First Trust Alternative Absolute Return Strategy ETF (FAAR) 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 76.6% $ 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 3,000,000 U.S. Treasury Bill (a)... (b) 10/25/2018 2,995, ,000 U.S. Treasury Bill (a)... (b) 11/01/ , ,000 U.S. Treasury Bill (a)... (b) 11/15/ ,702 1,000,000 U.S. Treasury Bill (a)... (b) 11/15/ ,405 1,000,000 U.S. Treasury Bill (a)... (b) 12/06/ ,109 2,500,000 U.S. Treasury Bill (a)... (b) 12/13/2018 2,489,246 1,000,000 U.S. Treasury Bill (a)... (b) 12/20/ ,281 3,000,000 U.S. Treasury Bill (a)... (b) 01/10/2019 2,981, ,000 U.S. Treasury Bill (a)... (b) 01/24/ ,486 Ttal U.S. Treasury Bills... 15,448,530 (Cst $15,449,521) Shares Descriptin MONEY MARKET FUNDS 7.4% 1,500,000 Mrgan Stanley Institutinal Liquidity Funds - Treasury Prtfli - Institutinal Class % (c)... 1,500,000 (Cst $1,500,000) Ttal Investments 84.0%... 16,948,530 (Cst $16,949,521) (d) Net Other Assets and Liabilities 16.0%... 3,226,473 Net Assets 100.0%... $ 20,175,003 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 Futures 17 $ 1,406,410 Oct 18 $107,393 Cpper Futures 6 420,750 Dec 18 16,612 Gasline RBOB Futures 2 175,199 Oct 18 10,324 Gasline RBOB Futures 7 610,256 Nv 18 51,138 Gasline RBOB Futures 5 435,561 Dec 18 20,070 Gld 100 Oz Futures 1 119,620 Dec 18 (1,370) KC HRW Wheat Futures ,938 Dec 18 (50,063) LME Zinc Futures 3 196,650 Dec 18 13,538 Lw Sulphur Gasil G Futures 7 504,875 Dec 18 26,275 NY Harbr ULSD Futures 1 98,809 Nv 18 3,289 NY Harbr ULSD Futures 1 98,935 Dec 18 4,523 Platinum Futures 8 328,960 Jan 19 (3,355) Silver Futures 1 73,560 Dec 18 2,035 Sybean Meal Futures ,600 Dec 18 (34,321) WTI Crude Futures 4 293,000 Oct 18 24,968 WTI Crude Futures 5 365,300 Nv 18 32,039 WTI Crude Futures 4 291,560 Dec 18 24,990 $ 6,748,983 $248,085 Futures Cntracts Shrt: Cattle Feeder Futures 1 (79,088) Oct 18 (4,288) Cattle Feeder Futures 3 (237,075) Nv 18 (6,000) Cca Futures 29 (596,530) Dec 18 35,990 Cffee C Futures 59 (2,266,706) Dec 18 67,617 Crn Futures 56 (997,500) Dec 18 20,325 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)/ Cttn N. 2 Futures 22 $ (840,070) Dec 18 $ 46,924 Lean Hgs Futures 30 (695,100) Dec 18 (8,598) Live Cattle Futures 4 (190,160) Dec 18 (2,180) LME Lead Futures 4 (203,575) Dec 18 (2,275) LME Nickel Futures 3 (226,656) Dec 18 1,722 LME Primary Aluminum Futures 6 (311,325) Dec 18 (1,500) Natural Gas Futures 7 (210,560) Nv 18 (12,650) Sybean Futures 14 (591,850) Nv 18 23,369 Sybean Oil Futures 57 (991,458) Dec 18 (25,553) Sugar #11 (Wrld) Futures 95 (1,191,680) Feb 19 19,659 Wheat (CBT) Futures 23 (585,350) Dec 18 54,988 $(10,214,683) $207,550 Ttal $ (3,465,700) $455,635 (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 $607,807 and the aggregate grss unrealized depreciatin fr all investments in which there was an excess f tax cst ver value was $153,163. The net unrealized appreciatin was $454,644. 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.... $15,448,530 $ $ 15,448,530 $ Mney Market Funds ,500,000 1,500,000 TtalInvestments... 16,948,530 1,500,000 15,448,530 Futures Cntracts , ,788 Ttal... $17,556,318 $ 2,107,788 $ 15,448,530 $ LIABILITIES TABLE Ttal at 9/30/2018 Level 1 Quted Prices Level 2 Observable Level 3 Unbservable Futures Cntracts..... $ (152,153) $ (152,153) $ $ See Ntes t Cnslidated Prtfli f Investments
3 Ntes t Cnslidated Prtfli f Investments 1. Organizatin First Trust Exchange-Traded Fund VII (the Trust ) is an pen-end management investment cmpany rganized as a Massachusetts business trust n Nvember 6, 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 cnsists f tw funds that are currently ffering shares. This reprt cvers the First Trust Alternative Abslute Return Strategy ETF (the Fund ), a nn-diversified series f the Trust, which trades under the ticker FAAR n The Nasdaq Stck Market LLC ( Nasdaq ) and cmmenced peratins n May 18, The Fund is an actively managed exchange-traded fund. The investment bjective f the Fund is t seek t prvide investrs with lng-term ttal return. Under nrmal market cnditins, the Fund, thrugh a whlly-wned subsidiary f the Fund, FT Cayman Subsidiary III (the Subsidiary ), rganized under the laws f the Cayman Islands, invests in a prtfli f cmmdity futures cntracts ( Cmmdities Futures ). The Fund des nt invest directly in Cmmdities Futures. The Fund gains 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. There can be n assurance that the Fund will achieve its investment bjective. The Fund may nt be apprpriate fr all investrs. 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 cntracts. When the Subsidiary purchases a listed futures cntract, it agrees t purchase a specified reference asset (e.g., cmmdity) 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) 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. Exchange-listed 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 Subsidiary is in a lng psitin n that cmmdity, the value f the futures cntract may change prprtinately. 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 cntracts is als knwn as variatin margin. 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.
5 Ntes t Cnslidated Prtfli f Investments (Cntinued) C. Cash The Fund hlds assets equal t r greater than the full ntinal expsure f the futures 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. 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 $71,061,327 and $61,072,652, respectively.
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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)...
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