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Clean Energy, 9  Ticker: FUYOFX
A unit investment trust that seeks above-average capital appreciation by investing in clean energy companies that are involved in the development, manufacturing, distribution and installation of clean energy technologies.
Please note that there is no assurance the objective will be met.
Product Code: CLEN9
Portfolio Status: Secondary
Initial Offer Date: 04/26/2023
Secondary Date: 10/23/2023
Portfolio Ending Date: 04/25/2025
Tax Structure: Regulated Investment Company
Distributions: Semi-Annual
Initial Offer Price: $10.0000
NAV(*): $8.1342
POP(*): $8.3215
Remaining Deferred Sales Charge: $0.0000
* As of Trade Date: 12/07/2023 4:00pm ET
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:^
Rate (as of 12/7/2023) Per Unit (as of 12/4/2023)
0.75% $0.06230
^ 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 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.

 Holdings Analysis Click here to Perform a Benchmark Comparison  
 Sector Weighting
Communication Services  Communication Services 0.00%
Consumer Discretionary  Consumer Discretionary 6.17%
Consumer Staples  Consumer Staples 0.00%
Energy  Energy 0.00%
Financials  Financials 0.00%
Health Care  Health Care 0.00%
Industrials  Industrials 37.80%
Information Technology  Information Technology 38.88%
Materials  Materials 5.66%
Real Estate  Real Estate 0.00%
Utilities  Utilities 11.49%
Other  Other 0.00%
  Large Mid Small  
Growth  10.22% 11.46% 35.30%  
Value  7.42% 22.13% 13.47%  

 Style Weighting
Large-Cap Growth 10.22%
Large-Cap Value 7.42%
Mid-Cap Growth 11.46%
Mid-Cap Value 22.13%
Small-Cap Growth 35.30%
Small-Cap Value 13.47%
Undetermined 0.00%
U.S. Stocks 87.30%   Other 0.00%
Non-U.S. Stocks 12.70%      
The style and sector characteristics of the portfolio are determined as of 12/07/2023 and will likely vary thereafter due to market fluctuations in the underlying securities.  

 Key Stats
Weighted Average Market Cap $58,061
Price/Earnings 15.57
Price/Book 2.07
As of 12/7/2023
All market capitalization numbers are in USD$ Millions. All figures are subject to change.

 Holdings  Export Current Holdings | View Initial Holdings  
 Tesla, Inc. TSLA Consumer Discretionary  Consumer Discretionary Large-Cap Growth 6.17%
 Veeco Instruments Inc. VECO Information Technology  Information Technology Small-Cap Growth 6.13%
 Universal Display Corporation OLED Information Technology  Information Technology Mid-Cap Growth 5.23%
 Acuity Brands, Inc. AYI Industrials  Industrials Mid-Cap Value 4.92%
 Advanced Energy Industries, Inc. AEIS Information Technology  Information Technology Small-Cap Growth 4.67%
 EnerSys ENS Industrials  Industrials Small-Cap Growth 4.53%
 ON Semiconductor Corporation ON Information Technology  Information Technology Large-Cap Value 4.32%
 Power Integrations, Inc. POWI Information Technology  Information Technology Mid-Cap Growth 4.26%
 Vestas Wind Systems A/S (ADR) VWDRY Industrials  Industrials Large-Cap Growth 4.05%
 Littelfuse, Inc. LFUS Information Technology  Information Technology Mid-Cap Value 4.02%
 Vicor Corporation VICR Industrials  Industrials Small-Cap Growth 3.81%
 Clearway Energy, Inc. (Class C) CWEN Utilities  Utilities Mid-Cap Value 3.35%
 Bloom Energy Corporation (Class A) BE Industrials  Industrials Small-Cap Growth 3.29%
 Ormat Technologies, Inc. ORA Utilities  Utilities Small-Cap Growth 3.28%
 Sociedad Quimica y Minera de Chile S.A. (ADR) SQM Industrials  Industrials Mid-Cap Value 3.15%
 NextEra Energy, Inc. NEE Utilities  Utilities Large-Cap Value 3.10%
 Array Technologies, Inc. ARRY Industrials  Industrials Small-Cap Growth 3.04%
 Ameresco, Inc. (Class A) AMRC Industrials  Industrials Small-Cap Growth 2.95%
 Albemarle Corporation ALB Materials  Materials Mid-Cap Value 2.86%
 Livent Corporation LTHM Materials  Materials Small-Cap Value 2.80%
 First Solar, Inc. FSLR Information Technology  Information Technology Mid-Cap Value 2.78%
 Sunrun Inc. RUN Industrials  Industrials Small-Cap Value 2.61%
 Shoals Technologies Group, Inc. (Class A) SHLS Industrials  Industrials Small-Cap Growth 2.54%
 Canadian Solar Inc. CSIQ Information Technology  Information Technology Small-Cap Value 2.26%
 Daqo New Energy Corporation (ADR) DQ Information Technology  Information Technology Small-Cap Value 2.19%
 Enphase Energy, Inc. ENPH Information Technology  Information Technology Mid-Cap Growth 1.97%
 Plug Power Inc. PLUG Industrials  Industrials Small-Cap Value 1.85%
 NextEra Energy Partners, LP NEP Utilities  Utilities Small-Cap Value 1.76%
 ChargePoint Holdings, Inc. CHPT Industrials  Industrials Small-Cap Growth 1.06%
 SolarEdge Technologies, Inc. SEDG Information Technology  Information Technology Mid-Cap Value 1.05%
Total Number of Holdings:    30
Underlying Securities information represented above is as of 12/07/2023 but will vary with future fluctuations in the market.

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.

Buy & Hold Risk – Taxable Trusts. 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.

COVID-19 Economic Impact Risk. The ongoing effects of the COVID-19 global pandemic, or the potential impacts of any future public health crisis, may cause significant volatility and uncertainty in global financial markets. While vaccines have been developed, there is no guarantee that vaccines will be effective against future variants of the disease.

Foreign Securities Risk. 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.

Industrials Risk. The companies engaged in the industrials sector are subject to a deterioration in the general state of the economy, intense competition, domestic and international politics, excess capacity and changing spending trends.

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

Market Disruption Risk. Ongoing armed conflicts between Russia and Ukraine in Europe and among Israel, Hamas and other militant groups in the Middle East, have caused and could continue to cause significant market disruptions and volatility within the markets in Russia, Europe, the Middle East and the United States. The hostilities and sanctions resulting from those hostilities could have a significant impact on certain investments as well as performance.

Renewable and Alternative Energy Risk. Renewable and alternative energy companies can be significantly affected by obsolescence of existing technology, short product cycles, legislation resulting in more strict government regulations and enforcement policies, fluctuations in energy prices and supply and demand of alternative energy fuels, energy conservation, the success of exploration projects, the supply of and demand for oil and gas, world events and economic conditions. Shares of clean energy companies have been significantly more volatile than shares of companies operating in other more established industries. This industry is relatively nascent and under-researched in comparison to more established and mature sectors.

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.

Utilities Risk. The companies engaged in the utilities sector are subject to certain risks, including price and supply fluctuations caused by international politics, energy conservation, taxes, and other regulatory policies of various governments.

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.

CUSIP identifiers have been provided by CUSIP Global Services, managed on behalf of the American Bankers Association by FactSet Research Systems Inc. and are not for use or dissemination in a manner that would serve as a substitute for any CUSIP service. The CUSIP Database, ©2023 CUSIP Global Services. "CUSIP" is a registered trademark of the American Bankers Association.

Fund Cusip Information
30331B342 (Cash)
30331B359 (Reinvest)
30331B367 (Cash-Fee)
30331B375 (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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