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Name

As of 04/15/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

First Trust Nasdaq Transportation ETF

FTXR | ETF

$30.32

$40.3 M

1.59%

$0.48

0.60%

Vitals

YTD Return

1.4%

1 yr return

15.3%

3 Yr Avg Return

-1.4%

5 Yr Avg Return

6.1%

Net Assets

$40.3 M

Holdings in Top 10

59.9%

52 WEEK LOW AND HIGH

$30.6
$24.76
$32.21

Expenses

OPERATING FEES

Expense Ratio 0.60%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover 43.00%

Redemption Fee N/A

Min Investment

Standard (Taxable)

N/A

IRA

N/A

Fund Classification

Fund Type

Exchange Traded Fund

Name

As of 04/15/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

First Trust Nasdaq Transportation ETF

FTXR | ETF

$30.32

$40.3 M

1.59%

$0.48

0.60%

FTXR - Profile

Distributions

  • YTD Total Return 1.4%
  • 3 Yr Annualized Total Return -1.4%
  • 5 Yr Annualized Total Return 6.1%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio 0.92%
DIVIDENDS
  • Dividend Yield 1.6%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    First Trust Nasdaq Transportation ETF
  • Fund Family Name
    First Trust Advisors L.P.
  • Inception Date
    Sep 20, 2016
  • Shares Outstanding
    5000002
  • Share Class
    N/A
  • Currency
    USD
  • Domiciled Country
    US
  • Manager
    David McGarel

Fund Description

The Fund will normally invest at least 90% of its net assets (including investment borrowings) in the securities that comprise the Index. The Fund, using an indexing investment approach, attempts to replicate, before fees and expenses, the performance of the Index. The Index is owned and is developed, maintained and sponsored by Nasdaq, Inc. (the “Index Provider”). The Index Provider may, from time to time, exercise reasonable discretion as it deems appropriate in order to ensure Index integrity.According to the Index Provider, the Index is designed to provide exposure to U.S. companies comprising the transportation sector that have been selected based upon their liquidity and ranking described below. The Index’s initial selection universe consists of the component securities of the Nasdaq US BenchmarkTM Index that have been classified as comprising the industrial transportation sector, the automobiles & parts sector or the airlines sub-sector according to the Industry Classification Benchmark. The Nasdaq US BenchmarkTM Index is an index seeking to track the performance of small, mid and large capitalization U.S. companies. These classifications include: (i) operators of mail and package delivery services; (ii) providers of on-water transportation for commercial markets; (iii) providers of industrial railway transportation and railway lines; (iv) companies that manage airports, train depots, roads, bridges, tunnels, ports, and providers of logistic services to shippers of goods; (v) companies that provide commercial trucking services; (vi) makers of motorcycles and passenger vehicles; (vii) manufacturers and distributors of new and replacement parts for motorcycles and automobiles; (viii) manufacturers, distributors and retreaders of automobile, truck and motorcycle tires; and (ix) companies providing primarily passenger air transport. The Index may be composed of, but not limited to, common stocks and depositary receipts.After meeting certain size, float and liquidity standards of the Index, the Index Provider then ranks the remaining constituent stocks utilizing a factor model that considers: (1)grossincome;(2)return onassets;and (3)momentum. A fourth factor,cash flow, isalso considered for tie-breaking situations when other factors are inconclusive. The bottom 25%of stocks based on the aggregaterankings above will beeliminated, subject to a requirement that the Index have a total constituent count between 30 and 50 stocks.The Index assigns security weights based upon cash flow. However, the Index will not assign a security weight of greater than 8% and no more than five securities may be assigned the maximum 8% weight. The excess weight of any capped security is distributed proportionately across the remaining constituent securities. If, after redistribution, any of the five highest ranked securities have a weight of less than 8%, these securities are not capped. Any remaining securities with a weight in excess of 4% are capped at 4% and the excess weight is redistributed proportionally across the remaining constituent securities. If, after the redistribution process, a security has a weight less than 0.50%, weights are redistributed further in the process above such that no security has a weight less than 0.50%. The process is repeated, if necessary, to derive the final weights.The Index is rebalanced and reconstituted semi-annually and the Fund will make corresponding changes to its portfolio shortly after the Index changes are made public.The Fund will be concentrated in an industry or a group of industries to the extent that the Index is so concentrated. As of June 30, 2023, the Index was composed of 38 securities with market capitalization ranges from $2.48 billion to $829.68 billion. As of June 30, 2023, the Fund had significant investments in consumer discretionary companies and industrials companies, although this may change from time to time.The Fund's investments will change as the Index changes and, as a result, the Fund may have significant investments in jurisdictions or investment sectors that it may not have had as of June 30, 2023. To the extent the Fund invests a significant portion of its assets in a given jurisdiction or investment sector, the Fund may be exposed to the risks associated with that jurisdiction or investment sector.
Read More

FTXR - Performance

Return Ranking - Trailing

Period FTXR Return Category Return Low Category Return High Rank in Category (%)
YTD 1.4% -17.7% 14.8% 67.57%
1 Yr 15.3% -27.5% 56.2% 67.57%
3 Yr -1.4%* -18.0% 15.2% 78.38%
5 Yr 6.1%* -7.8% 19.7% 83.33%
10 Yr N/A* 5.8% 13.2% 88.24%

* Annualized

Return Ranking - Calendar

Period FTXR Return Category Return Low Category Return High Rank in Category (%)
2023 19.0% -8.7% 54.7% 54.05%
2022 -27.0% -42.9% 8.8% 78.38%
2021 23.1% -9.5% 32.9% 27.03%
2020 14.5% -14.7% 70.9% 35.14%
2019 13.2% 13.2% 39.8% 100.00%

Total Return Ranking - Trailing

Period FTXR Return Category Return Low Category Return High Rank in Category (%)
YTD 1.4% -17.7% 14.8% 67.57%
1 Yr 15.3% -27.5% 56.2% 67.57%
3 Yr -1.4%* -18.0% 15.2% 78.38%
5 Yr 6.1%* -7.8% 19.7% 83.33%
10 Yr N/A* 5.8% 13.2% N/A

* Annualized

Total Return Ranking - Calendar

Period FTXR Return Category Return Low Category Return High Rank in Category (%)
2023 20.9% -7.8% 55.3% 70.27%
2022 -25.4% -39.2% 10.0% 75.68%
2021 24.0% 2.3% 33.7% 35.14%
2020 15.0% -13.6% 71.2% 37.84%
2019 14.8% 14.8% 40.9% 100.00%

FTXR - Holdings

Concentration Analysis

FTXR Category Low Category High FTXR % Rank
Net Assets 40.3 M 12 M 18.3 B 83.78%
Number of Holdings 41 24 388 64.86%
Net Assets in Top 10 23.4 M 7.5 M 5.64 B 83.78%
Weighting of Top 10 59.87% 13.4% 77.9% 18.92%

Top 10 Holdings

  1. General Motors Co 8.24%
  2. Union Pacific Corp 7.90%
  3. Ford Motor Co 7.72%
  4. Tesla Inc 7.40%
  5. United Parcel Service Inc 7.13%
  6. United Rentals Inc 4.62%
  7. Norfolk Southern Corp 4.43%
  8. CSX Corp 4.41%
  9. PACCAR Inc 4.30%
  10. FedEx Corp 3.72%

Asset Allocation

Weighting Return Low Return High FTXR % Rank
Stocks 		99.85% 85.36% 100.04% 24.32%
Cash 		0.15% 0.14% 14.51% 97.30%
Preferred Stocks 		0.00% 0.00% 9.47% 40.54%
Other 		0.00% 0.00% 0.44% 59.46%
Convertible Bonds 		0.00% 0.00% 0.00% 35.14%
Bonds 		0.00% 0.00% 0.00% 35.14%

Stock Sector Breakdown

Weighting Return Low Return High FTXR % Rank
Industrials 		75.47% 9.02% 99.28% 59.46%
Consumer Cyclical 		24.53% 0.00% 60.78% 21.62%
Utilities 		0.00% 0.00% 12.67% 48.65%
Technology 		0.00% 0.00% 38.28% 94.59%
Real Estate 		0.00% 0.00% 7.67% 43.24%
Healthcare 		0.00% 0.00% 7.75% 51.35%
Financial Services 		0.00% 0.00% 19.45% 51.35%
Energy 		0.00% 0.00% 3.53% 56.76%
Communication Services 		0.00% 0.00% 35.43% 51.35%
Consumer Defense 		0.00% 0.00% 3.96% 45.95%
Basic Materials 		0.00% 0.00% 16.73% 64.86%

Stock Geographic Breakdown

Weighting Return Low Return High FTXR % Rank
US 		99.85% 22.35% 100.04% 24.32%
Non US 		0.00% 0.00% 63.01% 45.95%

FTXR - Expenses

Operational Fees

FTXR Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 0.60% 0.08% 2.39% 62.16%
Management Fee 0.60% 0.03% 0.85% 54.05%
12b-1 Fee 0.00% 0.00% 1.00% 25.00%
Administrative Fee N/A 0.15% 0.25% N/A

Sales Fees

FTXR Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 3.50% 5.75% N/A
Deferred Load N/A 1.00% 1.00% N/A

Trading Fees

FTXR Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A N/A N/A N/A

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

FTXR Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 43.00% 2.00% 205.00% 45.71%

FTXR - Distributions

Dividend Yield Analysis

FTXR Category Low Category High FTXR % Rank
Dividend Yield 1.59% 0.00% 7.73% 32.43%

Dividend Distribution Analysis

FTXR Category Low Category High Category Mod
Dividend Distribution Frequency Quarterly Annual Quarterly Annual

Net Income Ratio Analysis

FTXR Category Low Category High FTXR % Rank
Net Income Ratio 0.92% -1.16% 1.35% 27.03%

Capital Gain Distribution Analysis

FTXR Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Semi-Annually Semi-Annually

Distributions History

View More +

FTXR - Fund Manager Analysis

Managers

David McGarel

Start Date

Tenure

Tenure Rank

Sep 20, 2016

5.7

5.7%

David G. McGarel, CFA, was born in 1966. Mr. McGarel earned a B.S. in Accounting from the University of Notre Dame. He has been with First Trust Advisors L.P. since 1997 and he is a Managing Director, Chief Operating Officer and the Chief Investment Officer. As head of FTA’s Strategy Research Group, Mr. McGarel shall be responsible for developing and implementing quantitative investment strategies for those Funds that have investment policies that require them to follow such strategies, on behalf of the Investment Committee.

Stan Ueland

Start Date

Tenure

Tenure Rank

Sep 20, 2016

5.7

5.7%

Mr. Ueland joined First Trust Advisors as a Vice President in August 2005 and has been a Senior Vice President of First Trust and FTP since September 2012. At First Trust, he plays an important role in executing the investment strategies of each portfolio of exchange-traded funds advised by First Trust. Before joining First Trust, he was vice president of sales at BondWave LLC from May 2004 through August 2005, an account executive for Mina Capital Management LLC and Samaritan Asset Management LLC from January 2003 through May 2004, and a sales consultant at Oracle Corporation from January 1997 through January 2003.

Chris Peterson

Start Date

Tenure

Tenure Rank

Sep 20, 2016

5.7

5.7%

Chris A. Peterson, CFA was born in 1975. Mr. Peterson earned a B.S in Finance from Bradley University and has an MBA from the University of Chicago Booth School of Business with concentrations in Analytic Finance & Accounting. He has been with First Trust Advisors L.P. since 2000. As head of FTA’s Portfolio Advisor’s Strategy Research Group, Mr. Peterson shall be responsible for developing and implementing quantitative equity strategies on behalf of the Investment Committee.

Daniel Lindquist

Start Date

Tenure

Tenure Rank

Sep 20, 2016

5.7

5.7%

Daniel J. Lindquist, CFA, was born in 1970. Mr. Lindquist earned a B.A. in Business Economics from Wheaton College and has an MBA in Finance from the University of Chicago. He has been with First Trust Advisors L.P. since 2004 and is a Managing Director. Mr. Lindquist is the Chairman of the Investment Committee and is responsible for the overall supervision of the Separate Managed Accounts.

Jon Erickson

Start Date

Tenure

Tenure Rank

Sep 20, 2016

5.7

5.7%

Jon C. Erickson, CFA, was born in 1966. Mr. Erickson earned a B.S. in Computer Science from the University of Illinois and has an MBA from the University of Illinois in Finance. He has been with First Trust Advisors L.P. since 1994 and he is a Portfolio Manager and Senior Vice President. As the head of FTA’s Equity Research Group, Mr. Erickson shall be responsible for determining the securities to be purchased and sold by Funds that do not utilize quantitative investment strategies on behalf of the Investment Committee.

Roger Testin

Start Date

Tenure

Tenure Rank

Sep 20, 2016

5.7

5.7%

Roger F. Testin, CFA, was born in 1966. Mr. Testin earned a B.S. in Accounting from the University of Illinois and has an MBA in Finance from the University of Chicago. He has been with First Trust Advisors L.P. since 2001 and he is a Portfolio Manager and Senior Vice President. As Product Manager for the VA’s, SMA’s and International Managed Products, Mr. Testin shall be responsible for the daily implementation and execution of the strategies for these product vehicles on behalf of the Investment Committee.

Erik Russo

Start Date

Tenure

Tenure Rank

Dec 31, 2020

1.41

1.4%

Mr. Russo is a Vice President of First Trust. He is responsible for implementing the investment strategies of each portfolio of exchange-traded funds advised by First Trust in his role as a Portfolio Manager. Mr. Russo joined First Trust in January of 2010.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.42 24.18 8.82 3.5

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