EFIV vs. FTA ETF Comparison

Comparison of SPDR S&P 500 ESG ETF (EFIV) to First Trust Large Cap Value AlphaDEX Fund (based onthe Defined Large Cap Value Index (FTA)

EFIV

SPDR S&P 500 ESG ETF

EFIV Description

• Seeks to provide investment results that, before fees and expenses, correspond generally to the S&P 500 ESG Index • EFIV is designed to track an index that is designed to select S&P 500 firms meeting certain sustainability criteria (criteria related to environmental, social and governance factors) while maintaining similar overall industry group weights as the S&P 500 Index • EFIV may serve as a potential ESG core exposure, based on its focus on sustainability criteria and comprehensive market coverage of the flagship core S&P 500 Index

Grade (RS Rating)

Last Trade

$57.77

Average Daily Volume

109,257

Number of Holdings ^*

313

* may have additional holdings in another (foreign) market

FTA

First Trust Large Cap Value AlphaDEX Fund (based onthe Defined Large Cap Value Index

FTA Description

The investment seeks investment results that correspond generally to the price and yield (before the fund's fees and expenses) of an equity index called the Defined Large Cap Value Index. The fund will normally invest at least 90% of its net assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index designed by S&P to objectively identify and select stocks from the S&P 500(R) Value Index that may generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX(R) selection methodology. It is non-diversified.

Grade (RS Rating)

Last Trade

$82.72

Average Daily Volume

39,082

Number of Holdings ^*

186

* may have additional holdings in another (foreign) market

Performance

Period	EFIV	FTA
30 Days	2.81%	4.88%
60 Days	4.79%	5.23%
90 Days	5.59%	6.80%
12 Months	30.64%	26.69%

115 Overlapping Holdings

Symbol	Grade	Weight in EFIV	Weight in FTA	Overlap
ACN	C	0.65%	0.18%	0.18%
ADM	D	0.07%	0.77%	0.07%
AFL	B	0.16%	0.5%	0.16%
AIG	B	0.14%	0.91%	0.14%
AKAM	D	0.04%	0.45%	0.04%
APD	A	0.19%	0.18%	0.18%
APTV	D	0.04%	0.66%	0.04%
ARE	D	0.05%	0.32%	0.05%
AWK	D	0.07%	0.15%	0.07%
BAC	A	0.86%	0.59%	0.59%
BBY	D	0.05%	0.45%	0.05%
BIIB	F	0.07%	0.44%	0.07%
BKR	B	0.12%	0.61%	0.12%
C	A	0.37%	0.76%	0.37%
CAG	D	0.04%	0.14%	0.04%
CARR	D	0.18%	0.33%	0.18%
CB	C	0.3%	0.7%	0.3%
CF	B	0.04%	0.7%	0.04%
CFG	B	0.06%	0.8%	0.06%
CI	F	0.26%	0.16%	0.16%
CMCSA	B	0.47%	0.91%	0.47%
CMI	A	0.14%	0.19%	0.14%
CNC	D	0.09%	0.55%	0.09%
COF	B	0.2%	0.86%	0.2%
CPB	D	0.02%	0.16%	0.02%
CSCO	B	0.66%	0.38%	0.38%
CSX	B	0.2%	0.36%	0.2%
CTVA	C	0.11%	0.17%	0.11%
CVS	D	0.19%	0.77%	0.19%
CVX	A	0.75%	0.96%	0.75%
DAL	C	0.12%	1.12%	0.12%
DE	A	0.28%	0.48%	0.28%
DGX	A	0.05%	0.52%	0.05%
DHI	D	0.13%	0.6%	0.13%
DIS	B	0.52%	0.4%	0.4%
DOC	D	0.04%	0.33%	0.04%
DOW	F	0.09%	0.42%	0.09%
DVN	F	0.07%	0.88%	0.07%
EBAY	D	0.08%	0.49%	0.08%
ED	D	0.09%	0.64%	0.09%
EG	C	0.04%	0.82%	0.04%
EIX	B	0.09%	0.33%	0.09%
ELV	F	0.27%	0.27%	0.27%
EQR	B	0.07%	0.5%	0.07%
EQT	B	0.07%	0.82%	0.07%
ETR	B	0.09%	0.78%	0.09%
EXC	C	0.11%	0.66%	0.11%
FANG	D	0.09%	0.74%	0.09%
FITB	A	0.09%	0.57%	0.09%
FTV	C	0.07%	0.16%	0.07%
GIS	D	0.1%	0.31%	0.1%
GM	B	0.18%	1.13%	0.18%
GPC	D	0.05%	0.31%	0.05%
HAL	C	0.07%	0.91%	0.07%
HBAN	A	0.07%	0.84%	0.07%
HD	A	1.13%	0.17%	0.17%
HIG	B	0.1%	0.69%	0.1%
HOLX	D	0.05%	0.16%	0.05%
HPE	B	0.08%	0.92%	0.08%
HPQ	B	0.1%	0.36%	0.1%
HRL	D	0.02%	0.49%	0.02%
HSY	F	0.08%	0.33%	0.08%
HUM	C	0.1%	0.31%	0.1%
IEX	B	0.05%	0.18%	0.05%
INTC	D	0.3%	0.75%	0.3%
JBHT	C	0.04%	0.38%	0.04%
KDP	D	0.11%	0.31%	0.11%
KEY	B	0.05%	0.4%	0.05%
KHC	F	0.08%	0.46%	0.08%
KIM	A	0.05%	0.37%	0.05%
KMI	A	0.14%	0.85%	0.14%
KR	B	0.11%	0.72%	0.11%
LOW	D	0.43%	0.17%	0.17%
LYB	F	0.06%	0.76%	0.06%
MAS	D	0.05%	0.16%	0.05%
MDLZ	F	0.25%	0.15%	0.15%
MDT	D	0.31%	0.16%	0.16%
MPC	D	0.15%	0.85%	0.15%
MS	A	0.46%	0.65%	0.46%
MTB	A	0.1%	0.61%	0.1%
NKE	D	0.26%	0.15%	0.15%
NWSA	B	0.03%	0.38%	0.03%
OKE	A	0.18%	0.42%	0.18%
OMC	C	0.06%	0.17%	0.06%
ON	D	0.08%	0.65%	0.08%
OXY	D	0.1%	0.86%	0.1%
PCAR	B	0.17%	1.02%	0.17%
PEP	F	0.63%	0.17%	0.17%
PFG	D	0.05%	0.17%	0.05%
PHM	D	0.07%	0.79%	0.07%
PNC	B	0.23%	0.39%	0.23%
PPG	F	0.08%	0.33%	0.08%
PRU	A	0.12%	0.36%	0.12%
PSX	C	0.15%	0.87%	0.15%
PYPL	B	0.25%	0.19%	0.19%
RF	A	0.07%	0.58%	0.07%
RJF	A	0.08%	0.46%	0.08%
SBUX	A	0.32%	0.17%	0.17%
SLB	C	0.17%	0.73%	0.17%
SRE	A	0.16%	0.76%	0.16%
STT	A	0.08%	0.55%	0.08%
SYF	B	0.07%	1.14%	0.07%
SYY	B	0.11%	0.49%	0.11%
T	A	0.45%	0.89%	0.45%
TGT	F	0.2%	0.5%	0.2%
TROW	B	0.07%	0.97%	0.07%
TRV	B	0.16%	0.56%	0.16%
TSN	B	0.05%	0.38%	0.05%
ULTA	F	0.05%	0.5%	0.05%
UPS	C	0.27%	0.17%	0.17%
USB	A	0.22%	0.56%	0.22%
VLO	C	0.12%	0.91%	0.12%
WY	D	0.06%	0.16%	0.06%
XOM	B	1.5%	0.9%	0.9%
ZBH	C	0.06%	0.71%	0.06%

EFIV Overweight 198 Positions Relative to FTA

Symbol	Grade	Weight
NVDA	C	10.02%
AAPL	C	9.53%
MSFT	F	8.8%
GOOGL	C	2.92%
TSLA	B	2.55%
GOOG	C	2.42%
JPM	A	1.91%
LLY	F	1.79%
UNH	C	1.56%
V	A	1.44%
MA	C	1.2%
COST	B	1.15%
PG	A	1.09%
WMT	A	1.03%
CRM	B	0.92%
ABBV	D	0.84%
MRK	F	0.7%
KO	D	0.68%
ADBE	C	0.66%
AMD	F	0.63%
LIN	D	0.61%
MCD	D	0.59%
ABT	B	0.56%
GE	D	0.55%
CAT	B	0.52%
GS	A	0.52%
QCOM	F	0.5%
AXP	A	0.45%
AMGN	D	0.45%
SPGI	C	0.45%
DHR	F	0.43%
UBER	D	0.42%
AMAT	F	0.42%
NEE	D	0.42%
UNP	C	0.41%
ETN	A	0.41%
BLK	C	0.4%
TJX	A	0.38%
SYK	C	0.37%
BSX	B	0.36%
ADP	B	0.35%
FI	A	0.34%
SCHW	B	0.33%
TMUS	B	0.33%
BMY	B	0.33%
GILD	C	0.32%
MU	D	0.31%
MMC	B	0.31%
PLD	D	0.3%
LRCX	F	0.27%
TT	A	0.26%
ICE	C	0.25%
SHW	A	0.25%
PH	A	0.25%
AMT	D	0.25%
REGN	F	0.24%
EQIX	A	0.24%
KLAC	D	0.24%
CMG	B	0.23%
CME	A	0.23%
WM	A	0.23%
AON	A	0.23%
WELL	A	0.22%
ZTS	D	0.22%
ITW	B	0.21%
CL	D	0.21%
EMR	A	0.21%
MCO	B	0.21%
CTAS	B	0.21%
BDX	F	0.19%
MAR	B	0.19%
ADSK	A	0.19%
WMB	A	0.19%
ECL	D	0.18%
AJG	B	0.18%
NSC	B	0.17%
FCX	D	0.17%
HLT	A	0.17%
TFC	A	0.17%
BK	A	0.16%
JCI	C	0.16%
URI	B	0.16%
ALL	A	0.15%
GWW	B	0.15%
PSA	D	0.15%
DLR	B	0.15%
AMP	A	0.15%
RCL	A	0.15%
FIS	C	0.14%
MSCI	C	0.14%
AME	A	0.13%
PAYX	C	0.13%
ROST	C	0.13%
NEM	D	0.13%
MET	A	0.13%
PWR	A	0.13%
IR	B	0.12%
TRGP	B	0.12%
PEG	A	0.12%
COR	B	0.12%
AXON	A	0.12%
RSG	A	0.12%
DFS	B	0.12%
ACGL	D	0.11%
YUM	B	0.11%
A	D	0.11%
EA	A	0.11%
HES	B	0.11%
EW	C	0.11%
OTIS	C	0.11%
CBRE	B	0.11%
VRSK	A	0.11%
RMD	C	0.1%
WAB	B	0.1%
EXR	D	0.1%
IDXX	F	0.1%
LULU	C	0.1%
CAH	B	0.09%
CSGP	D	0.09%
WTW	B	0.09%
ROK	B	0.09%
AVB	B	0.09%
NDAQ	A	0.09%
IRM	D	0.09%
DECK	A	0.08%
DOV	A	0.08%
TTWO	A	0.08%
GPN	B	0.08%
XYL	D	0.08%
TSCO	D	0.08%
HUBB	B	0.07%
CCL	B	0.07%
SW	A	0.07%
MTD	D	0.07%
CPAY	A	0.07%
BR	A	0.07%
VTR	C	0.07%
CBOE	B	0.06%
WDC	D	0.06%
NTRS	A	0.06%
ES	D	0.06%
K	A	0.06%
EXPE	B	0.06%
IFF	D	0.06%
WAT	B	0.06%
SBAC	D	0.06%
AVY	D	0.05%
BAX	D	0.05%
LVS	C	0.05%
PNR	A	0.05%
FDS	B	0.05%
BALL	D	0.05%
MKC	D	0.05%
JKHY	D	0.04%
ALB	C	0.04%
INCY	C	0.04%
POOL	C	0.04%
CHRW	C	0.04%
SWK	D	0.04%
UDR	B	0.04%
MRNA	F	0.04%
AMCR	D	0.04%
EL	F	0.04%
RVTY	F	0.04%
TFX	F	0.03%
GL	B	0.03%
MKTX	D	0.03%
LKQ	D	0.03%
CRL	C	0.03%
IPG	D	0.03%
AIZ	A	0.03%
TAP	C	0.03%
LW	C	0.03%
BXP	D	0.03%
SJM	D	0.03%
TPR	B	0.03%
NCLH	B	0.03%
REG	B	0.03%
KMX	B	0.03%
ALLE	D	0.03%
DAY	B	0.03%
HST	C	0.03%
WBA	F	0.02%
PARA	C	0.02%
BEN	C	0.02%
FMC	D	0.02%
DVA	B	0.02%
MHK	D	0.02%
BWA	D	0.02%
IVZ	B	0.02%
WYNN	D	0.02%
RL	B	0.02%
HAS	D	0.02%
MOS	F	0.02%
CZR	F	0.02%
FRT	B	0.02%
MGM	D	0.02%
NWS	B	0.01%

EFIV Underweight 71 Positions Relative to FTA

Symbol	Grade	Weight
UAL	A	-1.4%
FOXA	B	-0.98%
EOG	A	-0.97%
STLD	B	-0.96%
CINF	A	-0.96%
RS	B	-0.94%
COP	C	-0.94%
CTRA	B	-0.93%
F	C	-0.92%
WFC	A	-0.9%
TOL	B	-0.87%
NUE	C	-0.85%
LNG	B	-0.82%
BG	F	-0.8%
LEN	D	-0.79%
OC	A	-0.78%
VTRS	A	-0.76%
FDX	B	-0.75%
CRBG	B	-0.74%
L	A	-0.74%
XEL	A	-0.74%
ATO	A	-0.73%
CTSH	B	-0.73%
CNP	B	-0.72%
AEE	A	-0.72%
ALLY	C	-0.71%
VZ	C	-0.64%
DG	F	-0.64%
SNA	A	-0.63%
CHTR	C	-0.62%
SWKS	F	-0.6%
IP	B	-0.6%
TDY	B	-0.56%
LUV	C	-0.56%
NI	A	-0.53%
PPL	B	-0.51%
TXT	D	-0.5%
D	C	-0.5%
LNT	A	-0.5%
DUK	C	-0.49%
DTE	C	-0.48%
CE	F	-0.48%
BLDR	D	-0.48%
AEP	D	-0.47%
STX	D	-0.46%
ZM	B	-0.42%
PKG	A	-0.38%
RGA	A	-0.37%
DRI	B	-0.36%
WEC	A	-0.35%
SSNC	B	-0.35%
CMS	C	-0.34%
FNF	B	-0.34%
NVR	D	-0.33%
JNJ	D	-0.33%
FE	C	-0.32%
MOH	F	-0.31%
WLK	D	-0.3%
ODFL	B	-0.19%
LHX	C	-0.18%
WRB	A	-0.18%
LH	C	-0.18%
J	F	-0.18%
KEYS	A	-0.17%
GD	F	-0.17%
NDSN	B	-0.17%
MAA	B	-0.17%
CLX	B	-0.17%
EXPD	D	-0.16%
LMT	D	-0.16%
DD	D	-0.16%