corporation
| KLAC |
Information Technology
| Large-Cap Growth |
0.23%
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SpartanNash Company
| SPTN |
Consumer Staples
| Small-Cap Value |
0.19%
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NeoPhotonics Corporation
| NPTN |
Information Technology
| Small-Cap Growth |
0.19%
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Zynex, Inc.
| ZYXI |
Health Care
| Small-Cap Growth |
0.19%
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PetMed Express, Inc.
| PETS |
Consumer Discretionary
| Small-Cap Growth |
0.18%
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Xcel Energy Inc.
| XEL |
Utilities
| Large-Cap Value |
0.17%
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Tractor Supply Company
| TSCO |
Consumer Discretionary
| Mid-Cap Growth |
0.16%
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Skyworks Solutions, Inc.
| SWKS |
Information Technology
| Large-Cap Value |
0.16%
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West Pharmaceutical Services, Inc.
| WST |
Health Care
| Mid-Cap Growth |
0.16%
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Best Buy Co., Inc.
| BBY |
Consumer Discretionary
| Large-Cap Growth |
0.15%
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Rollins, Inc.
| ROL |
Industrials
| Mid-Cap Growth |
0.15%
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WEC Energy Group, Inc.
| WEC |
Utilities
| Large-Cap Value |
0.14%
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PPL Corporation
| PPL |
Utilities
| Mid-Cap Value |
0.11%
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Turtle Beach Corporation
| HEAR |
Consumer Discretionary
| Small-Cap Growth |
0.11%
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| Total Number of Holdings: 113 |
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| Underlying Securities information represented above is as of 01/20/2021 but will vary with future fluctuations in the market. |
| Deferred Sales Charge Schedule |
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$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. Sector Concentration Risk. A portfolio which is concentrated in an individual sector is subject to additional risks, including limited diversification. 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. Technology Risk. 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. 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.
The Dow Jones Industrial Average is a product of S&P Dow Jones Indices LLC or its affiliates ("SPDJI") and has been licensed for use by First Trust Portfolios L.P. Standard & Poor's® and S&P® are registered trademarks of Standard & Poor's Financial Services LLC ("S&P"); Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC ("Dow Jones"); and these trademarks have been licensed for use by SPDJI and sublicensed for certain purposes by First Trust Portfolios L.P. This product is not sponsored, endorsed, sold or promoted by SPDJI, Dow Jones, S&P, their respective affiliates, and none of such parties make any representation regarding the advisability of investing in such product nor do they have any liability for any errors, omissions, or interruptions of the Dow Jones Industrial Average. The Nasdaq 100®, Nasdaq 100 Index®, and Nasdaq® are trade or service marks of Nasdaq, Inc. (which with its affiliates are the Corporations) and are licensed for use by First Trust Portfolios L.P. The portfolio has not been passed on by the Corporations as to its legality or suitability. The portfolio is not issued, endorsed, sold, or promoted by the Corporations. THE CORPORATIONS MAKE NO WARRANTIES AND BEAR NO LIABILITY WITH RESPECT TO THE PORTFOLIO. The S&P 500 Index is a product of S&P Dow Jones Indices LLC or its affiliates ("SPDJI") and has been licensed for use by First Trust Portfolios L.P. Standard & Poor's® and S&P® are registered trademarks of Standard & Poor's Financial Services LLC ("S&P"); Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC ("Dow Jones"); and these trademarks have been licensed for use by SPDJI and sublicensed for certain purposes by First Trust Portfolios L.P. This product is not sponsored, endorsed, sold or promoted by SPDJI, Dow Jones, S&P, their respective affiliates, and none of such parties make any representation regarding the advisability of investing in such product nor do they have any liability for any errors, omissions, or interruptions of the S&P 500 Index. "Value Line", "The Value Line Investment Survey", and "Timeliness" are trademarks or registered trademarks of Value Line, Inc. ("Value Line") and have been licensed for use for certain purposes by First Trust Portfolios L.P. This product is not sponsored, endorsed, recommended, sold or promoted by Value Line and Value Line makes no representation regarding the advisability of investing in products utilizing such strategy. First Trust Portfolios L.P. is not affiliated with any Value Line company.
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| 30316B267 |
(Cash) |
| 30316B275 |
(Reinvest) |
| 30316B283 |
(Cash-Fee) |
| 30316B291 |
(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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