As filed with the Securities and Exchange Commission on July 28, 2023
1933 Act Registration No. 333-174332
1940 Act Registration No. 811-22559
United States
Securities and Exchange Commission
Washington, D.C. 20549
Form N-1A
Registration Statement Under the Securities Act of 1933 | [ ] |
Pre-Effective Amendment No. __ | [ ] |
Post-Effective Amendment No. 253 | [X] |
and/or | |
Registration Statement Under the Investment Company Act of 1940 | [ ] |
Amendment No. 255 | [X] |
First Trust Exchange-Traded Fund IV
(Exact name of registrant as specified in charter)
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
(Address of Principal Executive Offices) (Zip Code)
Registrant’s Telephone Number, including Area Code: (800) 621-1675
W. Scott Jardine, Esq., Secretary
First Trust Exchange-Traded Fund III
First Trust Advisors L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
(Name and Address of Agent for Service)
Copy to:
Eric F. Fess, Esq.
Chapman and Cutler LLP
320 South Canal Street
Chicago, Illinois 60606
It is proposed that this filing will become effective (check appropriate box):
[X] immediately upon filing pursuant to paragraph (b)
[ ] on (date) pursuant to paragraph (b)
[ ] 60 days after filing pursuant to paragraph (a)(1)
[ ] on (date) pursuant to paragraph (a)(1)
[ ] 75 days after filing pursuant to paragraph (a)(2)
[ ] on (date) pursuant to paragraph (a)(2) of Rule 485.
If appropriate, check the following box:
[ ] this post-effective amendment designates a new effective date for a previously filed post-effective amendment.
Contents of Post-Effective Amendment No. 253
This Registration Statement comprises the following papers and contents:
The Facing Sheet
Part A - Prospectus for First Trust Intermediate Duration Investment Grade Corporate ETF
Part B - Statement of Additional Information First Trust Intermediate Duration Investment Grade Corporate ETF
Part C - Other Information
Signatures
Index to Exhibits
Exhibits
First Trust
Exchange-Traded Fund IV |
Ticker Symbol: |
FIIG |
Exchange: |
NYSE Arca |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
|
Management Fees |
|
Distribution and Service (12b-1) Fees |
|
Other Expenses(1)
|
|
Total Annual Fund Operating Expenses |
|
1 Year |
3 Years |
$ |
$ |
First Trust
Exchange-Traded Fund IV |
FUND NAME |
TICKER SYMBOL |
EXCHANGE |
First Trust Intermediate Duration Investment Grade Corporate ETF |
FIIG |
NYSE Arca |
Name and
Year of Birth |
Position
and Offices
with Trust |
Term of
Office and
Year First
Elected or
Appointed |
Principal Occupations
During Past 5 Years |
Number of
Portfolios
in the First
Trust Fund
Complex
Overseen
by Trustee |
Other
Trusteeships or
Directorships
Held by
Trustee
During the
Past 5 Years |
TRUSTEE WHO IS AN INTERESTED PERSON OF THE TRUST | |||||
James A. Bowen (1)
1955 |
Chairman of the
Board and Trustee |
•Indefinite term
•Since inception |
Chief Executive Officer, First Trust
Advisors L.P. and First Trust Portfolios
L.P.; Chairman of the Board of Directors,
BondWave LLC (Software Development
Company) and Stonebridge Advisors LLC
(Investment Advisor) |
236 Portfolios |
None |
INDEPENDENT TRUSTEES | |||||
Richard E. Erickson
1951 |
Trustee |
•Indefinite term
•Since inception |
Physician, Edward-Elmhurst Medical
Group; Physician and Officer, Wheaton
Orthopedics (1990 to 2021) |
236 Portfolios |
None |
Thomas R. Kadlec
1957 |
Trustee |
•Indefinite term
•Since inception |
Retired; President, ADM Investor
Services, Inc. (Futures Commission
Merchant) (2010 to July 2022) |
236 Portfolios |
Director, National
Futures
Association;
formerly, Director
of ADM Investor
Services, Inc.,
ADM Investor
Services
International,
ADMIS Hong Kong
Ltd., ADMIS
Singapore Ltd. and
Futures Industry
Association |
Name and
Year of Birth |
Position
and Offices
with Trust |
Term of
Office and
Year First
Elected or
Appointed |
Principal Occupations
During Past 5 Years |
Number of
Portfolios
in the First
Trust Fund
Complex
Overseen
by Trustee |
Other
Trusteeships or
Directorships
Held by
Trustee
During the
Past 5 Years |
INDEPENDENT TRUSTEES | |||||
Denise M. Keefe
1964 |
Trustee |
•Indefinite term
•Since 2021 |
Executive Vice President, Advocate
Aurora Health and President, Advocate
Aurora Continuing Health Division
(Integrated Healthcare System) |
236 Portfolios |
Director and Board
Chair of Advocate
Home Health
Services, Advocate
Home Care
Products and
Advocate Hospice;
Director and Board
Chair of Aurora At
Home (since
2018); Director of
Advocate
Physician Partners
Accountable Care
Organization;
Director of RML
Long Term Acute
Care Hospitals;
Director of Senior
Helpers (since
2021); and
Director of
MobileHelp (since
2022) |
Robert F. Keith
1956 |
Trustee |
•Indefinite term
•Since inception |
President, Hibs Enterprises (Financial and
Management Consulting) |
236 Portfolios |
Formerly, Director
of Trust Company
of Illinois |
Niel B. Nielson
1954 |
Trustee |
•Indefinite term
•Since inception |
Senior Advisor (2018 to present),
Managing Director and Chief Operating
Officer (2015 to 2018), Pelita Harapan
Educational Foundation (Educational
Products and Services) |
236 Portfolios |
None |
Name and
Year of Birth |
Position and
Offices with Trust |
Term of Office and
Length of Service |
Principal Occupations
During Past 5 Years |
OFFICERS OF THE TRUST | |||
James M. Dykas
1966 |
President and Chief
Executive Officer |
•Indefinite term
•Since 2016 |
Managing Director and Chief Financial Officer, First
Trust Advisors L.P. and First Trust Portfolios L.P.;
Chief Financial Officer, BondWave LLC (Software
Development Company) and Stonebridge Advisors
LLC (Investment Advisor) |
W. Scott Jardine
1960 |
Secretary and Chief Legal
Officer |
•Indefinite term
•Since inception |
General Counsel, First Trust Advisors L.P. and First
Trust Portfolios L.P.; Secretary and General Counsel,
BondWave LLC; and Secretary, Stonebridge Advisors
LLC |
Daniel J. Lindquist
1970 |
Vice President |
•Indefinite term
•Since inception |
Managing Director, First Trust Advisors L.P. and First
Trust Portfolios L.P. |
Kristi A. Maher
1966 |
Chief Compliance Officer
and Assistant Secretary |
•Indefinite term
•Since inception |
Deputy General Counsel, First Trust Advisors L.P.
and First Trust Portfolios L.P. |
Derek D. Maltbie
1972 |
Treasurer, Chief Financial
Officer and Chief
Accounting Officer |
•Indefinite term
•Since 2023 |
Senior Vice President, First Trust Advisors L.P. and
First Trust Portfolios L.P., July 2021 – present.
Previously, Vice President, First Trust Advisors L.P.
and First Trust Portfolios L.P., 2014 –2021. |
Roger F. Testin
1966 |
Vice President |
•Indefinite term
•Since inception |
Senior Vice President, First Trust Advisors L.P. and
First Trust Portfolios L.P. |
Stan Ueland
1970 |
Vice President |
•Indefinite term
•Since inception |
Senior Vice President, First Trust Advisors L.P. and
First Trust Portfolios L.P. |
Name of Trustee |
Estimated Compensation from
the Fund (1)
|
Total Compensation from
the First Trust Fund Complex (2)
|
Richard E. Erickson |
$3,710 |
$523,750 |
Thomas R. Kadlec |
$3,705 |
$524,280 |
Denise M. Keefe |
$3,685 |
$504,158 |
Robert F. Keith |
$3,715 |
$514,231 |
Niel B. Nielson |
$3,705 |
$533,750 |
Trustee |
Dollar Range of Equity
Securities in the Fund
(Number of Shares
Held) |
Aggregate Dollar
Range of Equity
Securities in All
Registered Investment
Companies Overseen
by Trustee in the First
Trust Fund Complex |
Interested Trustee | ||
James A. Bowen |
None |
Over $100,000 |
Independent Trustees | ||
Richard E. Erickson |
None |
Over $100,000 |
Thomas R. Kadlec |
None |
Over $100,000 |
Denise M. Keefe |
None |
Over $100,000 |
Robert F. Keith |
None |
Over $100,000 |
Niel B. Nielson |
None |
Over $100,000 |
Management Fee |
Breakpoints |
0.650% |
Fund net assets up to and including $2.5 billion |
0.634% |
Fund net assets greater than $2.5 billion up to and including $5 billion |
0.618% |
Fund net assets greater than $5 billion up to and including $7.5 billion |
0.601% |
Fund net assets greater than $7.5 billion up to and including $10 billion |
0.585% |
Fund net assets greater than $10 billion |
Name |
Position with
First Trust |
Length of Service
with First Trust |
Principal Occupation During Past Five Years |
William Housey, CFA |
Managing Director of
Fixed Income,
Senior Vice President
and Portfolio Manager |
Since 2010 |
Managing Director of Fixed Income, Senior Vice President
and Senior Portfolio Manager, First Trust Advisors L.P.
and First Trust Portfolios L.P. |
Todd Larson, CFA |
Senior Vice President
and Portfolio Manager |
Since 2007 |
Senior Vice President and Portfolio Manager,
First Trust Advisors L.P. and First Trust Portfolios L.P. |
Eric Maisel, CFA |
Senior Vice President
and Portfolio Manager |
Since 2008 |
Senior Vice President and Portfolio Manager,
First Trust Advisors L.P. and First Trust Portfolios L.P. |
Jeffrey Scott, CFA |
Senior Vice President
and Portfolio Manager |
Since 2010 |
Senior Vice President, Deputy Credit Officer and
Portfolio Manager, First Trust Advisors L.P. and
First Trust Portfolios L.P. |
Nathan Simons, CFA |
Vice President
and Portfolio Manager |
Since 2020 |
Vice President and Portfolio Manager,
First Trust Advisors L.P. and First Trust Portfolios L.P. |
Scott Skowronski, CFA |
Senior Vice President
and Portfolio Manager |
Since 2022 |
Senior Vice President and Portfolio Manager,
First Trust Advisors L.P. and First Trust Portfolios L.P.
(2022 - present); Senior Portfolio Manager and Principal
at Asset Allocation & Management, LLC (2012 - 2022). |
Sebastian Dassouli |
Vice President
and Portfolio Manager |
Since 2019 |
Vice President and Portfolio Manager,
First Trust ______________________ |
Portfolio Manager |
Registered
Investment Companies
Number of Accounts
($ Assets) |
Other Pooled
Investment Vehicles
Number of Accounts
($ Assets) |
Other Accounts
Number of Accounts
($ Assets) |
William Housey, CFA |
9 ($5,534,700,369) |
1 ($243,879) |
N/A |
Todd Larson, CFA |
6 ($9,349,859,551) |
N/A |
7 ($3,477,972) |
Eric Maisel, CFA |
4 ($9,311,065,399) |
N/A |
7 ($3,477,972) |
Jeffrey Scott, CFA |
6 ($5,511,912,349) |
1 ($243,879) |
N/A |
Nathan Simons, CFA |
1 ($677,666,709) |
N/A |
N/A |
Scott Skowronski |
4 ($9,311,065,399) |
N/A |
7 ($3,477,972) |
Sebastian Dassouli |
N/A |
N/A |
N/A |
AAA |
An obligation rated “AAA” has the highest rating assigned by S&P Global Ratings. The obligor’s capacity to
meet its financial commitment on the obligation is extremely strong. |
AA |
An obligation rated “AA” differs from the highest rated obligations only in small degree. The obligor’s capacity
to meet its financial commitment on the obligation is very strong. |
A |
An obligation rated “A” is somewhat more susceptible to the adverse effects of changes in circumstances and
economic conditions than obligations in higher rated categories. However, the obligor’s capacity to meet its
financial commitment on the obligation is still strong. |
BBB |
An obligation rated “BBB” exhibits adequate protection parameters. However, adverse economic conditions
or changing circumstances are more likely to lead to a weakened capacity of the obligor to meet its financial
commitment on the obligation. |
BB |
An obligation rated “BB” is less vulnerable to nonpayment than other speculative issues. However, it faces
major ongoing uncertainties or exposure to adverse business, financial, or economic conditions which could
lead to the obligor’s inadequate capacity to meet its financial commitment on the obligation. |
B |
An obligation rated “B” is more vulnerable to nonpayment than obligations rated “BB,” but the obligor
currently has the capacity to meet its financial commitment on the obligation. Adverse business, financial, or
economic conditions will likely impair the obligor’s capacity or willingness to meet its financial commitment on
the obligation. |
CCC |
An obligation rated “CCC” is currently vulnerable to nonpayment, and is dependent upon favorable business,
financial, and economic conditions for the obligor to meet its financial commitment on the obligation. In the
event of adverse business, financial, or economic conditions, the obligor is not likely to have the capacity to
meet its financial commitment on the obligation. |
CC |
An obligation rated “CC” is currently highly vulnerable to nonpayment. The “CC” rating is used when a default
has not yet occurred but S&P expects default to be a virtual certainty regardless of the anticipated time to
default. |
C |
An obligation rated “C” is currently highly vulnerable to nonpayment and the obligation is expected to have
lower relative seniority or lower ultimate recovery compared to obligations that are rated higher. |
D |
An obligation rated “D” is in default or in breach of an imputed promise. For non-hybrid capital instruments,
the “D” rating category is used when payments on an obligation are not made on the date due unless S&P
believes that such payments will be made within the next five business days in the absence of a stated grace
period or within the earlier of the stated grace period or the next 30 calendar days. The “D” rating also will be
used upon the filing of a bankruptcy petition or the taking of similar action and where default on an obligation
is a virtual certainty, for example due to automatic stay provisions. A rating on an obligation is lowered to 'D' if
it is subject to a distressed debt restructuring. |
Aaa |
Obligations rated Aaa are judged to be of the highest quality, subject to the lowest level of credit risk. |
Aa |
Obligations rated Aa are judged to be of high quality and are subject to very low credit risk. |
A |
Obligations rated A are judged to be upper-medium grade and are subject to low credit risk. |
Baa |
Obligations rated Baa are judged to be medium-grade and subject to moderate credit risk and as such may
possess certain speculative characteristics. |
Ba |
Obligations rated Ba are judged to be speculative and are subject to substantial credit risk. |
B |
Obligations rated B are considered speculative and are subject to high credit risk. |
Caa |
Obligations rated Caa are judged to be speculative of poor standing and are subject to very high credit risk. |
Ca |
Obligations rated Ca are highly speculative and are likely in, or very near, default, with some prospect of
recovery of principal and interest. |
C |
Obligations rated C are the lowest rated and are typically in default, with little prospect for recovery of
principal or interest. |
AAA |
Highest credit quality. ‘AAA’ ratings denote the lowest expectation of default risk. They are assigned only in
cases of exceptionally strong capacity for payment of financial commitments. This capacity is highly unlikely
to be adversely affected by foreseeable events. |
AA |
Very high credit quality. ‘AA’ ratings denote expectations of very low default risk. They indicate very strong
capacity for payment of financial commitments. This capacity is not significantly vulnerable to foreseeable
events. |
A |
High credit quality. ‘A’ ratings denote expectations of low default risk. The capacity for payment of financial
commitments is considered strong. This capacity may, nevertheless, be more vulnerable to adverse business
or economic conditions than is the case for higher ratings. |
BBB |
Good credit quality. ‘BBB’ ratings indicate that expectations of default risk are currently low. The capacity for
payment of financial commitments is considered adequate but adverse business or economic conditions are
more likely to impair this capacity. |
BB |
Speculative. ‘BB’ ratings indicate an elevated vulnerability to default risk, particularly in the event of adverse
changes in business or economic conditions over time; however, business or financial flexibility exists which
supports the servicing of financial commitments. |
B |
Highly speculative. ‘B’ ratings indicate that material default risk is present, but a limited margin of safety
remains. Financial commitments are currently being met; however, capacity for continued payment is
vulnerable to deterioration in the business and economic environment. |
CCC |
Substantial credit risk. Default is a real possibility. |
CC |
Very high levels of credit risk. Default of some kind appears probable. |
C |
Exceptionally high levels of credit risk. Default is imminent or inevitable, or the issuer is in standstill.
Conditions that are indicative of a ‘C’ category rating for an issuer include:
•the issuer has entered into a grace or cure period following non-payment of a material financial obligation;
•the issuer has entered into a temporary negotiated waiver or standstill agreement following a payment
default on a material financial obligation; or
•Fitch otherwise believes a condition of ‘RD’ or ‘D’ to be imminent or inevitable, including through the formal
announcement of a distressed debt exchange. |
RD |
Restricted default. ‘RD’ ratings indicate an issuer that in Fitch’s opinion has experienced an uncured payment
default on a bond, loan or other material financial obligation but which has not entered into bankruptcy
filings, administration, receivership, liquidation or other formal winding-up procedure, and which has not
otherwise ceased operating. This would include:
•the selective payment default on a specific class or currency of debt;
•the uncured expiry of any applicable grace period, cure period or default forbearance period following a
payment default on a bank loan, capital markets security or other material financial obligation;
•the extension of multiple waivers or forbearance periods upon a payment default on one or more material
financial obligations, either in series or in parallel; or
•execution of a distressed debt exchange on one or more material financial obligations. |
D |
Default. ‘D’ ratings indicate an issuer that in Fitch’s opinion has entered into bankruptcy filings,
administration, receivership, liquidation or other formal winding-up procedure, or which has otherwise ceased
business. |
First Trust Exchange-Traded Fund IV
Part C – Other Information
Item 28. | Exhibits |
Exhibit No. Description
(a) | (1) Amended and Restated Declaration of Trust is incorporated by reference to the Post-Effective Amendment No. 150 filed on Form N-1A (File No. 333-174332) for Registrant on February 28, 2018. |
(2) Amended and Restated Establishment and Designation of Series is filed herewith.
(b) | By-Laws of the Registrant is incorporated by reference to the Registrant’s Registration Statement filed on Form N-1A (File No. 333-174332) filed on May 19, 2011. |
(c) | Not applicable. |
(2) Amended Schedule A to Investment Management Agreement by and between the Registrant and First Trust Advisors L.P., is filed herewith.
(e) | (1) Distribution Agreement is incorporated by reference to the Post-Effective Amendment No. 30 filed on Form N-1A (File No. 333-174332) for Registrant on March 21, 2013. |
(2) Exhibit A to Distribution Agreement is filed herewith.
(f) | Not applicable. |
(2) Schedule I to Custody Agreement by and between the Registrant and The Bank of New York Mellon is filed herewith.
(3) Schedule II to Custody Agreement by and between the Registrant and The Bank of New York Mellon is filed herewith.
(2) Exhibit A to the Transfer Agency Agreement by and between the Registrant and The Bank of New York Mellon is filed herewith.
(4) Exhibit A to Administration and Accounting Agreement by and between the Registrant and The Bank of New York Mellon is filed herewith.
(i) | (1) Opinion and Consent of Morgan, Lewis & Bockius LLP is filed herewith. |
(2) Opinion and Consent of Chapman and Cutler LLP is filed herewith.
(j) | Not applicable. |
(k) | Not applicable. |
(l) | Not applicable. |
(m) | (1) 12b-1 Distribution and Service Plan is incorporated by reference to the Pre-Effective Amendment No. 2 filed on Form N-1A (File No. 333-174332) for Registrant on June 14, 2012. |
(2) Exhibit A to 12b-1 Distribution and Service Plan is filed herewith.
(n) | Not applicable. |
(o) | Not applicable. |
__________________
Item 29. | Persons Controlled By or Under Common Control with Registrant |
Not Applicable.
Item 30. | Indemnification |
Section 9.5 of the Registrant’s Declaration of Trust provides as follows:
Section 9.5. Indemnification and Advancement of Expenses. Subject to the exceptions and limitations contained in this Section 9.5, every person who is, or has been, a Trustee, officer, or employee of the Trust, including persons who serve at the request of the Trust as directors, trustees, officers, employees or agents of another organization in which the Trust has an interest as a shareholder, creditor or otherwise (hereinafter referred to as a "Covered Person"), shall be indemnified by the Trust to the fullest extent permitted by law against liability and against all expenses reasonably incurred or paid by him or in connection with any claim, action, suit or proceeding in which he becomes involved as a party or otherwise by virtue of his being or having been such a Trustee, director, officer, employee or agent and against amounts paid or incurred by him in settlement thereof.
No indemnification shall be provided hereunder to a Covered Person to the extent such indemnification is prohibited by applicable federal law.
The rights of indemnification herein provided may be insured against by policies maintained by the Trust, shall be severable, shall not affect any other rights to which any Covered Person may now or hereafter be entitled, shall continue as to a person who has ceased to be such a Covered Person and shall inure to the benefit of the heirs, executors and administrators of such a person.
Subject to applicable federal law, expenses of preparation and presentation of a defense to any claim, action, suit or proceeding subject to a claim for indemnification under this Section 9.5 shall be advanced by the Trust prior to final disposition thereof upon receipt of an undertaking by or on behalf of the recipient to repay such amount if it is ultimately determined that he is not entitled to indemnification under this Section 9.5.
To the extent that any determination is required to be made as to whether a Covered Person engaged in conduct for which indemnification is not provided as described herein, or as to whether there is reason to believe that a Covered Person ultimately will be found entitled to indemnification, the Person or Persons making the determination shall afford the Covered Person a rebuttable presumption that the Covered Person has not engaged in such conduct and that there is reason to believe that the Covered Person ultimately will be found entitled to indemnification.
As used in this Section 9.5, the words "claim," "action," "suit" or "proceeding" shall apply to all claims, demands, actions, suits, investigations, regulatory inquiries, proceedings or any other occurrence of a similar nature, whether actual or threatened and whether civil, criminal, administrative or other, including appeals, and the words "liability" and "expenses" shall include without limitation, attorneys' fees, costs, judgments, amounts paid in settlement, fines, penalties and other liabilities.
Item 31. | Business and Other Connections of the Investment Adviser |
First Trust Advisors L.P. (“First Trust”), investment adviser to the Registrant, serves as adviser or sub-adviser to various other open-end and closed-end management investment companies and is the portfolio supervisor of certain unit investment trusts. The principal business of certain of First Trust’s principal executive officers involves various activities in connection with the family of unit investment trusts sponsored by First Trust Portfolios L.P. (“FTP”). The principal address for all these investment companies, First Trust, FTP and the persons below is 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187.
A description of any business, profession, vocation or employment of a substantial nature in which the officers of First Trust who serve as officers or trustees of the Registrant have engaged during the last two years for his or her account or in the capacity of director, officer, employee, partner or trustee appears under “Management of the Fund” in the Statement of Additional Information. Such information for the remaining senior officers of First Trust appears below:
Name and Position with First Trust | Employment During Past Two Years |
Andrew S. Roggensack, President | Managing Director and President, First Trust |
R. Scott Hall, Managing Director | Managing Director, First Trust |
David G. McGarel, Chief Investment Officer, Chief Operating Officer and Managing Director | Managing Director; Senior Vice President, First Trust |
Kelly C. Dehler, Chief Compliance Office | Assistant General Counsel, First Trust |
Brian Wesbury, Chief Economist and Senior Vice President | Chief Economist and Senior Vice President, First Trust |
Item 32. | Principal Underwriter |
(a) FTP serves as principal underwriter of the shares of the Registrant, First Trust Exchange-Traded Fund, First Trust Exchange-Traded Fund II, First Trust Exchange-Traded Fund III, First Trust Exchange-Traded Fund V, First Trust Exchange Traded Fund VI, First Trust Exchange-Traded Fund VII, First Trust Exchange-Traded Fund VIII, First Trust Exchange-Traded AlphaDEX® Fund, First Trust Exchange-Traded AlphaDEX® Fund II, First Trust Variable Insurance Trust and First Trust Series Fund. FTP serves as principal underwriter and depositor of the following investment companies registered as unit investment trusts: the First Trust Combined Series, FT Series (formerly known as the First Trust Special Situations Trust), the First Trust Insured Corporate Trust, the First Trust of Insured Municipal Bonds and the First Trust GNMA.
(b) Positions and Offices with Underwriter
Name
and Principal Business Address* |
Positions
and Offices with Underwriter |
Positions
and Offices with Fund |
The Charger Corporation | General Partner | None |
Grace Partners of DuPage L.P. | Limited Partner | None |
James A. Bowen | Chief Executive Officer and Managing Director | Trustee and Chairman of the Board |
James M. Dykas | Chief Financial Officer | President and Chief Executive Officer |
Frank L. Fichera | Managing Director | None |
R. Scott Hall | Managing Director | None |
W. Scott Jardine | General Counsel, Secretary and Managing Director | Secretary |
Daniel J. Lindquist | Managing Director | Vice President |
David G. McGarel | Chief Investment Officer, Chief Operating Officer and Managing Director | None |
Richard A. Olson | Managing Director | None |
Marisa Bowen | Managing Director | None |
Andrew S. Roggensack | President and Managing Director | None |
Kristi A. Maher | Deputy General Counsel | Chief Compliance Officer and Assistant Secretary |
* All addresses are |
(c) Not Applicable.
Item 33. | Location of Accounts and Records |
First Trust, 120 East Liberty Drive, Wheaton, Illinois 60187, maintains the Registrant’s organizational documents, minutes of meetings, contracts of the Registrant and all advisory material of the investment adviser.
Item 34. | Management Services |
Not Applicable.
Item 35. | Undertakings |
Not Applicable.
Signatures
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement under Rule 485(b) under the Securities Act of 1933 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, duly authorized in the City of Wheaton, and State of Illinois, on the 28th day of July, 2023.
First Trust Exchange-Traded Fund IV | ||
By: | /s/ James M. Dykas | |
James M. Dykas, President and Chief Executive Officer |
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below by the following persons in the capacities and on the date indicated:
Signature | Title | Date | |
/s/ James M. Dykas | President and Chief Executive Officer |
July 28, 2023 | |
James M. Dykas | |||
/s/ Derek Maltbie | Treasurer, Chief Financial Officer and Chief Accounting Officer |
July 28, 2023 | |
Derek D. Maltbie | |||
James A. Bowen* | ) Trustee ) |
||
) | |||
Richard E. Erickson* | ) Trustee ) |
||
) | |||
Thomas R. Kadlec* | ) Trustee ) |
||
) | |||
Denise M. Keefe* | ) Trustee ) |
||
) | |||
Robert F. Keith* | ) Trustee ) |
||
) | By: | /s/ W. Scott Jardine | |
Niel B. Nielson * | ) Trustee ) |
W. Scott Jardine Attorney-In-Fact | |
) | July 28, 2023 |
* | Original powers of attorney dated December 31, 2015 or November 1, 2021, authorizing James A. Bowen, W. Scott Jardine, James M. Dykas, Eric F. Fess and Kristi A. Maher to execute Registrant's Registration Statement, and Amendments thereto, for each of the trustees of the Registrant on whose behalf this Registration Statement is filed, were previously executed, filed as an exhibit and are incorporated by reference herein or filed herewith, respectively. |
Index to Exhibits
(a)(2) | Amended and Restated Establishment and Designation of Series. |
(d)(2) | Amended Schedule A to Investment Management Agreement by and between the Registrant and First Trust Advisors L.P. |
(e)(2) | Exhibit A to Distribution Agreement. |
(g)(2) | Schedule I to Custody Agreement by and between the Registrant and The Bank of New York Mellon. |
(g)(3) | Schedule II to Custody Agreement by and between the Registrant and The Bank of New York Mellon. |
(h)(2) | Exhibit A to the Transfer Agency Agreement by and between the Registrant and The Bank of New York Mellon. |
(h)(4) | Exhibit A to Administration and Accounting Agreement by and between the Registrant and The Bank of New York Mellon. |
(i)(1) | Opinion and Consent of Morgan, Lewis & Bockius LLP. |
(i)(2) | Opinion and Consent of Chapman and Cutler LLP. |
(m)(2) | Exhibit A to 12b-1 Distribution and Service Plan. |