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 18 January 2019
Asset Under Management 576.67 Million (USD)
1 Month Total Return 8.24 %
Year To Date Return 10.84 %
1 Year Total Return -3.10 %
3 Year Annualized Total Return 16.76 %
NAV 60.07
Share Outstanding 9,600,000
Top 10 Holdings (18 January 2019)
Constituent Name Constituent Ticker Constituent Type Weighting
GULFPORT ENERGY CORP GPOR EQUI 0.0040000000
HERC HOLDINGS INC HRI EQUI 0.0039000000
SELECT ENERGY SERVICES INC-A WTTR EQUI 0.0039000000
US SILICA HOLDINGS INC SLCA EQUI 0.0039000000
AMERICAN AXLE & MFG HOLDINGS AXL EQUI 0.0038000000
HELIX ENERGY SOLUTIONS GROUP HLX EQUI 0.0038000000
ACCO BRANDS CORP ACCO EQUI 0.0037000000
BED BATH & BEYOND INC BBBY EQUI 0.0037000000
ENTERCOM COMMUNICATIONS-CL A ETM EQUI 0.0036000000
GMS INC GMS EQUI 0.0036000000