FTA vs. HAP ETF Comparison

Comparison of First Trust Large Cap Value AlphaDEX Fund (based onthe Defined Large Cap Value Index (FTA) to Market Vectors Hard Assets Producers ETF (HAP)

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

HAP

Market Vectors Hard Assets Producers ETF

HAP Description

The investment seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of The RogersÃ¤-Van Eck Hard Assets Producers Index. The fund normally invests at least 80% of its total assets in equity securities, which may include depositary receipts, of U.S. and foreign hard asset producer companies. It may concentrate its investments in a particular industry or group of industries to the extent that the Hard Assets Producers Index concentrates in an industry or group of industries. The fund is non-diversified.

Grade (RS Rating)

Last Trade

$50.83

Average Daily Volume

4,530

Number of Holdings ^*

* may have additional holdings in another (foreign) market

Performance

Period	FTA	HAP
30 Days	4.88%	-1.52%
60 Days	5.23%	-1.83%
90 Days	6.80%	-0.94%
12 Months	26.69%	8.79%

25 Overlapping Holdings

Symbol	Grade	Weight in FTA	Weight in HAP	Overlap
ADM	D	0.77%	1.47%	0.77%
BG	F	0.8%	0.85%	0.8%
CF	B	0.7%	1.07%	0.7%
COP	C	0.94%	1.16%	0.94%
CTVA	C	0.17%	2.83%	0.17%
CVX	A	0.96%	5.84%	0.96%
DE	A	0.48%	5.05%	0.48%
DVN	F	0.88%	0.24%	0.24%
EOG	A	0.97%	0.56%	0.56%
FANG	D	0.74%	0.43%	0.43%
HAL	C	0.91%	0.2%	0.2%
KMI	A	0.85%	0.5%	0.5%
LNG	B	0.82%	0.49%	0.49%
MPC	D	0.85%	0.49%	0.49%
NUE	C	0.85%	0.96%	0.85%
OKE	A	0.42%	0.56%	0.42%
OXY	D	0.86%	0.33%	0.33%
PSX	C	0.87%	0.5%	0.5%
RS	B	0.94%	0.59%	0.59%
SLB	C	0.73%	0.49%	0.49%
STLD	B	0.96%	0.73%	0.73%
TSN	B	0.38%	1.42%	0.38%
VLO	C	0.91%	0.42%	0.42%
WY	D	0.16%	0.65%	0.16%
XOM	B	0.9%	5.47%	0.9%

FTA Overweight 161 Positions Relative to HAP

Symbol	Grade	Weight
UAL	A	1.4%
SYF	B	1.14%
GM	B	1.13%
DAL	C	1.12%
PCAR	B	1.02%
FOXA	B	0.98%
TROW	B	0.97%
CINF	A	0.96%
CTRA	B	0.93%
HPE	B	0.92%
F	C	0.92%
AIG	B	0.91%
CMCSA	B	0.91%
WFC	A	0.9%
T	A	0.89%
TOL	B	0.87%
COF	B	0.86%
HBAN	A	0.84%
EG	C	0.82%
EQT	B	0.82%
CFG	B	0.8%
PHM	D	0.79%
LEN	D	0.79%
OC	A	0.78%
ETR	B	0.78%
CVS	D	0.77%
LYB	F	0.76%
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%
ATO	A	0.73%
CTSH	B	0.73%
CNP	B	0.72%
AEE	A	0.72%
KR	B	0.72%
ZBH	C	0.71%
ALLY	C	0.71%
CB	C	0.7%
HIG	B	0.69%
APTV	D	0.66%
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%
BKR	B	0.61%
MTB	A	0.61%
SWKS	F	0.6%
IP	B	0.6%
DHI	D	0.6%
BAC	A	0.59%
RF	A	0.58%
FITB	A	0.57%
TDY	B	0.56%
LUV	C	0.56%
TRV	B	0.56%
USB	A	0.56%
STT	A	0.55%
CNC	D	0.55%
NI	A	0.53%
DGX	A	0.52%
PPL	B	0.51%
TXT	D	0.5%
D	C	0.5%
LNT	A	0.5%
AFL	B	0.5%
EQR	B	0.5%
ULTA	F	0.5%
TGT	F	0.5%
EBAY	D	0.49%
HRL	D	0.49%
DUK	C	0.49%
SYY	B	0.49%
DTE	C	0.48%
CE	F	0.48%
BLDR	D	0.48%
AEP	D	0.47%
STX	D	0.46%
RJF	A	0.46%
KHC	F	0.46%
AKAM	D	0.45%
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%
JBHT	C	0.38%
CSCO	B	0.38%
NWSA	B	0.38%
PKG	A	0.38%
RGA	A	0.37%
KIM	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%
DOC	D	0.33%
CARR	D	0.33%
PPG	F	0.33%
HSY	F	0.33%
JNJ	D	0.33%
EIX	B	0.33%
ARE	D	0.32%
FE	C	0.32%
GIS	D	0.31%
GPC	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%
LH	C	0.18%
IEX	B	0.18%
J	F	0.18%
KEYS	A	0.17%
GD	F	0.17%
PEP	F	0.17%
UPS	C	0.17%
NDSN	B	0.17%
MAA	B	0.17%
LOW	D	0.17%
HD	A	0.17%
PFG	D	0.17%
OMC	C	0.17%
CLX	B	0.17%
SBUX	A	0.17%
CPB	D	0.16%
EXPD	D	0.16%
LMT	D	0.16%
DD	D	0.16%
CI	F	0.16%
MAS	D	0.16%
HOLX	D	0.16%
MDT	D	0.16%
FTV	C	0.16%
NKE	D	0.15%
MDLZ	F	0.15%
AWK	D	0.15%
CAG	D	0.14%

FTA Underweight 32 Positions Relative to HAP

Symbol	Grade	Weight
NEE	D	-4.34%
BHP	F	-3.72%
RIO	D	-2.15%
FCX	D	-1.7%
TTE	F	-1.56%
NEM	D	-1.4%
VALE	F	-1.28%
GOLD	D	-1.07%
INGR	B	-0.87%
BP	D	-0.79%
CNH	C	-0.76%
MOS	F	-0.74%
DAR	C	-0.68%
PKX	F	-0.67%
TTC	D	-0.65%
WMB	A	-0.61%
FSLR	F	-0.61%
AGCO	D	-0.6%
FMC	D	-0.58%
MT	B	-0.49%
GFI	D	-0.47%
E	F	-0.43%
HES	B	-0.43%
SUZ	C	-0.39%
EBR	F	-0.36%
X	C	-0.34%
LPX	B	-0.33%
UFPI	B	-0.32%
WFG	D	-0.29%
WDS	D	-0.29%
EQNR	D	-0.28%
RGLD	C	-0.27%