Basic Stats
| LEI | 5493006CBTW7P2B31B80 |
| CIK | 1517936 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to First Trust Exchange-Traded Fund IV - First Trust Low Duration Opportunities ETF
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| September 5, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| July 11, 2025 |
As filed with the Securities and Exchange Commission on July 11, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| June 24, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| June 23, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| May 13, 2025 |
As filed with the Securities and Exchange Commission on May 13, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 12, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| February 12, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| February 12, 2025 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| February 7, 2025 |
Exhibit 99.1 - Joint Filing Agreement EX-99.1 2 ex991.htm JOINT FILING AGREEMENT Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
|
| January 31, 2025 |
Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 31, 2025 |
Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 28, 2025 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| January 7, 2025 |
Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| July 31, 2024 |
FT Vest DJIA® Dogs 10 Target Income ETF (DOGG) Portfolio of Investments January 31, 2024 (Unaudited) Shares Description Value COMMON STOCKS — 50. |
|
| July 25, 2024 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
|
| June 7, 2024 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* First Trust SSI Strategic Convertible Securities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q507 - (CUSIP Number) May 31, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
|
| April 19, 2024 |
April 19, 2024 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW – Request for Withdrawal First Trust Exchange-Traded Fund IV Registration on Form N-1A Post-Effective Amendment No. |
|
| April 19, 2024 |
April 19, 2024 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW – Request for Withdrawal First Trust Exchange-Traded Fund IV Registration on Form N-1A Post-Effective Amendment No. |
|
| March 15, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| March 6, 2024 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| February 23, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| February 22, 2024 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| February 12, 2024 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| January 22, 2024 |
As filed with the Securities and Exchange Commission on January 22, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| January 22, 2024 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| December 22, 2023 |
As filed with the Securities and Exchange Commission on December 22, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 6, 2023 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| October 30, 2023 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| October 12, 2023 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| August 7, 2023 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| August 7, 2023 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| August 1, 2023 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| August 1, 2023 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| August 1, 2023 |
Securities and Exchange Commission Washington, D.C. Form 8-A/A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty D |
|
| July 31, 2023 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| July 28, 2023 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| July 21, 2023 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| July 11, 2023 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
|
| April 26, 2023 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| March 30, 2023 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54. |
|
| March 30, 2023 |
NPORT-EX 2 240153FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con |
|
| March 30, 2023 |
NPORT-EX 2 847258FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con |
|
| March 30, 2023 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54. |
|
| March 30, 2023 |
NPORT-EX 2 847261FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con |
|
| March 30, 2023 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54. |
|
| March 30, 2023 |
NPORT-EX 2 847270FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con |
|
| March 30, 2023 |
NPORT-EX 2 847272FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con |
|
| March 30, 2023 |
NPORT-EX 2 994643FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con |
|
| March 30, 2023 |
NPORT-EX 2 475226FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con |
|
| March 30, 2023 |
NPORT-EX 2 569587FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con |
|
| March 30, 2023 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54. |
|
| March 23, 2023 |
First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments January 31, 2023 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 86. |
|
| November 2, 2022 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| October 19, 2022 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| September 30, 2022 |
September 30, 2022 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW - Request for Withdrawal First Trust Exchange-Traded Fund IV Registration on Form N-1A Post-Effective Amendment No. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 28, 2022 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63. |
|
| September 26, 2022 |
First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments July 31, 2022 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 82. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.7% Construction & Engineering — 3.1% 677,418 Quanta Services, Inc. $ 69,584,377 Electric Utilities — 17.2% 828,717 Alliant Energy Corp. 49,607,000 635,329 American Electric Power Co., Inc. 57,433,742 13,400 Duke Energy |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 30, 2022 |
Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66. |
|
| March 25, 2022 |
First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments January 31, 2022 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 81. |
|
| December 14, 2021 |
As filed with the Securities and Exchange Commission on December 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 16, 2021 |
Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| November 5, 2021 |
November 5, 2021 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW - Request for Withdrawal First Trust Exchange-Traded Fund IV Registration on Form N-1A Post-Effective Amendment No. |
|
| October 14, 2021 |
As filed with the Securities and Exchange Commission on October 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 28, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67. |
|
| September 24, 2021 |
First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments July 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 83. |
|
| March 30, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64. |
|
| March 30, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64. |
|
| March 30, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64. |
|
| March 30, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64. |
|
| March 30, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64. |
|
| March 30, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64. |
|
| March 30, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64. |
|
| March 30, 2021 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64. |
|
| March 29, 2021 |
First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments January 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 88. |
|
| February 23, 2021 |
- REGISTRATION OF CERTAIN CLASSES OF SECURITIES Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri |
|
| February 19, 2021 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com February 19, 2021 VIA EDGAR CORRESPONDENCE Quinn Kane Division of Investment Management United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV (the ?Trust?) File Nos. 333-174332; 811-22559 Dear Mr. Kane: This letter responds to |
|
| January 25, 2021 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com January 25, 2021 VIA EDGAR CORRESPONDENCE Sally Samuel Quinn Kane Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV, on behalf of FT Cboe Vest S&P 500? Dividend Aristocrats Target Income ETF, a series of |
|
| January 21, 2021 |
Schedule II to Custody Agreement by and between the Registrant and The Bank of New York Mellon Exhibit 9(b) Schedule II First Trust North American Energy Infrastructure Fund First Trust Tactical High Yield ETF First Trust Senior Loan Fund First Trust Strategic Income ETF First Trust Enhanced Short Maturity ETF First Trust Low Duration Opportunities ETF First Trust Long Duration Opportunities ETF First Trust EIP Carbon Impact ETF FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF |
|
| January 21, 2021 |
Exhibit A to Distribution Agreement. Exhibit 7(b) Exhibit A Series of the Trust Series Effective Date First Trust North American Energy Infrastructure Fund 6/15/2012 First Trust Tactical High Yield ETF 2/20/2013 First Trust Senior Loan Fund 4/1/2013 First Trust Strategic Income ETF 7/25/2014 First Trust Enhanced Short Maturity ETF 8/6/2014 First Trust Low Duration Mortgage Opportunities ETF 10/10/2014 First Trust Heitman Global Prime |
|
| January 21, 2021 |
First Trust Exchange-Traded Fund IV 120 East Liberty Drive Wheaton, Illinois 60187 January 21, 2021 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F Street, N. |
|
| January 21, 2021 |
Exhibit 6(b) Investment Sub-Advisory Agreement This Investment Sub-Advisory Agreement (this “Agreement”), dated is by and among First Trust Exchange-Traded Fund IV, a Massachusetts business trust (the “Trust”), First Trust Advisors L. |
|
| January 21, 2021 |
Amended and Restated Establishment and Designation of Series Exhibit 1(b) First Trust Exchange-Traded Fund IV Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest (Effective as of November 23, 2020) Whereas, pursuant to Section 4. |
|
| January 21, 2021 |
As filed electronically with the Securities and Exchange Commission on or about January 21, 2021 Registration No. |
|
| January 21, 2021 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com January 21, 2021 VIA EDGAR CORRESPONDENCE Sally Samuel Quinn Kane Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV, on behalf of FT Cboe Vest S&P 500? Dividend Aristocrats Target Income ETF, a series of |
|
| January 21, 2021 |
Opinion and Consent of Morgan, Lewis & Bockius LLP. Exhibit 11 January 21, 2021 First Trust Exchange-Traded Fund IV 120 E. Liberty Street Wheaton, Illinois 60187 Re: First Trust Exchange-Traded Fund IV Ladies and Gentlemen: We have acted as special Massachusetts counsel to First Trust Exchange-Traded Fund IV (the "Trust") on behalf of its series, FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF (the “Acquiring Fund”), in connection with |
|
| January 21, 2021 |
Exhibit 14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF, a series of ETF Series Solutions, for the year ended October 31, 2020, and to the references to our firm under the headings “Independent Registered Public Accounting Firm (“Auditor”)” and “Financial Statements” in the Proxy Statement/Prospectus. |
|
| January 21, 2021 |
Exhibit 6(a) Investment Management Agreement Investment Management Agreement made this 13th day of August, 2019, by and between First Trust Exchange-Traded Fund IV, a Massachusetts business trust (the “Trust”), and First Trust Advisors L. |
|
| January 7, 2021 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com January 7, 2021 VIA EDGAR CORRESPONDENCE Sally Samuel Quinn Kane Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV, on behalf of FT Cboe Vest S&P 500? Dividend Aristocrats Target Income ETF, a series of |
|
| December 11, 2020 |
First Trust Exchange-Traded Fund IV 120 East Liberty Drive Wheaton, Illinois 60187 December 11, 2020 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission 100 F Street, N. |
|
| November 18, 2020 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com VIA EDGAR November 18, 2020 United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV Ladies and Gentlemen: On behalf of First Trust Exchange-Traded Fund IV (the “Registrant”), we are transmitting for electronic filing pursuant to |
|
| November 18, 2020 |
Form of Opinion and Consent of Morgan, Lewis & Bockius LLP EX-11 2 exhibit11.htm FORM OF OPINION AND CONSENT OF MORGAN, LEWIS & BOCKIUS LLP Exhibit 11 November [ ], 2020 First Trust Exchange-Traded Fund IV 120 E. Liberty Street Wheaton, Illinois 60187 Re: First Trust Exchange-Traded Fund IV Ladies and Gentlemen: We have acted as special Massachusetts counsel to First Trust Exchange-Traded Fund IV (the "Trust") on behalf of its series, FT Cboe Vest S&P 500 |
|
| November 18, 2020 |
As filed electronically with the Securities and Exchange Commission on or about November 18, 2020 Registration No. |
|
| November 18, 2020 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com November 18, 2020 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV (Registration Nos. 333 -174332 and 811-22559) Ladies and Gentlemen: On behalf of First Trust Exchange-Traded Fund IV (the “Registrant”), we are transmitting for electron |
|
| November 18, 2020 |
Exhibit 16 First Trust Exchange-Traded Fund IV Power of Attorney Know All Men By These Presents, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints James M. |
|
| November 18, 2020 |
Form of Opinion and Consent of Chapman and Cutler LLP EX-12 3 exhibit12.htm FORM OF OPINION AND CONSENT OF CHAPMAN AND CUTLER LLP Exhibit 12 November [•], 2020 Board of Trustees ETF Series Solutions Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF 615 East Michigan Street Milwaukee, Wisconsin 53202 Board of Trustees First Trust Exchange-Traded Fund IV FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF 120 East Liberty Drive, Suite |
|
| October 9, 2020 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com October 9, 2020 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Filings for First Trust Funds listed in Exhibit A attached hereto Ladies and Gentlemen: This letter responds to comments, provided by Ken Ellington and Christina DiAn |
|
| September 28, 2020 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62. |
|
| September 28, 2020 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62. |
|
| September 28, 2020 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62. |
|
| September 28, 2020 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62. |
|
| September 28, 2020 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62. |
|
| September 28, 2020 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62. |
|
| September 28, 2020 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62. |
|
| September 28, 2020 |
First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62. |
|
| September 25, 2020 |
First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments July 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 88. |
|
| March 27, 2020 |
Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E |
|
| March 27, 2020 |
Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E |
|
| March 27, 2020 |
Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E |
|
| March 27, 2020 |
Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E |
|
| March 27, 2020 |
Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E |
|
| March 27, 2020 |
Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E |
|
| March 27, 2020 |
Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E |
|
| March 27, 2020 |
Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E |
|
| March 24, 2020 |
First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments January 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 77. |
|
| September 27, 2019 |
HYLS / First Trust Exchange-Traded Fund IV NPORT-EX - - NPORT-EX 1 FirstTrustETFIV.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2019 (Unaudited) Shares Description Value Common Stocks — 61.2% Electric Utilities — 22.2% 917,262 Alliant Energy Corp. $ 45,441,159 673,421 American Electric Power Co., Inc. 59,133,098 272,209 Duke Energy Corp. 23,605,964 607,260 Emera, Inc. (CAD) 25,214,311 560,403 Everso |
|
| September 27, 2019 |
HYLS / First Trust Exchange-Traded Fund IV NPORT-EX - - PORTFOLIO HOLDINGS First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2019 (Unaudited) Shares Description Value Common Stocks — 61. |
|
| September 16, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on September 27, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
|
| June 24, 2019 |
HYLS / First Trust Exchange-Traded Fund IV DEFA14A - - ADDITIONAL SOLICITATION MATERIAL DEFA14A 1 letter.htm ADDITIONAL SOLICITATION MATERIAL As filed with the Securities and Exchange Commission on June 24, 2019. =============================================================================== SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the regist |
|
| June 18, 2019 |
HYLS / First Trust Exchange-Traded Fund IV DEFA14A - - ADDITIONAL SOLICITATION MATERIAL DEFA14A 1 letter.htm ADDITIONAL SOLICITATION MATERIAL As filed with the Securities and Exchange Commission on June 18, 2019. =============================================================================== SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the regist |
|
| March 29, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund IV; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact nec |
|
| March 29, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22559 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal executive offices) (Zip code |
|
| September 28, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22559 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal executive offices) (Zip code |
|
| September 28, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. |
|
| August 10, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* FIRST TRUST PORTFOLIOS, L.P. - FCVT (Name of Issuer) FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF (Title of Class of Securities) 33739Q507 (CUSIP Number) June 30, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate |
|
| May 1, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* FIRST TRUST PORTFOLIOS, L.P. - FCVT (Name of Issuer) FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF (Title of Class of Securities) 33739Q507 (CUSIP Number) March 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate |
|
| March 7, 2017 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(c) ( AMENDMENT 2) First Trust SSI Strategic Convertible Securities ETF ( NAME OF ISSUER ) Common Shares of Beneficial Interest, $. |
|
| January 20, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* FIRST TRUST PORTFOLIOS, L.P. - FCVT (Name of Issuer) FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF (Title of Class of Securities) 33739Q507 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropri |
|
| December 9, 2016 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(c) First Trust SSI Strategic Convertible Securities ETF ( NAME OF ISSUER ) Common Shares of Beneficial Interest, $. |
|
| May 13, 2016 |
First Trust Exchange-Traded Fund IV 3G/A (Passive Acquisition of More Than 5% of Shares) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
|
| April 11, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 First Trust Enhanced Short Maturity ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33739Q408 (CUSIP Number) March 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: x Rule 13d-1(b) o Rule 13d-1(c) o Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
|
| February 5, 2016 |
First Trust Exchange-Traded Fund IV SC 13G (Passive Acquisition of More Than 5% of Shares) SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Exchange Traded Fund IV, North American Energy Infrastructure Fund, CIK 0001517936 (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33738D101 (CUSIP Number) 12/31/2015 (Date of Event Which Requires Filing of this Sta |
|
| January 30, 2015 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Exchange Traded Fund IV, North American Energy Infrastructure Fund, CIK 0001517936 (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33738D101 (CUSIP Number) 12/31/2014 (Date of Event Which Requires Filing of this |
|
| December 8, 2014 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Exchange Traded Fund IV, North American Energy Infrastructure Fund, CIK 0001517936 (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33738D101 (CUSIP Number) 11/30/2014 (Date of Event Which Requires Filing of this |
|
| June 9, 2014 |
SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Exchange Traded Fund IV, North American Energy Infrastructure Fund, CIK 0001517936 (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33738D101 (CUSIP Number) 5/31/2014 (Date of Event Which Requires Filing of this Stat |
