FNY

First Trust Mid Cap Growth AlphaDEX Fund
*Unless otherwise stated, data provided by FactSet.

FNY Fund Description

FNY tracks a tiered equal-weighted index of midcap growth stocks selected by AlphaDex selection methodology from the S&P 400 Index.

FNY Factset Analytics Insight

FNY uses the AlphaDex methodology to rank and select growth stocks from the S&P 400 Index based on price appreciation, sales to price ratios, and sales growth, and then weights them equally within quintiles. The index rescreens each security twice, by both growth and value characteristics, assigning whatever score is highest as the stock's style score. FNY selects and ranks the top 250 growth stocks for the portfolio, then tiered equal-weighting is applied to the top 75% of securities. Its weighting scheme leads to a perpetual small-cap tilt, which along with sector biases, raises the fund's market risk. The index is reconstituted and rebalanced quarterly. Effective April 8, 2016, the fund switched underlying indexes from the old defined index to the current Nasdaq version. The index universe may differ slightly but the factors and methodology are the same.

FNY MSCI ESG Analytics Insight

First Trust Mid Cap Growth AlphaDEX Fund has an MSCI ESG Fund Rating of BBB based on a score of 4.53 out of 10. The MSCI ESG Fund Rating measures the resiliency of portfolios to long-term risks and opportunities arising from environmental, social, and governance factors. ESG Fund Ratings range from best (AAA) to worst (CCC). Highly rated funds consist of companies that tend to show strong and/or improving management of financially relevant environmental, social and governance issues. These companies may be more resilient to disruptions arising from ESG events.

The fund’s Peer Rank reflects the ranking of a fund’s MSCI ESG Fund Quality Score against the scores of other funds within the same peer group, as defined by the Thomson Reuters Lipper Global Classification. First Trust Mid Cap Growth AlphaDEX Fund ranks in the 17th percentile within its peer group and in the 10th percentile within the global universe of all funds covered by MSCI ESG Fund Ratings.

FNY MSCI FaCS and Factor Box

MSCI FaCS is a standard method for evaluating and reporting the Factor characteristics of equity portfolios including ETFs. The Factor Box includes 6 Factors that MSCI has identified that historically provided a return premium. On the vertical axis, the Factor Groups, are displayed and the horizontal axis displays the Factor exposure, overweight, underweight or neutral.

PERFORMANCE [as of 07/29/21] 1 MONTH 3 MONTHS YTD 1 YEAR 3 YEARS 5 YEARS 10 YEARS
FNY -3.12% 1.85% 12.08% 47.23% 18.70% 19.04% 14.16%
FNY (NAV) -2.34% 3.61% 12.84% 45.02% 19.02% 19.10% 14.35%
NASDAQ AlphaDEX Mid Cap Growth Index -2.27% 3.64% 13.30% 46.11% 19.90% -- --
MSCI USA Mid Cap Growth Index 1.14% 4.67% 12.31% 40.07% 21.92% 19.32% 15.49%
All returns over 1 year are annualized. All returns are total returns unless otherwise stated.

FNY Summary Data

First Trust
04/18/11
Open-Ended Fund
0.70%
$461.70M
$3.38M
0.11%

FNY Portfolio Data

$7.55B
-58.55
6.54
0.22%
N/A
225

FNY Index Data

Tiered
Multi-Factor
MSCI USA Mid Cap Growth Index

FNY Portfolio Management

0.70%
-1.07%
-0.80%
-2.15%

FNY Tax Exposures

20.00% / 39.60%
--
Qualified dividends
No

FNY Fund Structure

Open-Ended Fund
No
Yes
-- / --
N/A
N/A
Low
Daily

FNY Factset Analytics Block Liquidity

As of 07/30/21
5
4
3
2
1

This measurement shows how easy it is to trade a $1 million USD block of FNY. FNY is rated a 5 out of 5.

FNY Tradability

46,115
$3.38M
23,891
$1.72M
0.11%
$0.08
0.00%
0.26% / -0.16%
None
97.00%
50,000
0.48
0.01%
0.04%
0
$73.80
5

FNY Sector/Industry Breakdown


FNY
Segment Benchmark
19.44%
44.82%
19.42%
13.47%
19.20%
15.61%
10.83%
13.18%
10.01%
3.63%
5.71%
2.48%
5.70%
1.20%
4.70%
5.27%
1.76%
0.34%
0.30%
--

FNY Countries


FNY
Segment Benchmark
100.00%
100.00%

FNY Regions


FNY
Segment Benchmark
100.00%
100.00%

FNY Economic Development


FNY
Segment Benchmark
100.00%
100.00%

FNY Performance Statistics

0.83
1.01
0.95
0.98
0.57%
MSCI USA Mid Cap Growth Index

FNY MSCI ESG Ratings

4.53 / 10
10.42
17.15
4.82%
6.17%
134.85

FNY Benchmark Comparison Holdings

225
157
16
3.85%

FNY Benchmark Comparison Summary


FNY
Segment Benchmark
225
157
$7.55B
$21.71B
-58.55
79.10
6.54
8.97
0.53%
0.25%
Low
Low

FNY Benchmark Comparison Market Cap Size


FNY
Segment Benchmark
9.84%
91.18%
88.68%
8.82%
1.48%
0.00%
0.00%
0.00%