SMHB vs. FYC ETF Comparison

Comparison of ETRACS Monthly Pay 2x Leveraged Small Cap High Dividend ETN Series B (SMHB) to First Trust Small Cap Growth AlphaDEX Fund (FYC)

SMHB

ETRACS Monthly Pay 2x Leveraged Small Cap High Dividend ETN Series B

SMHB Description

The investment seeks to provide a two times leveraged return linked to the compounded monthly performance of the Solactive US Small Cap High Dividend Index (the “index”). The index is designed to measure the performance of 100 relatively small capitalization, dividend yielding index constituent securities selected from a universe of qualifying U.S. listed equity securities. The Securities are two times leveraged with respect to the index and, as a result, will benefit from two times any beneficial, but will be exposed to two times any adverse, compounded monthly performance of the index.

Grade (RS Rating)

Last Trade

$6.24

Average Daily Volume

39,036

Number of Holdings ^*

* may have additional holdings in another (foreign) market

FYC

First Trust Small Cap Growth AlphaDEX Fund

FYC 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 Small Cap Growth 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 SmallCap 600(R) Growth 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

$73.50

Average Daily Volume

22,068

Number of Holdings ^*

241

* may have additional holdings in another (foreign) market

Performance

Period	SMHB	FYC
30 Days	6.21%	5.64%
60 Days	12.19%	12.72%
90 Days	16.29%	12.69%
12 Months	39.64%	35.58%

13 Overlapping Holdings

Symbol	Grade	Weight in SMHB	Weight in FYC	Overlap
ALX	D	0.45%	0.36%	0.36%
AROC	B	0.53%	0.57%	0.53%
CTRE	C	1.16%	0.28%	0.28%
FCPT	C	1.0%	0.13%	0.13%
GBDC	B	0.73%	0.32%	0.32%
LADR	D	0.62%	0.24%	0.24%
LTC	D	0.91%	0.24%	0.24%
NHI	C	1.64%	0.55%	0.55%
PMT	B	1.35%	0.47%	0.47%
SBRA	C	2.38%	0.4%	0.4%
SCS	D	0.65%	0.46%	0.46%
SLG	C	4.87%	0.56%	0.56%
VGR	B	0.79%	0.32%	0.32%

SMHB Overweight 78 Positions Relative to FYC

Symbol	Grade	Weight
XRX	D	4.09%
DTM	A	3.81%
BXMT	C	3.43%
DSS	F	2.87%
TWO	D	2.87%
CIM	C	2.62%
ETRN	D	2.49%
BDN	B	2.41%
BGS	D	2.41%
EPR	C	2.34%
ABR	C	2.21%
APAM	B	2.02%
PAGP	B	1.88%
UNIT	B	1.86%
UWMC	D	1.84%
ARR	D	1.65%
ORC	D	1.51%
CCOI	B	1.51%
PSEC	C	1.47%
IVR	C	1.43%
DEA	D	1.35%
MFA	C	1.27%
RWT	C	1.24%
PETS	D	1.13%
MAIN	A	1.09%
HTGC	B	1.03%
ARI	F	1.02%
GNL	D	1.01%
EFC	D	1.0%
PDM	C	0.99%
GSBD	D	0.94%
NEWT	D	0.94%
NYMT	F	0.93%
DX	D	0.89%
KREF	C	0.8%
NWBI	D	0.77%
CODI	D	0.72%
VNOM	A	0.65%
RC	F	0.65%
ACRE	D	0.64%
TSLX	B	0.62%
HESM	C	0.59%
UVV	D	0.54%
OCSL	D	0.54%
GMRE	C	0.5%
ILPT	D	0.49%
BRSP	D	0.49%
WSR	C	0.46%
GTY	C	0.44%
OPI	F	0.4%
RMR	B	0.38%
NMFC	F	0.38%
UHT	D	0.36%
GPMT	D	0.34%
CSWC	B	0.34%
GOOD	A	0.33%
FSP	F	0.29%
TRTX	D	0.29%
TCPC	F	0.27%
AHH	F	0.27%
CGBD	B	0.25%
BCSF	A	0.24%
TPVG	F	0.23%
PFLT	A	0.23%
SLRC	C	0.23%
UVE	C	0.22%
BBDC	A	0.22%
KRO	C	0.2%
EBF	B	0.18%
GAIN	B	0.17%
PNNT	B	0.16%
OLP	C	0.16%
FDUS	C	0.16%
GLAD	A	0.15%
BFS	C	0.14%
TRIN	C	0.12%
CCAP	C	0.1%
REPX	C	0.07%

SMHB Underweight 228 Positions Relative to FYC

Symbol	Grade	Weight
SMMT	D	-1.21%
ADMA	A	-0.98%
ZETA	B	-0.95%
SATS	C	-0.89%
POWL	B	-0.86%
ALHC	C	-0.83%
CRS	B	-0.82%
IESC	A	-0.81%
HWKN	B	-0.78%
PI	A	-0.77%
OSCR	C	-0.75%
PRCT	D	-0.74%
QTWO	B	-0.74%
USLM	C	-0.74%
PTGX	C	-0.73%
CNK	D	-0.73%
ACIW	A	-0.72%
GVA	A	-0.72%
ROAD	C	-0.71%
PJT	A	-0.7%
SMTC	C	-0.7%
STRL	B	-0.69%
SGBX	F	-0.68%
RDNT	C	-0.67%
SPNT	D	-0.67%
LRN	D	-0.67%
TDS	C	-0.66%
DY	C	-0.65%
TRN	C	-0.65%
FTDR	B	-0.65%
MIRM	D	-0.64%
WHD	A	-0.63%
TBBK	A	-0.63%
CSWI	A	-0.63%
ALKT	D	-0.62%
ATGE	D	-0.62%
OSW	B	-0.61%
GERN	D	-0.61%
CORT	B	-0.61%
ITRI	C	-0.61%
TMDX	D	-0.6%
AGIO	D	-0.6%
AZZ	B	-0.6%
CEIX	B	-0.58%
SKYW	B	-0.58%
AMRX	B	-0.58%
UFPT	D	-0.56%
PTCT	C	-0.56%
KRYS	D	-0.55%
BKD	F	-0.55%
IDCC	A	-0.55%
COLL	A	-0.54%
KYMR	D	-0.54%
KTOS	B	-0.53%
PLMR	A	-0.53%
TWST	D	-0.53%
BRC	C	-0.52%
ICFI	C	-0.51%
ARDX	D	-0.51%
HLX	C	-0.51%
SKWD	A	-0.51%
EPAC	A	-0.5%
HURN	D	-0.5%
MBIN	C	-0.5%
HIMS	C	-0.5%
LAUR	C	-0.5%
LMAT	A	-0.5%
MYGN	D	-0.49%
GFF	C	-0.49%
TNDM	D	-0.48%
GRBK	C	-0.48%
TPG	A	-0.47%
TNL	B	-0.47%
AGYS	D	-0.47%
JWN	D	-0.47%
SPR	D	-0.46%
RXST	F	-0.46%
GBX	C	-0.46%
TGLS	B	-0.46%
BOWL	D	-0.46%
RKLB	B	-0.46%
VERX	B	-0.46%
CRDO	B	-0.45%
CAL	F	-0.45%
WRBY	B	-0.45%
FLNC	C	-0.44%
AKR	B	-0.43%
RYTM	C	-0.42%
CPRX	C	-0.42%
CMPR	F	-0.42%
DSGR	A	-0.42%
PRGS	A	-0.41%
CBZ	F	-0.41%
SYBT	C	-0.41%
BCRX	D	-0.41%
IIPR	C	-0.41%
INSW	B	-0.4%
BANF	D	-0.4%
HASI	B	-0.39%
SHAK	A	-0.39%
ESRT	C	-0.39%
YOU	C	-0.39%
CDRE	A	-0.38%
LPG	F	-0.38%
CARG	C	-0.38%
UE	C	-0.38%
NSA	D	-0.38%
CARS	F	-0.38%
MRUS	D	-0.37%
CHCO	D	-0.37%
GIII	C	-0.37%
PAR	D	-0.37%
ACVA	C	-0.37%
NSSC	F	-0.36%
AESI	B	-0.36%
KNTK	A	-0.36%
FORM	D	-0.35%
DOCS	A	-0.35%
LKFN	D	-0.35%
JJSF	C	-0.35%
OSIS	C	-0.35%
SWI	B	-0.35%
BROS	F	-0.35%
GPOR	B	-0.34%
WABC	F	-0.34%
AGM	D	-0.34%
MIR	B	-0.34%
MGNI	D	-0.34%
VECO	F	-0.33%
TNC	F	-0.33%
PK	D	-0.33%
ENV	C	-0.33%
SABR	C	-0.32%
SITM	A	-0.32%
DFH	C	-0.32%
THR	F	-0.32%
ANIP	F	-0.31%
IOSP	F	-0.31%
SMG	C	-0.3%
OUT	C	-0.29%
PDFS	F	-0.29%
HRMY	D	-0.29%
TGI	F	-0.28%
SKT	A	-0.28%
ESE	C	-0.28%
FA	A	-0.28%
ENVX	D	-0.28%
NABL	F	-0.28%
JBI	F	-0.27%
SXI	B	-0.26%
CRNX	C	-0.26%
IVT	B	-0.26%
GH	F	-0.26%
GIC	D	-0.25%
HEES	D	-0.25%
AIV	D	-0.25%
EXTR	D	-0.25%
PRVA	F	-0.24%
DRH	B	-0.24%
JOE	D	-0.24%
RRR	D	-0.23%
SHO	B	-0.23%
FOR	D	-0.23%
TR	D	-0.23%
ETWO	F	-0.22%
MLNK	F	-0.22%
PEB	D	-0.22%
NOVA	F	-0.21%
VCEL	F	-0.21%
YELP	D	-0.21%
ALRM	F	-0.2%
BE	F	-0.2%
ZUO	F	-0.2%
FWRG	F	-0.2%
CLDX	F	-0.2%
AMC	F	-0.2%
TRIP	D	-0.19%
AGL	F	-0.19%
XMTR	F	-0.18%
PD	F	-0.18%
RAMP	F	-0.18%
MYRG	D	-0.17%
VCYT	C	-0.17%
RUN	D	-0.17%
TGTX	D	-0.15%
CWAN	B	-0.15%
RKT	D	-0.15%
MGEE	C	-0.14%
DNLI	C	-0.14%
CLSK	F	-0.14%
INTA	C	-0.14%
IAS	F	-0.13%
AWR	B	-0.13%
KW	C	-0.13%
BANC	D	-0.13%
DOCN	B	-0.13%
AMWD	C	-0.13%
UMH	D	-0.13%
MTRN	F	-0.12%
NEO	F	-0.12%
ALG	F	-0.12%
DBRG	D	-0.12%
UEC	C	-0.12%
JAMF	F	-0.12%
PLYM	D	-0.12%
BEAM	F	-0.12%
PHR	F	-0.12%
CNMD	F	-0.12%
WINA	C	-0.12%
RNG	F	-0.12%
DRVN	C	-0.12%
CTKB	F	-0.11%
GTX	F	-0.11%
UPWK	D	-0.11%
PLAB	D	-0.11%
RES	C	-0.11%
EVTC	D	-0.11%
ROCK	D	-0.11%
NTST	F	-0.11%
LMND	F	-0.11%
NARI	F	-0.1%
WNC	F	-0.1%
VC	F	-0.1%
MCW	F	-0.1%
CXM	F	-0.09%
AI	D	-0.09%
BASE	F	-0.09%
PLAY	D	-0.09%

SMHB: Top Represented Industries & Keywords

Industries: Asset Management REIT - Diversified REIT - Office REIT - Healthcare Facilities REIT - Retail Oil & Gas Midstream REIT - Residential Credit Services Business Equipment REIT - Industrial Specialty Finance Tobacco Business Services Conglomerates Information Technology Services Insurance - Property & Casualty Oil & Gas E&P Oil & Gas Equipment & Services Packaged Foods Pharmaceutical Retailers