First Trust Morningstar Managed Futures Strategy Fund (FMF) Consolidated Portfolio of Investments September 30, 2018 (Unaudited) Stated.
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1 Cnslidated Prtfli f Investments Principal Descriptin Stated Cupn Stated Maturity U.S. TREASURY BILLS 82.4% $ 1,000,000 U.S. Treasury Bill (a)... (b) 10/11/2018 $ 999,433 1,500,000 U.S. Treasury Bill (a)... (b) 10/11/2018 1,499,149 1,500,000 U.S. Treasury Bill (a)... (b) 10/25/2018 1,497, ,000 U.S. Treasury Bill (a)... (b) 11/01/ , ,000 U.S. Treasury Bill (a)... (b) 11/15/ , ,000 U.S. Treasury Bill (a)... (b) 11/15/ ,054 2,000,000 U.S. Treasury Bill (a)... (b) 12/06/2018 1,992,218 1,500,000 U.S. Treasury Bill (a)... (b) 12/13/2018 1,493, ,000 U.S. Treasury Bill (a)... (b) 12/20/ ,460 1,000,000 U.S. Treasury Bill (a)... (b) 01/10/ ,919 1,500,000 U.S. Treasury Bill (a)... (b) 01/24/2019 1,489,458 Ttal U.S. Treasury Bills... 12,457,979 (Cst $12,458,739) Shares Descriptin MONEY MARKET FUNDS 6.6% 1,000,000 Mrgan Stanley Institutinal Liquidity Funds - Treasury Prtfli - Institutinal Class % (c)... 1,000,000 (Cst $1,000,000) Ttal Investments 89.0%... 13,457,979 (Cst $13,458,739) (d) Net Other Assets and Liabilities 11.0%... 1,667,478 Net Assets 100.0%... $ 15,125,457 The fllwing futures cntracts f the Fund s whlly-wned subsidiary were pen at September 30, 2018 (see Nte 2B - Futures Cntracts in the Ntes t Cnslidated Prtfli f Investments): Futures Cntracts Lng: Number f Cntracts Ntinal Expiratin Date Unrealized Appreciatin (Depreciatin)/ Brent Crude Oil Futures 12 $ 992,760 Oct 18 $ 92,653 CAC Eur Index Futures 4 254,084 Dec 18 8,011 Cttn N. 2 Futures 4 152,740 Dec 18 (24,148) Gasline RBOB Futures 2 175,199 Oct 18 12,457 Gasline RBOB Futures 2 174,359 Nv 18 12,175 Gasline RBOB Futures 2 174,225 Dec 18 10,438 Live Cattle Futures 5 237,700 Dec Lw Sulphur Gasil G Futures 4 289,700 Nv 18 15,182 Lw Sulphur Gasil G Futures 4 288,500 Dec 18 22,754 Lw Sulphur Gasil G Futures 4 287,800 Jan 19 16,100 NIKKEI 225 (OSE) Futures 2 424,573 Dec 18 33,797 NY Harbr ULSD Futures 1 98,637 Oct 18 5,689 NY Harbr ULSD Futures 3 296,428 Nv 18 22,184 NY Harbr ULSD Futures 1 98,935 Dec 18 5,652 S&P 500 E-mini Futures 1 147,145 Dec S&P TSX 60 IX Futures 13 1,897,350 Dec 18 16,640 SPI 200 Index Futures 1 111,933 Dec WTI Crude Futures 4 293,000 Oct 18 23,268 WTI Crude Futures 5 365,300 Nv 18 29,347 WTI Crude Futures 4 291,560 Dec 18 24,990 $ 7,051,928 $329,731 Futures Cntracts Shrt: Australian Dllar Currency Futures 2 (144,540) Dec 18 (2,280) British Pund Currency Futures 8 (654,300) Dec 18 (100) See Ntes t Cnslidated Prtfli f Investments
2 Cnslidated Prtfli f Investments (Cntinued) Futures Cntracts Shrt (Cntinued): Number f Cntracts Ntinal Expiratin Date Unrealized Appreciatin (Depreciatin)/ Canadian Dllar Currency Futures 3 $ (232,515) Dec 18 $ (4,110) Cffee C Futures 6 (230,513) Dec 18 9,804 Cpper Futures 4 (280,501) Dec 18 (14,683) Crn Futures 19 (338,437) Dec 18 19,438 DAX MINI Index Futures 4 (284,260) Dec 18 (4,609) Eur FX Currency Futures 13 (1,898,325) Dec FTSE 100 Index Futures 2 (195,158) Dec 18 (1,212) FTSE MIB Index Futures 1 (120,059) Dec Gld 100 Oz. Futures 5 (598,100) Dec 18 16,980 IBEX 35 Index Futures 1 (108,767) Oct 18 (801) Japanese Yen Currency Futures 4 (442,700) Dec 18 10,025 Lean Hgs Futures 5 (115,850) Dec 18 (1,422) Silver Futures 4 (294,240) Dec Sybean Futures 13 (549,575) Nv 18 31,225 Sybean Meal Futures 5 (154,500) Dec 18 8,530 Sybean Oil Futures 9 (156,546) Dec 18 4,908 Sugar #11 (Wrld) Futures 26 (326,144) Feb 19 13,500 Swiss Franc Currency Futures 1 (128,550) Dec Wheat Futures 6 (152,700) Dec 18 3,825 $(7,406,280) $ 91,308 Ttal $ (354,352) $421,039 (a) All r a prtin f this security is segregated as cllateral fr pen futures cntracts. (b) Zer cupn bnd. (c) Rate shwn reflects yield as f September 30, (d) Aggregate cst fr financial reprting purpses apprximates the aggregate cst fr federal incme tax purpses. As f September 30, 2018, the aggregate grss unrealized appreciatin fr all investments in which there was an excess f value ver tax cst was $57 and the aggregate grss unrealized depreciatin fr all investments in which there was an excess f tax cst ver value was $817. The net unrealized depreciatin was $760. The amunts presented are inclusive f derivative cntracts. Valuatin A summary f the inputs used t value the Fund s investments as f September 30, 2018 is as fllws (see Nte 2A - Prtfli Valuatin in the Ntes t Cnslidated Prtfli f Investments): ASSETS TABLE Ttal at 9/30/2018 Level 1 Quted Prices Level 2 Observable Level 3 Unbservable U.S. Treasury Bills.... $12,457,979 $ $ 12,457,979 $ Mney Market Funds ,000,000 1,000,000 TtalInvestments... 13,457,979 1,000,000 12,457,979 Futures Cntracts , ,404 Ttal... $13,932,383 $ 1,474,404 $ 12,457,979 $ LIABILITIES TABLE Ttal at 9/30/2018 Level 1 Quted Prices Level 2 Observable Level 3 Unbservable Futures Cntracts..... $ (53,365) $ (53,365) $ $ See Ntes t Cnslidated Prtfli f Investments
3 Ntes t Cnslidated Prtfli f Investments 1. Organizatin First Trust Exchange-Traded Fund V (the Trust ) is an pen-end management investment cmpany rganized as a Massachusetts business trust n April 10, 2012, and is registered with the Securities and Exchange Cmmissin ( SEC ) under the Investment Cmpany Act f 1940, as amended (the 1940 Act ). The Trust currently cnsists f ne fund, the First Trust Mrningstar Managed Futures Strategy Fund (the Fund ), a nn-diversified series f the Trust, which trades under the ticker FMF n the NYSE Arca, Inc. and cmmenced peratins n August 1, The Fund is an actively managed exchange-traded fund. The investment bjective f the Fund is t seek t prvide investrs with psitive returns. Under nrmal market cnditins, the Fund, thrugh a whlly-wned subsidiary f the Fund, FT Cayman Subsidiary (the Subsidiary ), rganized under the laws f the Cayman Islands, invests in a prtfli f exchange listed cmmdity futures, currency futures and equity index futures (cllectively, Futures Instruments ). The Fund will nt invest directly in Futures Instruments. The Fund seeks t gain expsure t these investments exclusively by investing in the Subsidiary. The Fund s investment in the Subsidiary may nt exceed 25% f the Fund s ttal assets at the end f each fiscal quarter. The Fund is cnsidered an investment cmpany and fllws accunting and reprting guidance under Financial Accunting Standards Bard Accunting Standards Cdificatin Tpic 946, Financial Services-Investment Cmpanies. 2. Valuatin and Investment Practices The Cnslidated Prtfli f Investments includes the accunts f the Subsidiary. A. Prtfli Valuatin The Fund s net asset value ( NAV ) is determined daily as f the clse f regular trading n the New Yrk Stck Exchange ( NYSE ), nrmally 4:00 p.m. Eastern time, n each day the NYSE is pen fr trading. If the NYSE clses early n a valuatin day, the NAV is determined as f that time. The Fund s NAV is calculated by dividing the value f all assets f the Fund (including accrued interest and dividends), less all liabilities (including accrued expenses and dividends declared but unpaid), by the ttal number f shares utstanding. The Fund s investments are valued daily at market value r, in the absence f market value with respect t any prtfli securities, at fair value. Market value prices represent last sale r fficial clsing prices frm a natinal r freign exchange (i.e., a regulated market) and are primarily btained frm third-party pricing services. Fair value prices represent any prices nt cnsidered market value prices and are either btained frm a third-party pricing service r are determined by the Pricing Cmmittee f the Fund s investment advisr, First Trust Advisrs L.P. ( First Trust r the Advisr ), in accrdance with valuatin prcedures adpted by the Trust s Bard f Trustees, and in accrdance with prvisins f the 1940 Act. Investments valued by the Advisr s Pricing Cmmittee, if any, are ftnted as such in the ftntes t the Cnslidated Prtfli f Investments. The Fund s investments are valued as fllws: Exchange-traded futures cntracts are valued at the clsing price in the market where such cntracts are principally traded. If n clsing price is available, exchange-traded futures cntracts are fair valued at the mean f their mst recent bid and asked price, if available, and therwise at their clsing bid price. U.S. Treasuries are fair valued n the basis f valuatins prvided by a third-party pricing service apprved by the Trust s Bard f Trustees. Shares f pen-end funds are valued at fair value which is based n NAV per share. If the Fund s investments are nt able t be priced by their pre-established pricing methds, such investments may be valued by the Trust s Bard f Trustees r its delegate, the Advisr s Pricing Cmmittee, at fair value. A variety f factrs may be cnsidered in determining the fair value f such investments. Valuing the Fund s hldings using fair value pricing will result in using prices fr thse hldings that may differ frm current market valuatins. The Subsidiary s hldings will be valued in the same manner as the Fund s hldings.
4 Ntes t Cnslidated Prtfli f Investments (Cntinued) The Fund is subject t fair value accunting standards that define fair value, establish the framewrk fr measuring fair value and prvide a three-level hierarchy fr fair valuatin based upn the inputs t the valuatin as f the measurement date. The three levels f the fair value hierarchy are as fllws: Level 1 Level 1 inputs are quted prices in active markets fr identical investments. An active market is a market in which transactins fr the investment ccur with sufficient frequency and vlume t prvide pricing infrmatin n an nging basis. Level 2 Level 2 inputs are bservable inputs, either directly r indirectly, and include the fllwing: Quted prices fr similar investments in active markets. Quted prices fr identical r similar investments in markets that are nn-active. A nn-active market is a market where there are few transactins fr the investment, the prices are nt current, r price qutatins vary substantially either ver time r amng market makers, r in which little infrmatin is released publicly. ther than quted prices that are bservable fr the investment (fr example, interest rates and yield curves bservable at cmmnly quted intervals, vlatilities, prepayment speeds, lss severities, credit risks, and default rates). that are derived principally frm r crrbrated by bservable market data by crrelatin r ther means. Level 3 Level 3 inputs are unbservable inputs. Unbservable inputs may reflect the reprting entity s wn assumptins abut the assumptins that market participants wuld use in pricing the investment. The inputs r methdlgies used fr valuing investments are nt necessarily an indicatin f the risk assciated with investing in thse investments. A summary f the inputs used t value the Fund s investments as f September 30, 2018, is included with the Fund s Cnslidated Prtfli f Investments. B. Futures Cntracts The Fund, thrugh the Subsidiary, may purchase and sell exchange-listed cmmdity, currency and equity index futures cntracts. When the Subsidiary purchases a listed futures cntract, it agrees t purchase a specified reference asset (e.g., cmmdity, currency r equity index) at a specified future date. When the Subsidiary sells r shrts a listed futures cntract, it agrees t sell a specified reference asset (e.g., cmmdity, currency r equity index) at a specified future date. The price at which the purchase and sale will take place is fixed when the Subsidiary enters int the cntract. The exchange clearing crpratin is the ultimate cunterparty fr all exchange-listed cntracts, s credit risk is limited t the creditwrthiness f the exchange s clearing crpratin. Margin depsits are psted as cllateral with the clearing brker and, in turn, with the exchange clearing crpratin. 1. Exchange-listed cmmdity futures cntracts Cmmdity futures cntracts are generally based upn cmmdities within the six principal cmmdity grups: energy, industrial metals, agriculture, precius metals, fds and fibers, and livestck. The price f a cmmdity futures cntract will reflect the strage csts f purchasing the physical cmmdity. These strage csts include the time value f mney invested in the physical cmmdity plus the actual csts f string the cmmdity less any benefits frm wnership f the physical cmmdity that are nt btained by the hlder f a futures cntract (this is smetimes referred t as the cnvenience yield ). T the extent that these strage csts change fr an underlying cmmdity while the Fund is in a lng psitin n that cmmdity, the value f the futures cntract may change prprtinately. 2. Index futures cntracts An index futures cntract is a bilateral agreement pursuant t which tw parties agree t take r make delivery f an amunt f cash equal t a specified dllar amunt times the difference between the index value at the clse f trading f the cntract and the price at which the futures cntract was riginally struck. N physical delivery f the securities cmprising the index is made. Instead, settlement in cash must ccur upn the terminatin f the cntract, with the settlement being the difference between the cntract price and the actual level f the index at the expiratin f the cntract. 3. Currency futures cntracts Currency futures cntracts are transferable futures cntracts that specify a price at which a currency can be bught r sld at a future date. Currency futures cntracts allw investrs t hedge against freign currency exchange risk. Because currency futures cntracts are marked-t-market daily, investrs can exit their bligatin t buy r sell the currency prir t the cntract s delivery date by clsing ut the psitin. With currency futures cntracts, the price is determined when the cntract is signed, just as it is in the freign currency exchange market, and the currency pair is exchanged n the delivery date, which is usually smetime in the distant future. Upn entering int a futures cntract, the Subsidiary must depsit funds, called margin, with its custdian in the name f the clearing brker equal t a specified percentage f the current value f the cntract. Open futures cntracts are marked-t-market daily. This daily fluctuatin in value f the cntract is als knwn as variatin margin.
5 Ntes t Cnslidated Prtfli f Investments (Cntinued) When the Subsidiary purchases r sells a futures cntract, the Subsidiary is required t cllateralize its psitin in rder t limit the risk assciated with the use f leverage and ther related risks. T cllateralize its psitin, the Subsidiary segregates assets cnsisting f cash r liquid securities that, when added t any amunts depsited with a futures cmmissin merchant as margin, are equal t the unrealized depreciatin f the futures cntract r therwise cllateralize its psitin in a manner cnsistent with the 1940 Act r the 1940 Act Rules and SEC interpretatins thereunder. As the Subsidiary cntinues t engage in the described securities trading practices and prperly segregates assets, the segregated assets will functin as a practical limit n the amunt f leverage which the Subsidiary may undertake and n the ptential increase in the speculative character f the Subsidiary s utstanding prtfli investments. Additinally, such segregated assets generally ensure the availability f adequate funds t meet the bligatins f the Subsidiary arising frm such investment activities. C. Cash and Freign Currency The Fund hlds assets equal t r greater than the full ntinal expsure f the future cntracts. These assets may cnsist f cash and ther shrt-term securities t cmply with SEC guidance with respect t cverage f futures cntracts by registered investment cmpanies. The Fund als has restricted freign currency held fr margin requirements. D. Investment Transactins Investment transactins are recrded as f the trade date. Realized gains and lsses frm investment transactins are recrded n the identified cst basis. 3. Derivative Transactins During the fiscal year-t-date perid (January 1, 2018 thrugh September 30, 2018), the ntinal value f futures cntracts pened and clsed were as fllws: Ntinal Amunt* Ttal Cmmdity Risk $ 55,518,025 Futures Cntracts Opened $ 28,452,565 Futures Cntracts Clsed 27,065,460 Ttal Equity Risk 27,950,755 Futures Cntracts Opened 14,167,624 Futures Cntracts Clsed 13,783,131 Ttal Currency Risk 26,820,409 Futures Cntracts Opened 13,981,700 Futures Cntracts Clsed 12,838,709 *Amunts based n activity levels during the perid.
6 Additinal Infrmatin Licensing Infrmatin First Trust Mrningstar Managed Futures Strategy Fund is nt spnsred, endrsed, sld r prmted by Mrningstar, Inc. Mrningstar makes n representatin r warranty, express r implied, t the wners f the First Trust Mrningstar Managed Futures Strategy Fund r any member f the public regarding the advisability f investing in securities generally r in the First Trust Mrningstar Managed Futures Strategy Fund in particular r the ability f the Mrningstar Diversified Futures Index SM t track general stck market perfrmance. Mrningstar s nly relatinship t First Trust is the licensing f certain service marks and service names f Mrningstar and f the Mrningstar Diversified Futures Index SM which is determined, cmpsed and calculated by Mrningstar withut regard t First Trust r the First Trust Mrningstar Managed Futures Strategy Fund. Mrningstar has n bligatin t take the needs f First Trust r the wners f First Trust Mrningstar Managed Futures Strategy Fund int cnsideratin in determining, cmpsing r calculating the Mrningstar Diversified Futures Index SM. Mrningstar is nt respnsible fr and has nt participated in the determinatin f the prices and amunt f the First Trust Mrningstar Managed Futures Strategy Fund r the timing f the issuance r sale f the First Trust Mrningstar Managed Futures Strategy Fund r in the determinatin r calculatin f the equatin by which the First Trust Mrningstar Managed Futures Strategy Fund is cnverted int cash. Mrningstar has n bligatin r liability in cnnectin with the administratin, marketing r trading f the First Trust Mrningstar Managed Futures Strategy Fund. MORNINGSTAR, INC. DOES NOT GUARANTEE THE ACCURACY AND/OR THE COMPLETENESS OF THE MORNINGSTAR DIVERSIFIED FUTURES INDEXSM OR ANY DATA INCLUDED THEREIN AND MORNINGSTAR SHALL NOT HAVE LIABILITY FOR ANY ERRORS, OMISSIONS, OR INTERRUPTIONS THEREIN. MORNINGSTAR MAKES NO WARRANTY, EXPRESS OR IMPLIED, AS TO RESULTS TO BE OBTAINED BY FIRST TRUST, OWNERS OR USERS OF THE FIRST TRUST MORNINGSTAR MANAGED FUTURES STRATEGY FUND, OR ANY OTHER PERSON OR ENTITY FROM THE USE OF THE MORNINGSTAR FUTURES INDEX SM OR ANY DATA INCLUDED THEREIN. MORNINGSTAR MAKES NO EXPRESS OR IMPLIED WARRANTIES, AND EXPRESSLY DISCLAIMS ALL WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OR USE WITH RESPECT TO THE MORNINGSTAR DIVERSIFIED FUTURES INDEX SM OR ANY DATA INCLUDED THEREIN. WITHOUT LIMITING ANY OF THE FOREGOING, IN NO EVENT SHALL MORNINGSTAR HAVE ANY LIABILITY FOR ANY SPECIAL, PUNITIVE, INDIRECT, OR CONSEQUENTIAL DAMAGES (INCLUDING LOST PROFITS), EVEN IF NOTIFIED OF THE POSSIBILITY OF SUCH DAMAGES.
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