0001445546-13-003191.txt : 20130703
0001445546-13-003191.hdr.sgml : 20130703
20130703110220
ACCESSION NUMBER: 0001445546-13-003191
CONFORMED SUBMISSION TYPE: 40-17G/A
PUBLIC DOCUMENT COUNT: 4
FILED AS OF DATE: 20130703
DATE AS OF CHANGE: 20130703
EFFECTIVENESS DATE: 20130703
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST/ABERDEEN EMERGING OPPORTUNITY FUND
CENTRAL INDEX KEY: 0001363438
IRS NUMBER: 711005833
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21905
FILM NUMBER: 13951553
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND
CENTRAL INDEX KEY: 0001392994
IRS NUMBER: 061810845
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22039
FILM NUMBER: 13951559
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST/GALLATIN SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND
DATE OF NAME CHANGE: 20070320
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST/GALLATIN SPECIALTY FINANCE FUND
DATE OF NAME CHANGE: 20070313
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST DIVIDEND & INCOME FUND
CENTRAL INDEX KEY: 0001403275
IRS NUMBER: 392057966
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22080
FILM NUMBER: 13951560
BUSINESS ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST ACTIVE DIVIDEND INCOME FUND
DATE OF NAME CHANGE: 20070614
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: First Trust Intermediate Duration Preferred & Income Fund
CENTRAL INDEX KEY: 0001567569
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22795
FILM NUMBER: 13951565
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust Intermediate Duration Preferred & Income Trust
DATE OF NAME CHANGE: 20130130
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust Ltd Duration Preferred & Income Trust
DATE OF NAME CHANGE: 20130122
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST SERIES FUND
CENTRAL INDEX KEY: 0001497778
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22452
FILM NUMBER: 13951573
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST STRATEGIC HIGH INCOME FUND II
CENTRAL INDEX KEY: 0001329388
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21842
FILM NUMBER: 13951563
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust Dow Select MicroCap Index Fund
DATE OF NAME CHANGE: 20050607
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: First Trust Exchange Traded Fund III
CENTRAL INDEX KEY: 0001424212
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22245
FILM NUMBER: 13951566
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND IV
CENTRAL INDEX KEY: 0001517936
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22559
FILM NUMBER: 13951569
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST ENERGY INFRASTRUCTURE FUND
CENTRAL INDEX KEY: 0001513789
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22528
FILM NUMBER: 13951571
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
CENTRAL INDEX KEY: 0001510337
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22519
FILM NUMBER: 13951572
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND
CENTRAL INDEX KEY: 0001329377
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21774
FILM NUMBER: 13951576
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST ENERGY INCOME & GROWTH FUND
CENTRAL INDEX KEY: 0001284940
IRS NUMBER: 113716544
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21549
FILM NUMBER: 13951556
BUSINESS ADDRESS:
STREET 1: 187 DANBURY ROAD
CITY: WILTON
STATE: CT
ZIP: 06897
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: FIRST TRUST PORTFOLIOS L P
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: ENERGY INCOME & GROWTH FUND
DATE OF NAME CHANGE: 20040325
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUND
CENTRAL INDEX KEY: 0001276469
IRS NUMBER: 593779311
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21496
FILM NUMBER: 13951558
BUSINESS ADDRESS:
STREET 1: FIRST TRUST PORTFOLIOS LP
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: FIRST TRUST PORTFOLIOS LP
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: MACQUARIE FIRST TRUST GLOBAL INFRASTR DIVIDEND & INCOME FUND
DATE OF NAME CHANGE: 20040123
FORMER COMPANY:
FORMER CONFORMED NAME: MACQUARIE FIRST TRUST GLOBAL INFRASTRUCTURE DIVIDEND FUND
DATE OF NAME CHANGE: 20040114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND VI
CENTRAL INDEX KEY: 0001552740
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22717
FILM NUMBER: 13951568
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
CENTRAL INDEX KEY: 0001383496
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22019
FILM NUMBER: 13951564
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST/ABERDEEN GLOBAL OPPORTUNITY INCOME FUND
CENTRAL INDEX KEY: 0001302624
IRS NUMBER: 736357662
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21636
FILM NUMBER: 13951555
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST MORTGAGE INCOME FUND
CENTRAL INDEX KEY: 0001319183
IRS NUMBER: 356758396
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21727
FILM NUMBER: 13951562
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST/FIDAC MORTGAGE INCOME FUND
DATE OF NAME CHANGE: 20050228
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST VARIABLE INSURANCE TRUST
CENTRAL INDEX KEY: 0001537395
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22652
FILM NUMBER: 13951567
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST ENHANCED EQUITY INCOME FUND
CENTRAL INDEX KEY: 0001291334
IRS NUMBER: 300261406
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21586
FILM NUMBER: 13951557
BUSINESS ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS L.P.
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust/Fiduciary Asset Management Covered Call Fund
DATE OF NAME CHANGE: 20040526
FORMER COMPANY:
FORMER CONFORMED NAME: First Trust/Fiduciary Asset Management Covered Call Income Fund
DATE OF NAME CHANGE: 20040521
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST HIGH INCOME LONG/SHORT FUND
CENTRAL INDEX KEY: 0001494530
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22442
FILM NUMBER: 13951574
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
CENTRAL INDEX KEY: 0001282850
IRS NUMBER: 113716541
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21539
FILM NUMBER: 13951561
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST FOUR CORNERS SENIOR FLOATING RATE INCOME FUND II
DATE OF NAME CHANGE: 20040305
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST MLP & ENERGY INCOME FUND
CENTRAL INDEX KEY: 0001556336
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22738
FILM NUMBER: 13951570
BUSINESS ADDRESS:
STREET 1: 187 DANBURY ROAD
CITY: WILTON
STATE: CT
ZIP: 06897
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 120 E. LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST MLP GROWTH & INCOME FUND
DATE OF NAME CHANGE: 20121004
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST MLP & INCOME FUND
DATE OF NAME CHANGE: 20120815
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND II
CENTRAL INDEX KEY: 0001364608
IRS NUMBER: 000000000
STATE OF INCORPORATION: MA
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21944
FILM NUMBER: 13951575
BUSINESS ADDRESS:
STREET 1: 12O EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 12O EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST DEFINED PORTFOLIO FUND LLC
CENTRAL INDEX KEY: 0001076487
IRS NUMBER: 000000000
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 40-17G/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-09235
FILM NUMBER: 13951554
BUSINESS ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS LP
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: C/O FIRST TRUST PORTFOLIOS LP
STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST DEFINED PORTFOLIO MANAGEMENT FUND LLC
DATE OF NAME CHANGE: 19990108
40-17G/A
1
funds_17ga.txt
FIDELITY BOND
July 3, 2013
VIA EDGAR
Securities and Exchange Commission
100 F Street, NE
Washington, D.C. 20549
Re: Rule 17g-1 Fidelity Bond Filing Information with Respect to Joint Fidelity
Bond filing under Investment Company Act Rule 17g-1, Bond No 99516111B for the
following management investment companies (Investment Company Act of 1940 File
Number/ SEC Registration Number): First Defined Portfolio Fund, LLC (File No.
811-09235/ SEC Registration No. 333-72447); Macquarie/First Trust Global
Infrastructure/ Utilities Dividend & Income Fund (File No. 811-21496/ SEC
Registration No. 333-112202); First Trust Senior Floating Rate Income Fund II
(File No. 811-21539/ SEC Registration Nos. 333-113978 and 333-115414); First
Trust Energy Income and Growth Fund (File No. 811-21549/ SEC Registration No.
333-114131, 333-120853, 333-131771, 333-154254, 333-123460 and 333-173334);
First Trust Enhanced Equity Income Fund (File No. 811-21586/ SEC Registration
No. 333-116023); First Trust/Aberdeen Global Opportunity Income Fund (File No.
811-21636/ SEC Registration No. 333-119081); First Trust Mortgage Income Fund
(File No. 811-21727/ SEC Registration No. 333-123262 ); First Trust
Exchange-Traded Fund (File No. 811-21774/ SEC Registration No. 333-125751);
First Trust Strategic High Income Fund II (File No. 811-21842/ SEC Registration
No. 333-131194); First Trust/Aberdeen Emerging Opportunity Fund (File No.
811-21905/ SEC Registration No. 333-134540); First Trust Specialty Finance and
Financial Opportunities Fund (File No. 811-22039/ SEC Registration No.
333-141457); First Trust Exchange-Traded AlphaDEX(R) Fund (File No. 811-22019 /
SEC Registration No. 333-140895); First Trust Dividend and Income Fund (File No.
811-22080/ SEC Registration No. 333-143792); First Trust Exchange-Traded Fund II
(File No. 811-21944/ SEC Registration No. 333-143964); First Trust High Income
Long/Short Fund (File No. 811-22442/ SEC Registration No. 333-168186); First
Trust Exchange-Traded AlphaDEX(R) Fund II (File No. 811-22519/ SEC Registration
No. 333-171759); First Trust Series Fund (File No. 811-22452/ SEC Registration
No. 333-168727); First Trust Energy Infrastructure Fund (File No. 811-22528/SEC
Registration No. 333-172439 and 333-177037); First Trust Exchange-Traded Fund VI
(File No. 811-22717/ SEC Registration No. 333-182308); First Trust
Exchange-Traded Fund IV (File No. 811-22559/ SEC Registration No: 333-174332);
First Trust Variable Insurance Trust (File No. 811-22652/ SEC Registration No.
333-178767); First Trust MLP and Energy Income Fund (File No. 811-22738/ SEC
Registration No. 333-183396); First Trust Exchange-Traded Fund III (File No.
811-22245/SEC Registration No: 333-176976) and First Trust Intermediate Duration
Preferred & Income Fund (File No. 811-22795/SEC Registration No: 333-186412).
--------------------------------------------------------------------------------
Dear Sir or Madam:
Enclosed for filing, pursuant to Rule 17g-1 of the Investment Company Act
of 1940, as amended, please find a copy of the Joint Insured Fidelity Bond, as
amended, for the period October 9, 2012 through October 9, 2013, for the First
Trust complex of funds referenced above. Please note that Riders 13 and 14 have
been added to the Joint Insured Fidelity Bond to include the addition of First
Trust Intermediate Duration Preferred & Income Fund pursuant to Rider 13, and to
increase the Limit of Liability to $23,000,000 from $21,000,000 pursuant to
Rider 14. Please note for the Commission's records, the following:
(i) The Joint Insured Fidelity Bond;
(ii) a Certificate of Assistant Secretary containing the form of
resolutions of the Board of Trustees approving the amount, type, form and
coverage of the Fidelity Bond, the amount of the single insured bond which
the registrant would have provided had it not been named as an insured
under the Fidelity Bond, and a statement as to the period for which
premiums have been paid; and
(iii) a copy of the Blanket Bond Insurance Agreement.
Very truly yours,
FIRST TRUST PORTFOLIOS L.P.
/s/ Kristi A. Maher
-----------------------------
Kristi A. Maher
Deputy General Counsel
Enclosures
EX-99
2
exhibit1.txt
BLANKET BOND AND RIDERS
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
1401 H St. NW
Washington, DC 20005
INVESTMENT COMPANY BLANKET BOND
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
1401 H St. NW
Washington, DC 20005
DECLARATIONS
NOTICE
This policy is issued by your risk retention group. Your risk retention group
may not be subject to all of the insurance laws and regulations of your state.
State insurance insolvency guaranty funds are not available for your risk
retention group.
--------------------------------------------------------------------------------
ITEM 1. Name of Insured (the "Insured") Bond Number
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
Principal Office: Mailing Address:
120 East Liberty Drive, Suite 400 120 East Liberty Drive, Suite 400
Wheaton, IL 60187 Wheaton, IL 60187
--------------------------------------------------------------------------------
ITEM 2. Bond Period: from 12:01 a.m. on October 9, 2012, to 12:01 a.m. on
October 9, 2013, or the earlier effective date of the termination of
this Bond, standard time at the Principal Address as to each of said
dates.
--------------------------------------------------------------------------------
ITEM 3. Limit of Liability--
Subject to Sections 9, 10 and 12 hereof:
LIMIT OF DEDUCTIBLE
LIABILITY AMOUNT
Insuring Agreement A- FIDELITY $17,000,000 $50,000
Insuring Agreement B- AUDIT EXPENSE $50,000 $10,000
Insuring Agreement C- ON PREMISES $17,000,000 $50,000
Insuring Agreement D- IN TRANSIT $17,000,000 $50,000
Insuring Agreement E- FORGERY OR ALTERATION $17,000,000 $50,000
Insuring Agreement F- SECURITIES $17,000,000 $50,000
Insuring Agreement G- COUNTERFEIT CURRENCY $17,000,000 $50,000
Insuring Agreement H- UNCOLLECTIBLE ITEMS OF DEPOSIT $25,000 $5,000
Insuring Agreement I- PHONE/ELECTRONIC TRANSACTIONS Not Covered Not Covered
If "Not Covered" is inserted opposite any Insuring Agreement above, such
Insuring Agreement and any reference thereto shall be deemed to be deleted
from this Bond.
OPTIONAL INSURING AGREEMENTS ADDED BY RIDER:
Insuring Agreement J- COMPUTER SECURITY Not Covered Not Covered
--------------------------------------------------------------------------------
ITEM 4. Offices or Premises Covered--All the Insured's offices or other
premises in existence at the time this Bond becomes effective are
covered under this Bond, except the offices or other premises excluded
by Rider. Offices or other premises acquired or established after the
effective date of this Bond are covered subject to the terms of General
Agreement A.
--------------------------------------------------------------------------------
ITEM 5. The liability of ICI Mutual Insurance Company (the "Underwriter") is
subject to the terms of the following Riders attached hereto:
Riders: 1-2-3-4-5-6-7-8
and of all Riders applicable to this Bond issued during the Bond Period.
================================================================================
By: /S/ MATTHEW LINK
---------------------------
Authorized Representative
Bond (03/12)
INVESTMENT COMPANY BLANKET BOND
NOTICE
This policy is issued by your risk retention group. Your risk retention group
may not be subject to all of the insurance laws and regulations of your state.
State insurance insolvency guaranty funds are not available for your risk
retention group.
ICI Mutual Insurance Company, a Risk Retention Group (the "Underwriter"), in
consideration of an agreed premium, and in reliance upon the Application and all
other information furnished to the Underwriter by the Insured, and subject to
and in accordance with the Declarations, General Agreements, Provisions,
Conditions and Limitations and other terms of this bond (including all riders
hereto) ("Bond"), to the extent of the Limit of Liability and subject to the
Deductible Amount, agrees to indemnify the Insured for the loss, as described in
the Insuring Agreements, sustained by the Insured at any time but discovered
during the Bond Period.
INSURING AGREEMENTS
A. FIDELITY
Loss caused by any Dishonest or Fraudulent Act or Theft committed by an
Employee anywhere, alone or in collusion with other persons (whether or not
Employees), during the time such Employee has the status of an Employee as
defined herein, and even if such loss is not discovered until after he or
she ceases to be an Employee, EXCLUDING loss covered under Insuring
Agreement B.
B. AUDIT EXPENSE
Expense incurred by the Insured for that part of audits or examinations
required by any governmental regulatory authority or Self Regulatory
Organization to be conducted by such authority or Organization or by an
independent accountant or other person, by reason of the discovery of loss
sustained by the Insured and covered by this Bond.
C. ON PREMISES
Loss resulting from Property that is (1) located or reasonably believed by
the Insured to be located within the Insured's offices or premises, and (2)
the object of Theft, Dishonest or Fraudulent Act, or Mysterious
Disappearance, EXCLUDING loss covered under Insuring Agreement A.
D. IN TRANSIT
Loss resulting from Property that is (1) in transit in the custody of any
person authorized by an Insured to act as a messenger, except while in the
mail or with a carrier for hire (other than a Security Company), and (2)
the object of Theft, Dishonest or Fraudulent Act, or Mysterious
Disappearance, EXCLUDING loss covered under Insuring Agreement A. Property
is "in transit" beginning immediately upon receipt of such Property by the
transporting person and ending immediately upon delivery at the specified
destination.
E. FORGERY OR ALTERATION
Loss caused by the Forgery or Alteration of or on (1) any bills of
exchange, checks, drafts, or other written orders or directions to pay
certain sums in money, acceptances, certificates of deposit, due bills,
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money orders, or letters of credit; or (2) other written instructions,
requests or applications to the Insured, authorizing or acknowledging the
transfer, payment, redemption, delivery or receipt of Property, or giving
notice of any bank account, which instructions or requests or applications
purport to have been signed or endorsed by (a) any customer of the Insured,
or (b) any shareholder of or subscriber to shares issued by any Investment
Company, or (c) any financial or banking institution or stockbroker; or (3)
withdrawal orders or receipts for the withdrawal of Property, or receipts
or certificates of deposit for Property and bearing the name of the Insured
as issuer or of another Investment Company for which the Insured acts as
agent. This Insuring Agreement E does not cover loss caused by Forgery or
Alteration of Securities or loss covered under Insuring Agreement A.
F. SECURITIES
Loss resulting from the Insured, in good faith, in the ordinary course of
business, and in any capacity whatsoever, whether for its own account or
for the account of others, having acquired, accepted or received, or sold
or delivered, or given any value, extended any credit or assumed any
liability on the faith of any Securities, where such loss results from the
fact that such Securities (1) were Counterfeit, or (2) were lost or stolen,
or (3) contain a Forgery or Alteration, and notwithstanding whether or not
the act of the Insured causing such loss violated the constitution,
by-laws, rules or regulations of any Self Regulatory Organization, whether
or not the Insured was a member thereof, EXCLUDING loss covered under
Insuring Agreement A.
G. COUNTERFEIT CURRENCY
Loss caused by the Insured in good faith having received or accepted (1)
any money orders which prove to be Counterfeit or to contain an Alteration
or (2) paper currencies or coin of the United States of America or Canada
which prove to be Counterfeit. This Insuring Agreement G does not cover
loss covered under Insuring Agreement A.
H. UNCOLLECTIBLE ITEMS OF DEPOSIT
Loss resulting from the payment of dividends, issuance of Fund shares or
redemptions or exchanges permitted from an account with the Fund as a
consequence of
(1) uncollectible Items of Deposit of a Fund's customer, shareholder or
subscriber credited by the Insured or its agent to such person's Fund
account, or
(2) any Item of Deposit processed through an automated clearing house which
is reversed by a Fund's customer, shareholder or subscriber and is
deemed uncollectible by the Insured;
PROVIDED, that (a) Items of Deposit shall not be deemed uncollectible until
the Insured's collection procedures have failed, (b) exchanges of shares
between Funds with exchange privileges shall be covered hereunder only if
all such Funds are insured by the Underwriter for uncollectible Items of
Deposit, and (c) the Insured Fund shall have implemented and maintained a
policy to hold Items of Deposit for the minimum number of days stated in
its Application (as amended from time to time) before paying any dividend
or permitting any withdrawal with respect to such Items of Deposit (other
than exchanges between Funds). Regardless of the number of transactions
between Funds in an exchange program, the minimum number of days an Item of
Deposit must be held shall begin from the date the Item of Deposit was
first credited to any Insured Fund.
This Insuring Agreement H does not cover loss covered under Insuring
Agreement A.
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I. PHONE/ELECTRONIC TRANSACTIONS
Loss caused by a Phone/Electronic Transaction, where the request for such
Phone/Electronic Transaction:
(1) is transmitted to the Insured or its agents by voice over the telephone
or by Electronic Transmission; and
(2) is made by an individual purporting to be a Fund shareholder or
subscriber or an authorized agent of a Fund shareholder or subscriber;
and
(3) is unauthorized or fraudulent and is made with the manifest intent to
deceive;
PROVIDED, that the entity receiving such request generally maintains and
follows during the Bond Period all Phone/Electronic Transaction Security
Procedures with respect to all Phone/Electronic Transactions; and
EXCLUDING loss resulting from:
(1) the failure to pay for shares attempted to be purchased; or
(2) any redemption of Investment Company shares which had been improperly
credited to a shareholder's account where such shareholder (a) did not
cause, directly or indirectly, such shares to be credited to such
account, and (b) directly or indirectly received any proceeds or other
benefit from such redemption; or
(3) any redemption of shares issued by an Investment Company where the
proceeds of such redemption were requested to be paid or made payable
to other than (a) the Shareholder of Record, or (b) any other person or
bank account designated to receive redemption proceeds (i) in the
initial account application, or (ii) in writing (not to include
Electronic Transmission) accompanied by a signature guarantee; or
(4) any redemption of shares issued by an Investment Company where the
proceeds of such redemption were requested to be sent to other than any
address for such account which was designated (a) in the initial
account application, or (b) in writing (not to include Electronic
Transmission), where such writing is received at least one (1) day
prior to such redemption request, or (c) by voice over the telephone or
by Electronic Transmission at least fifteen (15) days prior to such
redemption; or
(5) the intentional failure to adhere to one or more Phone/Electronic
Transaction Security Procedures; or
(6) a Phone/Electronic Transaction request transmitted by electronic mail
or transmitted by any method not subject to the Phone/Electronic
Transaction Security Procedures; or
(7) the failure or circumvention of any physical or electronic protection
device, including any firewall, that imposes restrictions on the flow
of electronic traffic in or out of any Computer System.
This Insuring Agreement I does not cover loss covered under Insuring
Agreement A, "Fidelity" or Insuring Agreement J, "Computer Security".
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GENERAL AGREEMENTS
A. ADDITIONAL OFFICES OR EMPLOYEES--CONSOLIDATION OR MERGER--NOTICE
1. Except as provided in paragraph 2 below, this Bond shall apply to any
additional office(s) established by the Insured during the Bond Period
and to all Employees during the Bond Period, without the need to give
notice thereof or pay additional premiums to the Underwriter for the
Bond Period.
2. If during the Bond Period an Insured Investment Company shall merge or
consolidate with an institution in which such Insured is the surviving
entity, or purchase substantially all the assets or capital stock of
another institution, or acquire or create a separate investment
portfolio, and shall within sixty (60) days notify the Underwriter
thereof, then this Bond shall automatically apply to the Property and
Employees resulting from such merger, consolidation, acquisition or
creation from the date thereof; provided, that the Underwriter may make
such coverage contingent upon the payment of an additional premium.
B. WARRANTY
No statement made by or on behalf of the Insured, whether contained in the
Application or otherwise, shall be deemed to be an absolute warranty, but
only a warranty that such statement is true to the best of the knowledge of
the person responsible for such statement.
C. COURT COSTS AND ATTORNEYS' FEES
The Underwriter will indemnify the Insured against court costs and
reasonable attorneys' fees incurred and paid by the Insured in defense of
any legal proceeding brought against the Insured seeking recovery for any
loss which, if established against the Insured, would constitute a loss
covered under the terms of this Bond; provided, however, that with respect
to Insuring Agreement A this indemnity shall apply only in the event that
1. an Employee admits to having committed or is adjudicated to have
committed a Dishonest or Fraudulent Act or Theft which caused the loss;
or
2. in the absence of such an admission or adjudication, an arbitrator or
arbitrators acceptable to the Insured and the Underwriter concludes,
after a review of an agreed statement of facts, that an Employee has
committed a Dishonest or Fraudulent Act or Theft which caused the loss.
The Insured shall promptly give notice to the Underwriter of any such legal
proceeding and upon request shall furnish the Underwriter with copies of
all pleadings and other papers therein. At the Underwriter's election the
Insured shall permit the Underwriter to conduct the defense of such legal
proceeding in the Insured's name, through attorneys of the Underwriter's
selection. In such event, the Insured shall give all reasonable information
and assistance which the Underwriter shall deem necessary to the proper
defense of such legal proceeding.
If the amount of the Insured's liability or alleged liability in any such
legal proceeding is greater than the amount which the Insured would be
entitled to recover under this Bond (other than pursuant to this General
Agreement C), or if a Deductible Amount is applicable, or both, the
indemnity liability of the Underwriter under this General Agreement C is
limited to the proportion of court costs and attorneys' fees incurred and
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paid by the Insured or by the Underwriter that the amount which the Insured
would be entitled to recover under this Bond (other than pursuant to this
General Agreement C) bears to the sum of such amount plus the amount which
the Insured is not entitled to recover. Such indemnity shall be in addition
to the Limit of Liability for the applicable Insuring Agreement.
D. INTERPRETATION
This Bond shall be interpreted with due regard to the purpose of fidelity
bonding under Rule 17g-1 of the Investment Company Act of 1940 (i.e., to
protect innocent third parties from harm) and to the structure of the
investment management industry (in which a loss of Property resulting from
a cause described in any Insuring Agreement ordinarily gives rise to a
potential legal liability on the part of the Insured), such that the term
"loss" as used herein shall include an Insured's legal liability for direct
compensatory damages resulting directly from a misappropriation, or
measurable diminution in value, of Property.
THIS BOND, INCLUDING THE FOREGOING INSURING AGREEMENTS AND
GENERAL AGREEMENTS, IS SUBJECT TO THE FOLLOWING
PROVISIONS, CONDITIONS AND LIMITATIONS:
SECTION 1. DEFINITIONS
The following terms used in this Bond shall have the meanings stated in this
Section:
A. "ALTERATION" means the marking, changing or altering in a material way of
the terms, meaning or legal effect of a document with the intent to
deceive.
B. "APPLICATION" means the Insured's application (and any attachments and
materials submitted in connection therewith) furnished to the Underwriter
for this Bond.
C. "COMPUTER SYSTEM" means (1) computers with related peripheral components,
including storage components, (2) systems and applications software, (3)
terminal devices, (4) related communications networks or customer
communication systems, and (5) related electronic funds transfer systems;
by which data or monies are electronically collected, transmitted,
processed, stored or retrieved.
D. "COUNTERFEIT" means, with respect to any item, one which is false but is
intended to deceive and to be taken for the original authentic item.
E. "DEDUCTIBLE AMOUNT" means, with respect to any Insuring Agreement, the
amount set forth under the heading "Deductible Amount" in Item 3 of the
Declarations or in any Rider for such Insuring Agreement, applicable to
each Single Loss covered by such Insuring Agreement.
F. "DEPOSITORY" means any "securities depository" (other than any foreign
securities depository) in which an Investment Company may deposit its
Securities in accordance with Rule 17f-4 under the Investment Company Act
of 1940.
G. "DISHONEST OR FRAUDULENT ACT" means any dishonest or fraudulent act,
including "larceny and embezzlement" as defined in Section 37 of the
Investment Company Act of 1940, committed with the conscious manifest
intent (1) to cause the Insured to sustain a loss and (2) to obtain
financial benefit for the perpetrator or any other person (other than
salaries, commissions, fees, bonuses, awards, profit sharing, pensions or
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other employee benefits). A Dishonest or Fraudulent Act does not mean or
include a reckless act, a negligent act, or a grossly negligent act.
H. "ELECTRONIC TRANSMISSION" means any transmission effected by electronic
means, including but not limited to a transmission effected by telephone
tones, Telefacsimile, wireless device, or over the Internet.
I. "EMPLOYEE" means:
(1) each officer, director, trustee, partner or employee of the Insured,
and
(2) each officer, director, trustee, partner or employee of any
predecessor of the Insured whose principal assets are acquired by
the Insured by consolidation or merger with, or purchase of assets
or capital stock of, such predecessor, and
(3) each attorney performing legal services for the Insured and each
employee of such attorney or of the law firm of such attorney while
performing services for the Insured, and
(4) each student who is an authorized intern of the Insured, while in
any of the Insured's offices, and
(5) each officer, director, trustee, partner or employee of
(a) an investment adviser,
(b) an underwriter (distributor),
(c) a transfer agent or shareholder accounting recordkeeper, or
(d) an administrator authorized by written agreement to keep
financial and/or other required records,
for an Investment Company named as an Insured, BUT ONLY while
(i) such officer, partner or employee is performing acts coming
within the scope of the usual duties of an officer or employee of an
Insured, or (ii) such officer, director, trustee, partner or
employee is acting as a member of any committee duly elected or
appointed to examine or audit or have custody of or access to the
Property of the Insured, or (iii) such director or trustee (or
anyone acting in a similar capacity) is acting outside the scope of
the usual duties of a director or trustee;PROVIDED, that the term
"Employee" shall not include any officer, director, trustee, partner
or employee of a transfer agent, shareholder accounting recordkeeper
or administrator (x) which is not an "affiliated person" (as defined
in Section 2(a) of the Investment Company Act of 1940) of an
Investment Company named as Insured or of the adviser or underwriter
of such Investment Company, or (y) which is a "Bank" (as defined in
Section 2(a) of the Investment Company Act of 1940), and
(6) each individual assigned, by contract or by any agency furnishing
temporary personnel, in either case on a contingent or part-time
basis, to perform the usual duties of an employee in any office of
the Insured, and
(7) each individual assigned to perform the usual duties of an employee
or officer of any entity authorized by written agreement with the
Insured to perform services as electronic data processor of checks
or other accounting records of the Insured, but excluding a
processor which acts as transfer agent or in any other agency
capacity for the Insured in issuing checks, drafts or securities,
unless included under subsection (5) hereof, and
(8) each officer, partner or employee of
(a) any Depository or Exchange,
(b) any nominee in whose name is registered any Security included
in the systems for the central handling of securities
established and maintained by any Depository, and
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(c) any recognized service company which provides clerks or other
personnel to any Depository or Exchange on a contract basis,
while such officer, partner or employee is performing services for
any Depository in the operation of systems for the central handling
of securities, and
(9) in the case of an Insured which is an "employee benefit plan" (as
defined in Section 3 of the Employee Retirement Income Security Act
of 1974 ("ERISA")) for officers, directors or employees of another
Insured ("In-House Plan"), any "fiduciary" or other "plan official"
(within the meaning of Section 412 of ERISA) of such In-House Plan,
provided that such fiduciary or other plan official is a director,
partner, officer, trustee or employee of an Insured (other than an
In-House Plan).
Each employer of temporary personnel and each entity referred to in
subsections (6) and (7) and their respective partners, officers and
employees shall collectively be deemed to be one person for all the
purposes of this Bond.
Brokers, agents, independent contractors, or representatives of the same
general character shall not be considered Employees, except as provided in
subsections (3), (6), and (7).
J. "EXCHANGE" means any national securities exchange registered under the
Securities Exchange Act of 1934.
K. "FORGERY" means the physical signing on a document of the name of another
person (whether real or fictitious) with the intent to deceive. A Forgery
may be by means of mechanically reproduced facsimile signatures as well as
handwritten signatures. Forgery does not include the signing of an
individual's own name, regardless of such individual's authority, capacity
or purpose.
L. "ITEMS OF DEPOSIT" means one or more checks or drafts.
M. "INVESTMENT COMPANY" or "FUND" means an investment company registered
under the Investment Company Act of 1940.
N. "LIMIT OF LIABILITY" means, with respect to any Insuring Agreement, the
limit of liability of the Underwriter for any Single Loss covered by such
Insuring Agreement as set forth under the heading "Limit of Liability" in
Item 3 of the Declarations or in any Rider for such Insuring Agreement.
O. "MYSTERIOUS DISAPPEARANCE" means any disappearance of Property which,
after a reasonable investigation has been conducted, cannot be explained.
P. "NON-FUND" means any corporation, business trust, partnership, trust or
other entity which is not an Investment Company.
Q. "PHONE/ELECTRONIC TRANSACTION SECURITY PROCEDURES" means security
procedures for Phone/ Electronic Transactions as provided in writing to
the Underwriter.
R. "PHONE/ELECTRONIC TRANSACTION" means any (1) redemption of shares issued
by an Investment Company, (2) election concerning dividend options
available to Fund shareholders, (3) exchange of shares in a registered
account of one Fund into shares in an identically registered account of
another Fund in the same complex pursuant to exchange privileges of the
two Funds, or (4) purchase of shares issued by an Investment Company,
which redemption, election, exchange or purchase is requested by voice
over the telephone or through an Electronic Transmission.
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S. "PROPERTY" means the following tangible items: money, postage and revenue
stamps, precious metals, Securities, bills of exchange, acceptances,
checks, drafts, or other written orders or directions to pay sums certain
in money, certificates of deposit, due bills, money orders, letters of
credit, financial futures contracts, conditional sales contracts,
abstracts of title, insurance policies, deeds, mortgages, and assignments
of any of the foregoing, and other valuable papers, including books of
account and other records used by the Insured in the conduct of its
business, and all other instruments similar to or in the nature of the
foregoing (but excluding all data processing records), (1) in which the
Insured has a legally cognizable interest, (2) in which the Insured
acquired or should have acquired such an interest by reason of a
predecessor's declared financial condition at the time of the Insured's
consolidation or merger with, or purchase of the principal assets of, such
predecessor or (3) which are held by the Insured for any purpose or in any
capacity.
T. "SECURITIES" means original negotiable or non-negotiable agreements or
instruments which represent an equitable or legal interest, ownership or
debt (including stock certificates, bonds, promissory notes, and
assignments thereof), which are in the ordinary course of business and
transferable by physical delivery with appropriate endorsement or
assignment. "Securities" does not include bills of exchange, acceptances,
certificates of deposit, checks, drafts, or other written orders or
directions to pay sums certain in money, due bills, money orders, or
letters of credit.
U. "SECURITY COMPANY" means an entity which provides or purports to provide
the transport of Property by secure means, including, without limitation,
by use of armored vehicles or guards.
V. "SELF REGULATORY ORGANIZATION" means any association of investment
advisers or securities dealers registered under the federal securities
laws, or any Exchange.
W. "SHAREHOLDER OF RECORD" means the record owner of shares issued by an
Investment Company or, in the case of joint ownership of such shares, all
record owners, as designated (1) in the initial account application, or
(2) in writing accompanied by a signature guarantee, or (3) pursuant to
procedures as set forth in the Application.
X. "SINGLE LOSS" means:
(1) all loss resulting from any one actual or attempted Theft committed
by one person, or
(2) all loss caused by any one act (other than a Theft or a Dishonest or
Fraudulent Act) committed by one person, or
(3) all loss caused by Dishonest or Fraudulent Acts committed by one
person, or
(4) all expenses incurred with respect to any one audit or examination,
or
(5) all loss caused by any one occurrence or event other than those
specified in subsections (1) through (4) above.
All acts or omissions of one or more persons which directly or indirectly
aid or, by failure to report or otherwise, permit the continuation of an
act referred to in subsections (1) through (3) above of any other person
shall be deemed to be the acts of such other person for purposes of this
subsection.
All acts or occurrences or events which have as a common nexus any fact,
circumstance, situation, transaction or series of facts, circumstances,
situations, or transactions shall be deemed to be one act, one occurrence,
or one event.
Y. "TELEFACSIMILE" means a system of transmitting and reproducing fixed
graphic material (as, for example, printing) by means of signals
transmitted over telephone lines or over the Internet.
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Z. "THEFT" means robbery, burglary or hold-up, occurring with or without
violence or the threat of violence.
SECTION 2. EXCLUSIONS
THIS BOND DOES NOT COVER:
A. Loss resulting from (1) riot or civil commotion outside the United States
of America and Canada, or (2) war, revolution, insurrection, action by
armed forces, or usurped power, wherever occurring; except if such loss
occurs while the Property is in transit, is otherwise covered under
Insuring Agreement D, and when such transit was initiated, the Insured or
any person initiating such transit on the Insured's behalf had no
knowledge of such riot, civil commotion, war, revolution, insurrection,
action by armed forces, or usurped power.
B. Loss in time of peace or war resulting from nuclear fission or fusion or
radioactivity, or biological or chemical agents or hazards, or fire,
smoke, or explosion, or the effects of any of the foregoing.
C. Loss resulting from any Dishonest or Fraudulent Act committed by any
person while acting in the capacity of a member of the Board of Directors
or any equivalent body of the Insured or of any other entity.
D. Loss resulting from any nonpayment or other default of any loan or similar
transaction made by the Insured or any of its partners, directors,
officers or employees, whether or not authorized and whether procured in
good faith or through a Dishonest or Fraudulent Act, unless such loss is
otherwise covered under Insuring Agreement A, E or F.
E. Loss resulting from any violation by the Insured or by any Employee of any
law, or any rule or regulation pursuant thereto or adopted by a Self
Regulatory Organization, regulating the issuance, purchase or sale of
securities, securities transactions upon security exchanges or over the
counter markets, Investment Companies, or investment advisers, unless such
loss, in the absence of such law, rule or regulation, would be covered
under Insuring Agreement A, E or F.
F. Loss resulting from Property that is the object of Theft, Dishonest or
Fraudulent Act, or Mysterious Disappearance while in the custody of any
Security Company, unless such loss is covered under this Bond and is in
excess of the amount recovered or received by the Insured under (1) the
Insured's contract with such Security Company, and (2) insurance or
indemnity of any kind carried by such Security Company for the benefit of,
or otherwise available to, users of its service, in which case this Bond
shall cover only such excess, subject to the applicable Limit of Liability
and Deductible Amount.
G. Potential income, including but not limited to interest and dividends, not
realized by the Insured because of a loss covered under this Bond, except
when covered under Insuring Agreement H.
H. Loss in the form of (1) damages of any type for which the Insured is
legally liable, except direct compensatory damages, or (2) taxes, fines,
or penalties, including without limitation two-thirds of treble damage
awards pursuant to judgments under any statute or regulation.
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I. Loss resulting from the surrender of Property away from an office of the
Insured as a result of a threat
(1) to do bodily harm to any person, except where the Property is in
transit in the custody of any person acting as messenger as a result
of a threat to do bodily harm to such person, if the Insured had no
knowledge of such threat at the time such transit was initiated, or
(2) to do damage to the premises or Property of the Insured,
unless such loss is otherwise covered under Insuring Agreement A.
J. All costs, fees and other expenses incurred by the Insured in establishing
the existence of or amount of loss covered under this Bond, except to the
extent certain audit expenses are covered under Insuring Agreement B.
K. Loss resulting from payments made to or withdrawals from any account,
involving funds erroneously credited to such account, unless such loss is
otherwise covered under Insuring Agreement A.
L. Loss resulting from uncollectible Items of Deposit which are drawn upon a
financial institution outside the United States of America, its
territories and possessions, or Canada.
M. Loss resulting from the Dishonest or Fraudulent Acts, Theft, or other acts
or omissions of an Employee primarily engaged in the sale of shares issued
by an Investment Company to persons other than (1) a person registered as
a broker under the Securities Exchange Act of 1934 or (2) an "accredited
investor" as defined in Rule 501(a) of Regulation D under the Securities
Act of 1933, which is not an individual.
N. Loss resulting from the use of credit, debit, charge, access, convenience,
identification, cash management or other cards, whether such cards were
issued or purport to have been issued by the Insured or by anyone else,
unless such loss is otherwise covered under Insuring Agreement A.
O. Loss resulting from any purchase, redemption or exchange of securities
issued by an Investment Company or other Insured, or any other
instruction, request, acknowledgement, notice or transaction involving
securities issued by an Investment Company or other Insured or the
dividends in respect thereof, when any of the foregoing is requested,
authorized or directed or purported to be requested, authorized or
directed by voice over the telephone or by Electronic Transmission, unless
such loss is otherwise covered under Insuring Agreement A or Insuring
Agreement I.
P. Loss resulting from any Dishonest or Fraudulent Act or Theft committed by
an Employee as defined in Section 1.I(2), unless such loss (1) could not
have been reasonably discovered by the due diligence of the Insured at or
prior to the time of acquisition by the Insured of the assets acquired
from a predecessor, and (2) arose out of a lawsuit or valid claim brought
against the Insured by a person unaffiliated with the Insured or with any
person affiliated with the Insured.
Q. Loss resulting from the unauthorized entry of data into, or the deletion
or destruction of data in, or the change of data elements or programs
within, any Computer System, unless such loss is otherwise covered under
Insuring Agreement A.
SECTION 3. ASSIGNMENT OF RIGHTS
Upon payment to the Insured hereunder for any loss, the Underwriter shall
be subrogated to the extent of such payment to all of the Insured's rights
and claims in connection with such loss; provided, however, that the
Underwriter shall not be subrogated to any such rights or claims one named
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Insured under this Bond may have against another named Insured under this
Bond. At the request of the Underwriter, the Insured shall execute all
assignments or other documents and take such action as the Underwriter may
deem necessary or desirable to secure and perfect such rights and claims,
including the execution of documents necessary to enable the Underwriter
to bring suit in the name of the Insured.
Assignment of any rights or claims under this Bond shall not bind the
Underwriter without the Underwriter's written consent.
SECTION 4. LOSS--NOTICE--PROOF--LEGAL PROCEEDINGS
This Bond is for the use and benefit only of the Insured and the
Underwriter shall not be liable hereunder to anyone other than the
Insured. As soon as practicable and not more than sixty (60) days after
discovery, the Insured shall give the Underwriter written notice thereof
and, as soon as practicable and within one year after such discovery,
shall also furnish to the Underwriter affirmative proof of loss with full
particulars. The Underwriter may extend the sixty day notice period or the
one year proof of loss period if the Insured requests an extension and
shows good cause therefor.
See also General Agreement C (Court Costs and Attorneys' Fees).
The Underwriter shall not be liable hereunder for loss of Securities
unless each of the Securities is identified in such proof of loss by a
certificate or bond number or by such identification means as the
Underwriter may require. The Underwriter shall have a reasonable period
after receipt of a proper affirmative proof of loss within which to
investigate the claim, but where the Property is Securities and the loss
is clear and undisputed, settlement shall be made within forty-eight (48)
hours even if the loss involves Securities of which duplicates may be
obtained.
The Insured shall not bring legal proceedings against the Underwriter to
recover any loss hereunder prior to sixty (60) days after filing such
proof of loss or subsequent to twenty-four (24) months after the discovery
of such loss or, in the case of a legal proceeding to recover hereunder on
account of any judgment against the Insured in or settlement of any suit
mentioned in General Agreement C or to recover court costs or attorneys'
fees paid in any such suit, twenty-four (24) months after the date of the
final judgment in or settlement of such suit. If any limitation in this
Bond is prohibited by any applicable law, such limitation shall be deemed
to be amended to be equal to the minimum period of limitation permitted by
such law.
Notice hereunder shall be given to Manager, Professional Liability Claims,
ICI Mutual Insurance Company, 1401 H St. NW, Washington, DC 20005.
SECTION 5. DISCOVERY
For all purposes under this Bond, a loss is discovered, and discovery of a
loss occurs, when the Insured
(1) becomes aware of facts, or
(2) receives notice of an actual or potential claim by a third party
which alleges that the Insured is liable under circumstances,
which would cause a reasonable person to assume that loss covered by this
Bond has been or is likely to be incurred even though the exact amount or
details of loss may not be known.
12
SECTION 6. VALUATION OF PROPERTY
For the purpose of determining the amount of any loss hereunder, the value
of any Property shall be the market value of such Property at the close of
business on the first business day before the discovery of such loss;
except that
(1) the value of any Property replaced by the Insured prior to the
payment of a claim therefor shall be the actual market value of such
Property at the time of replacement, but not in excess of the market
value of such Property on the first business day before the
discovery of the loss of such Property;
(2) the value of Securities which must be produced to exercise
subscription, conversion, redemption or deposit privileges shall be
the market value of such privileges immediately preceding the
expiration thereof if the loss of such Securities is not discovered
until after such expiration, but if there is no quoted or other
ascertainable market price for such Property or privileges referred
to in clauses (1) and (2), their value shall be fixed by agreement
between the parties or by arbitration before an arbitrator or
arbitrators acceptable to the parties; and
(3) the value of books of accounts or other records used by the Insured
in the conduct of its business shall be limited to the actual cost
of blank books, blank pages or other materials if the books or
records are reproduced plus the cost of labor for the transcription
or copying of data furnished by the Insured for reproduction.
SECTION 7. LOST SECURITIES
The maximum liability of the Underwriter hereunder for lost Securities
shall be the payment for, or replacement of, such Securities having an
aggregate value not to exceed the applicable Limit of Liability. If the
Underwriter shall make payment to the Insured for any loss of Securities,
the Insured shall assign to the Underwriter all of the Insured's right,
title and interest in and to such Securities. In lieu of such payment, the
Underwriter may, at its option, replace such lost Securities, and in such
case the Insured shall cooperate to effect such replacement. To effect the
replacement of lost Securities, the Underwriter may issue or arrange for
the issuance of a lost instrument bond. If the value of such Securities
does not exceed the applicable Deductible Amount (at the time of the
discovery of the loss), the Insured will pay the usual premium charged for
the lost instrument bond and will indemnify the issuer of such bond
against all loss and expense that it may sustain because of the issuance
of such bond.
If the value of such Securities exceeds the applicable Deductible Amount
(at the time of discovery of the loss), the Insured will pay a proportion
of the usual premium charged for the lost instrument bond, equal to the
percentage that the applicable Deductible Amount bears to the value of
such Securities upon discovery of the loss, and will indemnify the issuer
of such bond against all loss and expense that is not recovered from the
Underwriter under the terms and conditions of this Bond, subject to the
applicable Limit of Liability.
SECTION 8. SALVAGE
If any recovery is made, whether by the Insured or the Underwriter, on
account of any loss within the applicable Limit of Liability hereunder,
the Underwriter shall be entitled to the full amount of such recovery to
reimburse the Underwriter for all amounts paid hereunder with respect to
such loss. If any recovery is made, whether by the Insured or the
Underwriter, on account of any loss in excess of the applicable Limit of
Liability hereunder plus the Deductible Amount applicable to such loss
from any source other than suretyship, insurance, reinsurance, security or
indemnity taken by or for the benefit of the Underwriter, the amount of
13
such recovery, net of the actual costs and expenses of recovery, shall be
applied to reimburse the Insured in full for the portion of such loss in
excess of such Limit of Liability, and the remainder, if any, shall be
paid first to reimburse the Underwriter for all amounts paid hereunder
with respect to such loss and then to the Insured to the extent of the
portion of such loss within the Deductible Amount. The Insured shall
execute all documents which the Underwriter deems necessary or desirable
to secure to the Underwriter the rights provided for herein.
SECTION 9. NON-REDUCTION AND NON-ACCUMULATION OF LIABILITY AND TOTAL LIABILITY
Prior to its termination, this Bond shall continue in force up to the
Limit of Liability for each Insuring Agreement for each Single Loss,
notwithstanding any previous loss (other than such Single Loss) for which
the Underwriter may have paid or be liable to pay hereunder; PROVIDED,
however, that regardless of the number of years this Bond shall continue
in force and the number of premiums which shall be payable or paid, the
liability of the Underwriter under this Bond with respect to any Single
Loss shall be limited to the applicable Limit of Liability irrespective of
the total amount of such Single Loss and shall not be cumulative in
amounts from year to year or from period to period.
SECTION 10. MAXIMUM LIABILITY OF UNDERWRITER; OTHER BONDS OR POLICIES
The maximum liability of the Underwriter for any Single Loss covered by
any Insuring Agreement under this Bond shall be the Limit of Liability
applicable to such Insuring Agreement, subject to the applicable
Deductible Amount and the other provisions of this Bond. Recovery for any
Single Loss may not be made under more than one Insuring Agreement. If any
Single Loss covered under this Bond is recoverable or recovered in whole
or in part because of an unexpired discovery period under any other bonds
or policies issued by the Underwriter to the Insured or to any predecessor
in interest of the Insured, the maximum liability of the Underwriter shall
be the greater of either (1) the applicable Limit of Liability under this
Bond, or (2) the maximum liability of the Underwriter under such other
bonds or policies.
SECTION 11. OTHER INSURANCE
Notwithstanding anything to the contrary herein, if any loss covered by
this Bond shall also be covered by other insurance or suretyship for the
benefit of the Insured, the Underwriter shall be liable hereunder only for
the portion of such loss in excess of the amount recoverable under such
other insurance or suretyship, but not exceeding the applicable Limit of
Liability of this Bond.
SECTION 12. DEDUCTIBLE AMOUNT
The Underwriter shall not be liable under any Insuring Agreement unless
the amount of the loss covered thereunder, after deducting the net amount
of all reimbursement and/or recovery received by the Insured with respect
to such loss (other than from any other bond, suretyship or insurance
policy or as an advance by the Underwriter hereunder) shall exceed the
applicable Deductible Amount; in such case the Underwriter shall be liable
only for such excess, subject to the applicable Limit of Liability and the
other terms of this Bond.
No Deductible Amount shall apply to any loss covered under Insuring
Agreement A sustained by any Investment Company named as an Insured.
14
SECTION 13. TERMINATION
The Underwriter may terminate this Bond as to any Insured or all Insureds
only by written notice to such Insured or Insureds and, if this Bond is
terminated as to any Investment Company, to each such Investment Company
terminated thereby and to the Securities and Exchange Commission,
Washington, D.C., in all cases not less than sixty (60) days prior to the
effective date of termination specified in such notice.
The Insured may terminate this Bond only by written notice to the
Underwriter not less than sixty (60) days prior to the effective date of
the termination specified in such notice. Notwithstanding the foregoing,
when the Insured terminates this Bond as to any Investment Company, the
effective date of termination shall be not less than sixty (60) days from
the date the Underwriter provides written notice of the termination to
each such Investment Company terminated thereby and to the Securities and
Exchange Commission, Washington, D.C.
This Bond will terminate as to any Insured that is a Non-Fund immediately
and without notice upon (1) the takeover of such Insured's business by any
State or Federal official or agency, or by any receiver or liquidator, or
(2) the filing of a petition under any State or Federal statute relative
to bankruptcy or reorganization of the Insured, or assignment for the
benefit of creditors of the Insured.
Premiums are earned until the effective date of termination. The
Underwriter shall refund the unearned premium computed at short rates in
accordance with the Underwriter's standard short rate cancellation tables
if this Bond is terminated by the Insured or pro rata if this Bond is
terminated by the Underwriter.
Upon the detection by any Insured that an Employee has committed any
Dishonest or Fraudulent Act(s) or Theft, the Insured shall immediately
remove such Employee from a position that may enable such Employee to
cause the Insured to suffer a loss by any subsequent Dishonest or
Fraudulent Act(s) or Theft. The Insured, within two (2) business days of
such detection, shall notify the Underwriter with full and complete
particulars of the detected Dishonest or Fraudulent Act(s) or Theft.
For purposes of this section, detection occurs when any partner, officer,
or supervisory employee of any Insured, who is not in collusion with such
Employee, becomes aware that the Employee has committed any Dishonest or
Fraudulent Act(s) or Theft.
This Bond shall terminate as to any Employee by written notice from the
Underwriter to each Insured and, if such Employee is an Employee of an
Insured Investment Company, to the Securities and Exchange Commission, in
all cases not less than sixty (60) days prior to the effective date of
termination specified in such notice.
SECTION 14. RIGHTS AFTER TERMINATION
At any time prior to the effective date of termination of this Bond as to
any Insured, such Insured may, by written notice to the Underwriter, elect
to purchase the right under this Bond to an additional period of twelve
(12) months within which to discover loss sustained by such Insured prior
to the effective date of such termination and shall pay an additional
premium therefor as the Underwriter may require.
15
Such additional discovery period shall terminate immediately and without
notice upon the takeover of such Insured's business by any State or
Federal official or agency, or by any receiver or liquidator. Promptly
after such termination the Underwriter shall refund to the Insured any
unearned premium.
The right to purchase such additional discovery period may not be
exercised by any State or Federal official or agency, or by any receiver
or liquidator, acting or appointed to take over the Insured's business.
SECTION 15. CENTRAL HANDLING OF SECURITIES
The Underwriter shall not be liable for loss in connection with the
central handling of securities within the systems established and
maintained by any Depository ("Systems"), unless the amount of such loss
exceeds the amount recoverable or recovered under any bond or policy or
participants' fund insuring the Depository against such loss (the
"Depository's Recovery"); in such case the Underwriter shall be liable
hereunder only for the Insured's share of such excess loss, subject to the
applicable Limit of Liability, the Deductible Amount and the other terms
of this Bond.
For determining the Insured's share of such excess loss, (1) the Insured
shall be deemed to have an interest in any certificate representing any
security included within the Systems equivalent to the interest the
Insured then has in all certificates representing the same security
included within the Systems; (2) the Depository shall have reasonably and
fairly apportioned the Depository's Recovery among all those having an
interest as recorded by appropriate entries in the books and records of
the Depository in Property involved in such loss, so that each such
interest shall share in the Depository's Recovery in the ratio that the
value of each such interest bears to the total value of all such
interests; and (3) the Insured's share of such excess loss shall be the
amount of the Insured's interest in such Property in excess of the
amount(s) so apportioned to the Insured by the Depository.
This Bond does not afford coverage in favor of any Depository or Exchange
or any nominee in whose name is registered any security included within
the Systems.
SECTION 16. ADDITIONAL COMPANIES INCLUDED AS INSURED
If more than one entity is named as the Insured:
A. the total liability of the Underwriter hereunder for each Single
Loss shall not exceed the Limit of Liability which would be
applicable if there were only one named Insured, regardless of the
number of Insured entities which sustain loss as a result of such
Single Loss,
B. the Insured first named in Item 1 of the Declarations shall be
deemed authorized to make, adjust, and settle, and receive and
enforce payment of, all claims hereunder as the agent of each other
Insured for such purposes and for the giving or receiving of any
notice required or permitted to be given hereunder; provided, that
the Underwriter shall promptly furnish each named Insured Investment
Company with (1) a copy of this Bond and any amendments thereto, (2)
a copy of each formal filing of a claim hereunder by any other
Insured, and (3) notification of the terms of the settlement of each
such claim prior to the execution of such settlement,
C. the Underwriter shall not be responsible or have any liability for
the proper application by the Insured first named in Item 1 of the
Declarations of any payment made hereunder to the first named
Insured,
16
D. for the purposes of Sections 4 and 13, knowledge possessed or
discovery made by any partner, officer or supervisory Employee of
any Insured shall constitute knowledge or discovery by every named
Insured,
E. if the first named Insured ceases for any reason to be covered under
this Bond, then the Insured next named shall thereafter be
considered as the first named Insured for the purposes of this Bond,
and
F. each named Insured shall constitute "the Insured" for all purposes
of this Bond.
SECTION 17. NOTICE AND CHANGE OF CONTROL
Within thirty (30) days after learning that there has been a change in
control of an Insured by transfer of its outstanding voting securities the
Insured shall give written notice to the Underwriter of:
A. the names of the transferors and transferees (or the names of the
beneficial owners if the voting securities are registered in another
name), and
B. the total number of voting securities owned by the transferors and
the transferees (or the beneficial owners), both immediately before
and after the transfer, and
C. the total number of outstanding voting securities.
As used in this Section, "control" means the power to exercise a
controlling influence over the management or policies of the Insured.
SECTION 18. CHANGE OR MODIFICATION
This Bond may only be modified by written Rider forming a part hereof over
the signature of the Underwriter's authorized representative. Any Rider
which modifies the coverage provided by Insuring Agreement A, Fidelity, in
a manner which adversely affects the rights of an Insured Investment
Company shall not become effective until at least sixty (60) days after
the Underwriter has given written notice thereof to the Securities and
Exchange Commission, Washington, D.C., and to each Insured Investment
Company affected thereby.
SECTION 19. COMPLIANCE WITH APPLICABLE TRADE AND ECONOMIC SANCTIONS
This Bond shall not be deemed to provide any coverage, and the Underwriter
shall not be required to pay any loss or provide any benefit hereunder, to
the extent that the provision of such coverage, payment of such loss or
provision of such benefit would cause the Underwriter to be in violation
of any applicable trade or economic sanctions, laws or regulations,
including, but not limited to, any sanctions, laws or regulations
administered and enforced by the U.S. Department of Treasury Office of
Foreign Assets Control (OFAC).
IN WITNESS WHEREOF, the Underwriter has caused this Bond to be executed on the
Declarations Page.
17
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 1
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following:
First Trust Advisors LP
First Trust Portfolios LP
First Trust Cayman Subsidiary
First Defined Portfolio Fund LLC, a series fund consisting of:
o First Trust Target Focus Four Portfolio
o Global Dividend Target 15 Portfolio
o The NASDAQ(R) Target 15 Portfolio
o The S&P Target 24 Portfolio
o The Target Managed VIP Portfolio
o The Dow(SM) DART 10 Portfolio
o The Dow(SM) Target Dividend Portfolio
o Value Line(R) Target 25 Portfolio
First Trust Exchange-Traded Fund, a series fund consisting of:
o First Trust Dow Jones Select MicroCap(SM) Index Fund
o First Trust Strategic Value Index Fund
o First Trust Dow Jones Internet Index(SM) Fund
o First Trust US IPO Index Fund
o First Trust Morningstar(R) Dividend Leaders(SM) Index Fund
o First Trust NASDAQ-100 Equal Weighted Index(SM) Fund
o First Trust NASDAQ-100 Ex-Technology Sector Index(SM) Fund
o First Trust NASDAQ-100-Technology Sector Index(SM) Fund
o First Trust NYSE Arca(R) Biotechnology Index Fund
o First Trust Value Line(R) Equity Allocation Index(SM) Fund
o First Trust Value Line(R) Dividend Index Fund
o First Trust NASDAQ Clean Edge(R) Green Energy Index Fund
o First Trust S&P REIT Index Fund
o First Trust ISE Water Index Fund
o First Trust ISE Revere Natural Gas Index Fund
o First Trust ISE Chindia Index Fund
o First Trust NASDAQ(R) ABA Community Bank Index Fund
o First Trust Value Line(R) 100 Exchange-Traded Fund
o First Trust CBOE S&P 500 VIX Tail Hedge Fund
First Trust Exchange-Traded Fund II, a series fund consisting of:
o First Trust Dow Jones Global Select Dividend Index Fund
o First Trust STOXX(R) European Select Dividend Index Fund
o First Trust FTSE EPRA/NAREIT Developed Markets Real Estate
Index Fund
o First Trust ISE Global Wind Energy Index Fund
o First Trust ISE Global Engineering and Construction Index Fund
o First Trust NASDAQ(R) CEA Smartphone Index Fund
o First Trust NASDAQ(R) Global Auto Index Fund
o First Trust BICK Index Fund
o First Trust ISE Global Platinum Index Fund
o First Trust ISE Global Copper Index Fund
o First Trust ISE Cloud Computing Index Fund
o First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure
Index Fund
First Trust Exchange-Traded AlphaDEX(R) Fund, a series fund consisting of:
o First Trust Consumer Discretionary AlphaDEX(R) Fund
o First Trust Consumer Staples AlphaDEX(R) Fund
o First Trust Energy AlphaDEX(R) Fund
o First Trust Financials AlphaDEX(R) Fund
o First Trust Health Care AlphaDEX(R) Fund
o First Trust Industrials/Producer Durables AlphaDEX(R) Fund
o First Trust Large Cap Core AlphaDEX(R) Fund
o First Trust Large Cap Growth AlphaDEX(R) Fund
o First Trust Large Cap Value AlphaDEX(R) Fund
o First Trust Materials AlphaDEX(R) Fund
o First Trust Mega Cap AlphaDEX(R) Fund
o First Trust Mid Cap Core AlphaDEX(R) Fund
o First Trust Mid Cap Growth AlphaDEX(R) Fund
o First Trust Mid Cap Value AlphaDEX(R) Fund
o First Trust Multi Cap Value AlphaDEX(R) Fund
o First Trust Multi Cap Growth AlphaDEX(R) Fund
o First Trust Small Cap Core AlphaDEX(R) Fund
o First Trust Small Cap Growth AlphaDEX(R) Fund
o First Trust Small Cap Value AlphaDEX(R) Fund
o First Trust Technology AlphaDEX(R) Fund
o First Trust Utilities AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX(R) II Fund, a series fund
consisting of:
o First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund
o First Trust Australia AlphaDEX(R) Fund
o First Trust Brazil AlphaDEX(R) Fund
o First Trust Canada AlphaDEX(R) Fund
o First Trust China AlphaDEX(R) Fund
o First Trust Developed Markets Ex-US AlphaDEX(R) Fund
o First Trust Developed Markets Ex-US Small Cap AlphaDEX(R) Fund
o First Trust Emerging Markets AlphaDEX(R) Fund
o First Trust Emerging Markets Small Cap AlphaDEX(R) Fund
o First Trust Europe AlphaDEX(R) Fund
o First Trust Germany AlphaDEX(R) Fund
o First Trust Global Commodity AlphaDEX(R) Fund
o First Trust Hong Kong AlphaDEX(R) Fund
o First Trust Japan AlphaDEX(R) Fund
o First Trust Latin America AlphaDEX(R) Fund
o First Trust South Korea AlphaDEX(R) Fund
o First Trust Switzerland AlphaDEX(R) Fund
o First Trust Taiwan AlphaDEX(R) Fund
o First Trust United Kingdom AlphaDEX(R) Fund
First Trust Series Fund, a series fund consisting of:
o First Trust Preferred Securities and Income Fund
o First Trust/Confluence Small Cap Value Fund
o First Trust Short Duration High Income Fund
First Trust Exchange-Traded Fund IV, a series fund consisting of:
o First Trust North American Energy Infrastructure Fund
First Trust Exchange-Traded Fund VI, a series fund consisting of:
o Multi-Asset Diversified Income Index Fund
o First Trust Nasdaq Technology Dividend Index Fund
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income
Fund
First Trust MLP and Energy Income Fund
First Trust Senior Floating Rate Income Fund II
Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust/Aberdeen Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust Strategic High Income Fund II
First Trust/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust Active Dividend Income Fund
First Trust High Income Long/Short Fund First Trust Energy
Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust Short Duration High Income Fund
Variable Insurance Trust, a series fund consisting of:
o First Trust/Dow Jones Dividend & Income Allocation Portfolio
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN1.0-00 (1/02)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 2
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that this Bond (other than Insuring Agreements C and D) does not
cover loss resulting from or in connection with any business, activities, or
acts or omissions of (including services rendered by) any Insured which is not
an Insured Fund ("Non-Fund") or any Employee of a Non-Fund, except loss,
otherwise covered by the terms of this Bond, resulting from or in connection
with
(1) services rendered by a Non-Fund to an Insured Fund, or to shareholders of
such Fund in connection with the issuance, transfer, or redemption of
their Fund shares; or
(2) Investment Advisory Services rendered by a Non-Fund to an investment
advisory client of such Non-Fund; or
(3) in the case of a Non-Fund substantially all of whose business is
rendering the services described in (1) or (2) above, the general
business, activities or operations of such Non-Fund, excluding (a) the
rendering of services (other than those described in (1) or (2) above) to
any person, or (b) the sale of goods or property of any kind.
It is further understood and agreed that with respect to any Non-Fund, Insuring
Agreements C and D only cover loss of Property which a Non-Fund uses or holds,
or in which a Non-Fund has an interest, in each case wholly or partially in
connection with the rendering of services described in (1) or (2) above.
As used herein, "Investment Advisory Services" means (a) advice with respect to
the desirability of investing in, purchasing or selling securities or other
property, including the power to determine what securities or other property
shall be purchased or sold, but not including furnishing only statistical and
other factual information (such as economic factors and trends); and (b) the
provision of financial, economic or investment management services, but only if
ancillary and related to the advice referred to in clause (a) above.
For purposes of this Rider, Investment Advisory Services shall not include
Personal Financial Planning Services.
It is further understood and agreed that as used herein, "Personal Financial
Planning Services" means the provision of financial plans to individuals for
compensation and the provision of services related thereto, and may include
specific recommendations for the implementation of such plans and advice with
respect to tax planning, retirement planning, estate planning, insurance
planning, budgeting and cash management, or similar types of financial advice,
but not including solely Investment Advisory Services.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN3.1-02 (1/02)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 3
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that notwithstanding anything to the contrary in this Bond, this Bond
shall not cover loss resulting from or in connection with the discretionary
voting by any Insured of securities owned or held by any client of such Insured,
where such securities are issued by (1) such Insured, or (2) any entity
controlling, controlled by, or under common control with such Insured,
("Affiliated Entity"), or (3) any Fund to which such Insured or any Affiliated
Entity provides any services.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN12.0-01 (1/02)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 4
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that this Bond does not cover any loss resulting from or in
connection with the acceptance of any Third Party Check, unless
(1) such Third Party Check is used to open or increase an account which is
registered in the name of one or more of the payees on such Third Party
Check, and
(2) reasonable efforts are made by the Insured, or by the entity receiving
Third Party Checks on behalf of the Insured, to verify all endorsements
on all Third Party Checks made payable in amounts greater than $100,000
(provided, however, that the isolated failure to make such efforts in a
particular instance will not preclude coverage, subject to the exclusions
herein and in the Bond),
and then only to the extent such loss is otherwise covered under this Bond.
For purposes of this Rider, "Third Party Check" means a check made payable to
one or more parties and offered as payment to one or more other parties.
It is further understood and agreed that notwithstanding anything to the
contrary above or elsewhere in the Bond, this Bond does not cover any loss
resulting from or in connection with the acceptance of a Third Party Check
where:
(1) any payee on such Third Party Check reasonably appears to be a
corporation or other entity; or
(2) such Third Party Check is made payable in an amount greater than $100,000
and does not include the purported endorsements of all payees on such
Third Party Check.
It is further understood and agreed that this Rider shall not apply with respect
to any coverage that may be available under Insuring Agreement A, "Fidelity."
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN30.0-01 (1/02)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 5
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that, notwithstanding anything to the contrary in General Agreement A
of this Bond, Item 1 of the Declarations shall include any Newly Created
Investment Company or portfolio provided that the Insured shall submit to the
Underwriter within fifteen (15) days after the end of each calendar quarter, a
list of all Newly Created Investment Companies or portfolios, the estimated
annual assets of each Newly Created Investment Company or portfolio, and copies
of any prospectuses and statements of additional information relating to such
Newly Created Investment Companies or portfolios, unless said prospectuses and
statements of additional information have been previously submitted. Following
the end of a calendar quarter, any Newly Created Investment Company or portfolio
created within the preceding calendar quarter will continue to be an Insured
only if the Underwriter is notified as set forth in this paragraph, the
information required herein is provided to the Underwriter, and the Underwriter
acknowledges the addition of such Newly Created Investment Company or portfolio
to the Bond by a Rider to this Bond.
For purposes of this Rider, "Newly Created Investment Company or portfolio"
shall mean any Investment Company or portfolio for which registration with the
SEC has been declared effective for a time period of less than one calendar
quarter.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN33.0-00 (10/08)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 6
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that service of process in any suit instituted by or on behalf of the
Insured against the Insurer upon this Bond may be made upon
David Sturms, Esq.
Vedder, Price, Kaufman & Kammholz
222 North LaSalle Street
Chicago, Illinois 60601
The above-named is authorized and directed to accept service of process on
behalf of the Insurer in any such suit and/or upon the request of the Insured to
give a written undertaking to the Insured that he will enter a general
appearance upon the Insurer's behalf in the event such a suit shall be
instituted.
Further, pursuant to any statute of any state, territory or district of the
United States which makes provision therefore, the Insurer hereby designates the
Superintendent, Commissioner or Director of Insurance or other officer
designated for that purpose in the statute, or his success or successors in
office, as its true and lawful attorney upon whom may be served any lawful
process in any suit instituted by or on behalf of the Insured arising out of
this Bond, and hereby designates the above-named as the person to whom the said
officer is authorized to mail such process or a true copy thereof.
Except as above stated, nothing herein contained shall be held to vary, alter,
waive or extend any of the terms, conditions, provisions, agreements or
limitations of Bond.
RNM40.0-00-516 (11/99)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 7
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
Most property and casualty insurers, including ICI Mutual Insurance Company, a
Risk Retention Group ("ICI Mutual"), are subject to the requirements of the
Terrorism Risk Insurance Act of 2002, as amended (the "Act"). The Act
establishes a Federal insurance backstop under which ICI Mutual and these other
insurers will be partially reimbursed for future "INSURED LOSSES" resulting from
certified "ACTS OF TERRORISM." (Each of these BOLDED TERMS is defined by the
Act.) The Act also places certain disclosure and other obligations on ICI Mutual
and these other insurers.
Pursuant to the Act, any future losses to ICI Mutual caused by certified "ACTS
OF TERRORISM" will be partially reimbursed by the United States government under
a formula established by the Act. Under this formula, the United States
government will reimburse ICI Mutual for 85% of ICI Mutual's "INSURED LOSSES" in
excess of a statutorily established deductible until total insured losses of all
participating insurers reach $100 billion. If total "insured losses" of all
property and casualty insurers reach $100 billion during any applicable period,
the Act provides that the insurers will not be liable under their policies for
their portions of such losses that exceed such amount. Amounts otherwise payable
under this bond may be reduced as a result.
This bond has no express exclusion for "ACTS OF TERRORISM." However, coverage
under this bond remains subject to all applicable terms, conditions and
limitations of the bond (including exclusions) that are permissible under the
Act. The portion of the premium that is attributable to any coverage potentially
available under the bond for "ACTS OF TERRORISM" is one percent (1%).
RN53.0-01 (3/12)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 8
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that the Underwriter will use its best efforts to notify the
Financial Industry Regulatory Authority, Inc. within 30 days in the event the
Bond is substantially modified, terminated or canceled.
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN25.0-02 (10/08)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 9
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that the Limit of Liability for the following Insuring Agreements is
hereby amended, effective January 7, 2013, to be:
Limit of Liability
------------------
Insuring Agreement A- FIDELITY $19,000,000
Insuring Agreement C- ON PREMISES $19,000,000
Insuring Agreement D- IN TRANSIT $19,000,000
Insuring Agreement E- FORGERY OR ALTERATION $19,000,000
Insuring Agreement F- SECURITIES $19,000,000
Insuring Agreement G- COUNTERFEIT CURRENCY $19,000,000
Insuring Agreement I- PHONE/ELECTRONIC TRANSACTIONS Not Covered
Insuring Agreement J- COMPUTER SECURITY Not Covered
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN4.0-02 (10/08)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 10
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following as of the effective date indicated:
FUND NAME EFFECTIVE DATE
o First Trust Short Duration High Income Fund, a series of: November 1, 2012
First Trust Series Fund
First Trust MLP and Energy Income Fund November 27, 2012
Nothing herein contained shall be held to vary, alter, waive or extend any of
the terms, conditions, provisions, agreements or limitations of this policy
other than as above stated.
RN1.1-00 (1/02)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 11
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that the Limit of Liability for the following Insuring Agreements is
hereby amended, effective April 30, 2013, to be:
Limit of Liability
------------------
Insuring Agreement A- FIDELITY $21,000,000
Insuring Agreement C- ON PREMISES $21,000,000
Insuring Agreement D- IN TRANSIT $21,000,000
Insuring Agreement E- FORGERY OR ALTERATION $21,000,000
Insuring Agreement F- SECURITIES $21,000,000
Insuring Agreement G- COUNTERFEIT CURRENCY $21,000,000
Insuring Agreement I- PHONE/ELECTRONIC TRANSACTIONS Not Covered
Insuring Agreement J- COMPUTER SECURITY Not Covered
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN4.0-02 (10/08)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 12
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following as of the effective date indicated:
FUND NAME EFFECTIVE DATE
o First Trust Preferred Securities and Income ETF, a
series of: February 12, 2013
First Trust Exchange-Traded Fund III
o First Trust High Yield Long/Short ETF, a series of: February 27, 2013
First Trust Exchange-Traded Fund IV
o First Trust Senior Loan Fund, a series of: May 2, 2013
First Trust Exchange-Traded Fund IV
Nothing herein contained shall be held to vary, alter, waive or extend any of
the terms, conditions, provisions, agreements or limitations of this policy
other than as above stated.
RN1.1-00 (1/02)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 13
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
MAY 23, 2013 OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that Item 1 of the Declarations, Name of Insured, shall include the
following:
First Trust Intermediate Duration Preferred & Income Fund
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN1.0-00 (1/02)
ICI MUTUAL INSURANCE COMPANY,
A RISK RETENTION GROUP
INVESTMENT COMPANY BLANKET BOND
RIDER NO. 14
--------------------------------------------------------------------------------
INSURED BOND NUMBER
FIRST DEFINED PORTFOLIO FUND, LLC 99516112B
--------------------------------------------------------------------------------
EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE
OCTOBER 9, 2012 TO OCTOBER 9, 2013 /S/ MATTHEW LINK
================================================================================
In consideration of the premium charged for this Bond, it is hereby understood
and agreed that the Limit of Liability for the following Insuring Agreements is
hereby amended, effective June 20, 2013, to be:
Limit of Liability
------------------
Insuring Agreement A- FIDELITY $23,000,000
Insuring Agreement C- ON PREMISES $23,000,000
Insuring Agreement D- IN TRANSIT $23,000,000
Insuring Agreement E- FORGERY OR ALTERATION $23,000,000
Insuring Agreement F- SECURITIES $23,000,000
Insuring Agreement G- COUNTERFEIT CURRENCY $23,000,000
Insuring Agreement I- PHONE/ELECTRONIC TRANSACTIONS Not Covered
Insuring Agreement J- COMPUTER SECURITY Not Covered
Except as above stated, nothing herein shall be held to alter, waive or extend
any of the terms of this Bond.
RN4.0-02 (10/08)
EX-99
3
exhibit2.txt
CERTIFICATE OF ASSISTANT SECRETARY
CERTIFICATE OF ASSISTANT SECRETARY
The undersigned, Kristi A. Maher, Assistant Secretary of First Defined
Portfolio Fund, LLC, a Delaware Limited Liability Company, Macquarie/First Trust
Global Infrastructure/Utilities Dividend & Income Fund, a Massachusetts Business
Trust, First Trust Senior Floating Rate Income Fund II, a Massachusetts Business
Trust, First Trust Energy Income and Growth Fund, a Massachusetts Business
Trust, First Trust Enhanced Equity Income Fund, a Massachusetts Business Trust,
First Trust/Aberdeen Global Opportunity Income Fund, a Massachusetts Business
Trust, First Trust Mortgage Income Fund, a Massachusetts Business Trust, First
Trust Exchange-Traded Fund, a Massachusetts Business Trust, First Trust
Strategic High Income Fund II, a Massachusetts Business Trust, First
Trust/Aberdeen Emerging Opportunity Fund, a Massachusetts Business Trust, First
Trust Specialty Finance and Financial Opportunities Fund, a Massachusetts
Business Trust, First Trust Exchange-Traded Fund II, a Massachusetts Business
Trust, First Trust Exchange-Traded AlphaDEX(R) Fund, a Massachusetts Business
Trust, First Trust Dividend and Income Fund, a Massachusetts Business Trust,
First Trust High Income Long/Short Fund, a Massachusetts Business Trust, First
Trust Exchange-Traded AlphaDEX Fund II, a Massachusetts Business Trust, First
Trust Series Fund, a Massachusetts Business Trust, First Trust Energy
Infrastructure Fund, a Massachusetts Business Trust, First Trust MLP and Energy
Income Fund, a Massachusetts Business Trust, First Trust Exchange Traded Fund
VI, a Massachusetts Business Trust, First Trust Exchange-Traded Fund IV, a
Massachusetts Business Trust, First Trust Variable Insurance Trust, a
Massachusetts Business Trust, First Trust Exchange-Traded Fund III, a
Massachusetts Business Trust, and First Trust Intermediate Duration Preferred &
Income Fund, a Massachusetts Business Trust (individually, the "Company" and
collectively, the "Companies"), does hereby certify that:
1. This certificate is being delivered to the Securities and Exchange
Commission (the "SEC") in connection with the filing of the Companies' joint
fidelity bond (the "Bond") pursuant to Rule 17g-1 of the Investment Company Act
of 1940, as amended, and the SEC is entitled to rely on this certificate for
purposes of the filing.
2. The undersigned is duly elected, qualified and acting Assistant
Secretary of each Company, and has custody of the corporate records of each
Company and is a proper officer to make this certification.
3. Attached hereto as Exhibit A is a copy of the form of resolutions of a
majority of the Board of Trustees who are not "interested persons" of each
Company approving the amount, type, form and coverage of the Bond and the
portion of the premium to be paid by each Company.
4. Attached hereto as Exhibit B is a list of the amount of the single
insured bond which each Company would have provided and maintained had it not
been named as an insured under the Bond.
5. Premiums have been paid for the period October 9, 2012 to October 9,
2013.
IN WITNESS WHEREOF, the undersigned has caused this certificate to be
executed this 3rd day of July, 2013.
/s/ Kristi A. Maher
------------------------------------------
Kristi A. Maher, Assistant Secretary
EXHIBIT A
FIRST DEFINED PORTFOLIO FUND, LLC
MACQUARIE/FIRST TRUST GLOBAL INFRASTRUCTURE/UTILITIES DIVIDEND & INCOME FUND
FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
FIRST TRUST ENERGY INCOME AND GROWTH FUND
FIRST TRUST ENHANCED EQUITY INCOME FUND
FIRST TRUST/ABERDEEN GLOBAL OPPORTUNITY INCOME FUND
FIRST TRUST MORTGAGE INCOME FUND
FIRST TRUST EXCHANGE-TRADED FUND
FIRST TRUST STRATEGIC HIGH INCOME FUND II
FIRST TRUST/ABERDEEN EMERGING OPPORTUNITY FUND
FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND
FIRST TRUST EXCHANGE-TRADED FUND II
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
FIRST TRUST DIVIDEND AND INCOME FUND
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
FIRST TRUST SERIES FUND
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIRST TRUST MLP AND ENERGY INCOME FUND
FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND
FIRST TRUST EXCHANGE-TRADED FUND IV
FIRST TRUST EXCHANGE TRADED FUND VI
FIRST TRUST VARIABLE INSURANCE TRUST
FIRST TRUST EXCHANGE-TRADED FUND III
RESOLUTIONS REGARDING INVESTMENT COMPANY BLANKET BOND
RESOLVED, that the officers of the First Defined Portfolio Fund, LLC,
First Trust Series Fund, First Trust Exchange-Traded Fund, First Trust
Exchange-Traded Fund II, First Trust Exchange-Traded AlphaDEX(R) Fund, First
Trust Exchange-Traded AlphaDEX Fund II, Macquarie/First Trust Global
Infrastructure/Utilities Dividend & Income Fund, First Trust Senior Floating
Rate Income Fund II, First Trust Energy Income and Growth Fund, First Trust
Enhanced Equity Income Fund, First Trust/Aberdeen Global Opportunity Income
Fund, First Trust Mortgage Income Fund, First Trust Strategic High Income Fund
II, First Trust/Aberdeen Emerging Opportunity Fund, First Trust Specialty
Finance and Financial Opportunities Fund, First Trust Dividend and Income Fund,
First Trust High Income Long/Short Fund, First Trust Energy Infrastructure Fund,
First Trust MLP and Energy Income Fund, First Trust Exchange-Traded Fund IV,
First Trust Exchange Traded Fund VI, First Trust Variable Insurance Trust, First
Trust Exchange-Traded Fund III and First Trust Intermediate Duration Preferred &
Income Fund (each a "Fund" and collectively the "Funds") be and they hereby are,
authorized and directed to make application for and maintain fidelity bond
coverage for the Funds, jointly with First Trust Advisors L.P., First Trust
Portfolios L.P. and such other First Trust managed funds as they, in their
judgment, shall deem advisable and to enter into an agreement with the other
parties concerning such coverage as required by Rule 17g-1(f) under the
Investment Company Act of 1940 (the "1940 Act"), such agreement being in
substantially the form presented to this meeting; and it is
FURTHER RESOLVED, that fidelity bond coverage insuring the Funds in the
amount required by Rule 17g-1 under the 1940 Act, or such greater amounts as
officers of the Funds may from time to time determine in accordance with the
provisions of Rule 17g-1 under the 1940 Act, is hereby deemed to be reasonable
in form and amount as required by and considering all relevant factors as
provided in Rule 17g-1 and is hereby approved; and it is
FURTHER RESOLVED, that each Fund's participation with other management
investment companies advised by First Trust Advisors in the purchase and
maintenance of fidelity bond coverage with ICI Mutual Insurance Company as
required by Rule 17g-1 under the 1940 Act, and the payment by the Funds of that
portion of the premium for such coverage as may be allocated to each Fund in
accordance with the premium allocation methodology approved by the Trustees at
this meeting, is hereby approved; and it is
FURTHER RESOLVED, that the Secretary or any Assistant Secretary of the
Funds is hereby designated the officer to make the filings and give or cause to
be given the notices required by Paragraph (g) of Rule 17g-1 under the 1940 Act.
EXHIBIT B
Each Company listed below would have provided and maintained a single insured
bond in the following amounts had it not been named as an insured under a joint
Fidelity Bond:
FIRST DEFINED PORTFOLIO FUND
Global Dividend Target 15 Portfolio N/A
First Trust Target Focus Four Portfolio N/A
NASDAQ(R) Target 15 Portfolio N/A
S&P Target 24 Portfolio N/A
Target Managed VIP Portfolio N/A
The Dow(R) DART 10 Portfolio N/A
The Dow(R) Target Dividend Portfolio N/A
Value Line(R) Target 25 Portfolio N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $525,000
FIRST TRUST CLOSED-END FUNDS
First Trust Energy Income and Growth Fund $1,000,000
First Trust Enhanced Equity Income Fund $750,000
First Trust Senior Floating Rate Income Fund II $900,000
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund $600,000
First Trust/Aberdeen Global Opportunity Income Fund $750,000
First Trust Mortgage Income Fund $450,000
First Trust Strategic High Income Fund II $600,000
First Trust/Aberdeen Emerging Opportunity Fund $525,000
First Trust Specialty Finance and Financial Opportunities Fund $525,000
First Trust Dividend and Income Fund $450,000
First Trust High Income Long/Short Fund $1,000,000
First Trust Energy Infrastructure Fund $900,000
First Trust MLP and Energy Income Fund $1,250,000
First Trust Intermediate Duration Preferred & Income Fund $1,700,000
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $11,400,000
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Jones Select MicroCap Index(SM) Fund N/A
First Trust Morningstar Dividend Leaders(SM) Index Fund N/A
First Trust US IPO Index Fund N/A
First Trust NASDAQ-100 Equal Weighted Index(SM) Fund N/A
First Trust NASDAQ-100-Technology Sector Index(SM) Fund N/A
First Trust NYSE Arca Biotechnology Index Fund N/A
First Trust Dow Jones Internet Index(SM) Fund N/A
First Trust Capital Strength ETF N/A
First Trust Value Line(R) Equity Allocation Index Fund N/A
First Trust Value Line(R) Dividend Index Fund N/A
First Trust NASDAQ-100 Ex-Technology Sector Index(SM) Fund N/A
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund N/A
First Trust S&P REIT Index Fund N/A
First Trust ISE Water Index Fund N/A
First Trust ISE Revere Natural Gas Index Fund N/A
First Trust ISE Chindia Index Fund N/A
First Trust Value Line(R) 100 Exchange-Traded Fund N/A
First Trust NASDAQ ABA Community Bank Index Fund N/A
First Trust CBOE S&P 500 VIX Tail Hedge Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $2,500,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Consumer Discretionary AlphaDEX(R) Fund N/A
First Trust Consumer Staples AlphaDEX(R) Fund N/A
First Trust Energy AlphaDEX(R) Fund N/A
First Trust Financials AlphaDEX(R) Fund N/A
First Trust Health Care AlphaDEX(R) Fund N/A
First Trust Industrials/Producer Durables AlphaDEX(R) Fund N/A
First Trust Materials AlphaDEX(R) Fund N/A
First Trust Technology AlphaDEX(R) Fund N/A
First Trust Utilities AlphaDEX(R) Fund N/A
First Trust Large Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Growth AlphaDEX(R) Fund N/A
First Trust Mid Cap Value AlphaDEX(R) Fund N/A
First Trust Small Cap Core AlphaDEX(R) Fund N/A
First Trust Small Cap Value AlphaDEX(R) Fund N/A
First Trust Small Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Growth AlphaDEX(R) Fund N/A
First Trust Multi Cap Value AlphaDEX(R) Fund N/A
First Trust Multi Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Value AlphaDEX(R) Fund N/A
First Trust Mega Cap AlphaDEX(R) Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund N/A
First Trust STOXX(R) European Select Dividend Index Fund N/A
First Trust Dow Jones Global Select Dividend Index Fund N/A
First Trust ISE Global Wind Energy Index Fund N/A
First Trust ISE Global Engineering and Construction Index Fund N/A
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund N/A
First Trust ISE Global Copper Index Fund N/A
First Trust ISE Global Platinum Index Fund N/A
First Trust BICK Index Fund N/A
First Trust ISE Cloud Computing Index Fund N/A
First Trust NASDAQ CEA Smartphone Index Fund N/A
First Trust NASDAQ Global Auto Index Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $900,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets Ex-US AlphaDEX(R) Fund N/A
First Trust Emerging Markets AlphaDEX(R) Fund N/A
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund N/A
First Trust Europe AlphaDEX(R) Fund N/A
First Trust Latin America AlphaDEX(R) Fund N/A
First Trust Brazil AlphaDEX(R) Fund N/A
First Trust China AlphaDEX(R) Fund N/A
First Trust Japan AlphaDEX(R) Fund N/A
First Trust South Korea AlphaDEX(R) Fund N/A
First Trust Germany AlphaDEX(R) Fund N/A
First Trust Canada AlphaDEX(R) Fund N/A
First Trust Australia AlphaDEX(R) Fund N/A
First Trust United Kingdom AlphaDEX(R) Fund N/A
First Trust Taiwan AlphaDEX(R) Fund N/A
First Trust Hong Kong AlphaDEX(R) Fund N/A
First Trust Switzerland AlphaDEX(R) Fund N/A
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund N/A
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $900,000
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF N/A
------------------------------------------------------------------------------------------------------------------
SUB-TOTAL $400,000
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund N/A
First Trust High Yield Long/Short ETF N/A
First Trust Senior Loan Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $750,000
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi-Asset Diversified Income Index Fund N/A
First Trust NASDAQ Technology Dividend Index Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $900,000
FIRST TRUST SERIES FUND
First Trust Preferred Securities and Income Fund N/A
First Trust/Confluence Small Cap Value Fund N/A
First Trust Short Duration High Income Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $750,000
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Jones Dividend & Income Allocation Portfolio N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $400,000
GRAND TOTAL $21,925,000
EX-99
4
exhibit3.txt
BLANKET BOND INSURANCE AGREEMENT
BLANKET BOND INSURANCE AGREEMENT
THIS AGREEMENT is made as of the 3rd day of July, 2013, by and among the
investment companies listed in Appendix A (collectively referred to herein as
the "Funds"), First Trust Advisors L.P. (the "Advisor") and First Trust
Portfolios L.P. (collectively, with the Advisor and the Funds referred to as the
"Parties").
WITNESSETH:
WHEREAS, the Parties have agreed to acquire a joint insured policy (the
"Policy") issued by ICI Mutual Insurance Company containing broker's blanket
bond coverage ("Blanket Bond Coverage") which shall cover all Parties;
WHEREAS, the total amount of the Blanket Bond Coverage under the Policy
will be $23,000,000 ("Bond Amount") based upon the determination of each Fund's
Board of Trustees that such insured Parties should have an amount of coverage,
in the aggregate, of at least $21,925,000 ("Basic Bond Coverage") as provided in
Appendix B;
WHEREAS, the Parties desire to provide herein for an allocation of the
premiums for the Blanket Bond Coverage and a manner of allocating any loss
proceeds received under the Policy.
The Parties, therefore, agree that:
1. Allocation of Blanket Bond Coverage Premium. Each Party shall pay a
proportionate share of the Blanket Bond Coverage annual premium based on the
allocation as set forth in Appendix C.
2. Losses.
(a) General. The Policy is a "claims made" insurance policy and a Policy
Year is the period from October 9th through the next succeeding October 9th (or
any modification of that period as may be agreed by the Parties and the
insurer). The insured loss (including all related expenses) of a Party which
relates to a claim made by that Party relating to a particular Policy Year under
the Blanket Bond Coverage is hereinafter referred to as a "Blanket Bond Loss."
Party includes the trustees and officers of an insured Party and other insured
agents or employees of such a Party.
(b) Blanket Bond Loss. If only one insured Party incurs a Blanket Bond
Loss relating to a Policy Year, the proceeds of the Blanket Bond Coverage for
that Policy Year will be allocated to that Party. If more than one insured Party
incurs a Blanket Bond Loss relating to a particular Policy Year, the proceeds of
the Blanket Bond Coverage for that Policy Year will first be allocated among
those insured Parties in proportion to their respective premiums paid under
Paragraph 1 hereof for Blanket Bond Coverage. If, for that particular Policy
Year, after initial allocation, there are remaining proceeds of the Blanket Bond
Coverage and there are then insured Parties whose Blanket Bond Losses have not
been paid in full, such proceeds shall be further allocated among such insured
Parties in proportion to their respective premiums paid for such Coverage
(repeating this further allocation procedure as each of such insured Parties is
paid in full, until all proceeds have been allocated). If all Blanket Bond
Losses relating to a particular Policy Year are not paid at the same time, the
insured Parties who claim such Losses for that Policy Year shall make such
provisions as they deem suitable to the particular circumstances (taking into
account the size of any payment received, the size, nature and expected result
of any remaining claims, and all other relevant factors) to permit a later
re-allocation of amounts first paid. In no event shall any insured Party that
incurs a Blanket Bond Loss relating to a Policy Year which equals or exceeds its
Basic Bond Coverage be allocated proceeds of the Blanket Bond Coverage for that
particular Policy Year in an amount less than its Basic Bond Coverage.
3. Notices. Each Party agrees to give promptly to the insurer all notices
required under the Policy.
4. Agent. The Advisor is hereby appointed as the agent for all of the
Parties for the purpose of making, adjusting, receiving and enforcing payment of
all claims under the Policy and otherwise dealing with the insurer with respect
to the Policy. All expenses incurred by the Advisor in its capacity as agent for
claims shall be shared by the Parties (including the Advisor) in the same manner
as above provided for the sharing of Losses.
5. Modification and Termination. This Agreement may be modified or
amended from time to time by mutual written agreement among all of the Parties.
It may be terminated with respect to any one Party by not less than 60 days'
written notice to the other Parties which are still parties to the Agreement. It
shall terminate with respect to any Party as of the date that Party ceases to be
an insured under the Policy; provided that such termination shall not affect
that Party's rights and obligations hereunder with respect to any claims on
behalf of that Party which are paid under the Policy by the insurer after the
date the Party ceases to be an insured under the Policy.
6. Further Assurances. Each Party agrees to perform such further acts and
execute such further documents as are necessary to effectuate the purposes
hereof.
IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed
as of the day and year first above written.
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust Senior Floating Rate Income Fund II
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
First Trust/Aberdeen Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust Strategic High Income Fund II
First Trust/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust Dividend and Income Fund
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust Intermediate Duration Preferred & Income Fund
First Trust Exchange-Traded Fund
First Trust Exchange-Traded Fund II
First Trust Exchange-Traded AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX(R) Fund II
First Trust Exchange-Traded Fund IV
First Trust Exchange-Traded Fund VI
First Trust Exchange-Traded Fund III
First Defined Portfolio Fund, LLC
First Trust Series Fund
First Trust Variable Insurance Trust
By /s/ Kristi A. Maher
----------------------------------------
Kristi A. Maher, Assistant Secretary
First Trust Advisors L.P.
First Trust Portfolios L.P.
By /s/ Kristi A. Maher
----------------------------------------
Kristi A. Maher, Deputy General Counsel
APPENDIX A
CLOSED-END FUNDS
First Trust Energy Income and Growth Fund
First Trust Enhanced Equity Income Fund
First Trust Senior Floating Rate Income Fund II
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
First Trust/Aberdeen Global Opportunity Income Fund
First Trust Mortgage Income Fund
First Trust Strategic High Income Fund II
First Trust/Aberdeen Emerging Opportunity Fund
First Trust Specialty Finance and Financial Opportunities Fund
First Trust Dividend and Income Fund
First Trust High Income Long/Short Fund
First Trust Energy Infrastructure Fund
First Trust MLP and Energy Income Fund
First Trust Intermediate Duration Preferred & Income Fund
EXCHANGE-TRADED FUNDS
First Trust Exchange-Traded Fund
First Trust Dow Jones Select MicroCap Index(SM) Fund
First Trust Morningstar Dividend Leaders(SM) Index Fund
First Trust US IPO Index Fund
First Trust NASDAQ-100 Equal Weighted Index(SM) Fund
First Trust NASDAQ-100-Technology Sector Index(SM) Fund
First Trust NYSE Arca Biotechnology Index Fund
First Trust Dow Jones Internet Index(SM) Fund
First Trust Capital Strength ETF
First Trust Value Line(R) Equity Allocation Index Fund
First Trust Value Line(R) Dividend Index Fund
First Trust NASDAQ-100 Ex-Technology Sector Index(SM) Fund
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund
First Trust S&P REIT Index Fund
First Trust ISE Water Index Fund
First Trust ISE Revere Natural Gas Index Fund
First Trust ISE Chindia Index Fund
First Trust Value Line(R) 100 Exchange-Traded Fund
First Trust NASDAQ ABA Community Bank Index Fund
First Trust CBOE S&P 500 VIX Tail Hedge Index Fund
First Trust Exchange-Traded Fund II
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund
First Trust STOXX(R) European Select Dividend Index Fund
First Trust Dow Jones Global Select Dividend Index Fund
First Trust ISE Global Wind Energy Index Fund
First Trust ISE Global Engineering and Construction Index Fund
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund
First Trust ISE Global Copper Index Fund
First Trust ISE Global Platinum Index Fund
First Trust BICK Index Fund
First Trust ISE Cloud Computing Index Fund
First Trust NASDAQ CEA Smartphone Index Fund
First Trust NASDAQ Global Auto Index Fund
First Trust Exchange-Traded AlphaDEX(R) Fund
First Trust Consumer Discretionary AlphaDEX(R) Fund
First Trust Consumer Staples AlphaDEX(R) Fund
First Trust Energy AlphaDEX(R) Fund
First Trust Financials AlphaDEX(R) Fund
First Trust Health Care AlphaDEX(R) Fund
First Trust Industrials/Producer Durables AlphaDEX(R) Fund
First Trust Materials AlphaDEX(R) Fund
First Trust Technology AlphaDEX(R) Fund
First Trust Utilities AlphaDEX(R) Fund
First Trust Large Cap Core AlphaDEX(R) Fund
First Trust Mid Cap Core AlphaDEX(R) Fund
First Trust Mid Cap Growth AlphaDEX(R) Fund
First Trust Mid Cap Value AlphaDEX(R) Fund
First Trust Small Cap Core AlphaDEX(R) Fund
First Trust Small Cap Value AlphaDEX(R) Fund
First Trust Small Cap Growth AlphaDEX(R) Fund
First Trust Large Cap Value AlphaDEX(R) Fund
First Trust Large Cap Growth AlphaDEX(R) Fund
First Trust Multi Cap Value AlphaDEX(R) Fund
First Trust Multi Cap Growth AlphaDEX(R) Fund
First Trust Mega Cap AlphaDEX(R) Fund
First Trust Exchange-Traded AlphaDEX Fund II
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund
First Trust Europe AlphaDEX(R) Fund
First Trust Latin America AlphaDEX(R) Fund
First Trust Brazil AlphaDEX(R) Fund
First Trust China AlphaDEX(R) Fund
First Trust Japan AlphaDEX(R) Fund
First Trust South Korea AlphaDEX(R) Fund
First Trust Developed Markets Ex-US AlphaDEX(R) Fund
First Trust Emerging Markets AlphaDEX(R) Fund
First Trust Germany AlphaDEX(R) Fund
First Trust Canada AlphaDEX(R) Fund
First Trust Australia AlphaDEX(R) Fund
First Trust United Kingdom AlphaDEX(R) Fund
First Trust Taiwan AlphaDEX(R) Fund
First Trust Hong Kong AlphaDEX(R) Fund
First Trust Switzerland AlphaDEX(R) Fund
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund
First Trust Exchange-Traded Fund IV
First Trust North American Energy Infrastructure Fund
First Trust High Yield Long/Short ETF
First Trust Senior Loan Fund
First Trust Exchange-Traded Fund III
First Trust Preferred Securities and Income ETF
First Trust Exchange-Traded Fund VI
Multi-Asset Diversified Income Index Fund
First Trust NASDAQ Technology Dividend Index Fund
OPEN END FUNDS
First Defined Portfolio Fund, LLC
Global Dividend Target 15 Portfolio
NASDAQ(R) Target 15 Portfolio
S&P Target 24 Portfolio
Target Managed VIP Portfolio
The Dow(R) DART 10 Portfolio
The Dow(R) Target Dividend Portfolio
Value Line(R) Target 25 Portfolio
First Trust Target Focus Four Portfolio
First Trust Series Fund
First Trust Preferred Securities and Income Fund
First Trust/Confluence Small Cap Value Fund
First Trust Short Duration High Income Fund
First Trust Variable Insurance Trust
First Trust/Dow Jones Dividend & Income Allocation Portfolio
APPENDIX B
FIRST DEFINED PORTFOLIO FUND
Global Dividend Target 15 Portfolio N/A
First Trust Target Focus Four Portfolio N/A
NASDAQ(R) Target 15 Portfolio N/A
S&P Target 24 Portfolio N/A
Target Managed VIP Portfolio N/A
The Dow(R) DART 10 Portfolio N/A
The Dow(R) Target Dividend Portfolio N/A
Value Line(R) Target 25 Portfolio N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $525,000
FIRST TRUST CLOSED-END FUNDS
First Trust Energy Income and Growth Fund $1,000,000
First Trust Enhanced Equity Income Fund $750,000
First Trust Senior Floating Rate Income Fund II $900,000
Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund $600,000
First Trust/Aberdeen Global Opportunity Income Fund $750,000
First Trust Mortgage Income Fund $450,000
First Trust Strategic High Income Fund II $600,000
First Trust/Aberdeen Emerging Opportunity Fund $525,000
First Trust Specialty Finance and Financial Opportunities Fund $525,000
First Trust Dividend and Income Fund $450,000
First Trust High Income Long/Short Fund $1,000,000
First Trust Energy Infrastructure Fund $900,000
First Trust MLP and Energy Income Fund $1,250,000
First Trust Intermediate Duration Preferred & Income Fund $1,700,000
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $11,400,000
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Jones Select MicroCap Index(SM) Fund N/A
First Trust Morningstar Dividend Leaders(SM) Index Fund N/A
First Trust US IPO Index Fund N/A
First Trust NASDAQ-100 Equal Weighted Index(SM) Fund N/A
First Trust NASDAQ-100-Technology Sector Index(SM) Fund N/A
First Trust NYSE Arca Biotechnology Index Fund N/A
First Trust Dow Jones Internet Index(SM) Fund N/A
First Trust Capital Strength ETF N/A
First Trust Value Line(R) Equity Allocation Index Fund N/A
First Trust Value Line(R) Dividend Index Fund N/A
First Trust NASDAQ-100 Ex-Technology Sector Index(SM) Fund N/A
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund N/A
First Trust S&P REIT Index Fund N/A
First Trust ISE Water Index Fund N/A
First Trust ISE Revere Natural Gas Index Fund N/A
First Trust ISE Chindia Index Fund N/A
First Trust Value Line(R) 100 Exchange-Traded Fund N/A
First Trust NASDAQ ABA Community Bank Index Fund N/A
First Trust CBOE S&P 500 VIX Tail Hedge Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $2,500,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND
First Trust Consumer Discretionary AlphaDEX(R) Fund N/A
First Trust Consumer Staples AlphaDEX(R) Fund N/A
First Trust Energy AlphaDEX(R) Fund N/A
First Trust Financials AlphaDEX(R) Fund N/A
First Trust Health Care AlphaDEX(R) Fund N/A
First Trust Industrials/Producer Durables AlphaDEX(R) Fund N/A
First Trust Materials AlphaDEX(R) Fund N/A
First Trust Technology AlphaDEX(R) Fund N/A
First Trust Utilities AlphaDEX(R) Fund N/A
First Trust Large Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Core AlphaDEX(R) Fund N/A
First Trust Mid Cap Growth AlphaDEX(R) Fund N/A
First Trust Small Cap Core AlphaDEX(R) Fund N/A
First Trust Small Cap Value AlphaDEX(R) Fund N/A
First Trust Small Cap Growth AlphaDEX(R) Fund N/A
First Trust Large Cap Value AlphaDEX(R) Fund N/A
First Trust Large Cap Growth AlphaDEX(R) Fund N/A
First Trust Mega Cap AlphaDEX(R) Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $2,500,000
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund N/A
First Trust STOXX(R) European Select Dividend Index Fund N/A
First Trust Dow Jones Global Select Dividend Index Fund N/A
First Trust ISE Global Wind Energy Index Fund N/A
First Trust ISE Global Engineering and Construction Index Fund N/A
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure Index Fund N/A
First Trust ISE Global Copper Index Fund N/A
First Trust ISE Global Platinum Index Fund N/A
First Trust BICK Index Fund N/A
First Trust ISE Cloud Computing Index Fund N/A
First Trust NASDAQ CEA Smartphone Index Fund N/A
First Trust NASDAQ Global Auto Index Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $900,000
FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND II
First Trust Developed Markets Ex-US AlphaDEX(R) Fund N/A
First Trust Emerging Markets AlphaDEX(R) Fund N/A
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund N/A
First Trust Europe AlphaDEX(R) Fund N/A
First Trust Latin America AlphaDEX(R) Fund N/A
First Trust Brazil AlphaDEX(R) Fund N/A
First Trust China AlphaDEX(R) Fund N/A
First Trust Japan AlphaDEX(R) Fund N/A
First Trust South Korea AlphaDEX(R) Fund N/A
First Trust Germany AlphaDEX(R) Fund N/A
First Trust Canada AlphaDEX(R) Fund N/A
First Trust Australia AlphaDEX(R) Fund N/A
First Trust United Kingdom AlphaDEX(R) Fund N/A
First Trust Taiwan AlphaDEX(R) Fund N/A
First Trust Hong Kong AlphaDEX(R) Fund N/A
First Trust Switzerland AlphaDEX(R) Fund N/A
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund N/A
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $900,000
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $400,000
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund N/A
First Trust High Yield Long/Short ETF N/A
First Trust Senior Loan Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $750,000
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi-Asset Diversified Income Index Fund N/A
First Trust NASDAQ Technology Dividend Index Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $900,000
FIRST TRUST SERIES FUND
First Trust Preferred Securities and Income Fund N/A
First Trust/Confluence Small Cap Value Fund N/A
First Trust Short Duration High Income Fund N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $750,000
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Jones Dividend & Income Allocation Portfolio N/A
-----------------------------------------------------------------------------------------------------------------
SUB-TOTAL $400,000
GRAND TOTAL $21,925,000
APPENDIX C
PREMIUM
FIRST TRUST CLOSED-END FUNDS
First Trust Energy Infrastructure Fund $2,304
First Trust High Income Long/Short Fund $2,875
Macquarie/First Trust Global Opportunity Dividend & Income Fund $793
First Trust Senior Floating Rate Income Fund II $2,274
First Trust Energy Income and Growth Fund $2,824
First Trust Enhanced Equity Income Fund $1,156
First Trust/Aberdeen Global Opportunity Income Fund $1,738
First Trust Mortgage Income Fund $412
First Trust Strategic High Income Fund II $840
First Trust/Aberdeen Emerging Opportunity Fund $541
First Trust/Specialty Finance and Financial Opportunities Fund $593
First Trust Dividend and Income Fund $317
First Trust MLP and Energy Income Fund $487
First Trust Intermediate Duration Preferred & Income Fund $142
-----------------------------------------------------------------------------------------------------------------
Total $17,296
FIRST TRUST EXCHANGE-TRADED FUND
First Trust Dow Jones Select MicroCap(SM) Index Fund $194
First Trust Morningstar Dividend Leaders(SM) Index Fund $2,737
First Trust US IPO Index Fund $100
First Trust NASDAQ-100 Equal Weighted Index(SM) Fund $361
First Trust NASDAQ-100 Technology Sector Index(SM) Fund $512
First Trust Dow Jones Internet Index(SM) Fund $2,211
First Trust NYSE Arca Biotechnology Index Fund $1,123
First Trust Capital Strength ETF $137
First Trust NASDAQ-100 Ex-Technology Sector Index(SM) Fund $173
First Trust NASDAQ(R) Clean Edge(R) Green Energy Index Fund $66
First Trust NASDAQ(R) ABA Community Bank Index Fund $50
First Trust ISE Water Index Fund $302
First Trust ISE-Revere Natural Gas Index Fund $1,849
First Trust ISE Chindia Index Fund $284
First Trust S&P REIT Index Fund $1,699
First Trust Value Line Equity Allocation Index Fund $16
First Trust Value Line Dividend Index Fund $2,164
First Trust Value Line 100 Exchange-Traded Fund $203
First Trust CBOE S&P 500 VIX Tail Hedge Fund $11
-----------------------------------------------------------------------------------------------------------------
Total $14,192
FIRST TRUST EXCHANGE-TRADED FUND II
First Trust Dow Jones STOXX European Select Dividend $75
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate $415
First Trust Dow Jones Global Select Dividend $913
First Trust ISE Global Wind Energy $88
First Trust ISE Global Engineering and Construction $75
First Trust NASDAQ(R) Clean Edge(R) Smart Grid Infrastructure $56
First Trust ISE Global Copper Index Fund $187
First Trust ISE Global Platinum Index Fund $35
First Trust BICK Index Fund $189
First Trust NASDAQ CEA Smartphone Index Fund $53
First Trust NASDAQ Global Auto Index Fund $25
First Trust ISE Cloud Computing Index Fund $330
-----------------------------------------------------------------------------------------------------------------
Total $2,441
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
First Trust Large Cap Core AlphaDEX(R) Fund $1,486
First Trust Mid Cap Core AlphaDEX(R) Fund $1,329
First Trust Small Cap Core AlphaDEX(R) Fund $756
First Trust Large Cap Value AlphaDEX(R) Fund $1,165
First Trust Large Cap Growth AlphaDEX(R) Fund $558
First Trust Multi Cap Value AlphaDEX Fund $226
First Trust Multi Cap Growth AlphaDEX(R) Fund $134
First Trust Consumer Discretionary AlphaDEX(R) Fund $2,000
First Trust Consumer Staples AlphaDEX(R) Fund $1,573
First Trust Energy AlphaDEX(R) Fund $573
First Trust Financials AlphaDEX(R) Fund $810
First Trust Health Care AlphaDEX(R) Fund $2,750
First Trust Industrials AlphaDEX(R) Fund $516
First Trust Materials AlphaDEX(R) Fund $800
First Trust Technology AlphaDEX(R) Fund $927
First Trust Utilities AlphaDEX(R) Fund $637
First Trust Mid Cap Growth AlphaDEX(R) Fund $75
First Trust Mid Cap Value AlphaDEX(R) Fund $45
First Trust Small Cap Growth AlphaDEX(R) Fund $50
First Trust Small Cap Value AlphaDEX(R) Fund $37
First Trust Mega Cap AlphaDEX(R) Fund $48
-----------------------------------------------------------------------------------------------------------------
Total $16,495
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II
First Trust Developed Markets Ex-US AlphaDEX(R) Fund $434
First Trust Emerging Markets AlphaDEX(R) Fund $515
First Trust Asia Pacific Ex-Japan AlphaDEX(R) Fund $17
First Trust Europe AlphaDEX(R) Fund $37
First Trust Latin America AlphaDEX(R) Fund $24
First Trust Brazil AlphaDEX(R) Fund $25
First Trust China AlphaDEX(R) Fund $14
First Trust Japan AlphaDEX(R) Fund $11
First Trust South Korea AlphaDEX(R) Fund $6
First Trust Germany AlphaDEX(R) Fund $21
First Trust Canada AlphaDEX(R) Fund $24
First Trust Australia AlphaDEX(R) Fund $12
First Trust United Kingdom AlphaDEX(R) Fund $30
First Trust Taiwan AlphaDEX(R) Fund $11
First Trust Hong Kong AlphaDEX(R) Fund $12
First Trust Switzerland AlphaDEX(R) Fund $21
First Trust Developed Markets ex-US Small Cap AlphaDEX(R) Fund $11
First Trust Emerging Markets Small Cap AlphaDEX(R) Fund $13
-----------------------------------------------------------------------------------------------------------------
Total $1,238
FIRST TRUST EXCHANGE-TRADED FUND III
First Trust Preferred Securities and Income ETF $13
-----------------------------------------------------------------------------------------------------------------
Total $13
FIRST TRUST EXCHANGE-TRADED FUND IV
First Trust North American Energy Infrastructure Fund $449
First Trust High Yield Long/Short ETF $5
First Trust Senior Loan Fund $3
-----------------------------------------------------------------------------------------------------------------
Total $457
FIRST TRUST EXCHANGE-TRADED FUND VI
Multi Asset Diversified Income Index Fund $238
First Trust NASDAQ Technology Dividend Index Fund $140
-----------------------------------------------------------------------------------------------------------------
Total $378
FIRST TRUST OPEN-END FUNDS
FIRST DEFINED PORTFOLIO FUND
Target Managed VIP Portfolio $84
The Dow(R) DART 10 Portfolio $29
NASDAQ Target 15 Portfolio $15
S&P Target 24 Portfolio $34
Global Dividend Target 15 Portfolio $124
Value Line(R) Target 25 Portfolio $29
First Trust Target Focus Four Portfolio $26
The Dow(R) Target Dividend Portfolio $73
-----------------------------------------------------------------------------------------------------------------
Total $414
FIRST TRUST SERIES FUND
First Trust Preferred Securities and Income Fund $684
First Trust/Confluence Small Cap Value Fund $5
First Trust Short Duration High Income Fund $10
-----------------------------------------------------------------------------------------------------------------
Total $699
FIRST TRUST VARIABLE INSURANCE TRUST
First Trust/Dow Jones Dividend & Income Allocation Portfolio $81
-----------------------------------------------------------------------------------------------------------------
Total $81
First Trust Advisors L.P. $31,329
First Trust Portfolios L.P. $4,476
-----------------------------------------------------------------------------------------------------------------
Total $89,509