First Trust South Korea AlphaDEX Fund ETF.com segment: Equity: South Korea - Total Market Competing ETFs: EWY, DBKO, HEWY, KOR, FLKR Related ETF Channels: South Korea, Smart-Beta ETFs, Multi-factor, Total Market, Broad-based, Asia- Pacific, Equity, Size and Style Find more ETFs with our ETF Screener and Database *Unless otherwise stated, data provided by FactSet. N/A 42 FUND DESCRIPTION The First Trust South Korea AlphaDex fund tracks an index of South Korean firms screened using a proprietary methodology and weighted equally in tiers. FACTSET ANALYTICS INSIGHT has a tiny asset base and rarely trades. If you insist on buying it, be aware that its risk of closure is high, meaning it may not be around for the long haul. Still, offers a different spin in a 5-fund segment its proprietary weighting methodology currently produces a midcap-heavy portfolio, which lowers the fund's weighted average market-cap. has less than half our benchmark's weighting to technology, reallocating much of that weight to consumer non-cyclicals and telecoms. Look no further than Samsung Electronics' smaller weighting in the top 10 holdings for all the evidence you need that this is not the market portfolio. MSCI ESG ANALYTICS INSIGHT The MSCI ESG Fund Quality Score measures the ability of ETF underlying holdings to manage key medium to long-term risks and opportunities arising from environmental, social, and governance factors, as determined by MSCI ESG Research LLC. As of October 21, 2018 the First Trust South Korea AlphaDEX Fund MSCI ESG Fund Quality Score is 4.12 out of 10. 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. ranks in the 8th percentile within its peer group and in the 10th percentile within the global universe of all funds in MSCI ESG Fund Metrics coverage. SUMMARY DATA Issuer Inception Date Legal Structure Expense Ratio Assets Under Management Average Daily $ Average Spread (%) PORTFOLIO DATA Weighted Average Market Cap Price / Earnings Ratio Price / Book Ratio Distribution Yield Next Ex-Dividend Date Number of Holdings INDEX DATA First Trust 04/18/11 Open-Ended Fund 0.80% $2.32M $36.21K 0.67% $18.08B 11.26 0.85 1.47% 12/18/18 50 Index Tracked Nasdaq AlphaDEX South Korea Index Index Weighting Methodology Index Selection Methodology Tiered Multi-Factor MSCI Korea IMI
1 Year Daily Price ($) 32.50 30.00 27.50 25.00 Nov Dec `18 Feb Mar Apr May Jun Jul Aug Sep Oct 40k PERFORMANCE [as of 10/19/18] 1 MONTH 3 MONTHS YTD 1 YEAR 3 YEARS 5 YEARS 10 YEARS -7.60% -4.66% -19.93% -13.71% -0.44% -2.70% (NAV) -7.40% -4.66% -19.55% -14.02% -0.95% -2.44% Nasdaq AlphaDEX South Korea Index MSCI Korea IMI All returns over 1 year are annualized. All returns are total returns unless otherwise stated. TOP 10 COUNTRIES Korea, Republic of 100.00% TOP 10 SECTORS Technology 22.10% Industrials 7.28% Consumer Cyclicals 14.92% Telecommunications Serv 6.78% Financials 13.57% Consumer Non-Cyclicals 6.72% Basic Materials 10.46% Healthcare 5.34% Energy 8.09% Utilities 4.73% TOP 10 HOLDINGS SK Telecom Co., Ltd. 4.35% GS Holdings Corp. 3.38% LG Uplus Corp 3.58% Samsung Electro-Mechan 3.34% LG Display Co., Ltd 3.51% LG Corp 3.23% CJ Logistics Corp 3.46% Korea Gas Corporation Samsung SDI Co., Ltd 3.39% Hankook Tire Co., Ltd. Total Top 10 Weighting 34.46%
PORTFOLIO MANAGEMENT TAX EXPOSURES FUND STRUCTURE Expense Ratio Median Tracking Difference (12 Mo) Max. Upside Deviation (12 Mo) Max. Downside Deviation (12 Mo) 0.80% Max LT/ST Capital Gains Rate Capital Gains Distributions (3 Year) Tax on Distributions Distributes K1 20.00% / 39.60% Qualified dividends No Legal Structure OTC Derivative Use Securities Lending Active Securities Lending Split (Fund/Issuer) ETN Counterparty Open-Ended Fund No No 100% / 0% N/A ETN Counterparty Risk N/A Fund Closure Risk High Portfolio Disclosure Daily
Daily Spread 1.5% FACTSET ANALYTICS BLOCK LIQUIDITY As of 10/22/18 1.2% 0.9% 0.6% 0.3% 0% 5 4 3 2 1 This measurement shows how easy it is to trade a $1 million USD block of. is rated a 3 out of 5. Premium/Discount 5.0% 2.5% TRADABILITY Avg. Daily Share 988 0.0% Average Daily $ $36.21K -2.5% Median Daily Share 202-5.0% 30k 25k 20k 15k 10k 5k Median Daily ($) Average Spread (%) Average Spread ($) $10.79K 0.67% $0.16 Dec Feb Apr May Jul Aug Oct Median Premium / Discount (12 Mo) -0.21% Max. Premium / Discount (12 Mo) 3.73% / -3.12% Impediment to Creations None Market Hours Overlap 0.00% Creation Unit Size (Shares) 50,000 Creation Unit/Day (45 Day Average) 0.00 Creation Unit Cost (%) 0.14% Underlying / Unit 0.17% Open Interest on ETF Options Net Asset Value (Yesterday) $23.44 ETF.com Implied Liquidity 3
SECTOR/INDUSTRY BREAKDOWN TOP 10 HOLDINGS PERFORMANCE STATISTICS Technology 22.10% 42.18% Consumer Cyclicals 14.92% 10.57% SK Telecom Co., Ltd. LG Uplus Corp LG Display Co., Ltd CJ Logistics Corp 4.35% 3.58% 3.51% 3.46% Goodness of Fit (R2) Beta Up Beta Down Beta 0.65 0.80 0.80 0.83 Financials 13.57% 12.15% Basic Materials 10.46% 7.82% Energy 8.09% 2.26% Samsung SDI Co., Ltd GS Holdings Corp. Samsung Electro- Mechanics Co., Ltd 3.39% 3.38% 3.34% Downside Standard Deviation 0.78% MSCI Korea IMI Industrials 7.28% 6.14% LG Corp 3.23% MSCI ESG RATINGS Telecommunications Services Consumer Non- Cyclicals 6.78% 0.97% 6.72% 6.42% Korea Gas Corporation Hankook Tire Co., Ltd. Total Top 10 Weighting 34.46% MSCI ESG Quality Score Peer Group Percentile Rank Global Percentile Rank 4.12 / 10 8.00 10.13 Healthcare 5.34% 7.93% SRI Screening Criteria Exposure 5.08% Utilities 4.73% 0.97% Exposure to Sustainable Impact Solutions 6.37% COUNTRIES Weighted Average Carbon Intensity (t CO2e/$M Sales) 412.34 Korea, Republic of 100.00% 100.00% REGIONS Asia-Pacific 100.00% 100.00% BENCHMARK COMPARISON HOLDINGS Number of Holdings Constituents Shared Holdings 50 452 50 ECONOMIC DEVELOPMENT Shared Holdings Weight 36.71% Developed Countries 100.00% 100.00% BENCHMARK COMPARISON SUMMARY Number of Holdings 50 452 Weighted Average Market Cap $18.08B $90.98B Price / Earnings Ratio Price / Book Ratio Dividend Yield 11.26 10.15 0.85 1.11 1.96% 1.95% Concentration Medium
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