First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund
» Portfolio Information
Number Of Holdings
Maximum Market Cap.
Median Market Cap.
Minimum Market Cap.
Price/Earnings
Price/Book
Price/Cash Flow
Price/Sales
» Top Holdings (%)
403
$3.68 Billion
$1.13 Billion
$216 Million
10.52
1.10
6.46
0.57
As of 12/31/15
» Top Sector Exposure (%)
Bellamy’s Australia Limited
Daikyonishikawa Corporation
Alpine Electronics, Inc.
Create SD Holdings Co., Ltd.
Megmilk Snow Brand Co., Ltd.
Nishio Rent All Co., Ltd.
BW LPG Limited
Kasai Kogyo Co., Ltd.
Kingboard Chemical Holdings Limited
Nordex SE
0.70
0.67
0.56
0.55
0.54
0.54
0.52
0.52
0.51
0.51
Industrials
Consumer Discretionary
Materials
Information Technology
Financials
Consumer Staples
Energy
Utilities
Health Care
Telecommunication Services
22.55
20.43
14.35
14.12
11.62
10.62
2.73
1.72
1.67
0.19
» Top Country Exposure (%)
Japan
South Korea
Canada
Australia
United Kingdom
Germany
China
Singapore
Hong Kong
Norway
47.57
9.36
5.83
5.79
5.70
5.40
3.95
2.33
2.19
2.00
You should consider the fund’s investment objectives, risks, and charges and expenses carefully before investing. Contact First Trust Portfolios L.P. at 1-800-621-1675 or visit www.ftportfolios.com
to obtain a prospectus or summary prospectus which contains this and other information about the fund. The prospectus or summary prospectus should be read carefully before investing.
ETF Characteristics
The fund lists and principally trades its shares on The Nasdaq Stock Market LLC.
The fund’s return may not match the return of the NASDAQ AlphaDEX® Developed Markets ExUS Small Cap Index.
Securities held by the fund will generally not be bought or sold in
response to market fluctuations.
Investors buying or selling fund shares on the secondary market may incur customary
brokerage commissions. Market prices may differ to some degree from the net asset value of
the shares. Investors who sell fund shares may receive less than the share’s net asset value.
Shares may be sold throughout the day on the exchange through any brokerage account.
However, unlike mutual funds, shares may only be redeemed directly from the fund by
authorized participants, in very large creation/redemption units.
Risk Considerations
The fund’s shares will change in value, and you could lose money by investing in the fund.
One
of the principal risks of investing in the fund is market risk. Market risk is the risk that a
particular stock owned by the fund, fund shares or stocks in general may fall in value. There
can be no assurance that the fund’s investment objective will be achieved.
The fund may invest in securities issued by companies concentrated in a particular industry or
country.
The fund invests in small capitalization and mid capitalization companies. Such
companies may experience greater price volatility than larger, more established companies.
An investment in a fund containing securities of non-U.S. issuers is subject to additional risks,
including currency fluctuations, political risks, withholding, the lack of adequate ï¬nancial
information, and exchange control restrictions impacting non-U.S.
issuers.
The fund may invest in depositary receipts which may be less liquid than the underlying shares
in their primary trading market. The fund may effect a portion of creations and redemptions
for cash, rather than in-kind securities. As a result, the fund may be less tax-efficient.
The fund is classiï¬ed as “non-diversiï¬ed” and may invest a relatively high percentage of its
assets in a limited number of issuers.
As a result, the fund may be more susceptible to a single
adverse economic or regulatory occurrence affecting one or more of these issuers, experience
increased volatility and be highly concentrated in certain issuers.
First Trust Advisors L.P. is the adviser to the fund. First Trust Advisors L.P.
is an affiliate of First
Trust Portfolios L.P., the fund’s distributor.
Deï¬nitions
Standard Deviation is a measure of price variability (risk). Alpha is an indication of how much
an investment outperforms or underperforms on a risk-adjusted basis relative to its
benchmark. Beta is a measure of price variability relative to the market.
Sharpe Ratio is a
measure of excess reward per unit of volatility. Correlation is a measure of the similarity of
performance. The MSCI World ex-US Small Cap Index is a free float-adjusted market
capitalization index that is designed to measure equity market performance of all investable
small cap securities in developed markets throughout the world, with the exception of U.S.based companies.
The S&P Developed Markets ex-US Small Cap Index is a comprehensive,
rules-based index measuring performance of the small capitalization segment of equity
markets domiciled in developed countries outside the U.S. The NASDAQ Developed Markets
Ex-US Small Cap Index is a float adjusted market capitalization-weighted index that is
designed to measure the small capitalization segment performance of countries which are
designated as developed markets, excluding the United States.
The NASDAQ AlphaDEX® Developed Markets Ex-US Small Cap Index (the “Index”) is a trademark of Nasdaq, Inc. and has been licensed for use by First Trust Portfolios L.P.
AlphaDEX® is a trademark owned
by First Trust Portfolios L.P. and has been licensed to Nasdaq, Inc. for use in the name of the Index.
The First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund is not sponsored, endorsed, sold or
promoted by Nasdaq, Inc. and Nasdaq, Inc. makes no representation or warranty regarding the advisability of investing in the First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund or as to the
result to be obtained by any person from use of the Index in connection with the trading of the First Trust Developed Markets ex-US Small Cap AlphaDEX® Fund.
“AlphaDEX®” is a registered trademark of First Trust Portfolios L.P.
First Trust Portfolios L.P. has obtained a patent for the AlphaDEX® stock selection methodology from the United States Patent and
Trademark Office.
Not FDIC Insured • Not Bank Guaranteed • May Lose Value
FDTSFS011516
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