SMCP vs. FNK ETF Comparison

Comparison of AlphaMark Actively Managed Small Cap ETF (SMCP) to First Trust Mid Cap Value AlphaDEX Fund (FNK)

SMCP

AlphaMark Actively Managed Small Cap ETF

SMCP Description

The investment seeks long-term growth of capital. Under normal circumstances, the fund will invest at least 80% of its net assets (plus any borrowings for investment purposes) in equity securities of small cap companies listed on a U.S. exchange. It defines "equity securities" to include common and preferred stock, American Depositary Receipts ("ADRs"), real estate investment trusts ("REITs"), and exchange-traded funds ("ETFs"). The fund may invest up to 30% of its net assets in foreign equity securities of small cap companies traded on a U.S. exchange as ADRs, which may include companies in emerging markets. It is non-diversified.

Grade (RS Rating)

Last Trade

$34.66

Average Daily Volume

2,212

Number of Holdings ^*

* may have additional holdings in another (foreign) market

FNK

First Trust Mid Cap Value AlphaDEX Fund

FNK Description

The investment seeks results that correspond generally to the price and yield (before the fund's fees and expenses) of an equity index called the Defined Mid 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 MidCap 400(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

$56.37

Average Daily Volume

10,011

Number of Holdings ^*

223

* may have additional holdings in another (foreign) market

Performance

Period	SMCP	FNK
30 Days	6.32%	4.67%
60 Days	5.82%	4.34%
90 Days	6.73%	3.76%
12 Months	35.27%	25.77%

30 Overlapping Holdings

Symbol	Grade	Weight in SMCP	Weight in FNK	Overlap
AEO	F	0.76%	0.35%	0.35%
ALKS	C	0.96%	0.28%	0.28%
AMR	C	0.82%	0.74%	0.74%
ASO	F	0.87%	0.58%	0.58%
ATKR	D	0.85%	0.75%	0.75%
BCC	B	0.97%	0.58%	0.58%
CADE	B	1.15%	0.68%	0.68%
COOP	B	1.0%	0.61%	0.61%
CRC	A	1.07%	0.32%	0.32%
DIOD	D	0.76%	0.24%	0.24%
ENS	F	0.9%	0.41%	0.41%
ESNT	F	0.84%	0.63%	0.63%
HP	C	0.85%	0.8%	0.8%
HWC	B	1.09%	0.32%	0.32%
JXN	C	1.08%	0.8%	0.8%
KBH	D	0.87%	0.52%	0.52%
KFY	B	0.99%	0.29%	0.29%
LBRT	D	0.73%	0.67%	0.67%
MATX	C	1.11%	0.63%	0.63%
MHO	D	0.96%	0.65%	0.65%
MTH	D	0.89%	0.63%	0.63%
PTEN	C	0.81%	0.78%	0.78%
RDN	D	0.91%	0.71%	0.71%
SIG	B	1.18%	0.53%	0.53%
TMHC	C	1.03%	0.71%	0.71%
TPH	D	0.92%	0.66%	0.66%
UFPI	C	1.0%	0.28%	0.28%
UMBF	B	1.15%	0.17%	0.17%
WD	D	0.95%	0.14%	0.14%
WTS	B	1.04%	0.15%	0.15%

SMCP Overweight 66 Positions Relative to FNK

Symbol	Grade	Weight
LUMN	C	1.63%
STRL	A	1.51%
CORT	B	1.41%
RIOT	C	1.36%
TCBI	C	1.32%
SFM	A	1.29%
HQY	A	1.21%
MARA	B	1.21%
CVBF	A	1.2%
TGNA	B	1.18%
JBT	B	1.17%
HTLF	B	1.16%
IDCC	B	1.15%
CEIX	A	1.14%
CARG	B	1.14%
KNF	B	1.14%
AX	B	1.13%
CATY	B	1.12%
ARCH	B	1.11%
PBH	A	1.11%
MWA	B	1.1%
MGEE	B	1.1%
VCYT	B	1.09%
FULT	A	1.07%
QLYS	B	1.07%
APAM	B	1.07%
ACIW	B	1.06%
FFBC	B	1.06%
BTU	B	1.05%
WSFS	B	1.03%
SMPL	B	1.02%
IOSP	C	1.02%
CVLT	B	1.01%
BMI	B	1.01%
APLE	B	1.0%
CPRX	C	0.99%
HNI	B	0.99%
NPO	A	0.98%
MMSI	A	0.98%
CPK	A	0.97%
WHD	B	0.96%
CABO	B	0.95%
FBP	C	0.94%
BUR	C	0.93%
NHI	D	0.92%
ENSG	C	0.91%
FCPT	C	0.91%
POWI	F	0.9%
YOU	D	0.9%
IPAR	B	0.9%
NMIH	C	0.89%
ICFI	F	0.88%
BNL	D	0.87%
LANC	C	0.86%
LXP	D	0.85%
KRYS	C	0.84%
HALO	F	0.84%
SPSC	D	0.81%
FORM	D	0.79%
IIPR	D	0.79%
NEOG	F	0.78%
LNTH	D	0.73%
STNE	F	0.67%
STNG	F	0.65%
ACLS	F	0.62%
PAGS	F	0.55%

SMCP Underweight 193 Positions Relative to FNK

Symbol	Grade	Weight
CNX	A	-0.87%
MTDR	B	-0.86%
OVV	B	-0.85%
AGO	B	-0.84%
NOG	B	-0.84%
SM	B	-0.81%
OSK	C	-0.79%
TAP	C	-0.78%
CMC	B	-0.78%
AL	B	-0.77%
HCC	B	-0.76%
AMG	B	-0.75%
CIVI	D	-0.74%
PBF	D	-0.73%
PVH	C	-0.72%
CHRD	D	-0.72%
NOV	C	-0.72%
URBN	C	-0.72%
UGI	C	-0.71%
UNM	A	-0.71%
MUR	D	-0.71%
NFE	D	-0.71%
TEX	F	-0.71%
DINO	D	-0.7%
MTG	C	-0.7%
RNR	C	-0.69%
LAD	A	-0.68%
BWA	D	-0.68%
G	B	-0.66%
DAR	C	-0.66%
RUSHA	C	-0.66%
APA	D	-0.66%
OZK	B	-0.65%
MGY	A	-0.65%
DDS	B	-0.65%
LBRDK	C	-0.65%
R	B	-0.64%
CNO	B	-0.64%
LNC	C	-0.64%
RRC	B	-0.64%
BEN	C	-0.63%
LEA	F	-0.63%
HOG	D	-0.62%
FMC	D	-0.61%
GPI	B	-0.61%
JAZZ	B	-0.61%
EVRG	A	-0.6%
BKH	A	-0.6%
PNW	A	-0.6%
ADTN	A	-0.6%
SR	A	-0.59%
HRI	C	-0.59%
OTTR	C	-0.59%
NFG	A	-0.59%
GBDC	D	-0.59%
AAP	D	-0.59%
FHN	A	-0.57%
BBWI	C	-0.57%
HST	C	-0.57%
KRC	B	-0.57%
SOLV	D	-0.56%
MOS	F	-0.56%
M	F	-0.56%
AVT	C	-0.56%
WBS	A	-0.56%
POR	C	-0.56%
DXC	B	-0.55%
MDU	D	-0.55%
SUM	B	-0.54%
ZION	B	-0.54%
CNXC	F	-0.53%
WCC	B	-0.52%
FNB	A	-0.51%
ALK	B	-0.51%
OMF	A	-0.51%
COLB	B	-0.51%
CLF	F	-0.51%
UHS	D	-0.5%
ARW	D	-0.5%
SANM	B	-0.49%
VLY	B	-0.49%
GMS	B	-0.48%
AMKR	D	-0.48%
BYD	B	-0.48%
ABG	C	-0.47%
AXS	A	-0.47%
SWX	B	-0.46%
OGE	A	-0.46%
BERY	C	-0.46%
JBL	C	-0.46%
OGS	A	-0.45%
GL	C	-0.45%
WHR	B	-0.45%
INGR	C	-0.44%
RIG	D	-0.44%
NXST	C	-0.43%
PAG	B	-0.43%
THO	B	-0.43%
SNX	D	-0.42%
POST	C	-0.41%
BC	C	-0.41%
LKQ	F	-0.41%
SJM	D	-0.4%
SON	F	-0.4%
AN	C	-0.4%
EMN	C	-0.4%
WU	F	-0.39%
ASH	F	-0.38%
OLN	F	-0.37%
BECN	B	-0.36%
PII	F	-0.35%
WTFC	A	-0.35%
MLI	B	-0.35%
SEIC	B	-0.34%
OGN	F	-0.34%
UBSI	B	-0.33%
CMA	B	-0.33%
HGV	C	-0.33%
PB	B	-0.33%
IDA	A	-0.33%
ACA	A	-0.32%
BOKF	B	-0.32%
ABCB	B	-0.32%
HII	F	-0.32%
AIZ	A	-0.32%
VNT	C	-0.32%
AR	B	-0.32%
SLM	A	-0.31%
ORI	A	-0.31%
LPX	B	-0.31%
PNM	B	-0.31%
SLGN	A	-0.3%
KNX	C	-0.3%
CUZ	B	-0.3%
MIDD	C	-0.29%
COLM	C	-0.29%
JWN	D	-0.29%
WTRG	B	-0.29%
CRL	D	-0.28%
MSM	C	-0.28%
AGCO	D	-0.28%
FIVE	F	-0.28%
ASGN	F	-0.27%
REYN	D	-0.26%
TKR	D	-0.26%
WPC	C	-0.26%
TNET	F	-0.26%
SKX	D	-0.26%
MMS	F	-0.25%
IPG	D	-0.25%
UHAL	D	-0.24%
PNFP	B	-0.18%
EPAM	B	-0.17%
JEF	A	-0.17%
TPR	B	-0.17%
SSB	B	-0.16%
RHI	C	-0.16%
FLR	B	-0.16%
AUB	B	-0.16%
GXO	B	-0.16%
UCB	A	-0.16%
AVNT	B	-0.15%
FELE	B	-0.15%
HSIC	C	-0.15%
SKY	A	-0.15%
PRGO	C	-0.15%
NJR	A	-0.15%
VOYA	B	-0.15%
WAL	B	-0.15%
ALIT	C	-0.15%
AFG	A	-0.15%
DNB	B	-0.15%
SEM	B	-0.15%
BJ	A	-0.15%
MUSA	B	-0.15%
PFGC	B	-0.15%
RYN	D	-0.14%
FUL	F	-0.14%
TTC	C	-0.14%
MGM	D	-0.14%
BPOP	C	-0.14%
STWD	C	-0.14%
SEE	C	-0.14%
MAT	D	-0.14%
LSTR	D	-0.14%
FAF	A	-0.14%
IVZ	B	-0.14%
CZR	F	-0.13%
IAC	F	-0.13%
LFUS	D	-0.13%
FBIN	D	-0.12%
NSP	F	-0.12%
OPCH	D	-0.1%