FYX

Fund Description
The Fund will seek investment results that correspond generally to the price and yield (before the Fund s fees and expenses) of an equity index called the NASDAQ AlphaDEX Small Cap Core Index (the Index ). The Index is a modified equal dollar-weighted index developed and maintained by The NASDAQ OMX Group, Inc. that is designed to generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX selection methodology. The NASDAQ AlphaDEX Small Cap Core Index is an enhanced index created and administered by Nasdaq, Inc. ( Nasdaq ) which employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ US 700 Small Cap Index that meet certain criteria. Nasdaq constructs the NASDAQ AlphaDEX Small Cap Core Index by ranking the eligible stocks from the NASDAQ US 700 Small Cap Index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. Each stock receives either its growth or value score as it s selection score based on it s style designation as determined by Nasdaq. The top 525 stocks based on the selection score determined in the previous step comprise the selected stocks . The selected stocks are divided into quintiles based on their rankings and the top ranked quintiles receive a higher weight within the index. The stocks are equally-weighted within each quintile. The index is reconstituted and rebalanced quarterly.
Fund Profile
Fund Name First Trust Small Cap Core AlphaDEX Fund
Fund Exchange Ticker FYX
Fund Sponsor First Trust
Fund ISIN US33734Y1091
Net Expense Ratio 0.63 %
Fund Inception Date 8 May 2007
Fund Legal Structure ETF (Open end fund)
Exchange NASDAQ
Listing Country Code US
Fund Investment Objective
ETF Type Specific US Equities - Broad Market & Size
Asset Class Equities (Stocks)
Index Linked Passive
Index Name NASDAQ AlphaDEX Small Cap Core Index
Index Provider Nasdaq
Currency Hedged No
Inverse / Leveraged Not Applicable
Developed / Emerging Developed Market Funds
Market Capitalization Range Small Cap
Growth Value Core / Blend
Continent North America
Key Statistics
Return As of Date 22 January 2021
Asset Under Management 761.39 Million (USD)
1 Month Total Return 12.27 %
Year To Date Return 11.30 %
1 Year Total Return 33.31 %
3 Year Annualized Total Return 11.48 %
NAV 85.55
Share Outstanding 8,900,000
Top 10 Holdings (22 January 2021)
Constituent Name Constituent Ticker Constituent Type Weighting
PLUG POWER INC PLUG EQUI 0.0056280429
STITCH FIX INC-CLASS A SFIX EQUI 0.0047107666
EXP WORLD HOLDINGS INC EXPI EQUI 0.0046542388
AT HOME GROUP INC HOME EQUI 0.0046023700
RENEWABLE ENERGY GROUP INC REGI EQUI 0.0040508977
AMC NETWORKS INC-A AMCX EQUI 0.0039397751
INTELLIA THERAPEUTICS INC NTLA EQUI 0.0039016117
TWIST BIOSCIENCE CORP TWST EQUI 0.0038500927
QUANTERIX CORP QTRX EQUI 0.0038141567
The Macerich Company MAC EQUI 0.0038117402