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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	$26.39	0.65%	-------	-------
First Trust BuyWrite Income ETF	FTHI	FTHIIV	01/06/14	$22.27	1.04%	-------	-------
First Trust Global Tactical Commodity Strategy Fund	FTGC	FTGCIV	10/22/13	$18.41	0.67%	-------	-------
First Trust Hedged BuyWrite Income ETF	FTLB	FTLBIV	01/06/14	$22.09	0.99%	-------	-------
First Trust Long/Short Equity ETF	FTLS	FTLSIV	09/08/14	$40.81	0.38%	0.38%	-------
First Trust Managed Futures Strategy Fund	FMF	FMFIV	08/01/13	$44.28	0.69%	-------	-------

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

$50.26

2.66%

-------

First Trust RiverFront Dynamic Developed International ETF

RFDI

RFDIIV

04/13/16

$55.94

2.37%

-------

First Trust RiverFront Dynamic Emerging Markets ETF

RFEM

RFEMIV

06/14/16

$58.62

1.92%

-------

First Trust RiverFront Dynamic Europe ETF

RFEU

RFEUIV

04/13/16

$58.08

2.16%

-------

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	$53.35	1.79%	1.64%	-------
First Trust CEF Income Opportunity ETF	FCEF	FCEFIV	09/27/16	$21.86	6.56%	-------	-------
First Trust Dorsey Wright Momentum & Dividend ETF	DDIV	DDIVIV	03/10/14	$25.93	3.91%	-------	4.72%
First Trust Dow Jones Global Select Dividend Index Fund	FGD	FGDIV	11/21/07	$23.14	4.94%	4.94%	6.71%
First Trust Emerging Markets Local Currency Bond ETF	FEMB	FEMBIV	11/04/14	$38.48	4.35%	-------	-------
First Trust Enhanced Short Maturity ETF	FTSM	FTSMIV	08/05/14	$60.12	2.12%	2.07%	-------
First Trust Institutional Preferred Securities and Income ETF	FPEI	FPEIIV	08/22/17	$19.69	3.62%	-------	-------
First Trust Long Duration Opportunities ETF	LGOV	LGOVIV	01/22/19	$27.95	1.43%	-------	-------
First Trust Low Duration Opportunities ETF	LMBS	LMBSIV	11/04/14	$51.91	2.21%	-------	-------
First Trust Low Duration Strategic Focus ETF	LDSF	LDSFIV	01/03/19	$20.50	2.90%	-------	-------
First Trust Managed Municipal ETF	FMB	FMBIV	05/13/14	$55.60	1.68%	1.53%	-------
First Trust Morningstar Dividend Leaders Index Fund	FDL	FDLIV	03/09/06	$30.78	4.34%	4.30%	4.68%
First Trust Municipal CEF Income Opportunity ETF	MCEF	MCEFIV	09/27/16	$19.43	3.29%	-------	-------
First Trust Municipal High Income ETF	FMHI	FMHIIV	11/01/17	$53.15	2.51%	2.36%	-------
First Trust NASDAQ Technology Dividend Index Fund	TDIV	TDIVIV	08/13/12	$40.21	2.92%	-------	3.32%
First Trust North American Energy Infrastructure Fund	EMLP	EMLPIV	06/20/12	$24.98	3.82%	-------	-------
First Trust Preferred Securities and Income ETF	FPE	FPEIV	02/11/13	$19.77	3.47%	-------	-------
First Trust Rising Dividend Achievers ETF	RDVY	RDVYIV	01/06/14	$31.83	1.37%	-------	2.23%
First Trust S&P International Dividend Aristocrats ETF	FID	FIDIV	08/22/13	$17.26	3.86%	-------	4.79%
First Trust Senior Loan Fund	FTSL	FTSLIV	05/01/13	$47.08	4.47%	-------	-------
First Trust Short Duration Managed Municipal ETF	FSMB	FSMBIV	11/01/18	$20.49	1.43%	1.33%	-------
First Trust SMID Cap Rising Dividend Achievers ETF	SDVY	SDVYIV	11/01/17	$20.18	1.48%	-------	2.80%
First Trust SSI Strategic Convertible Securities ETF	FCVT	FCVTIV	11/03/15	$31.38	0.58%	-------	-------
First Trust STOXX® European Select Dividend Index Fund	FDD	FDDIV	08/27/07	$12.97	5.33%	5.33%	5.73%
First Trust Strategic Income ETF	FDIV	FDIVIV	08/13/14	$50.59	4.10%	3.72%	-------
First Trust Tactical High Yield ETF	HYLS	HYLSIV	02/25/13	$48.00	4.34%	-------	-------
First Trust TCW Opportunistic Fixed Income ETF	FIXD	FIXDIV	02/14/17	$52.44	2.18%	2.08%	-------
First Trust TCW Unconstrained Plus Bond ETF	UCON	UCONIV	06/04/18	$25.78	2.55%	2.45%	-------
First Trust Ultra Short Duration Municipal ETF	FUMB	FUMBIV	11/01/18	$20.08	1.17%	1.07%	-------
First Trust Value Line® Dividend Index Fund	FVD	FVDIV	08/19/03	$34.50	2.36%	2.31%	3.05%
Multi-Asset Diversified Income Index Fund	MDIV	MDIVIV	08/13/12	$18.29	6.09%	5.98%	6.89%
US Equity Dividend Select ETF	RNDV	RNDVIV	06/20/17	$22.09	3.11%	-------	3.92%

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	$57.04	0.38%	-------	1.83%
First Trust Consumer Discretionary AlphaDEX® Fund	FXD	FXDIV	05/08/07	$42.03	1.00%	1.00%	1.61%
First Trust Consumer Staples AlphaDEX® Fund	FXG	FXGIV	05/08/07	$47.29	1.65%	1.65%	4.32%
First Trust Dow Jones Internet Index Fund	FDN	FDNIV	06/19/06	$133.98	-------	-------	-------
First Trust Energy AlphaDEX® Fund	FXN	FXNIV	05/08/07	$9.45	1.93%	1.93%	2.50%
First Trust Financials AlphaDEX® Fund	FXO	FXOIV	05/08/07	$31.32	2.02%	2.02%	2.82%
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund	FFR	FFRIV	08/27/07	$49.67	2.84%	2.38%	3.79%
First Trust Health Care AlphaDEX® Fund	FXH	FXHIV	05/08/07	$73.41	-------	-------	-------
First Trust Industrials/Producer Durables AlphaDEX® Fund	FXR	FXRIV	05/08/07	$41.47	0.69%	0.69%	1.40%
First Trust Indxx Global Agriculture ETF	FTAG	FTAGIV	03/11/10	$22.72	1.98%	-------	3.02%
First Trust Indxx Global Natural Resources Income ETF	FTRI	FTRIIV	03/11/10	$11.47	4.89%	-------	7.61%
First Trust Indxx Innovative Transaction & Process ETF	LEGR	LEGRIV	01/24/18	$29.56	1.94%	-------	2.70%
First Trust Indxx NextG ETF	NXTG	NXTGIV	02/17/11	$50.71	1.40%	-------	2.41%
First Trust Materials AlphaDEX® Fund	FXZ	FXZIV	05/08/07	$36.97	1.82%	1.82%	2.47%
First Trust Nasdaq Artificial Intelligence and Robotics ETF	ROBT	ROBTIV	02/21/18	$31.53	0.14%	-------	0.98%
First Trust Nasdaq Bank ETF	FTXO	FTXOIV	09/20/16	$25.25	2.21%	-------	3.13%
First Trust Nasdaq Cybersecurity ETF	CIBR	CIBRIV	07/06/15	$27.97	0.24%	-------	2.11%
First Trust Nasdaq Food & Beverage ETF	FTXG	FTXGIV	09/20/16	$21.02	1.45%	-------	2.06%
First Trust NASDAQ Global Auto Index Fund	CARZ	CARZIV	05/09/11	$32.06	2.78%	-------	4.17%
First Trust Nasdaq Oil & Gas ETF	FTXN	FTXNIV	09/20/16	$15.58	2.81%	-------	3.34%
First Trust Nasdaq Pharmaceuticals ETF	FTXH	FTXHIV	09/20/16	$20.24	0.92%	-------	1.47%
First Trust Nasdaq Retail ETF	FTXD	FTXDIV	09/20/16	$23.58	0.88%	-------	1.61%
First Trust Nasdaq Semiconductor ETF	FTXL	FTXLIV	09/20/16	$35.34	1.16%	-------	1.43%
First Trust Nasdaq Transportation ETF	FTXR	FTXRIV	09/20/16	$22.91	0.76%	-------	1.64%
First Trust NASDAQ® ABA Community Bank Index Fund	QABA	QABAIV	06/29/09	$47.23	2.00%	1.97%	2.58%
First Trust NASDAQ-100-Technology Sector Index Fund	QTEC	QTECIV	04/19/06	$88.85	0.76%	0.76%	1.27%
First Trust Natural Gas ETF	FCG	FCGIV	05/08/07	$10.61	2.47%	2.38%	3.17%
First Trust NYSE Arca Biotechnology Index Fund	FBT	FBTIV	06/19/06	$123.87	-------	-------	-------
First Trust RBA American Industrial Renaissance® ETF	AIRR	AIRRIV	03/10/14	$26.67	0.72%	-------	1.07%
First Trust S&P REIT Index Fund	FRI	FRIIV	05/08/07	$26.53	3.35%	3.32%	3.83%
First Trust Technology AlphaDEX® Fund	FXL	FXLIV	05/08/07	$66.58	-------	-------	-------
First Trust Utilities AlphaDEX® Fund	FXU	FXUIV	05/08/07	$29.19	2.31%	2.31%	2.84%

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
First Trust Capital Strength ETF	FTCS	FTCSIV	07/06/06	$56.64	1.25%	1.25%	1.82%
First Trust Dow 30 Equal Weight ETF	EDOW	EDOWIV	08/08/17	$24.37	2.19%	-------	2.50%
First Trust Dow Jones Select MicroCap Index Fund	FDM	FDMIV	09/27/05	$45.04	0.97%	0.83%	1.91%
First Trust Horizon Managed Volatility Domestic ETF	HUSV	HUSVIV	08/24/16	$27.27	1.21%	-------	-------
First Trust Large Cap Core AlphaDEX® Fund	FEX	FEXIV	05/08/07	$60.28	1.28%	1.28%	1.86%
First Trust Large Cap Growth AlphaDEX® Fund	FTC	FTCIV	05/08/07	$69.58	0.36%	0.36%	1.00%
First Trust Large Cap Value AlphaDEX® Fund	FTA	FTAIV	05/08/07	$50.70	2.05%	2.05%	2.58%
First Trust Mega Cap AlphaDEX® Fund	FMK	FMKIV	05/11/11	$36.00	1.54%	-------	2.20%
First Trust Mid Cap Core AlphaDEX® Fund	FNX	FNXIV	05/08/07	$67.26	1.16%	1.16%	1.88%
First Trust Mid Cap Growth AlphaDEX® Fund	FNY	FNYIV	04/19/11	$45.17	0.21%	-------	0.95%
First Trust Mid Cap Value AlphaDEX® Fund	FNK	FNKIV	04/19/11	$33.14	1.85%	-------	2.73%
First Trust Multi Cap Growth AlphaDEX® Fund	FAD	FADIV	05/08/07	$73.14	0.31%	0.31%	1.04%
First Trust Multi Cap Value AlphaDEX® Fund	FAB	FABIV	05/08/07	$52.46	1.82%	1.79%	2.59%
First Trust Small Cap Core AlphaDEX® Fund	FYX	FYXIV	05/08/07	$59.29	1.08%	1.08%	1.86%
First Trust Small Cap Growth AlphaDEX® Fund	FYC	FYCIV	04/19/11	$43.41	0.45%	-------	1.25%
First Trust Small Cap Value AlphaDEX® Fund	FYT	FYTIV	04/19/11	$34.09	1.44%	-------	2.41%
First Trust Total US Market AlphaDEX® ETF	TUSA	TUSAIV	12/05/06	$33.30	1.11%	1.11%	1.55%
Large Cap US Equity Select ETF	RNLC	RNLCIV	06/20/17	$22.99	1.62%	-------	2.35%
Mid Cap US Equity Select ETF	RNMC	RNMCIV	06/20/17	$21.96	1.83%	-------	2.43%
Small Cap US Equity Select ETF	RNSC	RNSCIV	06/20/17	$20.51	2.05%	-------	2.93%

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	$49.92	2.57%	-------	3.27%
Emerging Markets Equity Select ETF	RNEM	RNEMIV	06/20/17	$49.26	2.37%	-------	3.56%
First Trust Asia Pacific ex-Japan AlphaDEX® Fund	FPA	FPAIV	04/18/11	$27.50	3.01%	-------	3.51%
First Trust Australia AlphaDEX® Fund	FAUS	FAUSIV	02/14/12	$30.84	4.12%	-------	3.90%
First Trust BICK Index Fund	BICK	BICKIV	04/12/10	$25.68	1.00%	-------	1.79%
First Trust Brazil AlphaDEX® Fund	FBZ	FBZIV	04/18/11	$15.95	3.81%	-------	2.67%
First Trust Canada AlphaDEX® Fund	FCAN	FCANIV	02/14/12	$23.16	1.24%	-------	2.13%
First Trust China AlphaDEX® Fund	FCA	FCAIV	04/18/11	$24.91	3.79%	-------	4.97%
First Trust Chindia ETF	FNI	FNIIV	05/08/07	$34.74	0.16%	0.16%	0.88%
First Trust Developed Markets ex-US AlphaDEX® Fund	FDT	FDTIV	04/18/11	$52.55	2.19%	-------	2.96%
First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund	FDTS	FDTSIV	02/15/12	$35.48	2.52%	-------	2.76%
First Trust Dorsey Wright International Focus 5 ETF	IFV	IFVIV	07/22/14	$19.24	2.03%	-------	2.59%
First Trust Dow Jones International Internet ETF	FDNI	FDNI.IV	11/05/18	$21.49	-------	-------	-------
First Trust Emerging Markets AlphaDEX® Fund	FEM	FEMIV	04/18/11	$23.90	3.20%	-------	4.37%
First Trust Emerging Markets Small Cap AlphaDEX® Fund	FEMS	FEMSIV	02/15/12	$34.82	5.80%	-------	4.47%
First Trust Europe AlphaDEX® Fund	FEP	FEPIV	04/18/11	$34.87	2.17%	-------	3.26%
First Trust Eurozone AlphaDEX® ETF	FEUZ	FEUZIV	10/21/14	$38.41	2.31%	-------	3.00%
First Trust Germany AlphaDEX® Fund	FGM	FGMIV	02/14/12	$40.67	1.39%	-------	3.11%
First Trust Global Engineering and Construction ETF	FLM	FLMIV	10/13/08	$47.35	1.52%	0.01%	2.58%
First Trust Hong Kong AlphaDEX® Fund	FHK	FHKIV	02/14/12	$32.40	3.35%	-------	4.32%
First Trust Horizon Managed Volatility Developed International ETF	HDMV	HDMVIV	08/24/16	$33.33	3.03%	-------	-------
First Trust India NIFTY 50 Equal Weight ETF	NFTY	NFTYIV	02/14/12	$33.16	0.84%	-------	1.85%
First Trust International Equity Opportunities ETF	FPXI	FPXIIV	11/04/14	$36.92	0.52%	-------	1.79%
First Trust IPOX® Europe Equity Opportunities ETF	FPXE	FPXEIV	10/04/18	$19.83	1.39%	-------	2.26%
First Trust Japan AlphaDEX® Fund	FJP	FJPIV	04/18/11	$48.05	2.05%	-------	2.82%
First Trust Latin America AlphaDEX® Fund	FLN	FLNIV	04/18/11	$20.43	1.70%	-------	2.97%
First Trust South Korea AlphaDEX® Fund	FKO	FKOIV	04/18/11	$19.79	1.65%	-------	2.45%
First Trust Switzerland AlphaDEX® Fund	FSZ	FSZIV	02/14/12	$49.26	1.79%	-------	2.93%
First Trust United Kingdom AlphaDEX® Fund	FKU	FKUIV	02/14/12	$36.58	3.13%	-------	4.41%

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

$20.70

2.05%

-------

First Trust Global Wind Energy ETF

FAN

FANIV

06/16/08

$13.19

2.32%

2.16%

3.09%

First Trust NASDAQ® Clean Edge® Green Energy Index Fund

QCLN

QCLNIV

02/08/07

$21.27

0.67%

0.62%

1.30%

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

GRID

GRIDIV

11/16/09

$49.58

1.29%

0.92%

2.03%

First Trust Water ETF

FIW

FIWIV

05/08/07

$55.69

0.47%

1.16%

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	$20.16	2.02%	2.02%	-------
EquityCompass Tactical Risk Manager ETF	TERM	TERMIV	04/10/17	$17.62	2.02%	2.02%	-------
First Trust Dorsey Wright DALI 1 ETF	DALI	DALIIV	05/14/18	$19.79	0.34%	-------	0.88%
First Trust Dorsey Wright Dynamic Focus 5 ETF	FVC	FVCIV	03/17/16	$26.46	0.98%	-------	0.70%
First Trust Dorsey Wright Focus 5 ETF	FV	FVIV	03/05/14	$29.62	0.54%	-------	1.17%
First Trust Dorsey Wright Momentum & Low Volatility ETF	DVOL	DVOLIV	09/05/18	$22.65	1.94%	-------	2.62%
First Trust Dorsey Wright Momentum & Value ETF	DVLU	DVLUIV	09/05/18	$18.41	1.87%	-------	2.63%
First Trust Dorsey Wright People's Portfolio ETF	DWPP	DWPPIV	08/29/12	$30.89	1.33%	-------	1.84%
First Trust Lunt U.S. Factor Rotation ETF	FCTR	FCTRIV	07/25/18	$21.92	0.92%	-------	1.59%
First Trust NASDAQ-100 Equal Weighted Index Fund	QQEW	QQEWIV	04/19/06	$67.04	0.48%	0.48%	1.08%
First Trust NASDAQ-100 Ex-Technology Sector Index Fund	QQXT	QQXTIV	02/08/07	$53.85	0.35%	0.27%	0.96%
First Trust US Equity Opportunities ETF	FPX	FPXIV	04/12/06	$75.68	0.51%	0.51%	3.08%
First Trust Value Line® 100 Exchange-Traded Fund	FVL	FVLIV	06/12/03	$22.16	0.85%	0.85%	1.44%

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 9/30/2019.
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 9/30/2019.
³	Index yield represents the weighted average trailing 12-month dividend of the constituents of the fund's underlying index. Index yield as of 9/30/2019.