FXZ vs. SMLL ETF Comparison

Comparison of First Trust Materials AlphaDEX Fund (FXZ) to Harbor ETF Trust Harbor Active Small Cap ETF (SMLL)

FXZ

First Trust Materials AlphaDEX Fund

FXZ 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 StrataQuant(R) Materials 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 NYSE Euronext to objectively identify and select stocks from the Russell 1000(R) Index in the materials and processing sector 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

$66.64

Average Daily Volume

37,542

Number of Holdings ^*

* may have additional holdings in another (foreign) market

SMLL

Harbor ETF Trust Harbor Active Small Cap ETF

SMLL Description

The investment seeks daily investment results, before fees and expenses, of 200% of the daily performance of the Russell 2000® Index. The fund invests at least 80% of its net assets (plus borrowing for investment purposes) in financial instruments, such as swap agreements, and securities of the index, ETFs that track the index and other financial instruments that provide daily leveraged exposure to the index or ETFs that track the index. The index measures the performance of approximately 2,000 small-cap companies in the Russell 3000® Index, based on a combination of their market capitalization and current index membership. The fund is non-diversified.

Grade (RS Rating)

Last Trade

$20.25

Average Daily Volume

15,176

Number of Holdings ^*

* may have additional holdings in another (foreign) market

Performance

Period	FXZ	SMLL
30 Days	1.91%	2.95%
60 Days	4.38%
90 Days	3.50%
12 Months	9.86%

1 Overlapping Holdings

	Symbol	Grade	Weight in FXZ	Weight in SMLL	Overlap
	RS	D	4.66%	3.53%	3.53%

FXZ Overweight 36 Positions Relative to SMLL

Symbol	Grade	Weight
FMC	B	5.27%
CE	D	4.63%
STLD	B	4.48%
NUE	D	4.37%
X	F	4.3%
CF	A	4.26%
MOS	D	4.26%
EMN	C	4.2%
NEU	F	3.94%
TKR	D	3.87%
OLN	D	3.74%
LYB	D	3.69%
CLF	D	3.05%
APD	C	2.78%
RGLD	C	2.71%
SCCO	B	2.61%
ECL	B	2.59%
AVY	C	2.44%
ALB	D	2.39%
VVV	D	2.34%
ASH	F	2.22%
FAST	B	2.09%
IP	C	2.08%
RBC	C	2.04%
LIN	B	2.0%
HUN	B	1.95%
WLK	C	1.91%
FCX	B	1.89%
MP	B	1.12%
SMG	A	1.07%
NEM	C	1.03%
IFF	C	0.89%
ESI	B	0.81%
HXL	F	0.8%
AA	B	0.78%
CC	D	0.72%

FXZ Underweight 9 Positions Relative to SMLL

Symbol	Grade	Weight
SSNC	C	-5.33%
LBRT	F	-4.88%
KNSL	D	-4.56%
DOCS	A	-4.41%
HLMN	C	-4.21%
RELY	F	-3.49%
PCTY	B	-3.42%
ZG	C	-3.29%
FOUR	B	-3.12%