First Trust Nasdaq Bank ETF (FTXO)
Portfolio of Investments
June 30, 2021 (Unaudited)
Shares | Description | Value | ||
COMMON STOCKS – 99.8% | ||||
Banks – 90.1% | ||||
107,142 | Bank of America Corp. | $4,417,465 | ||
259,941 | Citigroup, Inc. | 18,390,826 | ||
205,007 | Citizens Financial Group, Inc. | 9,403,671 | ||
57,865 | Comerica, Inc. | 4,128,089 | ||
37,623 | Cullen/Frost Bankers, Inc. | 4,213,776 | ||
60,733 | East West Bancorp, Inc. | 4,353,949 | ||
107,779 | Fifth Third Bancorp | 4,120,391 | ||
11,885 | First Citizens BancShares, Inc., Class A | 9,897,115 | ||
536,442 | First Horizon Corp. | 9,269,718 | ||
53,435 | First Republic Bank | 10,001,429 | ||
286,360 | Huntington Bancshares, Inc. | 4,086,357 | ||
531,250 | Investors Bancorp, Inc. | 7,575,625 | ||
124,572 | JPMorgan Chase & Co. | 19,375,929 | ||
197,121 | KeyCorp | 4,070,549 | ||
28,266 | M&T Bank Corp. | 4,107,332 | ||
105,095 | PNC Financial Services Group (The), Inc. | 20,047,922 | ||
250,706 | Popular, Inc. | 18,815,485 | ||
194,005 | Regions Financial Corp. | 3,915,021 | ||
18,187 | Signature Bank | 4,467,637 | ||
91,834 | Silvergate Capital Corp., Class A (a) | 10,406,629 | ||
170,484 | Sterling Bancorp | 4,226,298 | ||
7,793 | SVB Financial Group (a) | 4,336,259 | ||
92,459 | Synovus Financial Corp. | 4,057,101 | ||
112,590 | Truist Financial Corp. | 6,248,745 | ||
74,724 | US Bancorp | 4,257,026 | ||
218,961 | Wells Fargo & Co. | 9,916,744 | ||
45,412 | Western Alliance Bancorp | 4,216,504 | ||
78,469 | Zions Bancorp N.A. | 4,147,871 | ||
216,471,463 | ||||
Consumer Finance – 1.9% | ||||
38,731 | Discover Financial Services | 4,581,490 | ||
Thrifts & Mortgage Finance – 7.8% | ||||
1,709,264 | New York Community Bancorp, Inc. | 18,836,089 | ||
Total Investments – 99.8% | 239,889,042 | |||
(Cost $231,878,121) (b) | ||||
Net Other Assets and Liabilities – 0.2% | 374,756 | |||
Net Assets – 100.0% | $240,263,798 |
(a) | Non-income producing security. |
(b) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $14,171,199 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $6,160,278. The net unrealized appreciation was $8,010,921. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 239,889,042 | $ 239,889,042 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Nasdaq Food & Beverage ETF (FTXG)
Portfolio of Investments
June 30, 2021 (Unaudited)
Shares | Description | Value | ||
COMMON STOCKS – 99.9% | ||||
Beverages – 18.5% | ||||
94 | Boston Beer (The) Co., Inc., Class A (a) | $95,955 | ||
1,244 | Brown-Forman Corp., Class B | 93,226 | ||
1,809 | Coca-Cola (The) Co. | 97,885 | ||
417 | Constellation Brands, Inc., Class A | 97,532 | ||
7,189 | Keurig Dr. Pepper, Inc. | 253,341 | ||
1,715 | Molson Coors Beverage Co., Class B (a) | 92,078 | ||
1,061 | Monster Beverage Corp. (a) | 96,922 | ||
2,003 | National Beverage Corp. | 94,602 | ||
1,796 | PepsiCo, Inc. | 266,113 | ||
1,187,654 | ||||
Chemicals – 1.5% | ||||
2,198 | Corteva, Inc. | 97,481 | ||
Food & Staples Retailing – 1.5% | ||||
2,568 | US Foods Holding Corp. (a) | 98,509 | ||
Food Products – 73.9% | ||||
7,987 | Archer-Daniels-Midland Co. | 484,012 | ||
3,268 | B&G Foods, Inc. | 107,190 | ||
688 | Beyond Meat, Inc. (a) | 108,353 | ||
6,121 | Bunge Ltd. | 478,356 | ||
2,659 | Campbell Soup Co. | 121,224 | ||
6,974 | Conagra Brands, Inc. | 253,714 | ||
3,881 | Darling Ingredients, Inc. (a) | 261,968 | ||
7,894 | General Mills, Inc. | 480,981 | ||
1,535 | Hershey (The) Co. | 267,366 | ||
2,060 | Hormel Foods Corp. | 98,365 | ||
2,799 | Ingredion, Inc. | 253,310 | ||
3,987 | JM Smucker (The) Co. | 516,596 | ||
4,057 | Kellogg Co. | 260,987 | ||
2,294 | Kraft Heinz (The) Co. | 93,549 | ||
1,212 | Lamb Weston Holdings, Inc. | 97,760 | ||
1,123 | McCormick & Co., Inc. | 99,183 | ||
4,182 | Mondelez International, Inc., Class A | 261,124 | ||
6,684 | Tyson Foods, Inc., Class A | 493,012 | ||
4,737,050 | ||||
Specialty Retail – 4.5% | ||||
5,983 | GrowGeneration Corp. (a) | 287,782 | ||
Total Investments – 99.9% | 6,408,476 | |||
(Cost $6,499,493) (b) | ||||
Net Other Assets and Liabilities – 0.1% | 6,253 | |||
Net Assets – 100.0% | $6,414,729 |
(a) | Non-income producing security. |
(b) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $47,632 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $138,649. The net unrealized depreciation was $91,017. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 6,408,476 | $ 6,408,476 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Nasdaq Oil & Gas ETF (FTXN)
Portfolio of Investments
June 30, 2021 (Unaudited)
Shares | Description | Value | ||
COMMON STOCKS – 99.8% | ||||
Energy Equipment & Services – 2.1% | ||||
6,597 | Baker Hughes Co. | $150,873 | ||
6,074 | ChampionX Corp. (a) | 155,798 | ||
7,169 | Halliburton Co. | 165,747 | ||
5,698 | Helmerich & Payne, Inc. | 185,926 | ||
1,720 | Nabors Industries Ltd. (a) | 196,493 | ||
9,984 | NOV, Inc. (a) | 152,955 | ||
5,139 | Schlumberger N.V. | 164,500 | ||
62,644 | Transocean Ltd. (a) | 283,151 | ||
1,455,443 | ||||
Oil, Gas & Consumable Fuels – 97.7% | ||||
219,213 | Antero Midstream Corp. | 2,277,623 | ||
146,826 | Antero Resources Corp. (a) | 2,206,795 | ||
7,739 | APA Corp. | 167,395 | ||
148,569 | Cabot Oil & Gas Corp. | 2,594,015 | ||
4,184 | Callon Petroleum Co. (a) | 241,375 | ||
437,400 | Centennial Resource Development, Inc./DE, Class A (a) | 2,965,572 | ||
57,397 | Cheniere Energy, Inc. (a) | 4,978,616 | ||
46,952 | Chevron Corp. | 4,917,752 | ||
2,375 | Cimarex Energy Co. | 172,069 | ||
11,821 | CNX Resources Corp. (a) | 161,475 | ||
119,580 | Comstock Resources, Inc. (a) | 797,599 | ||
43,712 | ConocoPhillips | 2,662,061 | ||
7,221 | Delek US Holdings, Inc. | 156,118 | ||
6,061 | Devon Energy Corp. | 176,921 | ||
2,009 | Diamondback Energy, Inc. | 188,625 | ||
30,328 | EOG Resources, Inc. | 2,530,568 | ||
97,339 | EQT Corp. (a) | 2,166,766 | ||
295,696 | Equitrans Midstream Corp. | 2,516,373 | ||
41,742 | Exxon Mobil Corp. | 2,633,085 | ||
18,002 | Hess Corp. | 1,571,935 | ||
4,957 | HollyFrontier Corp. | 163,085 | ||
265,706 | Kinder Morgan, Inc. | 4,843,820 | ||
50,616 | Kosmos Energy Ltd. (a) | 175,131 | ||
12,458 | Magnolia Oil & Gas Corp., Class A (a) | 194,718 | ||
201,198 | Marathon Oil Corp. | 2,740,317 | ||
2,604 | Marathon Petroleum Corp. | 157,334 | ||
47,341 | Matador Resources, Co. | 1,704,749 | ||
7,422 | Murphy Oil Corp. | 172,784 | ||
6,202 | Occidental Petroleum Corp. | 193,936 | ||
46,199 | ONEOK, Inc. | 2,570,512 | ||
6,046 | Ovintiv, Inc. | 190,268 | ||
9,972 | PBF Energy, Inc., Class A (a) | 152,572 | ||
57,709 | PDC Energy, Inc. | 2,642,495 | ||
3,164 | Phillips 66 | 271,534 | ||
16,011 | Pioneer Natural Resources Co. | 2,602,108 | ||
11,870 | Range Resources Corp. (a) | 198,941 | ||
244,877 | SM Energy Co. | 6,031,320 | ||
31,134 | Southwestern Energy Co. (a) | 176,530 | ||
14,576 | Targa Resources Corp. | 647,903 |
Shares | Description | Value | ||
Oil, Gas & Consumable Fuels (Continued) | ||||
36,918 | Tellurian, Inc. (a) | $171,669 | ||
12,657 | Valero Energy Corp. | 988,259 | ||
185,005 | Williams (The) Cos., Inc. | 4,911,883 | ||
67,984,606 | ||||
Total Investments – 99.8% | 69,440,049 | |||
(Cost $61,496,871) (b) | ||||
Net Other Assets and Liabilities – 0.2% | 118,823 | |||
Net Assets – 100.0% | $69,558,872 |
(a) | Non-income producing security. |
(b) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $8,027,477 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $84,299. The net unrealized appreciation was $7,943,178. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 69,440,049 | $ 69,440,049 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Nasdaq Pharmaceuticals ETF (FTXH)
Portfolio of Investments
June 30, 2021 (Unaudited)
Shares | Description | Value | ||
COMMON STOCKS – 99.7% | ||||
Biotechnology – 33.6% | ||||
15,375 | AbbVie, Inc. | $1,731,840 | ||
38,386 | Alkermes PLC (a) | 941,225 | ||
2,638 | BioMarin Pharmaceutical, Inc. (a) | 220,115 | ||
2,232 | Blueprint Medicines Corp. (a) | 196,327 | ||
10,241 | Esperion Therapeutics, Inc. (a) | 216,597 | ||
13,163 | Gilead Sciences, Inc. | 906,404 | ||
9,494 | Horizon Therapeutics PLC (a) | 889,018 | ||
5,474 | Ionis Pharmaceuticals, Inc. (a) | 218,358 | ||
172,793 | Tonix Pharmaceuticals Holding Corp. (a) | 191,800 | ||
9,362 | United Therapeutics Corp. (a) | 1,679,636 | ||
977 | Vertex Pharmaceuticals, Inc. (a) | 196,993 | ||
7,388,313 | ||||
Health Care Providers & Services – 4.0% | ||||
15,520 | Cardinal Health, Inc. | 886,037 | ||
Pharmaceuticals – 62.1% | ||||
13,241 | Bristol-Myers Squibb Co. | 884,764 | ||
8,301 | Catalent, Inc. (a) | 897,504 | ||
9,440 | Corcept Therapeutics, Inc. (a) | 207,680 | ||
24,186 | Elanco Animal Health, Inc. (a) | 839,012 | ||
4,357 | Eli Lilly & Co. | 1,000,019 | ||
148,248 | Endo International PLC (a) | 693,801 | ||
4,885 | Jazz Pharmaceuticals PLC (a) | 867,771 | ||
10,283 | Johnson & Johnson | 1,694,021 | ||
22,934 | Merck & Co., Inc. | 1,783,577 | ||
14,004 | Ocular Therapeutix, Inc. (a) | 198,577 | ||
3,361 | Pacira BioSciences, Inc. (a) | 203,945 | ||
7,971 | Perrigo Co. PLC | 365,470 | ||
22,469 | Pfizer, Inc. | 879,886 | ||
34,899 | Prestige Consumer Healthcare, Inc. (a) | 1,818,238 | ||
168,509 | TherapeuticsMD, Inc. (a) | 200,526 | ||
4,925 | Zoetis, Inc. | 917,823 | ||
11,618 | Zogenix, Inc. (a) | 200,759 | ||
13,653,373 | ||||
Total Investments – 99.7% | 21,927,723 | |||
(Cost $20,220,572) (b) | ||||
Net Other Assets and Liabilities – 0.3% | 57,256 | |||
Net Assets – 100.0% | $21,984,979 |
(a) | Non-income producing security. |
(b) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $2,280,300 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $573,149. The net unrealized appreciation was $1,707,151. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 21,927,723 | $ 21,927,723 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Nasdaq Retail ETF (FTXD)
Portfolio of Investments
June 30, 2021 (Unaudited)
Shares | Description | Value | ||
COMMON STOCKS – 100.0% | ||||
Commercial Services & Supplies – 2.5% | ||||
2,302 | Copart, Inc. (a) | $303,473 | ||
Diversified Consumer Services – 0.4% | ||||
587 | Chegg, Inc. (a) | 48,785 | ||
Food & Staples Retailing – 17.1% | ||||
1,832 | Costco Wholesale Corp. | 724,867 | ||
12,518 | Kroger (The) Co. | 479,564 | ||
557 | Sysco Corp. | 43,307 | ||
857 | Walgreens Boots Alliance, Inc. | 45,087 | ||
5,251 | Walmart, Inc. | 740,496 | ||
2,033,321 | ||||
Health Care Providers & Services – 6.5% | ||||
393 | AmerisourceBergen Corp. | 44,995 | ||
8,214 | CVS Health Corp. | 685,376 | ||
234 | McKesson Corp. | 44,750 | ||
775,121 | ||||
Internet & Direct Marketing Retail – 7.0% | ||||
14 | Amazon.com, Inc. (a) | 48,162 | ||
613 | Chewy, Inc., Class A (a) | 48,862 | ||
7,604 | eBay, Inc. | 533,877 | ||
274 | Etsy, Inc. (a) | 56,400 | ||
528 | Overstock.com, Inc. (a) | 48,682 | ||
844 | Stitch Fix, Inc., Class A (a) | 50,893 | ||
147 | Wayfair, Inc., Class A (a) | 46,410 | ||
833,286 | ||||
Multiline Retail – 15.5% | ||||
2,281 | Dollar General Corp. | 493,585 | ||
4,748 | Dollar Tree, Inc. (a) | 472,426 | ||
4,399 | Kohl’s Corp. | 242,429 | ||
2,468 | Macy’s, Inc. (a) | 46,793 | ||
1,345 | Nordstrom, Inc. (a) | 49,187 | ||
522 | Ollie’s Bargain Outlet Holdings, Inc. (a) | 43,916 | ||
2,040 | Target Corp. | 493,150 | ||
1,841,486 | ||||
Oil, Gas & Consumable Fuels – 0.5% | ||||
5,696 | Clean Energy Fuels Corp. (a) | 57,814 | ||
Road & Rail – 0.8% | ||||
790 | Lyft, Inc., Class A (a) | 47,779 | ||
888 | Uber Technologies, Inc. (a) | 44,507 | ||
92,286 | ||||
Specialty Retail – 49.7% | ||||
2,440 | Advance Auto Parts, Inc. | 500,542 |
Shares | Description | Value | ||
Specialty Retail (Continued) | ||||
1,273 | American Eagle Outfitters, Inc. | $47,776 | ||
506 | AutoZone, Inc. (a) | 755,063 | ||
1,612 | Bed Bath & Beyond, Inc. (a) | 53,663 | ||
3,982 | Best Buy Co., Inc. | 457,850 | ||
140 | Burlington Stores, Inc. (a) | 45,079 | ||
541 | CarMax, Inc. (a) | 69,870 | ||
170 | Carvana Co. (a) | 51,309 | ||
4,746 | Dick’s Sporting Goods, Inc. | 475,502 | ||
245 | Five Below, Inc. (a) | 47,351 | ||
4,170 | GameStop Corp., Class A (a) | 892,964 | ||
1,349 | Gap (The), Inc. | 45,394 | ||
1,452 | Home Depot (The), Inc. | 463,028 | ||
2,828 | L Brands, Inc. | 203,786 | ||
128 | Lithia Motors, Inc. | 43,986 | ||
2,376 | Lowe’s Cos., Inc. | 460,873 | ||
865 | O’Reilly Automotive, Inc. (a) | 489,772 | ||
70 | RH (a) | 47,530 | ||
357 | Ross Stores, Inc. | 44,268 | ||
668 | TJX (The) Cos., Inc. | 45,036 | ||
1,921 | Tractor Supply Co. | 357,421 | ||
131 | Ulta Beauty, Inc. (a) | 45,296 | ||
1,660 | Williams-Sonoma, Inc. | 265,019 | ||
5,908,378 | ||||
Total Investments – 100.0% | 11,893,950 | |||
(Cost $11,329,557) (b) | ||||
Net Other Assets and Liabilities – 0.0% | 1,314 | |||
Net Assets – 100.0% | $11,895,264 |
(a) | Non-income producing security. |
(b) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $672,658 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $108,265. The net unrealized appreciation was $564,393. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 11,893,950 | $ 11,893,950 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Nasdaq Semiconductor ETF (FTXL)
Portfolio of Investments
June 30, 2021 (Unaudited)
Shares | Description | Value | ||
COMMON STOCKS – 100.0% | ||||
Electronic Equipment, Instruments & Components – 3.2% | ||||
18,845 | II-VI, Inc. (a) | $1,367,958 | ||
6,067 | IPG Photonics Corp. (a) | 1,278,742 | ||
2,646,700 | ||||
Semiconductors & Semiconductor Equipment – 96.8% | ||||
15,853 | Advanced Micro Devices, Inc. (a) | 1,489,072 | ||
12,648 | Ambarella, Inc. (a) | 1,348,656 | ||
149,117 | Amkor Technology, Inc. | 3,529,599 | ||
38,230 | Analog Devices, Inc. | 6,581,677 | ||
45,557 | Applied Materials, Inc. | 6,487,317 | ||
13,323 | Broadcom, Inc. | 6,352,939 | ||
12,436 | Brooks Automation, Inc. | 1,184,902 | ||
16,262 | Cirrus Logic, Inc. (a) | 1,384,222 | ||
12,694 | Cree, Inc. (a) | 1,243,124 | ||
11,092 | Entegris, Inc. | 1,363,983 | ||
55,083 | Intel Corp. | 3,092,360 | ||
9,929 | KLA Corp. | 3,219,081 | ||
4,841 | Lam Research Corp. | 3,150,039 | ||
23,923 | Lattice Semiconductor Corp. (a) | 1,343,994 | ||
26,285 | Marvell Technology, Inc. | 1,533,204 | ||
8,089 | Microchip Technology, Inc. | 1,211,247 | ||
74,788 | Micron Technology, Inc. (a) | 6,355,484 | ||
3,700 | Monolithic Power Systems, Inc. | 1,381,765 | ||
1,954 | NVIDIA Corp. | 1,563,395 | ||
14,882 | NXP Semiconductors N.V. | 3,061,525 | ||
78,580 | ON Semiconductor Corp. (a) | 3,008,043 | ||
9,266 | Qorvo, Inc. (a) | 1,812,893 | ||
9,572 | QUALCOMM, Inc. | 1,368,126 | ||
9,297 | Silicon Laboratories, Inc. (a) | 1,424,765 | ||
7,468 | Skyworks Solutions, Inc. | 1,431,989 | ||
24,906 | Synaptics, Inc. (a) | 3,874,876 | ||
23,773 | Teradyne, Inc. | 3,184,631 | ||
33,151 | Texas Instruments, Inc. | 6,374,937 | ||
79,357,845 | ||||
Total Investments – 100.0% | 82,004,545 | |||
(Cost $71,985,698) (b) | ||||
Net Other Assets and Liabilities – 0.0% | 30,854 | |||
Net Assets – 100.0% | $82,035,399 |
(a) | Non-income producing security. |
(b) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $10,226,359 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $207,512. The net unrealized appreciation was $10,018,847. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 82,004,545 | $ 82,004,545 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
First Trust Nasdaq Transportation ETF (FTXR)
Portfolio of Investments
June 30, 2021 (Unaudited)
Shares | Description | Value | ||
COMMON STOCKS – 99.8% | ||||
Air Freight & Logistics – 21.7% | ||||
488,691 | CH Robinson Worldwide, Inc. | $45,775,686 | ||
754,441 | Expeditors International of Washington, Inc. | 95,512,231 | ||
150,607 | FedEx Corp. | 44,930,586 | ||
180,971 | United Parcel Service, Inc., Class B | 37,636,539 | ||
245,073 | XPO Logistics, Inc. (a) | 34,283,262 | ||
258,138,304 | ||||
Airlines – 10.9% | ||||
307,649 | Alaska Air Group, Inc. (a) | 18,554,311 | ||
878,271 | American Airlines Group, Inc. (a) | 18,628,128 | ||
446,505 | Delta Air Lines, Inc. (a) | 19,315,806 | ||
1,059,170 | JetBlue Airways Corp. (a) | 17,772,873 | ||
346,395 | Southwest Airlines Co. (a) | 18,390,111 | ||
596,173 | Spirit Airlines, Inc. (a) | 18,147,506 | ||
364,856 | United Airlines Holdings, Inc. (a) | 19,078,320 | ||
129,887,055 | ||||
Auto Components – 6.5% | ||||
205,579 | Aptiv PLC (a) | 32,343,744 | ||
921,469 | BorgWarner, Inc. | 44,728,105 | ||
77,071,849 | ||||
Automobiles – 13.2% | ||||
3,263,102 | Ford Motor Co. (a) | 48,489,696 | ||
799,409 | General Motors Co. (a) | 47,301,031 | ||
34,052 | Tesla, Inc. (a) | 23,145,144 | ||
2,272,063 | Workhorse Group, Inc. (a) (b) | 37,693,525 | ||
156,629,396 | ||||
Machinery – 7.9% | ||||
1,423,078 | Nikola Corp. (a) (b) | 25,700,789 | ||
517,835 | PACCAR, Inc. | 46,216,774 | ||
257,242 | Westinghouse Air Brake Technologies Corp. | 21,171,016 | ||
93,088,579 | ||||
Road & Rail – 26.1% | ||||
2,262,501 | CSX Corp. | 72,581,032 | ||
378,726 | JB Hunt Transport Services, Inc. | 61,713,402 | ||
71,517 | Kansas City Southern | 20,265,772 | ||
239,912 | Norfolk Southern Corp. | 63,675,044 | ||
178,615 | Old Dominion Freight Line, Inc. | 45,332,487 | ||
210,978 | Union Pacific Corp. | 46,400,391 | ||
309,968,128 | ||||
Specialty Retail – 9.7% | ||||
2,788,993 | Blink Charging Co. (a) (b) | 114,822,842 |
Shares | Description | Value | ||
Trading Companies & Distributors – 3.8% | ||||
141,971 | United Rentals, Inc. (a) | $45,290,169 | ||
Total Common Stocks | 1,184,896,322 | |||
(Cost $1,069,472,137) | ||||
MONEY MARKET FUNDS – 12.3% | ||||
146,573,085 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (c) (d) | 146,573,085 | ||
(Cost $146,573,085) | ||||
Total Investments – 112.1% | 1,331,469,407 | |||
(Cost $1,216,045,222) (e) | ||||
Net Other Assets and Liabilities – (12.1)% | (143,525,842) | |||
Net Assets – 100.0% | $1,187,943,565 |
(a) | Non-income producing security. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $140,808,112 and the total value of the collateral held by the Fund is $146,573,085. |
(c) | Rate shown reflects yield as of June 30, 2021. |
(d) | This security serves as collateral for securities on loan. |
(e) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $119,435,702 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $4,011,517. The net unrealized appreciation was $115,424,185. |
First Trust Nasdaq Transportation ETF (FTXR)
Portfolio of Investments (Continued)
June 30, 2021 (Unaudited)
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 1,184,896,322 | $ 1,184,896,322 | $ — | $ — |
Money Market Funds | 146,573,085 | 146,573,085 | — | — |
Total Investments | $ 1,331,469,407 | $ 1,331,469,407 | $— | $— |
* | See Portfolio of Investments for industry breakout. |
First Trust Indxx Medical Devices ETF (MDEV)
Portfolio of Investments
June 30, 2021 (Unaudited)
Shares | Description | Value | ||
COMMON STOCKS – 100.0% | ||||
Biotechnology – 1.9% | ||||
3,800 | Exact Sciences Corp. (a) | $472,378 | ||
Health Care Equipment & Supplies – 77.2% | ||||
3,980 | Abbott Laboratories | 461,401 | ||
1,480 | ABIOMED, Inc. (a) | 461,923 | ||
6,700 | Alcon, Inc. | 469,090 | ||
800 | Align Technology, Inc. (a) | 488,800 | ||
9,080 | Ambu A.S., Class B | 349,083 | ||
5,720 | Baxter International, Inc. | 460,460 | ||
1,880 | Becton Dickinson and Co. | 457,197 | ||
3,720 | BioMerieux | 432,277 | ||
12,120 | Boston Scientific Corp. (a) | 518,251 | ||
2,820 | Carl Zeiss Meditec AG | 544,875 | ||
3,080 | Coloplast A.S., Class B | 505,373 | ||
1,220 | Cooper (The) Cos., Inc. | 483,449 | ||
2,020 | Danaher Corp. | 542,087 | ||
10,100 | Demant A.S. (a) | 568,515 | ||
7,580 | DENTSPLY SIRONA, Inc. | 479,511 | ||
1,220 | DexCom, Inc. (a) | 520,940 | ||
5,560 | Edwards Lifesciences Corp. (a) | 575,849 | ||
20,740 | Fisher & Paykel Healthcare Corp., Ltd. | 451,155 | ||
6,460 | Hologic, Inc. (a) | 431,011 | ||
3,994 | Hoya Corp. | 529,561 | ||
1,660 | Insulet Corp. (a) | 455,687 | ||
600 | Intuitive Surgical, Inc. (a) | 551,784 | ||
8,180 | Koninklijke Philips N.V. | 405,339 | ||
2,000 | Masimo Corp. (a) | 484,900 | ||
3,920 | Medtronic PLC | 486,590 | ||
2,560 | Novocure Ltd. (a) | 567,859 | ||
23,940 | Olympus Corp. | 475,805 | ||
2,380 | ResMed, Inc. | 586,718 | ||
8,840 | Siemens Healthineers AG (b) (c) | 541,711 | ||
24,840 | Smith & Nephew PLC | 536,893 | ||
1,700 | Sonova Holding AG | 639,395 | ||
2,360 | STERIS PLC | 486,868 | ||
360 | Straumann Holding AG | 573,899 | ||
1,920 | Stryker Corp. | 498,682 | ||
4,078 | Sysmex Corp. | 484,537 | ||
1,140 | Teleflex, Inc. | 458,041 | ||
13,930 | Terumo Corp. | 564,497 | ||
1,560 | West Pharmaceutical Services, Inc. | 560,196 | ||
2,880 | Zimmer Biomet Holdings, Inc. | 463,162 | ||
19,553,371 | ||||
Health Care Providers & Services – 1.5% | ||||
3,120 | Guardant Health, Inc. (a) | 387,473 | ||
Life Sciences Tools & Services – 19.4% | ||||
2,540 | 10X Genomics, Inc., Class A (a) | 497,383 | ||
3,680 | Agilent Technologies, Inc. | 543,941 |
Shares | Description | Value | ||
Life Sciences Tools & Services (Continued) | ||||
780 | Bio-Rad Laboratories, Inc., Class A (a) | $502,546 | ||
380 | Mettler-Toledo International, Inc. (a) | 526,429 | ||
3,720 | PerkinElmer, Inc. | 574,405 | ||
1,060 | Sartorius Stedim Biotech | 501,376 | ||
1,000 | Thermo Fisher Scientific, Inc. | 504,470 | ||
1,640 | Waters Corp. (a) | 566,800 | ||
29,540 | WuXi AppTec Co., Ltd., Class H (b) (c) | 689,773 | ||
4,907,123 | ||||
Total Investments – 100.0% | 25,320,345 | |||
(Cost $25,306,080) (d) | ||||
Net Other Assets and Liabilities – 0.0% | 8,101 | |||
Net Assets – 100.0% | $25,328,446 |
(a) | Non-income producing security. |
(b) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the Securities Act of 1933, as amended (the “1933 Act”). |
(c) | This security is exempt from registration upon resale under Rule 144A of the 1933 Act and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(d) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $196,998 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $182,733. The net unrealized appreciation was $14,265. |
Valuation Inputs
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section):
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |
Common Stocks* | $ 25,320,345 | $ 25,320,345 | $ — | $ — |
* | See Portfolio of Investments for industry breakout. |
Additional Information
First Trust Exchange-Traded Fund VI
June 30, 2021 (Unaudited)
Valuation Inputs
The Funds are subject to fair value accounting standards that define fair value, establish the framework for measuring fair value and provide a three-level hierarchy for fair valuation based upon the inputs to the valuation as of the measurement date. The three levels of the fair value hierarchy are as follows:
• | Level 1 – Level 1 inputs are quoted prices in active markets for identical investments. |
• | Level 2 – Level 2 inputs are observable inputs, either directly or indirectly. (Quoted prices for similar investments, valuations based on interest rates and yield curves, or valuations derived from observable market data.) |
• | Level 3 – Level 3 inputs are unobservable inputs that may reflect the reporting entity’s own assumptions about the assumptions that market participants would use in pricing the investment. |
The inputs or methodologies used for valuing investments are not necessarily an indication of the risk associated with investing in those investments.
Licensing Information
Nasdaq®, Nasdaq US Smart Banks IndexTM, Nasdaq US Smart Food & Beverage IndexTM, Nasdaq US Smart Oil & Gas IndexTM, Nasdaq US Smart Pharmaceuticals IndexTM, Nasdaq US Smart Retail IndexTM, Nasdaq US Smart Semiconductor IndexTM and Nasdaq US Smart Transportation IndexTM are registered trademarks and service marks of Nasdaq, Inc. (which with its affiliates herein after referred to as the “Corporations”) and are licensed for use by First Trust. The Funds have not been passed on by the Corporations as to their legality or suitability. The Funds are not issued, endorsed, sold, or promoted by the Corporations. THE CORPORATIONS MAKE NO WARRANTIES AND BEAR NO LIABILITY WITH RESPECT TO THE FUNDS.
Indxx and Indxx Global Medical Equipment IndexTM (“Index”) are trademarks of Indxx, LLC (“Indxx”) and have been licensed for use for certain purposes by First Trust. The Fund is not sponsored, endorsed, sold or promoted by Indxx and Indxx makes no representation regarding the advisability of trading in such product. The Index is determined, composed and calculated by Indxx without regard to First Trust or the Fund.