FTA vs. NUMV ETF Comparison

Comparison of First Trust Large Cap Value AlphaDEX Fund (based onthe Defined Large Cap Value Index (FTA) to NuShares ESG Mid-Cap Value ETF (NUMV)

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

NUMV

NuShares ESG Mid-Cap Value ETF

NUMV Description

The Fund seeks to track the investments results, before fees and expenses, of the TIAA ESG USA Mid-Cap Value Index.

Grade (RS Rating)

Last Trade

$37.72

Average Daily Volume

26,135

Number of Holdings ^*

* may have additional holdings in another (foreign) market

Performance

Period	FTA	NUMV
30 Days	4.88%	3.46%
60 Days	5.23%	3.19%
90 Days	6.80%	5.42%
12 Months	26.69%	29.93%

38 Overlapping Holdings

Symbol	Grade	Weight in FTA	Weight in NUMV	Overlap
AKAM	D	0.45%	0.78%	0.45%
ALLY	C	0.71%	1.02%	0.71%
APTV	D	0.66%	0.61%	0.61%
ARE	D	0.32%	1.1%	0.32%
ATO	A	0.73%	1.79%	0.73%
AWK	D	0.15%	1.66%	0.15%
BG	F	0.8%	1.28%	0.8%
BKR	B	0.61%	2.42%	0.61%
CAG	D	0.14%	0.43%	0.14%
CFG	B	0.8%	0.07%	0.07%
CLX	B	0.17%	0.16%	0.16%
DGX	A	0.52%	0.42%	0.42%
DOC	D	0.33%	1.47%	0.33%
EXPD	D	0.16%	1.33%	0.16%
FITB	A	0.57%	0.8%	0.57%
GPC	D	0.31%	1.02%	0.31%
HBAN	A	0.84%	1.92%	0.84%
HIG	B	0.69%	1.98%	0.69%
HOLX	D	0.16%	1.16%	0.16%
HPE	B	0.92%	1.68%	0.92%
HRL	D	0.49%	0.49%	0.49%
IEX	B	0.18%	0.35%	0.18%
J	F	0.18%	0.08%	0.08%
JBHT	C	0.38%	0.61%	0.38%
KEYS	A	0.17%	1.16%	0.17%
KIM	A	0.37%	0.02%	0.02%
LH	C	0.18%	0.81%	0.18%
LYB	F	0.76%	1.47%	0.76%
NI	A	0.53%	1.67%	0.53%
OC	A	0.78%	1.66%	0.78%
OKE	A	0.42%	2.82%	0.42%
PFG	D	0.17%	1.76%	0.17%
PHM	D	0.79%	1.81%	0.79%
PPG	F	0.33%	1.21%	0.33%
STLD	B	0.96%	0.92%	0.92%
STT	A	0.55%	0.77%	0.55%
SYF	B	1.14%	0.28%	0.28%
ULTA	F	0.5%	0.77%	0.5%

FTA Overweight 148 Positions Relative to NUMV

Symbol	Grade	Weight
UAL	A	1.4%
GM	B	1.13%
DAL	C	1.12%
PCAR	B	1.02%
FOXA	B	0.98%
EOG	A	0.97%
TROW	B	0.97%
CVX	A	0.96%
CINF	A	0.96%
RS	B	0.94%
COP	C	0.94%
CTRA	B	0.93%
F	C	0.92%
AIG	B	0.91%
HAL	C	0.91%
VLO	C	0.91%
CMCSA	B	0.91%
XOM	B	0.9%
WFC	A	0.9%
T	A	0.89%
DVN	F	0.88%
PSX	C	0.87%
TOL	B	0.87%
COF	B	0.86%
OXY	D	0.86%
KMI	A	0.85%
MPC	D	0.85%
NUE	C	0.85%
EG	C	0.82%
EQT	B	0.82%
LNG	B	0.82%
LEN	D	0.79%
ETR	B	0.78%
CVS	D	0.77%
ADM	D	0.77%
SRE	A	0.76%
VTRS	A	0.76%
C	A	0.76%
INTC	D	0.75%
FDX	B	0.75%
CRBG	B	0.74%
L	A	0.74%
XEL	A	0.74%
FANG	D	0.74%
SLB	C	0.73%
CTSH	B	0.73%
CNP	B	0.72%
AEE	A	0.72%
KR	B	0.72%
ZBH	C	0.71%
CB	C	0.7%
CF	B	0.7%
EXC	C	0.66%
ON	D	0.65%
MS	A	0.65%
VZ	C	0.64%
DG	F	0.64%
ED	D	0.64%
SNA	A	0.63%
CHTR	C	0.62%
MTB	A	0.61%
SWKS	F	0.6%
IP	B	0.6%
DHI	D	0.6%
BAC	A	0.59%
RF	A	0.58%
TDY	B	0.56%
LUV	C	0.56%
TRV	B	0.56%
USB	A	0.56%
CNC	D	0.55%
PPL	B	0.51%
TXT	D	0.5%
D	C	0.5%
LNT	A	0.5%
AFL	B	0.5%
EQR	B	0.5%
TGT	F	0.5%
EBAY	D	0.49%
DUK	C	0.49%
SYY	B	0.49%
DTE	C	0.48%
CE	F	0.48%
BLDR	D	0.48%
DE	A	0.48%
AEP	D	0.47%
STX	D	0.46%
RJF	A	0.46%
KHC	F	0.46%
BBY	D	0.45%
BIIB	F	0.44%
ZM	B	0.42%
DOW	F	0.42%
DIS	B	0.4%
KEY	B	0.4%
PNC	B	0.39%
TSN	B	0.38%
CSCO	B	0.38%
NWSA	B	0.38%
PKG	A	0.38%
RGA	A	0.37%
HPQ	B	0.36%
DRI	B	0.36%
CSX	B	0.36%
PRU	A	0.36%
WEC	A	0.35%
SSNC	B	0.35%
CMS	C	0.34%
FNF	B	0.34%
NVR	D	0.33%
CARR	D	0.33%
HSY	F	0.33%
JNJ	D	0.33%
EIX	B	0.33%
FE	C	0.32%
GIS	D	0.31%
MOH	F	0.31%
KDP	D	0.31%
HUM	C	0.31%
WLK	D	0.3%
ELV	F	0.27%
PYPL	B	0.19%
CMI	A	0.19%
ODFL	B	0.19%
ACN	C	0.18%
LHX	C	0.18%
WRB	A	0.18%
APD	A	0.18%
GD	F	0.17%
PEP	F	0.17%
UPS	C	0.17%
NDSN	B	0.17%
CTVA	C	0.17%
MAA	B	0.17%
LOW	D	0.17%
HD	A	0.17%
OMC	C	0.17%
SBUX	A	0.17%
CPB	D	0.16%
WY	D	0.16%
LMT	D	0.16%
DD	D	0.16%
CI	F	0.16%
MAS	D	0.16%
MDT	D	0.16%
FTV	C	0.16%
NKE	D	0.15%
MDLZ	F	0.15%

FTA Underweight 52 Positions Relative to NUMV

Symbol	Grade	Weight
URI	B	-2.61%
IRM	D	-1.93%
CAH	B	-1.92%
HOOD	B	-1.82%
GEN	B	-1.77%
BR	A	-1.66%
TRMB	B	-1.64%
K	A	-1.63%
WTW	B	-1.62%
CBOE	B	-1.59%
BXP	D	-1.58%
AIZ	A	-1.58%
ES	D	-1.57%
STE	F	-1.57%
IFF	D	-1.57%
ALLE	D	-1.53%
SOLV	C	-1.51%
HST	C	-1.51%
FSLR	F	-1.48%
NTAP	C	-1.48%
BALL	D	-1.47%
CBRE	B	-1.43%
WPC	D	-1.37%
WTRG	B	-1.36%
AVTR	F	-1.29%
PNR	A	-1.22%
IPG	D	-1.12%
LKQ	D	-1.09%
FOX	A	-1.05%
XYL	D	-1.01%
IR	B	-0.96%
CHD	B	-0.83%
MKC	D	-0.81%
NTRS	A	-0.79%
MKTX	D	-0.72%
KMX	B	-0.68%
CCK	C	-0.66%
POOL	C	-0.63%
NDAQ	A	-0.59%
CNH	C	-0.56%
DOV	A	-0.5%
DFS	B	-0.37%
BBWI	D	-0.35%
EQH	B	-0.26%
CHRW	C	-0.17%
WDC	D	-0.14%
ACGL	D	-0.1%
REG	B	-0.03%
PARA	C	-0.03%
TTC	D	-0.02%
AVY	D	-0.01%
AVB	B	-0.01%