First Trust Small Cap Core AlphaDEX Fund (FYX)

FINANCE: GENERAL FINANCE
SIC:

120 EAST LIBERTY DRIVE, SUITE 400 WHEATON, IL 60187

First Trust Small Cap Core AlphaDEX Fund is an exchange-traded index fund or Index ETF that is a non-diversified, exchange-traded series of the First Trust Exchange-Traded AlphaDEX Fund, an open-end management investment company. The First Trust Small Cap Core AlphaDEX Fund seeks investment results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Defined Small Cap Core Index (Symbol: DEFISCCI). INDEX DESCRIPTION: The Defined Small Cap Core Index is a modified equal-dollar weighted index designed by S&P to objectively identify and select stocks from the S&P SmallCap 600 Index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX screening methodology. Alpha is an indication of how much an investment outperforms or underperforms on a risk-adjusted basis relative to its benchmark. The S&P SmallCap 600 Index includes 600 stocks selected on size, financial viability, liquidity, adequate float size and other trading requirements covering 3%-4% of the U.S. equities market. The inception date of the Defined Small Cap Core Index was April 9, 2007. The initial divisor was created to set a benchmark value of 100.00 on January 8, 1996. The Defined Small Cap Core Index was created and trademarked by S&P. As of April 9, 2007, the S&P SmallCap 600 Index consisted of 600 stocks and the Defined Small Cap Core Index consisted of 449 stocks.

View SEC Filings from FYX instead.

Funds Holding FYX (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding FYX BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

Insider Transactions Last 60 Days

Reporting Owners Transaction Date Transaction Code Shares Share Price Acquired or Disposed Shares Owned Following Transaction Combined shares owned after filing Direct/Indirect Ownership 10b-5
No current insider transactions

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