0001445546-20-003334.txt : 20200710
0001445546-20-003334.hdr.sgml : 20200710
20200710100732
ACCESSION NUMBER: 0001445546-20-003334
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 2
FILED AS OF DATE: 20200710
DATE AS OF CHANGE: 20200710
SUBJECT COMPANY:
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: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-87789
FILM NUMBER: 201022077
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
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST PORTFOLIOS LP
CENTRAL INDEX KEY: 0001184765
IRS NUMBER: 000000000
STATE OF INCORPORATION: IL
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 12O EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630-765-8000
MAIL ADDRESS:
STREET 1: 12O EAST LIBERTY DRIVE
STREET 2: SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
SC 13G/A
1
sc13g_3.txt
AMENDED SCHEDULE 13G
UNITED STATES*
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 12)*
First Trust Tactical High Yield ETF
------------------------------------------------------------------------
(Name of Issuer)
Common
------------------------------
(Title of Class of Securities)
33738D408
--------------
(CUSIP Number)
June 30, 2020
-------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ X ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities
Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of
that section of the Act but shall be subject to all other provisions of
the Act (however, see the Notes).
- 1 -
CUSIP No. 33738D408
1. Names of Reporting Persons, I.R.S. Identification Nos.
of above persons (entities only):
First Trust Portfolios L.P.: 36-3768815
First Trust Advisors L.P.: 36-3788904
The Charger Corporation: 36-3772451
2. Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) [ ]
(b) [ ]
3. SEC Use Only
4. Citizenship or Place of Organization of each
Reporting Person: Illinois, U.S.A.
Number of 5. Sole Voting Power: 0
Shares Bene-
ficially
Owned by Each 6. Shared Voting Power:
Reporting Such shares are held by the following entities in the
Person With: respective amounts listed:
First Trust Portfolios L.P.: 0
First Trust Advisors L.P.: 2,418,390
The Charger Corporation: 2,418,390
7. Sole Dispositive Power: 0
8. Shared Dispositive Power:
Such shares are held by the following entities in the
respective amounts listed:
First Trust Portfolios L.P.: 5,402,587
First Trust Advisors L.P.: 7,820,977
The Charger Corporation: 7,820,977
9. Aggregate Amount Beneficially Owned by Each
Reporting Person: 7,820,977
10. Check if the Aggregate Amount in Row (9) Excludes
Certain Shares (See Instructions)
- 2 -
11. Percent of Class Represented by Amount in Row (9): 20.91%
12. Type of Reporting Person (See Instructions)
First Trust Portfolios L.P. - BD
First Trust Advisors L.P. - IA
The Charger Corporation - HC
ITEM 1.
(a) Name of Issuer: First Trust Tactical High Yield ETF
(b) Address of Issuer's Principal Executive Offices
Attn: Legal Department
120 East Liberty Drive
Suite 400
Wheaton, IL 60187
USA
ITEM 2.
(a) Name of Person Filing
First Trust Portfolios L.P.
First Trust Advisors L.P.
The Charger Corporation
(b) Address of Principal Business Office or, if none, Residence
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
First Trust Advisors L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
The Charger Corporation
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
(c) Citizenship of each Reporting Person:
Illinois, U.S.A.
(d) Title of Class of Securities
Common Stock
(e) CUSIP Number 33738D408
- 3 -
ITEM 3. If this statement is filed pursuant to Sec. 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) x Broker or dealer registered under section 15 of the Act
(15 U.S.C. 78o);
(b) Bank as defined in section 3(a)(6) of the Act
(15 U.S.C. 78c);
(c) Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c);
(d) Investment company registered under section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e) x An investment adviser in accordance with
Sec. 240.13d-1(b)(1)(ii)(E);
(f) An employee benefit plant or endowment fund in accordance
with Sec. 240.13d-1(b)(1)(ii)(F);
(g) x A parent holding company or control person in accordance
with Sec. 240.13d-1(b)(1)(ii)(G);
(h) A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) A non-U.S. institution in accordance with
Sec. 240.13d-1(b)(1)(ii)(J);
(k) Group, in accordance with Sec. 240.13d-1(b)1(ii)(K).
If filing as a non-U.S. institution in accordance with Sec.
204.13d-1(b)(1)(ii)(J), please specify the type
of institution: _____________________________________________
ITEM 4. Ownership
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in
Item 1.
(a) Amount beneficially owned: 7,820,977
(b) Percent of class: 20.91%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 2,418,390
(iii) Sole power to dispose or to direct the disposition
of: 0
(iv) Shared power to dispose or to direct the disposition
of: 7,820,977
- 4 -
Instruction. For computations regarding securities which represent a right to
acquire an underlying security see Sec. 204.13d-3(d)(1).
ITEM 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the
following [ ].
Instruction: Dissolution of a group requires a response to this item.
ITEM 6. Ownership of More than Five Percent on Behalf of Another Person
This Schedule 13G filing is jointly filed by The Charger Corporation, First
Trust Portfolios L.P. and First Trust Advisors L.P. pursuant to Rule
13d-1(k)(1). The Charger Corporation is the General Partner of both First Trust
Portfolios L.P. and First Trust Advisors L.P. First Trust Portfolios L.P. acts
as sponsor of certain unit investment trusts which hold shares of the issuer.
The total number of shares of the issuer held by these unit investment trusts
is set forth in Row (8) above with respect to First Trust Portfolios L.P. No
individual unit investment trust sponsored by First Trust Portfolios L.P. holds
more than 3% of any registered investment company issuer's shares. First Trust
Advisors L.P., an affiliate of First Trust Portfolios L.P., acts as portfolio
supervisor of the unit investment trusts sponsored by First Trust Portfolios
L.P., certain of which hold shares of the issuer. Neither First Trust Portfolios
L.P., First Trust Advisors L.P. nor The Charger Corporation have the power to
vote the shares of the issuer held by these unit investment trusts sponsored by
First Trust Portfolios L.P. These shares are voted by the trustee of such unit
investment trusts so as to insure that the shares are voted as closely as
possible in the same manner and in the same general proportion as are the shares
held by owners other than such unit investment trusts. The difference, if any,
between the aggregate amount of shares beneficially owned by each reporting
person, as set forth in Row (9) above, and the number of shares of the issuer
held by the unit investment trusts sponsored by First Trust Portfolios L.P.
represents shares of the issuer which are either held in other registered
investment companies, pooled investment vehicles and/or separately managed
accounts for which First Trust Advisors L.P. serves as investment advisor and/or
investment sub-advisor. Each of First Trust Portfolios L.P., First Trust
Advisors L.P. and The Charger Corporation disclaims beneficial ownership of the
shares of the issuer identified in this filing.
ITEM 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company or
Control Person
See Item 6.
ITEM 8. Identification and Classification of Members of the Group
Not Applicable.
- 5 -
ITEM 9. Notice of Dissolution of Group
Not Applicable.
ITEM 10. Certifications
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the
ordinary course of business and were not acquired and are not held for
the purpose of or with the effect of changing or influencing the control
of the issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having that
purpose or effect other than activities solely in connection with a nomination
under Sec. 240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete
and correct.
FIRST TRUST PORTFOLIOS L.P.,
FIRST TRUST ADVISORS L.P. and
THE CHARGER CORPORATION
Date: July 10, 2020
By: /s/ James M. Dykas
---------------------------
Name: James M. Dykas
Title: Chief Financial Officer of
First Trust Portfolios L.P. and
First Trust Advisors L.P., and
Chief Financial Officer and
Treasurer of The Charger
Corporation
- 6 -
EX-99.1
2
ex99_3.txt
JOINT FILING AGREEMENT
Exhibit 99.1
EXHIBIT 99.1 - JOINT FILING AGREEMENT
The undersigned hereby agree that they are filing this statement jointly
pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing
of such Schedule 13G and any amendments thereto, and for the completeness and
accuracy of the information concerning such person contained therein; but none
of them is responsible for the completeness or accuracy of the information
concerning the other persons making the filing, unless such person knows or has
reason to believe that such information is inaccurate.
In accordance with Rule 13d-1(k)(1) promulgated under the Securities and
Exchange Act of 1934, as amended, the undersigned hereby agree to the joint
filing with each other on behalf of each of them of such a statement on Schedule
13G and any amendments thereto with respect to the equity securities (as defined
in Rule 13d-1(i)) of the issuer, beneficially owned by each of them. This Joint
Filing Agreement shall be included as an exhibit to such Schedule 13G and any
amendments thereto.
Date: July 10, 2020
First Trust Portfolios L.P.,
First Trust Advisors L.P. and
The Charger Corporation
By: /s/ James M. Dykas
---------------------------
Name: James M. Dykas
Title: Chief Financial Officer of
First Trust Portfolios L.P. and
First Trust Advisors L.P., and
Chief Financial Officer and
Treasurer of The Charger
Corporation