FTC vs. ARKF ETF Comparison

Comparison of First Trust Large Cap Growth AlphaDEX Fund (based on the Defined Large Cap Growth Index) (FTC) to ARK Fintech Innovation ETF (ARKF)

FTC

First Trust Large Cap Growth AlphaDEX Fund (based on the Defined Large Cap Growth Index)

FTC 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 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 500(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

$140.60

Average Daily Volume

33,060

Number of Holdings ^*

186

* may have additional holdings in another (foreign) market

ARKF

ARK Fintech Innovation ETF

ARKF Description

ARKF is an actively managed Exchange Traded Fund (ETF) that seeks long-term growth of capital. It seeks to achieve this investment objective by investing under normal circumstances primarily (at least 80% of its assets) in domestic and foreign equity securities of companies that are engaged in the Fund’s investment theme of financial technology (“Fintech”) innovation. A company is deemed to be engaged in the theme of Fintech innovation if (i) it derives a significant portion of its revenue or market value from the theme of Fintech innovation, or (ii) it has stated its primary business to be in products and services focused on the theme of Fintech innovation. The Adviser defines “Fintech innovation” as the introduction of a technologically enabled new product or service that potentially changes the way the financial sector works, which ARK believes includes but is not limited to the following business platforms: Transaction Innovations; Blockchain Technology; Risk Transformation; Frictionless Funding Platforms; Customer Facing Platforms; New Intermediaries;

Grade (RS Rating)

Last Trade

$34.21

Average Daily Volume

299,206

Number of Holdings ^*

* may have additional holdings in another (foreign) market

Performance

Period	FTC	ARKF
30 Days	6.31%	14.07%
60 Days	15.93%	29.93%
90 Days	16.73%	31.12%
12 Months	43.25%	67.53%

10 Overlapping Holdings

Symbol	Grade	Weight in FTC	Weight in ARKF	Overlap
AMZN	A	0.36%	0.45%	0.36%
COIN	B	0.36%	8.68%	0.36%
CRWD	C	0.18%	1.36%	0.18%
DKNG	D	0.16%	4.93%	0.16%
HOOD	B	0.71%	4.93%	0.71%
ICE	D	0.5%	1.22%	0.5%
META	B	0.7%	2.73%	0.7%
NVDA	A	0.78%	1.53%	0.78%
PLTR	A	0.99%	4.11%	0.99%
RBLX	A	0.83%	3.11%	0.83%

FTC Overweight 176 Positions Relative to ARKF

Symbol	Grade	Weight
CVNA	B	1.26%
APP	B	1.15%
RCL	B	1.03%
TRGP	A	1.0%
DASH	A	0.97%
VRT	B	0.97%
VST	B	0.94%
EXPE	A	0.94%
KKR	B	0.94%
AXON	A	0.94%
GDDY	A	0.94%
UTHR	A	0.93%
GS	B	0.93%
BK	B	0.93%
CPNG	C	0.93%
WAB	B	0.92%
EME	A	0.92%
IRM	C	0.92%
VTR	C	0.91%
FICO	A	0.91%
CEG	C	0.9%
PWR	A	0.9%
URI	B	0.89%
NRG	A	0.88%
HWM	B	0.88%
AXP	B	0.88%
ALL	C	0.87%
CCL	B	0.85%
PGR	B	0.85%
TT	B	0.84%
THC	B	0.83%
HEI	D	0.83%
BURL	C	0.83%
GRMN	A	0.8%
BAH	C	0.79%
NTRS	B	0.79%
PM	C	0.78%
ACGL	D	0.78%
FI	B	0.78%
HCA	D	0.78%
TMUS	B	0.77%
AMP	B	0.77%
LYV	B	0.76%
FCNCA	B	0.75%
JPM	B	0.75%
GEN	B	0.75%
ERIE	D	0.74%
NOW	A	0.74%
PCG	B	0.73%
BRO	B	0.72%
RMD	B	0.71%
LII	A	0.71%
MSI	B	0.71%
CTAS	A	0.71%
PEG	C	0.71%
BSX	B	0.71%
PH	B	0.71%
ANET	A	0.71%
AVGO	B	0.7%
ORCL	A	0.7%
COST	B	0.7%
ALNY	C	0.69%
FSLR	F	0.69%
CAT	B	0.68%
TPL	B	0.68%
NEE	D	0.67%
SHW	C	0.67%
IBM	D	0.66%
GE	D	0.65%
TDG	C	0.65%
APO	B	0.59%
BKNG	B	0.58%
TTD	A	0.57%
WELL	B	0.55%
NFLX	A	0.55%
GWW	A	0.55%
TYL	B	0.54%
CASY	A	0.54%
FTNT	A	0.53%
HLT	B	0.53%
ISRG	A	0.53%
LVS	C	0.53%
HUBB	B	0.52%
AJG	C	0.52%
DECK	B	0.52%
SO	D	0.52%
NDAQ	B	0.52%
BRK.A	C	0.51%
BR	B	0.51%
MCO	D	0.5%
UBER	D	0.5%
TJX	C	0.5%
WSO	A	0.5%
ECL	D	0.5%
MANH	C	0.49%
CSL	C	0.49%
AMT	F	0.48%
SPGI	D	0.48%
NTAP	C	0.48%
XYL	F	0.47%
EFX	D	0.47%
CL	F	0.47%
PSA	D	0.47%
TSCO	C	0.47%
VLTO	D	0.47%
WMB	A	0.41%
MO	B	0.38%
ARES	B	0.38%
APH	A	0.37%
ADSK	A	0.37%
CBOE	C	0.37%
DELL	C	0.37%
MAR	A	0.37%
CPAY	B	0.37%
PANW	A	0.37%
ORLY	B	0.36%
ETN	B	0.36%
SPG	B	0.36%
IR	A	0.35%
MMC	D	0.35%
RSG	B	0.35%
DOV	A	0.35%
IT	A	0.35%
AMGN	D	0.35%
OTIS	B	0.34%
VICI	D	0.34%
AZO	C	0.34%
TSLA	A	0.34%
MCD	D	0.34%
AAPL	B	0.34%
ROST	F	0.33%
ROL	D	0.33%
O	D	0.33%
LLY	F	0.33%
RIVN	F	0.32%
EXR	D	0.32%
KO	F	0.32%
WSM	F	0.31%
BLD	F	0.31%
MPWR	F	0.29%
MSTR	B	0.25%
LPLA	B	0.21%
FAST	A	0.19%
DLR	C	0.19%
GPN	C	0.18%
EQIX	B	0.18%
VRTX	B	0.18%
GOOGL	B	0.18%
PAYX	A	0.18%
WM	B	0.18%
ADP	A	0.18%
AON	B	0.18%
CRM	B	0.18%
LIN	D	0.17%
WDAY	C	0.17%
QCOM	C	0.17%
MU	C	0.17%
ESS	C	0.17%
CMG	C	0.17%
GLPI	D	0.17%
MSCI	C	0.17%
AVB	C	0.17%
MKL	B	0.17%
SYK	B	0.17%
ITW	B	0.17%
MA	B	0.17%
WAT	B	0.16%
CCI	D	0.16%
ZTS	F	0.16%
KMB	F	0.16%
SBAC	D	0.16%
PG	F	0.16%
CHD	C	0.16%
KLAC	F	0.15%
MTD	C	0.15%
A	C	0.15%

FTC Underweight 18 Positions Relative to ARKF

Symbol	Grade	Weight
SHOP	B	-8.86%
SQ	C	-6.27%
SOFI	B	-4.66%
TOST	A	-4.5%
ROKU	D	-3.63%
MELI	D	-3.41%
PINS	C	-2.97%
PATH	D	-2.46%
NU	B	-2.05%
SE	C	-2.03%
GLBE	B	-1.91%
PYPL	B	-1.66%
SPOT	A	-1.62%
INTU	A	-1.55%
RDDT	B	-1.16%
BILL	C	-1.08%
Z	B	-0.99%
IBTA	C	-0.65%