-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GclO8GdnQr8EPXsk+ddOENZSHOugvOTu3ur3fkHBOkS8MYZnNdL8dXWpaIHmeQth Vrr7lshuAr0LDdWieP76sQ== 0000875626-07-001962.txt : 20070831 0000875626-07-001962.hdr.sgml : 20070831 20070831144036 ACCESSION NUMBER: 0000875626-07-001962 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070630 FILED AS OF DATE: 20070831 DATE AS OF CHANGE: 20070831 EFFECTIVENESS DATE: 20070831 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: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-22019 FILM NUMBER: 071094207 BUSINESS ADDRESS: STREET 1: 1001 WARRENVILLE ROAD, SUITE 300 CITY: LISLE STATE: IL ZIP: 60532 BUSINESS PHONE: 630-241-4141 MAIL ADDRESS: STREET 1: 1001 WARRENVILLE ROAD, SUITE 300 CITY: LISLE STATE: IL ZIP: 60532 0001383496 S000017337 First Trust Large Cap Core AlphaDEX Fund C000047995 First Trust Large Cap Core AlphaDEX Fund 0001383496 S000017338 First Trust Mid Cap Core AlphaDEX Fund C000047996 First Trust Mid Cap Core AlphaDEX Fund 0001383496 S000017339 First Trust Small Cap Core AlphaDEX Fund C000047997 First Trust Small Cap Core AlphaDEX Fund 0001383496 S000017340 First Trust Large Cap Value Opportunities AlphaDEX Fund C000047998 First Trust Large Cap Value Opportunities AlphaDEX Fund 0001383496 S000017341 First Trust Large Cap Growth Opportunities AlphaDEX Fund C000047999 First Trust Large Cap Growth Opportunities AlphaDEX Fund 0001383496 S000017342 First Trust Multi Cap Value AlphaDEX Fund C000048000 First Trust Multi Cap Value AlphaDEX Fund 0001383496 S000017343 First Trust Multi Cap Growth AlphaDEX Fund C000048001 First Trust Multi Cap Growth AlphaDEX Fund 0001383496 S000017696 First Trust Consumer Discretionary AlphaDEX Fund C000048896 First Trust Consumer Discretionary AlphaDEX Fund 0001383496 S000017697 First Trust Consumer Staples AlphaDEX Fund C000048897 First Trust Consumer Staples AlphaDEX Fund 0001383496 S000017698 First Trust Energy AlphaDEX Fund C000048898 First Trust Energy AlphaDEX Fund 0001383496 S000017699 First Trust Financial AlphaDEX Fund C000048899 First Trust Financial AlphaDEX Fund 0001383496 S000017700 First Trust Health Care AlphaDEX Fund C000048900 First Trust Health Care AlphaDEX Fund 0001383496 S000017701 First Trust Industrials AlphaDEX Fund C000048901 First Trust Industrials AlphaDEX Fund 0001383496 S000017702 First Trust Materials AlphaDEX Fund C000048902 First Trust Materials AlphaDEX Fund 0001383496 S000017703 First Trust Technology AlphaDEX Fund C000048903 First Trust Technology AlphaDEX Fund 0001383496 S000017704 First Trust Utilities AlphaDEX Fund C000048904 First Trust Utilities AlphaDEX Fund N-PX 1 adex_npx.txt PROXY VOTING RECORD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File No. 811-22019 First Trust Exchange-Traded ALPHADEX(TM) Fund ------------------------------------------------------------- Exact Name of Registrant as Specified in Declaration of Trust 1001 Warrenville Road, Suite 300, Lisle, Illinois 60532 ------------------------------------------------------------------------------ Address of Principal Executive Offices (Number, Street, City, State, Zip Code) W. Scott Jardine First Trust Portfolios L.P. 1001 Warrenville Road, Suite 300 Lisle, Illinois 60532 ----------------------------------------------------------------------------- Name and Address (Number, Street, City, State, Zip Code) of Agent for Service (630) 241-4141 -------------------------------------------------- Registrant's Telephone Number, including Area Code Date of fiscal year end: July 31 ----------- Date of reporting period: July 1, 2006 - June 30, 2007 ---------------------------- Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington D.C. 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507. Item 1. Proxy Voting Record AGM = Annual Meeting of Shareholders EGM = Special Meeting of Shareholders - -------------------------------------------- FIRST TRUST LARGE CAP CORE ALPHADEX(TM) FUND - --------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/21/2007 EGM Dollar General DG 256669102 1 Approve Merger Agreement For For 5/18/2007 Mgmt Corp. 6/21/2007 EGM Dollar General DG 256669102 2 Adjourn Meeting For For 5/18/2007 Mgmt Corp.
- ------------------------------------------ FIRST TRUST MID CAP CORE ALPHADEX(TM) FUND - ------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/20/2007 EGM Investors IFIN 461915100 1 Approve Merger Agreement For For 5/15/2007 Mgmt Financial Services Corp. 6/20/2007 EGM Investors IFIN 461915100 2 Adjourn Meeting For For 5/15/2007 Mgmt Financial Services Corp.
- -------------------------------------------- FIRST TRUST SMALL CAP CORE ALPHADEX(TM) FUND - --------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/14/2007 EGM Lone Star LSS 542312103 1 Approve Merger Agreement For For 5/15/2007 Mgmt Technologies, Inc. 6/14/2007 EGM Lone Star LSS 542312103 2 Adjourn Meeting For For 5/15/2007 Mgmt Technologies, Inc. 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.1 Elect Director Gedalio For For 5/18/2007 Mgmt Grinberg 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.2 Elect Director Efraim For For 5/18/2007 Mgmt Grinberg 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.3 Elect Director Margaret For For 5/18/2007 Mgmt Hayes-Adame 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.4 Elect Director Richard Cote For For 5/18/2007 Mgmt 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.5 Elect Director Alan H. Howard For For 5/18/2007 Mgmt 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.6 Elect Director Richard For For 5/18/2007 Mgmt Isserman 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.7 Elect Director Nathan For For 5/18/2007 Mgmt Leventhal 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.8 Elect Director Donald Oresman For For 5/18/2007 Mgmt 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.9 Elect Director Leonard L. For Wthld 5/18/2007 Mgmt Silverstein 6/14/2007 AGM Movado Group, Inc. MOV 624580106 2 Ratify Auditors For For 5/18/2007 Mgmt 6/14/2007 AGM Paxar Corp. PXR 704227107 1 Approve Merger Agreement For For 5/18/2007 Mgmt 6/14/2007 AGM Paxar Corp. PXR 704227107 2.1 Elect Director Jack Becker For For 5/18/2007 Mgmt 6/14/2007 AGM Paxar Corp. PXR 704227107 2.2 Elect Director Leo Benatar For For 5/18/2007 Mgmt 6/14/2007 AGM Paxar Corp. PXR 704227107 2.3 Elect Director Victor For For 5/18/2007 Mgmt Hershaft 6/14/2007 AGM Paxar Corp. PXR 704227107 2.4 Elect Director David E. For For 5/18/2007 Mgmt McKinney 6/14/2007 AGM Paxar Corp. PXR 704227107 2.5 Elect Director James R. For For 5/18/2007 Mgmt Painter 6/14/2007 AGM Paxar Corp. PXR 704227107 2.6 Elect Director Roger M. For For 5/18/2007 Mgmt Widmann 6/27/2007 EGM Sierra Health SIE 826322109 1 Approve Merger Agreement For For 5/18/2007 Mgmt Services, Inc.
- ----------------------------------------------------------- FIRST TRUST LARGE CAP VALUE OPPORTUNITIES ALPHADEX(TM) FUND - ----------------------------------------------------------- Item 1. Proxy Voting Record The Registrant did not receive any proxies and accordingly did not vote any proxies during the reporting period on behalf of the Fund. - ------------------------------------------------------------ FIRST TRUST LARGE CAP GROWTH OPPORTUNITIES ALPHADEX(TM) FUND - ------------------------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/21/2007 EGM Dollar General DG 256669102 1 Approve Merger Agreement For For 5/18/2007 Mgmt Corp. 6/21/2007 EGM Dollar General DG 256669102 2 Adjourn Meeting For For 5/18/2007 Mgmt Corp.
- --------------------------------------------- FIRST TRUST MULTI CAP VALUE ALPHADEX(TM) FUND - ---------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/14/2007 EGM Lone Star LSS 542312103 1 Approve Merger Agreement For For 5/15/2007 Mgmt Technologies, Inc. 6/14/2007 EGM Lone Star LSS 542312103 2 Adjourn Meeting For For 5/15/2007 Mgmt Technologies, Inc. 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.1 Elect Director Gedalio For For 5/18/2007 Mgmt Grinberg 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.2 Elect Director Efraim For For 5/18/2007 Mgmt Grinberg 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.3 Elect Director Margaret For For 5/18/2007 Mgmt Hayes-Adame 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.4 Elect Director Richard Cote For For 5/18/2007 Mgmt 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.5 Elect Director Alan H. Howard For For 5/18/2007 Mgmt 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.6 Elect Director Richard For For 5/18/2007 Mgmt Isserman 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.7 Elect Director Nathan For For 5/18/2007 Mgmt Leventhal 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.8 Elect Director Donald Oresman For For 5/18/2007 Mgmt 6/14/2007 AGM Movado Group, Inc. MOV 624580106 1.9 Elect Director Leonard L. For Wthld 5/18/2007 Mgmt Silverstein 6/14/2007 AGM Movado Group, Inc. MOV 624580106 2 Ratify Auditors For For 5/18/2007 Mgmt
- ---------------------------------------------- FIRST TRUST MULTI CAP GROWTH ALPHADEX(TM) FUND - ----------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/14/2007 AGM Paxar Corp. PXR 704227107 1 Approve Merger Agreement For For 5/18/2007 Mgmt 6/14/2007 AGM Paxar Corp. PXR 704227107 2.1 Elect Director Jack Becker For For 5/18/2007 Mgmt 6/14/2007 AGM Paxar Corp. PXR 704227107 2.2 Elect Director Leo Benatar For For 5/18/2007 Mgmt 6/14/2007 AGM Paxar Corp. PXR 704227107 2.3 Elect Director Victor For For 5/18/2007 Mgmt Hershaft 6/14/2007 AGM Paxar Corp. PXR 704227107 2.4 Elect Director David E. For For 5/18/2007 Mgmt McKinney 6/14/2007 AGM Paxar Corp. PXR 704227107 2.5 Elect Director James R. For For 5/18/2007 Mgmt Painter 6/14/2007 AGM Paxar Corp. PXR 704227107 2.6 Elect Director Roger M. For For 5/18/2007 Mgmt Widmann 6/20/2007 EGM Investors IFIN 461915100 1 Approve Merger Agreement For For 5/15/2007 Mgmt Financial Services Corp. 6/20/2007 EGM Investors IFIN 461915100 2 Adjourn Meeting For For 5/15/2007 Mgmt Financial Services Corp. 6/21/2007 EGM Dollar General DG 256669102 1 Approve Merger Agreement For For 5/18/2007 Mgmt Corp. 6/21/2007 EGM Dollar General DG 256669102 2 Adjourn Meeting For For 5/18/2007 Mgmt Corp. 6/27/2007 EGM Sierra Health SIE 826322109 1 Approve Merger Agreement For For 5/18/2007 Mgmt Services, Inc.
- ---------------------------------------------------- FIRST TRUST CONSUMER DISCRETIONARY ALPHADEX(TM) FUND - ----------------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/21/2007 EGM Dollar General DG 256669102 1 Approve Merger Agreement For For 5/18/2007 Mgmt Corp. 6/21/2007 EGM Dollar General DG 256669102 2 Adjourn Meeting For For 5/18/2007 Mgmt Corp. 6/28/2007 EGM The Servicemaster SVM 81760N109 1 Approve Merger Agreement For For 5/22/2007 Mgmt Company 6/28/2007 EGM The Servicemaster SVM 81760N109 2 Adjourn Meeting For For 5/22/2007 Mgmt Company
- ---------------------------------------------- FIRST TRUST CONSUMER STAPLES ALPHADEX(TM) FUND - ---------------------------------------------- Item 1. Proxy Voting Record The Registrant did not receive any proxies and accordingly did not vote any proxies during the reporting period on behalf of the Fund. - --------------------------------------------- FIRST TRUST ENERGY ALPHADEX(TM) FUND - --------------------------------------------- Item 1. Proxy Voting Record The Registrant did not receive any proxies and accordingly did not vote any proxies during the reporting period on behalf of the Fund. - --------------------------------------------- FIRST TRUST FINANCIALS ALPHADEX(TM) FUND - ---------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/20/2007 EGM Investors Financial IFIN 461915100 1 Approve Merger Agreement For For 5/15/2007 Mgmt Services Corp. 6/20/2007 EGM Investors Financial IFIN 461915100 2 Adjourn Meeting For For 5/15/2007 Mgmt Services Corp.
- --------------------------------------------- FIRST TRUST HEALTH CARE ALPHADEX(TM) FUND - ---------------------------------------------
AGENDA MEETING MEETING SECURITY ITEM MGMT VOTE RECORD DATE TYPE COMPANY TICKER ID NUMBER AGENDA ITEM REC CAST DATE PROPONENT - ------- ------- -------------- ------ -------- ------ ----------------- ---- ---- ------- --------- 6/27/2007 EGM Sierra Health SIE 826322109 1 Approve Merger Agreement For For 5/18/2007 Mgmt Services, Inc.
- ----------------------------------------------------------- FIRST TRUST INDUSTRIALS/PRODUCER DURABLES ALPHADEX(TM) FUND - ----------------------------------------------------------- Item 1. Proxy Voting Record The Registrant did not receive any proxies and accordingly did not vote any proxies during the reporting period on behalf of the Fund. - --------------------------------------------- FIRST TRUST MATERIALS ALPHADEX(TM) FUND - --------------------------------------------- Item 1. Proxy Voting Record The Registrant did not receive any proxies and accordingly did not vote any proxies during the reporting period on behalf of the Fund. - --------------------------------------------- FIRST TRUST TECHNOLOGY ALPHADEX(TM) FUND - --------------------------------------------- Item 1. Proxy Voting Record The Registrant did not receive any proxies and accordingly did not vote any proxies during the reporting period on behalf of the Fund. - --------------------------------------------- FIRST TRUST UTILITIES ALPHADEX(TM) FUND - --------------------------------------------- Item 1. Proxy Voting Record The Registrant did not receive any proxies and accordingly did not vote any proxies during the reporting period on behalf of the Fund. SIGNATURES [See General Instruction F] Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) FIRST TRUST EXCHANGE-TRADED ALPHADEX(TM) FUND --------------------------------------- By (Signature and Title)* /s/ James A. Bowen ----------------------------------- James A. Bowen, President Date August 31, 2007 ------------------------- * Print the name and title of each signing officer under his or her signature. -----END PRIVACY-ENHANCED MESSAGE-----