First Trust - www.FTPortfolios.com

Alternative Funds

Fund Name	Ticker Symbol	Intraday NAV Ticker	Inception Date	Close NAV	30 Day SEC Yield¹	Unsubsidized 30 Day SEC Yield²	Index Yield³
First Trust Alternative Absolute Return Strategy ETF	FAAR	FAARIV	05/18/16	$25.97	0.54%	-------	-------
First Trust BuyWrite Income ETF	FTHI	FTHIIV	01/06/14	$22.65	1.04%	-------	-------
First Trust Global Tactical Commodity Strategy Fund	FTGC	FTGCIV	10/22/13	$18.41	0.56%	-------	-------
First Trust Hedged BuyWrite Income ETF	FTLB	FTLBIV	01/06/14	$22.26	1.00%	-------	-------
First Trust Long/Short Equity ETF	FTLS	FTLSIV	09/08/14	$42.32	0.34%	0.34%	-------
First Trust Managed Futures Strategy Fund	FMF	FMFIV	08/01/13	$43.59	0.59%	-------	-------

Fund Name

Ticker
Symbol

Intraday
NAV
Ticker

Inception
Date

Close
NAV

30 Day
SEC Yield¹

Unsubsidized
30 Day
SEC Yield²

Index
Yield³

Fact
Sheet

First Trust RiverFront Dynamic Asia Pacific ETF

RFAP

RFAPIV

04/13/16

$53.42

2.52%

-------

First Trust RiverFront Dynamic Developed International ETF

RFDI

RFDIIV

04/13/16

$58.89

2.28%

-------

First Trust RiverFront Dynamic Emerging Markets ETF

RFEM

RFEMIV

06/14/16

$61.92

1.82%

-------

First Trust RiverFront Dynamic Europe ETF

RFEU

RFEUIV

04/13/16

$60.76

2.11%

-------

Income Funds

Fund Name	Ticker Symbol	Intraday NAV Ticker	Inception Date	Close NAV	30 Day SEC Yield¹	Unsubsidized 30 Day SEC Yield²	Index Yield³
First Trust California Municipal High Income ETF	FCAL	FCALIV	06/20/17	$53.26	1.72%	1.57%	-------
First Trust CEF Income Opportunity ETF	FCEF	FCEFIV	09/27/16	$22.54	6.58%	-------	-------
First Trust Dorsey Wright Momentum & Dividend ETF	DDIV	DDIVIV	03/10/14	$26.42	3.59%	-------	3.88%
First Trust Dow Jones Global Select Dividend Index Fund	FGD	FGDIV	11/21/07	$24.32	5.78%	5.78%	6.41%
First Trust Emerging Markets Local Currency Bond ETF	FEMB	FEMBIV	11/04/14	$38.20	4.44%	-------	-------
First Trust Enhanced Short Maturity ETF	FTSM	FTSMIV	08/05/14	$60.10	2.01%	1.96%	-------
First Trust Institutional Preferred Securities and Income ETF	FPEI	FPEIIV	08/22/17	$20.00	3.61%	-------	-------
First Trust Long Duration Opportunities ETF	LGOV	LGOVIV	01/22/19	$27.63	3.76%	-------	-------
First Trust Low Duration Opportunities ETF	LMBS	LMBSIV	11/04/14	$51.85	2.17%	-------	-------
First Trust Low Duration Strategic Focus ETF	LDSF	LDSFIV	01/03/19	$20.52	2.84%	-------	-------
First Trust Managed Municipal ETF	FMB	FMBIV	05/13/14	$55.43	1.74%	1.59%	-------
First Trust Morningstar Dividend Leaders Index Fund	FDL	FDLIV	03/09/06	$32.37	4.35%	4.34%	4.66%
First Trust Municipal CEF Income Opportunity ETF	MCEF	MCEFIV	09/27/16	$19.46	3.33%	-------	-------
First Trust Municipal High Income ETF	FMHI	FMHIIV	11/01/17	$53.20	2.55%	2.40%	-------
First Trust NASDAQ Technology Dividend Index Fund	TDIV	TDIVIV	08/13/12	$41.74	2.46%	-------	3.28%
First Trust North American Energy Infrastructure Fund	EMLP	EMLPIV	06/20/12	$24.49	4.11%	-------	-------
First Trust Preferred Securities and Income ETF	FPE	FPEIV	02/11/13	$19.87	3.74%	-------	-------
First Trust Rising Dividend Achievers ETF	RDVY	RDVYIV	01/06/14	$34.78	1.34%	-------	2.16%
First Trust S&P International Dividend Aristocrats ETF	FID	FIDIV	08/22/13	$17.96	3.77%	-------	4.73%
First Trust Senior Loan Fund	FTSL	FTSLIV	05/01/13	$47.63	4.51%	-------	-------
First Trust Short Duration Managed Municipal ETF	FSMB	FSMBIV	11/01/18	$20.46	1.30%	1.20%	-------
First Trust SMID Cap Rising Dividend Achievers ETF	SDVY	SDVYIV	11/01/17	$21.47	1.53%	-------	2.74%
First Trust SSI Strategic Convertible Securities ETF	FCVT	FCVTIV	11/03/15	$32.65	0.61%	-------	-------
First Trust STOXX® European Select Dividend Index Fund	FDD	FDDIV	08/27/07	$13.48	5.23%	5.23%	5.64%
First Trust Strategic Income ETF	FDIV	FDIVIV	08/13/14	$50.52	3.96%	3.57%	-------
First Trust Tactical High Yield ETF	HYLS	HYLSIV	02/25/13	$48.45	4.13%	-------	-------
First Trust TCW Opportunistic Fixed Income ETF	FIXD	FIXDIV	02/14/17	$52.36	2.01%	1.90%	-------
First Trust TCW Unconstrained Plus Bond ETF	UCON	UCONIV	06/04/18	$25.78	2.85%	2.75%	-------
First Trust Ultra Short Duration Municipal ETF	FUMB	FUMBIV	11/01/18	$20.07	1.21%	1.11%	-------
First Trust Value Line® Dividend Index Fund	FVD	FVDIV	08/19/03	$35.63	2.38%	2.38%	3.05%
Multi-Asset Diversified Income Index Fund	MDIV	MDIVIV	08/13/12	$18.34	5.95%	5.83%	6.90%
US Equity Dividend Select ETF	RNDV	RNDVIV	06/20/17	$23.63	2.93%	-------	4.05%

Sector & Industry Funds

Fund Name	Ticker Symbol	Intraday NAV Ticker	Inception Date	Close NAV	30 Day SEC Yield¹	Unsubsidized 30 Day SEC Yield²	Index Yield³
First Trust Cloud Computing ETF	SKYY	SKYYIV	07/05/11	$59.90	0.33%	-------	1.81%
First Trust Consumer Discretionary AlphaDEX® Fund	FXD	FXDIV	05/08/07	$44.23	1.06%	1.06%	1.68%
First Trust Consumer Staples AlphaDEX® Fund	FXG	FXGIV	05/08/07	$49.37	1.83%	1.83%	2.40%
First Trust Dow Jones Internet Index Fund	FDN	FDNIV	06/19/06	$135.24	-------	-------	-------
First Trust Energy AlphaDEX® Fund	FXN	FXNIV	05/08/07	$9.58	1.93%	1.93%	2.42%
First Trust Financials AlphaDEX® Fund	FXO	FXOIV	05/08/07	$33.29	2.09%	2.09%	2.83%
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund	FFR	FFRIV	08/27/07	$50.06	3.02%	2.84%	3.72%
First Trust Health Care AlphaDEX® Fund	FXH	FXHIV	05/08/07	$83.43	-------	-------	-------
First Trust Industrials/Producer Durables AlphaDEX® Fund	FXR	FXRIV	05/08/07	$44.67	0.80%	0.80%	1.52%
First Trust Indxx Global Agriculture ETF	FTAG	FTAGIV	03/11/10	$23.02	2.03%	-------	2.99%
First Trust Indxx Global Natural Resources Income ETF	FTRI	FTRIIV	03/11/10	$11.87	5.26%	-------	7.53%
First Trust Indxx Innovative Transaction & Process ETF	LEGR	LEGRIV	01/24/18	$30.96	2.17%	-------	2.70%
First Trust Indxx NextG ETF	NXTG	NXTGIV	02/17/11	$52.81	1.46%	-------	2.36%
First Trust Materials AlphaDEX® Fund	FXZ	FXZIV	05/08/07	$39.77	1.83%	1.83%	2.47%
First Trust Nasdaq Artificial Intelligence and Robotics ETF	ROBT	ROBTIV	02/21/18	$33.45	0.23%	-------	0.99%
First Trust Nasdaq Bank ETF	FTXO	FTXOIV	09/20/16	$27.72	2.23%	-------	3.09%
First Trust Nasdaq Cybersecurity ETF	CIBR	CIBRIV	07/06/15	$29.60	0.35%	-------	2.06%
First Trust Nasdaq Food & Beverage ETF	FTXG	FTXGIV	09/20/16	$21.60	1.42%	-------	2.10%
First Trust NASDAQ Global Auto Index Fund	CARZ	CARZIV	05/09/11	$33.58	3.25%	-------	4.00%
First Trust Nasdaq Oil & Gas ETF	FTXN	FTXNIV	09/20/16	$15.84	2.84%	-------	3.45%
First Trust Nasdaq Pharmaceuticals ETF	FTXH	FTXHIV	09/20/16	$22.77	0.94%	-------	1.41%
First Trust Nasdaq Retail ETF	FTXD	FTXDIV	09/20/16	$24.48	0.88%	-------	1.60%
First Trust Nasdaq Semiconductor ETF	FTXL	FTXLIV	09/20/16	$38.32	1.05%	-------	1.34%
First Trust Nasdaq Transportation ETF	FTXR	FTXRIV	09/20/16	$24.30	0.61%	-------	1.60%
First Trust NASDAQ® ABA Community Bank Index Fund	QABA	QABAIV	06/29/09	$50.84	1.95%	1.90%	2.53%
First Trust NASDAQ-100-Technology Sector Index Fund	QTEC	QTECIV	04/19/06	$94.95	0.75%	0.75%	1.24%
First Trust Natural Gas ETF	FCG	FCGIV	05/08/07	$10.57	2.94%	2.86%	3.50%
First Trust NYSE Arca Biotechnology Index Fund	FBT	FBTIV	06/19/06	$149.11	-------	-------	-------
First Trust RBA American Industrial Renaissance® ETF	AIRR	AIRRIV	03/10/14	$28.78	0.68%	-------	1.10%
First Trust S&P REIT Index Fund	FRI	FRIIV	05/08/07	$26.43	3.23%	3.22%	3.78%
First Trust Technology AlphaDEX® Fund	FXL	FXLIV	05/08/07	$70.02	0.24%	0.24%	0.87%
First Trust Utilities AlphaDEX® Fund	FXU	FXUIV	05/08/07	$28.73	2.29%	2.29%	2.83%

Size/Style Funds

Fund Name	Ticker Symbol	Intraday NAV Ticker	Inception Date	Close NAV	30 Day SEC Yield¹	Unsubsidized 30 Day SEC Yield²	Index Yield³	Fact Sheet
First Trust Active Factor Large Cap ETF	AFLG	AFLGIV	12/03/19	$20.17	-------	-------	-------	N/A
First Trust Active Factor Mid Cap ETF	AFMC	AFMCIV	12/03/19	$20.23	-------	-------	-------	N/A
First Trust Active Factor Small Cap ETF	AFSM	AFSMIV	12/03/19	$20.40	-------	-------	-------	N/A
First Trust Capital Strength ETF	FTCS	FTCSIV	07/06/06	$59.51	1.28%	1.28%	1.71%
First Trust Dow 30 Equal Weight ETF	EDOW	EDOWIV	08/08/17	$25.65	2.20%	-------	2.49%
First Trust Dow Jones Select MicroCap Index Fund	FDM	FDMIV	09/27/05	$48.90	0.89%	0.80%	1.89%
First Trust Horizon Managed Volatility Domestic ETF	HUSV	HUSVIV	08/24/16	$27.63	1.23%	-------	-------
First Trust Large Cap Core AlphaDEX® Fund	FEX	FEXIV	05/08/07	$63.99	1.33%	1.33%	1.89%
First Trust Large Cap Growth AlphaDEX® Fund	FTC	FTCIV	05/08/07	$71.69	0.56%	0.56%	1.21%
First Trust Large Cap Value AlphaDEX® Fund	FTA	FTAIV	05/08/07	$55.22	1.92%	1.92%	2.40%
First Trust Mega Cap AlphaDEX® Fund	FMK	FMKIV	05/11/11	$37.67	1.74%	-------	2.95%
First Trust Mid Cap Core AlphaDEX® Fund	FNX	FNXIV	05/08/07	$71.50	1.32%	1.32%	2.06%
First Trust Mid Cap Growth AlphaDEX® Fund	FNY	FNYIV	04/19/11	$47.70	0.44%	-------	1.27%
First Trust Mid Cap Value AlphaDEX® Fund	FNK	FNKIV	04/19/11	$35.33	1.94%	-------	2.72%
First Trust Multi Cap Growth AlphaDEX® Fund	FAD	FADIV	05/08/07	$76.42	0.65%	0.65%	1.30%
First Trust Multi Cap Value AlphaDEX® Fund	FAB	FABIV	05/08/07	$56.73	1.74%	1.52%	2.46%
First Trust Small Cap Core AlphaDEX® Fund	FYX	FYXIV	05/08/07	$63.81	1.05%	1.05%	1.88%
First Trust Small Cap Growth AlphaDEX® Fund	FYC	FYCIV	04/19/11	$46.21	0.74%	-------	1.55%
First Trust Small Cap Value AlphaDEX® Fund	FYT	FYTIV	04/19/11	$37.03	1.25%	-------	2.22%
First Trust Total US Market AlphaDEX® ETF	TUSA	TUSAIV	12/05/06	$35.47	1.21%	0.70%	1.63%
Large Cap US Equity Select ETF	RNLC	RNLCIV	06/20/17	$24.34	1.59%	-------	2.33%
Mid Cap US Equity Select ETF	RNMC	RNMCIV	06/20/17	$23.16	1.80%	-------	2.49%
Small Cap US Equity Select ETF	RNSC	RNSCIV	06/20/17	$21.88	2.05%	-------	2.85%

Global/International Funds

Fund Name	Ticker Symbol	Intraday NAV Ticker	Inception Date	Close NAV	30 Day SEC Yield¹	Unsubsidized 30 Day SEC Yield²	Index Yield³
Developed International Equity Select ETF	RNDM	RNDMIV	06/20/17	$51.59	2.53%	-------	3.52%
Emerging Markets Equity Select ETF	RNEM	RNEMIV	06/20/17	$50.10	2.35%	-------	3.59%
First Trust Asia Pacific ex-Japan AlphaDEX® Fund	FPA	FPAIV	04/18/11	$27.90	2.88%	-------	3.30%
First Trust Australia AlphaDEX® Fund	FAUS	FAUSIV	02/14/12	$32.08	4.17%	-------	4.06%
First Trust BICK Index Fund	BICK	BICKIV	04/12/10	$27.50	0.98%	-------	1.75%
First Trust Brazil AlphaDEX® Fund	FBZ	FBZIV	04/18/11	$17.11	1.99%	-------	2.70%
First Trust Canada AlphaDEX® Fund	FCAN	FCANIV	02/14/12	$24.15	1.26%	-------	2.15%
First Trust China AlphaDEX® Fund	FCA	FCAIV	04/18/11	$25.39	3.62%	-------	4.74%
First Trust Chindia ETF	FNI	FNIIV	05/08/07	$37.88	0.13%	0.10%	0.84%
First Trust Developed Markets ex-US AlphaDEX® Fund	FDT	FDTIV	04/18/11	$55.01	2.09%	-------	3.01%
First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund	FDTS	FDTSIV	02/15/12	$37.94	2.64%	-------	2.65%
First Trust Dorsey Wright International Focus 5 ETF	IFV	IFVIV	07/22/14	$20.41	1.97%	-------	2.49%
First Trust Dow Jones International Internet ETF	FDNI	FDNI.IV	11/05/18	$23.10	-------	-------	-------
First Trust Emerging Markets AlphaDEX® Fund	FEM	FEMIV	04/18/11	$24.83	3.01%	-------	3.85%
First Trust Emerging Markets Small Cap AlphaDEX® Fund	FEMS	FEMSIV	02/15/12	$37.30	3.24%	-------	4.14%
First Trust Europe AlphaDEX® Fund	FEP	FEPIV	04/18/11	$36.67	2.11%	-------	3.50%
First Trust Eurozone AlphaDEX® ETF	FEUZ	FEUZIV	10/21/14	$40.18	2.23%	-------	3.19%
First Trust Germany AlphaDEX® Fund	FGM	FGMIV	02/14/12	$43.30	1.33%	-------	3.05%
First Trust Global Engineering and Construction ETF	FLM	FLMIV	10/13/08	$49.69	1.79%	1.25%	2.53%
First Trust Hong Kong AlphaDEX® Fund	FHK	FHKIV	02/14/12	$33.68	3.05%	-------	3.90%
First Trust Horizon Managed Volatility Developed International ETF	HDMV	HDMVIV	08/24/16	$34.05	2.99%	-------	-------
First Trust India NIFTY 50 Equal Weight ETF	NFTY	NFTYIV	02/14/12	$34.50	0.78%	-------	1.80%
First Trust International Equity Opportunities ETF	FPXI	FPXIIV	11/04/14	$38.53	0.99%	-------	1.74%
First Trust IPOX® Europe Equity Opportunities ETF	FPXE	FPXEIV	10/04/18	$20.95	1.31%	-------	2.22%
First Trust Japan AlphaDEX® Fund	FJP	FJPIV	04/18/11	$51.48	1.88%	-------	2.73%
First Trust Latin America AlphaDEX® Fund	FLN	FLNIV	04/18/11	$21.14	1.75%	-------	2.83%
First Trust South Korea AlphaDEX® Fund	FKO	FKOIV	04/18/11	$19.83	1.75%	-------	2.54%
First Trust Switzerland AlphaDEX® Fund	FSZ	FSZIV	02/14/12	$52.07	1.71%	-------	2.86%
First Trust United Kingdom AlphaDEX® Fund	FKU	FKUIV	02/14/12	$39.36	2.40%	-------	4.45%

Fund Name

Ticker
Symbol

Intraday
NAV
Ticker

Inception
Date

Close
NAV

30 Day
SEC Yield¹

Unsubsidized
30 Day
SEC Yield²

Index
Yield³

Fact
Sheet

First Trust EIP Carbon Impact ETF

ECLN

ECLNIV

08/19/19

$20.51

1.98%

-------

First Trust Global Wind Energy ETF

FAN

FANIV

06/16/08

$14.14

2.37%

2.26%

3.06%

First Trust NASDAQ® Clean Edge® Green Energy Index Fund

QCLN

QCLNIV

02/08/07

$23.13

0.66%

0.63%

1.27%

First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund

GRID

GRIDIV

11/16/09

$52.94

1.33%

1.24%

2.00%

First Trust Water ETF

FIW

FIWIV

05/08/07

$58.24

0.50%

1.14%

Specialty Funds

Fund Name	Ticker Symbol	Intraday NAV Ticker	Inception Date	Close NAV	30 Day SEC Yield¹	Unsubsidized 30 Day SEC Yield²	Index Yield³
EquityCompass Risk Manager ETF	ERM	ERMIV	04/10/17	$21.49	2.06%	2.06%	-------
EquityCompass Tactical Risk Manager ETF	TERM	TERMIV	04/10/17	$18.78	2.06%	2.06%	-------
First Trust Dorsey Wright DALI 1 ETF	DALI	DALIIV	05/14/18	$20.57	0.56%	-------	0.88%
First Trust Dorsey Wright Dynamic Focus 5 ETF	FVC	FVCIV	03/17/16	$27.04	1.11%	-------	0.70%
First Trust Dorsey Wright Focus 5 ETF	FV	FVIV	03/05/14	$30.66	0.87%	-------	1.15%
First Trust Dorsey Wright Momentum & Low Volatility ETF	DVOL	DVOLIV	09/05/18	$22.14	1.95%	-------	2.69%
First Trust Dorsey Wright Momentum & Value ETF	DVLU	DVLUIV	09/05/18	$19.48	1.66%	-------	2.03%
First Trust Dorsey Wright People's Portfolio ETF	DWPP	DWPPIV	08/29/12	$32.74	1.23%	-------	1.82%
First Trust Lunt U.S. Factor Rotation ETF	FCTR	FCTRIV	07/25/18	$22.40	0.81%	-------	1.42%
First Trust NASDAQ-100 Equal Weighted Index Fund	QQEW	QQEWIV	04/19/06	$71.33	0.49%	0.49%	1.04%
First Trust NASDAQ-100 Ex-Technology Sector Index Fund	QQXT	QQXTIV	02/08/07	$57.14	0.33%	0.29%	0.93%
First Trust US Equity Opportunities ETF	FPX	FPXIV	04/12/06	$78.88	0.65%	0.65%	3.09%
First Trust Value Line® 100 Exchange-Traded Fund	FVL	FVLIV	06/12/03	$22.56	0.80%	0.57%	1.43%

Fund Name

Ticker
Symbol

Intraday
NAV
Ticker

Inception
Date

Close
NAV

30 Day
SEC Yield¹

Unsubsidized
30 Day
SEC Yield²

Index
Yield³

Fact
Sheet

FT Cboe Vest U.S. Equity Buffer ETF - August

FAUG

FAUGIV

11/06/19

$30.53

-------

FT Cboe Vest U.S. Equity Buffer ETF - November

FNOV

FNOVIV

11/15/19

$30.82

-------

FT Cboe Vest U.S. Equity Deep Buffer ETF - August

DAUG

DAUGIV

11/06/19

$30.43

-------

FT Cboe Vest U.S. Equity Deep Buffer ETF - November

DNOV

DNOVIV

11/15/19

$30.63

-------

Footnotes:
¹	The 30-day SEC yield is calculated by dividing the net investment income per share earned during the most recent 30-day period by the maximum offering price per share on the last day of the period and includes the effects of fee waivers and expense reimbursements, if applicable. 30-Day SEC yield as of 10/31/2019.
²	The unsubsidized 30-day SEC yield is calculated the same as the 30-day SEC yield, however it excludes contractual fee waivers and expense reimbursements. Unsubsidized 30-Day SEC yield as of 10/31/2019.
³	Index yield represents the weighted average trailing 12-month dividend of the constituents of the fund's underlying index. Index yield as of 10/31/2019.