FDIV SEC-arkivering - EA Series Trust - MarketDesk Focused U.S. Dividend ETF- Årsrapport, fuldmagtserklæring, prospekt

Grundlæggende statistik

LEI	5493006CBTW7P2B31B80
CIK	1517936

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to EA Series Trust - MarketDesk Focused U.S. Dividend ETF

SEC Filings (Chronological Order)

Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.

September 5, 2025	8-A12B/A	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
July 11, 2025	DEF 14A	As filed with the Securities and Exchange Commission on July 11, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. As filed with the Securities and Exchange Commission on July 11, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
June 25, 2025	CERT	CERT The Nasdaq Stock Market LLC, 1100 New York Ave. NW, Suite 310E, Washington, DC 20005 Eun Ah Choi Senior Vice President Global Head of Regulatory Operations June 25, 2025 Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Division of Corporation Finance: This is to certify that on June 24, 2025 The Nasdaq Stock Market (the "Exchange") r
June 24, 2025	8-A12B/A	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
June 23, 2025	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
May 13, 2025	DEFA14A	As filed with the Securities and Exchange Commission on May 13, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. As filed with the Securities and Exchange Commission on May 13, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 12, 2025	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
February 12, 2025	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com February 12, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Common Shares of Beneficial Interest, $.01 par value per
February 12, 2025	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
February 12, 2025	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
February 12, 2025	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com February 12, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Common Shares of Beneficial Interest, $.01 par value per
February 12, 2025	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com February 12, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Common Shares of Beneficial Interest, $.01 par value per
February 7, 2025	EX-99.1	Exhibit 99.1 - Joint Filing Agreement EX-99.1 2 ex991.htm 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 n
January 31, 2025	EX-99.1	FTCB / First Trust Exchange-Traded Fund IV - First Trust Core Investment Grade ETF / FIRST TRUST PORTFOLIOS LP - JOINT FILING AGREEMENT Exhibit 99.1 - 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 complete
January 31, 2025	EX-99.1	SDVD / First Trust Exchange-Traded Fund IV - FT Vest SMID Rising Dividend Achievers Target Income ETF / FIRST TRUST PORTFOLIOS LP - JOINT FILING AGREEMENT Exhibit 99.1 - 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 complete
January 28, 2025	CORRESP	January 28, 2025 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
January 7, 2025	EX-99.1	LGOV / First Trust Exchange-Traded Fund IV - First Trust Long Duration Opportunities ETF / FIRST TRUST PORTFOLIOS LP - JOINT FILING AGREEMENT Exhibit 99.1 - 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 complete
October 11, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
October 11, 2024	SC 13G/A	RDVI / First Trust Exchange-Traded Fund IV - FT Vest Rising Dividend Achievers Target Income ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment SC 13G/A 1 sc13g3.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. 3)* FT Vest Rising Dividend Achievers Target Income ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D879 - (CUSIP Number) September 30, 2024 - (Date of Event Which Requires Filing of this Statem
October 11, 2024	SC 13G/A	HYLS / First Trust Exchange-Traded Fund IV - First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment SC 13G/A 1 sc13g3.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. 18)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) September 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the
October 11, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
October 7, 2024	SC 13G/A	FIIG / First Trust Intermediate Duration Investment Grade Corporate ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Intermediate Duration Investment Grade Corporate ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D796 - (CUSIP Number) September 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box
October 7, 2024	EX-99.1	EX-99.1 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 complete
August 2, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
August 2, 2024	SC 13G	FIIG / First Trust Intermediate Duration Investment Grade Corporate ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment SC 13G 1 sc13g3.txt SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Intermediate Duration Investment Grade Corporate ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D796 - (CUSIP Number) June 30, 2024 - (Date of Event Which Requires Filing of this Statement
July 31, 2024	NPORT-EX	Number of FT Vest DJIA® Dogs 10 Target Income ETF (DOGG) Portfolio of Investments January 31, 2024 (Unaudited) Shares Description Value COMMON STOCKS — 50.
July 25, 2024	SC 13G	LGOV / First Trust Exchange-Traded Fund IV - First Trust Long Duration Opportunities ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment SC 13G 1 sc13g3.txt SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Long Duration Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D606 - (CUSIP Number) June 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropria
July 25, 2024	SC 13G	KNG / First Trust Exchange-Traded Fund IV - FT Vest S&P 500 Dividend Aristocrats Target Income ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* FT Vest S&P 500(R) Dividend Aristocrats Target Income ETF(R) - (Name of Issuer) Common - (Title of Class of Securities) 33739Q705 - (CUSIP Number) June 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design
July 25, 2024	SC 13G	FTSL / First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment SC 13G 1 sc13g3.txt SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) June 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig
July 25, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
July 19, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
July 19, 2024	SC 13G/A	HYLS / First Trust Exchange-Traded Fund IV - First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 17)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) June 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t
June 7, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
June 7, 2024	SC 13G/A	RDVI / First Trust Exchange-Traded Fund IV - FT Vest Rising Dividend Achievers Target Income ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* FT Vest Rising Dividend Achievers Target Income ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D879 - (CUSIP Number) May 31, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r
June 7, 2024	SC 13G/A	FCVT / First Trust Exchange-Traded Fund IV - First Trust SSI Strategic Convertible Securities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* First Trust SSI Strategic Convertible Securities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q507 - (CUSIP Number) May 31, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the
April 19, 2024	AW	April 19, 2024 April 19, 2024 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW – Request for Withdrawal First Trust Exchange-Traded Fund IV Registration on Form N-1A Post-Effective Amendment No.
April 19, 2024	AW	April 19, 2024 April 19, 2024 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW – Request for Withdrawal First Trust Exchange-Traded Fund IV Registration on Form N-1A Post-Effective Amendment No.
March 20, 2024	CERT	CBOE BZX CERTIFICATION 8050 Marshall Drive, Suite 120 › Lenexa, KS 66214 › cboe.com By Electronic Mail March 20, 2024 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: First Trust Exchange-Traded Fund IV Issuer CIK: 0001517936 Issuer File Number: 333-174332 / 811-22559 Form Type: 8-A12B Filing Date: March 20, 2024 To Whom It May Concern: Please be advised
March 15, 2024	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
March 6, 2024	CORRESP	March 6, 2024 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
February 26, 2024	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com February 26, 2024 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Common Shares of Beneficial Interest, $.01 par value per
February 26, 2024	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com February 26, 2024 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Common Shares of Beneficial Interest, $.01 par value per
February 23, 2024	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
February 22, 2024	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
February 12, 2024	CORRESP	February 12, 2024 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
February 7, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
February 7, 2024	SC 13G/A	FTSL / First Trust Exchange-Traded Fund IV - First Trust Senior Loan Fund / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 18)* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w
February 6, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
February 6, 2024	SC 13G/A	HYLS / First Trust Exchange-Traded Fund IV - First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment SC 13G/A 1 sc13g3.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. 1)* FT Vest Rising Dividend Achievers Target Income ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D879 - (CUSIP Number) January 31, 2024 - (Date of Event Which Requires Filing of this Statemen
January 24, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
January 24, 2024	SC 13G/A	FSIG / First Trust Exchange-Traded Fund IV - First Trust Limited Duration Investment Grade Corporate ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Limited Duration Investment Grade Corporate ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D804 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de
January 22, 2024	CORRESP	January 22, 2024 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
January 22, 2024	DEF 14A	As filed with the Securities and Exchange Commission on January 22, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment As filed with the Securities and Exchange Commission on January 22, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
January 19, 2024	SC 13G/A	HYLS / First Trust Exchange-Traded Fund IV - First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 16)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
January 19, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
January 19, 2024	SC 13G/A	FCVT / First Trust Exchange-Traded Fund IV - First Trust SSI Strategic Convertible Securities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment SC 13G/A 1 sc13g3.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. 3)* First Trust SSI Strategic Convertible Securities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q507 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statem
January 19, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
January 17, 2024	SC 13G	HYLS / First Trust Exchange-Traded Fund IV - First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* FT Vest Rising Dividend Achievers Target Income ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D879 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t
January 17, 2024	EX-99.1	EX-99.1 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 complete
January 12, 2024	SC 13G/A	LMBS / First Trust Exchange-Traded Fund IV - First Trust Low Duration Opportunities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* First Trust Low Duration Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q200 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule
January 12, 2024	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
December 22, 2023	PRE 14A	As filed with the Securities and Exchange Commission on December 22, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment As filed with the Securities and Exchange Commission on December 22, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
December 13, 2023	SC 13G	HYLS / First Trust Exchange-Traded Fund III - First Trust Tactical High Yield ETF / TRUIST FINANCIAL CORP Passive Investment SC 13G 1 r13GSDVDETF11-23.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* FT CBOE VEST SMID RISING DIVIDEND ACHIEVERS TARGET INCOME ETF 33738D820 November 30, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rul
November 6, 2023	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
November 6, 2023	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com November 6, 2023 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Common Shares of Beneficial Interest, $.01 par value per
October 30, 2023	CORRESP	October 30, 2023 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
October 12, 2023	CORRESP	October 12, 2023 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
August 9, 2023	CERT	CBOE BZX CERTIFICATION 8050 Marshall Drive, Suite 120 › Lenexa, KS 66214 › cboe.com By Electronic Mail August 9, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: First Trust Exchange-Traded Fund IV Issuer CIK: 0001517936 Issuer File Number: 333-174332 / 811-22559 Form Type: 8-A12B Filing Date: August 9, 2023 To Whom It May Concern: Please be advised
August 7, 2023	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
August 7, 2023	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
August 2, 2023	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com August 2, 2023 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the First Trust Intermediate Government Opportunities ETF of Fi
August 2, 2023	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com August 2, 2023 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the First Trust Intermediate Duration Investment Grade Corporat
August 1, 2023	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A/A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A/A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty D
August 1, 2023	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
August 1, 2023	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
July 31, 2023	CORRESP	July 31, 2023 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
July 28, 2023	CORRESP	July 28, 2023 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
July 21, 2023	CORRESP	July 21, 2023 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
July 11, 2023	CORRESP	July 11, 2023 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
May 9, 2023	SC 13G/A	FCVT / First Trust Exchange-Traded Fund IV - First Trust SSI Strategic Convertible Securities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust SSI Strategic Convertible Securities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q507 - (CUSIP Number) April 30, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th
May 9, 2023	EX-99.1	EX-99.1 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 complete
April 26, 2023	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
April 26, 2023	CERT	CBOE BZX CERTIFICATION 8050 Marshall Drive, Suite 120 › Lenexa, KS 66214 › cboe.com By Electronic Mail April 26, 2023, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: First Trust Exchange-Traded Fund IV Issuer CIK: 0001517936 Issuer File Number: 333-174332 / 811-22559 Form Type: 8-A12B Filing Date: April 26, 2023 To Whom It May Concern: Please be a
March 30, 2023	NPORT-EX	Valuation Inputs NPORT-EX 2 994643FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con
March 30, 2023	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.
March 30, 2023	NPORT-EX	Valuation Inputs NPORT-EX 2 847258FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con
March 30, 2023	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.
March 30, 2023	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.
March 30, 2023	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.
March 30, 2023	NPORT-EX	Valuation Inputs NPORT-EX 2 847270FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con
March 30, 2023	NPORT-EX	Valuation Inputs NPORT-EX 2 240153FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con
March 30, 2023	NPORT-EX	Valuation Inputs NPORT-EX 2 569587FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con
March 30, 2023	NPORT-EX	Valuation Inputs NPORT-EX 2 847261FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con
March 30, 2023	NPORT-EX	Valuation Inputs NPORT-EX 2 847272FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con
March 30, 2023	NPORT-EX	Valuation Inputs NPORT-EX 2 475226FT022823.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2023 (Unaudited) Shares Description Value Common Stocks — 54.8% Construction & Engineering — 3.5% 605,409 Quanta Services, Inc. $ 92,137,196 Electric Utilities — 15.8% 763,277 Alliant Energy Corp. 41,239,856 707,048 American Electric Power Co., Inc. 66,434,230 150,919 Con
March 23, 2023	NPORT-EX	First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments January 31, 2023 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 86.
February 10, 2023	SC 13G/A	FSIG / First Trust Limited Duration Investment Grade Corporate ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Limited Duration Investment Grade Corporate ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D804 - (CUSIP Number) January 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des
February 10, 2023	EX-99.1	EX-99.1 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 complete
February 1, 2023	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
February 1, 2023	SC 13G/A	HYLS / First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 15)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
January 27, 2023	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
January 27, 2023	SC 13G/A	FCVT / First Trust SSI Strategic Convertible Securities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment SC 13G/A 1 sc13g3.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. 1)* First Trust SSI Strategic Convertible Securities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q507 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statem
January 18, 2023	EX-99.1	EX-99.1 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 complete
January 18, 2023	SC 13G/A	FTSL / First Trust Senior Loan Fund / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment SC 13G/A 1 sc13g3.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. 17)* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropri
January 18, 2023	EX-99.1	EX-99.1 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 complete
January 18, 2023	SC 13G/A	LMBS / First Trust Low Duration Opportunities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment SC 13G/A 1 sc13g3.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. 4)* First Trust Low Duration Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q200 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check
January 10, 2023	SC 13G	FSIG / First Trust Limited Duration Investment Grade Corporate ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment SC 13G 1 sc13g3.txt SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Limited Duration Investment Grade Corporate ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D804 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement)
December 9, 2022	EX-99.1	EX-99.1 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 complete
December 9, 2022	SC 13G	FCVT / First Trust SSI Strategic Convertible Securities ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust SSI Strategic Convertible Securities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q507 - (CUSIP Number) November 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate
November 2, 2022	CERT	NYSE ARCA CERTIFICATION New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com November 2, 2022 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Common Shares of Beneficial Interest, $.01 par value per
November 2, 2022	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
October 21, 2022	CORRESP	October 21, 2022 Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.
October 19, 2022	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
October 19, 2022	CERT	CBOE BZX CERTIFICATION 8050 Marshall Drive, Suite 120 › Lenexa, KS 66214 › cboe.com By Electronic Mail October 19, 2022 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 RE: First Trust Exchange-Traded Fund IV Issuer CIK: 0001517936 Issuer File Number: 333-174332 / 811-22559 Form Type: 8-A12B Filing Date: October 19, 2022 To Whom It May Concern: Please be adv
September 30, 2022	AW	September 30, 2022 September 30, 2022 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW - Request for Withdrawal First Trust Exchange-Traded Fund IV Registration on Form N-1A Post-Effective Amendment No.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 28, 2022	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2022 (Unaudited) Shares Description Value Common Stocks — 63.
September 26, 2022	NPORT-EX	First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments July 31, 2022 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 82.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.7% Construction & Engineering — 3.1% 677,418 Quanta Services, Inc. $ 69,584,377 Electric Utilities — 17.2% 828,717 Alliant Energy Corp. 49,607,000 635,329 American Electric Power Co., Inc. 57,433,742 13,400 Duke Energy
March 30, 2022	NPORT-EX	Change in Unrealized Appreciation (Depreciation) First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2022 (Unaudited) Shares Description Value Common Stocks — 66.
March 25, 2022	NPORT-EX	First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments January 31, 2022 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 81.
January 28, 2022	SC 13G/A	LMBS / First Trust Low Duration Opportunities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* First Trust Low Duration Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q200 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule
January 28, 2022	EX-99.1	EX-99.1 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 complete
January 26, 2022	EX-99.1	EX-99.1 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 complete
January 26, 2022	SC 13G/A	HYLS / First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 14)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
January 26, 2022	SC 13G/A	FTSL / First Trust Senior Loan Fund / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 16)* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w
December 14, 2021	DEF 14A	As filed with the Securities and Exchange Commission on December 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment As filed with the Securities and Exchange Commission on December 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 16, 2021	8-A12B	Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
November 16, 2021	CERT	NYSE ARCA CERTIFICATION
November 5, 2021	AW	November 5, 2021 November 5, 2021 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW - Request for Withdrawal First Trust Exchange-Traded Fund IV Registration on Form N-1A Post-Effective Amendment No.
October 14, 2021	PRE 14A	As filed with the Securities and Exchange Commission on October 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statem As filed with the Securities and Exchange Commission on October 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 28, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value Common Stocks — 67.
September 24, 2021	NPORT-EX	First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments July 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 83.
April 7, 2021	SC 13G/A	AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 15)* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) March 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic
April 7, 2021	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
March 30, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64.
March 30, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64.
March 30, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64.
March 30, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64.
March 30, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64.
March 30, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64.
March 30, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64.
March 30, 2021	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value Common Stocks — 64.
March 29, 2021	NPORT-EX	First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments January 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 88.
February 23, 2021	8-A12B	- REGISTRATION OF CERTAIN CLASSES OF SECURITIES Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dri
February 19, 2021	CORRESP	February 19, 2021 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com February 19, 2021 VIA EDGAR CORRESPONDENCE Quinn Kane Division of Investment Management United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV (the ?Trust?) File Nos. 333-174332; 811-22559 Dear Mr. Kane: This letter responds to
February 8, 2021	SC 13G/A	AMENDED SCHEDULE 13G SC 13G/A 1 sc13g3.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. 1)* First Trust Long Duration Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D606 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Chec
February 8, 2021	EX-99.1	EX-99.1 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 complete
February 5, 2021	EX-99.1	EX-99.1 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 complete
February 5, 2021	SC 13G/A	AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 14)* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w
February 3, 2021	SC 13G/A	AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 13)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
February 3, 2021	EX-99.1	EX-99.1 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 complete
January 25, 2021	CORRESP	- 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com January 25, 2021 VIA EDGAR CORRESPONDENCE Sally Samuel Quinn Kane Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV, on behalf of FT Cboe Vest S&P 500? Dividend Aristocrats Target Income ETF, a series of
January 21, 2021	EX-99.7 DISTR CONTR	Exhibit A to Distribution Agreement. Exhibit 7(b) Exhibit A Series of the Trust Series Effective Date First Trust North American Energy Infrastructure Fund 6/15/2012 First Trust Tactical High Yield ETF 2/20/2013 First Trust Senior Loan Fund 4/1/2013 First Trust Strategic Income ETF 7/25/2014 First Trust Enhanced Short Maturity ETF 8/6/2014 First Trust Low Duration Mortgage Opportunities ETF 10/10/2014 First Trust Heitman Global Prime
January 21, 2021	EX-99.14 OTH CONSENT	Consent of Independent Registered Public Accounting Firm for Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF Exhibit 14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF, a series of ETF Series Solutions, for the year ended October 31, 2020, and to the references to our firm under the headings “Independent Registered Public Accounting Firm (“Auditor”)” and “Financial Statements” in the Proxy Statement/Prospectus.
January 21, 2021	EX-11	Opinion and Consent of Morgan, Lewis & Bockius LLP. Exhibit 11 January 21, 2021 First Trust Exchange-Traded Fund IV 120 E. Liberty Street Wheaton, Illinois 60187 Re: First Trust Exchange-Traded Fund IV Ladies and Gentlemen: We have acted as special Massachusetts counsel to First Trust Exchange-Traded Fund IV (the "Trust") on behalf of its series, FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF (the “Acquiring Fund”), in connection with
January 21, 2021	EX-99.6 ADVSER CONTR	Investment Management Agreement by and between the Registrant and First Trust Advisors L.P., relating to FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF Exhibit 6(a) Investment Management Agreement Investment Management Agreement made this 13th day of August, 2019, by and between First Trust Exchange-Traded Fund IV, a Massachusetts business trust (the “Trust”), and First Trust Advisors L.
January 21, 2021	CORRESP	- 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com January 21, 2021 VIA EDGAR CORRESPONDENCE Sally Samuel Quinn Kane Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV, on behalf of FT Cboe Vest S&P 500? Dividend Aristocrats Target Income ETF, a series of
January 21, 2021	CORRESP	- First Trust Exchange-Traded Fund IV 120 East Liberty Drive Wheaton, Illinois 60187 January 21, 2021 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission 100 F Street, N.
January 21, 2021	EX-99.9 CUST CONTRCT	Schedule II to Custody Agreement by and between the Registrant and The Bank of New York Mellon Exhibit 9(b) Schedule II First Trust North American Energy Infrastructure Fund First Trust Tactical High Yield ETF First Trust Senior Loan Fund First Trust Strategic Income ETF First Trust Enhanced Short Maturity ETF First Trust Low Duration Opportunities ETF First Trust Long Duration Opportunities ETF First Trust EIP Carbon Impact ETF FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF
January 21, 2021	EX-99.1 CHARTER	Amended and Restated Establishment and Designation of Series Exhibit 1(b) First Trust Exchange-Traded Fund IV Amended and Restated Establishment and Designation of Series of Shares of Beneficial Interest (Effective as of November 23, 2020) Whereas, pursuant to Section 4.
January 21, 2021	EX-99.6 ADVSER CONTR	Form of Investment Sub-Advisory Agreement between the Registrant, First Trust Advisors L.P. and Cboe Vest Financial LLC, relating to FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF. Exhibit 6(b) Investment Sub-Advisory Agreement This Investment Sub-Advisory Agreement (this “Agreement”), dated is by and among First Trust Exchange-Traded Fund IV, a Massachusetts business trust (the “Trust”), First Trust Advisors L.
January 21, 2021	N-14/A	Form of Agreement and Plan of Reorganization (included in the Proxy Statement/Prospectus as Exhibit A thereto). As filed electronically with the Securities and Exchange Commission on or about January 21, 2021 Registration No.
January 13, 2021	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
January 13, 2021	SC 13G/A	AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Low Duration Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q200 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule
January 7, 2021	CORRESP	- 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com January 7, 2021 VIA EDGAR CORRESPONDENCE Sally Samuel Quinn Kane Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV, on behalf of FT Cboe Vest S&P 500? Dividend Aristocrats Target Income ETF, a series of
December 11, 2020	DEL AM	- DELAYING AMENDMENT First Trust Exchange-Traded Fund IV 120 East Liberty Drive Wheaton, Illinois 60187 December 11, 2020 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission 100 F Street, N.
November 18, 2020	COVER	November 18, 2020 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com VIA EDGAR November 18, 2020 United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV Ladies and Gentlemen: On behalf of First Trust Exchange-Traded Fund IV (the “Registrant”), we are transmitting for electronic filing pursuant to
November 18, 2020	EX-12	Form of Opinion and Consent of Chapman and Cutler LLP EX-12 3 exhibit12.htm FORM OF OPINION AND CONSENT OF CHAPMAN AND CUTLER LLP Exhibit 12 November [•], 2020 Board of Trustees ETF Series Solutions Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF 615 East Michigan Street Milwaukee, Wisconsin 53202 Board of Trustees First Trust Exchange-Traded Fund IV FT Cboe Vest S&P 500® Dividend Aristocrats Target Income ETF 120 East Liberty Drive, Suite
November 18, 2020	COVER	November 18, 2020 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com November 18, 2020 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund IV (Registration Nos. 333 -174332 and 811-22559) Ladies and Gentlemen: On behalf of First Trust Exchange-Traded Fund IV (the “Registrant”), we are transmitting for electron
November 18, 2020	EX-11	Form of Opinion and Consent of Morgan, Lewis & Bockius LLP EX-11 2 exhibit11.htm FORM OF OPINION AND CONSENT OF MORGAN, LEWIS & BOCKIUS LLP Exhibit 11 November [ ], 2020 First Trust Exchange-Traded Fund IV 120 E. Liberty Street Wheaton, Illinois 60187 Re: First Trust Exchange-Traded Fund IV Ladies and Gentlemen: We have acted as special Massachusetts counsel to First Trust Exchange-Traded Fund IV (the "Trust") on behalf of its series, FT Cboe Vest S&P 500
November 18, 2020	N-14	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. ___ [ ] Post-Effective Amendment No. ___ FIRST TRUST EXCHANGE-TRADED FUND IV (Exac As filed electronically with the Securities and Exchange Commission on or about November 18, 2020 Registration No.
November 18, 2020	EX-16	Powers of Attorney for Messrs. Bowen, Erickson, Kadlec, Keith and Nielson authorizing James A. Bowen, W. Scott Jardine, James M. Dykas, Kristi A. Maher and Eric F. Fess to execute the Registration Statement Exhibit 16 First Trust Exchange-Traded Fund IV Power of Attorney Know All Men By These Presents, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints James M.
October 9, 2020	CORRESP	- 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com October 9, 2020 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Filings for First Trust Funds listed in Exhibit A attached hereto Ladies and Gentlemen: This letter responds to comments, provided by Ken Ellington and Christina DiAn
September 28, 2020	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62.
September 28, 2020	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62.
September 28, 2020	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62.
September 28, 2020	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62.
September 28, 2020	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62.
September 28, 2020	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62.
September 28, 2020	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62.
September 28, 2020	NPORT-EX	Valuation Inputs First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value Common Stocks — 62.
September 25, 2020	NPORT-EX	First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments July 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 88.
July 10, 2020	SC 13G/A	HYLS / First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment 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 t
July 10, 2020	EX-99.1	EX-99.1 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 complete
April 7, 2020	SC 13G/A	FTSL / First Trust Senior Loan Fund / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 13)* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) March 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic
April 7, 2020	EX-99.1	EX-99.1 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 complete
March 27, 2020	NPORT-EX	Valuation Inputs Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E
March 27, 2020	NPORT-EX	Valuation Inputs Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E
March 27, 2020	NPORT-EX	Valuation Inputs Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E
March 27, 2020	NPORT-EX	Valuation Inputs Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E
March 27, 2020	NPORT-EX	Valuation Inputs Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E
March 27, 2020	NPORT-EX	Valuation Inputs Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E
March 27, 2020	NPORT-EX	Valuation Inputs Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E
March 27, 2020	NPORT-EX	Valuation Inputs Proof - etf4nport.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value Common Stocks — 65.0% Electric Utilities — 23.3% 828,308 Alliant Energy Corp. $ 49,168,363 719,981 American Electric Power Co., Inc. 75,036,420 355,343 Duke Energy Corp. 34,692,137 643,655 Emera, Inc. (CAD) 28,676,061 612,077 Eversource E
March 24, 2020	NPORT-EX	First Trust SSI Strategic Convertible Securities ETF (FCVT) First Trust SSI Strategic Convertible Securities ETF (FCVT) Portfolio of Investments January 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value CONVERTIBLE CORPORATE BONDS – 77.
February 14, 2020	SC 13G/A	HYLS / First Trust Tactical High Yield ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
February 10, 2020	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
February 10, 2020	SC 13G/A	FTSL / First Trust Senior Loan Fund / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w
January 24, 2020	EX-99.1	EX-99.1 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 complete
January 24, 2020	SC 13G/A	LMBS / First Trust Low Duration Opportunities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust Low Duration Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q200 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule
January 22, 2020	SC 13G	FCVT / First Trust SSI Strategic Convertible Securities ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment SC 13G 1 sc13g3.txt SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Long Duration Opportunities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D606 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appro
January 22, 2020	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
January 13, 2020	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
January 13, 2020	SC 13G	FCVT / First Trust SSI Strategic Convertible Securities ETF / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust SSI Strategic Convertible Securities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q507 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate
December 10, 2019	EX-99.1	EX-99.1 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 complete
December 10, 2019	SC 13G/A	FCVT / First Trust SSI Strategic Convertible Securities ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment SC 13G/A 1 sc13g3.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. 2)* First Trust SSI Strategic Convertible Securities ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739Q507 - (CUSIP Number) November 30, 2019 - (Date of Event Which Requires Filing of this Statem
November 8, 2019	EX-99.1	EX-99.1 EX-99.1 2 ex993.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 n
November 8, 2019	SC 13G/A	FTSL / First Trust Senior Loan Fund ETF / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* First Trust Senior Loan Fund - (Name of Issuer) Common - (Title of Class of Securities) 33738D309 - (CUSIP Number) October 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh
September 27, 2019	NPORT-EX	HYLS / First Trust Exchange-Traded Fund IV NPORT-EX - - NPORT-EX 1 FirstTrustETFIV.htm First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2019 (Unaudited) Shares Description Value Common Stocks — 61.2% Electric Utilities — 22.2% 917,262 Alliant Energy Corp. $ 45,441,159 673,421 American Electric Power Co., Inc. 59,133,098 272,209 Duke Energy Corp. 23,605,964 607,260 Emera, Inc. (CAD) 25,214,311 560,403 Everso
September 27, 2019	NPORT-EX	HYLS / First Trust Exchange-Traded Fund IV NPORT-EX - - PORTFOLIO HOLDINGS First Trust North American Energy Infrastructure Fund (EMLP) Portfolio of Investments July 31, 2019 (Unaudited) Shares Description Value Common Stocks — 61.
September 16, 2019	EX-99.25	EX-99.25 NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on September 27, 2019, pursuant to the provisions of Rule 12d2-2 (a).
August 16, 2019	CERT	HYLS / First Trust Exchange-Traded Fund IV CERT - - NYSE ARCA CERTIFICATION FILING begin 644 ECLN8A081619.pdf M)5!$1BTQ+C,)79E7!E+U!A9V4O365D:6%";W@@6S @," V,3(@-SDR70HO4F]T M871E(# O4&%R96YT(#,@,"!2"B]297-O=7)C97,\/"]0)RU65EO';<5 M1F0M\;5ARY)L55['2E/-)+D,]^6U:%$@R$L" 7V(^Y0B"8(HA=+#0C.23/ MW,LKIP9B/?A<>0GQLKR6S?\^-5[4H,5GDYWR, MX#S3OV3:!!- BT+\M/KG\.OJ=DB;\4]+!9DA6!YT/I0$A^%OUE]@[;PGNS M$)AIHUP6GHF.<$F$QT-)N!!-NK+<#U9C0N4U2[3O\RTT"K1\4RF\QU9+? MF(G??H0DSU3\EQ8H?W-\-?K>O",M?
August 7, 2019	8-A12B	HYLS / First Trust Exchange-Traded Fund IV 8-A12B - - FORM FOR THE REGISTRATION/LISTING OF A CLASS OF SECURITIES ON A NATIONAL SECURITIES EXCHANGE PURSUANT TO SECTION 12(B). THERE ARE NO FILING FEES FOR THIS FORM TYPE. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND IV - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation (I.R.S. Employer Identification No.) or Organization) 120 East Liber
August 6, 2019	CORRESP	HYLS / First Trust Exchange-Traded Fund IV CORRESP - - CORRESP 1 filename1.txt CHAPMAN AND CUTLER LLP 111 West Monroe Street Chicago, Illinois 60603 August 6, 2019 VIA EDGAR CORRESPONDENCE - Frank Buda United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Trust Exchange-Traded Trust IV (the "Trust") File Nos. 333-174332; 811-22559 - Dear Mr. Buda: This letter responds to your comments, provided by telepho
June 24, 2019	DEFA14A	HYLS / First Trust Exchange-Traded Fund IV DEFA14A - - ADDITIONAL SOLICITATION MATERIAL DEFA14A 1 letter.htm ADDITIONAL SOLICITATION MATERIAL As filed with the Securities and Exchange Commission on June 24, 2019. =============================================================================== SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the regist
June 18, 2019	DEFA14A	HYLS / First Trust Exchange-Traded Fund IV DEFA14A - - ADDITIONAL SOLICITATION MATERIAL DEFA14A 1 letter.htm ADDITIONAL SOLICITATION MATERIAL As filed with the Securities and Exchange Commission on June 18, 2019. =============================================================================== SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the regist
June 10, 2019	EX-99.1	EX-99.1 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 complete
June 10, 2019	SC 13G/A	HYLS / First Trust Exchange-Traded Fund IV / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) May 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to
May 30, 2019	COVER	COVER CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 May 30, 2019 Securities and Exchange Commission 100 F Street, N.
May 3, 2019	DEF 14A	HYLS / First Trust Exchange-Traded Fund IV DEF 14A DEFINITIVE PROXY STATEMENT As filed with the Securities and Exchange Commission on May 3, 2019. =============================================================================== SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the registrant [X] Filed by a party other than the registrant [ ]
May 3, 2019	CORRESP	HYLS / First Trust Exchange-Traded Fund IV CORRESP - - CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 May 3, 2019 VIA EDGAR CORRESPONDENCE - Mr.
April 12, 2019	PRE 14A	PRELIMINARY PROXY STATEMENT As filed with the Securities and Exchange Commission on April 12, 2019. =============================================================================== SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the registrant [X] Filed by a party other than the registrant [
March 29, 2019	EX-99.CERT	Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund IV; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact nec
March 29, 2019	N-Q	HYLS / First Trust Exchange-Traded Fund IV QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22559 First Trust Exchange-Traded Fund IV (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal executive offices) (Zip code
February 8, 2019	SC 13G/A	HYLS / First Trust Exchange-Traded Fund IV / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* First Trust Tactical High Yield ETF - (Name of Issuer) Common - (Title of Class of Securities) 33738D408 - (CUSIP Number) December 31, 2018 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan

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