FYT vs. HAPS ETF Comparison

Comparison of First Trust Small Cap Value AlphaDEX Fund (FYT) to Harbor Corporate Culture Small Cap ETF (HAPS)

FYT

First Trust Small Cap Value AlphaDEX Fund

FYT 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 Nasdaq AlphaDEX® Small Cap Value Index. The fund will normally invest at least 90% of its net assets (including investment borrowings) in the common stocks that comprise the index. The index is designed to select value stocks from the NASDAQ US 700 Small Cap Index (the base index) that may generate positive alpha, or risk-adjusted returns, relative to traditional indices through the use of the AlphaDEX® selection methodology.

Grade (RS Rating)

Last Trade

$59.53

Average Daily Volume

10,665

Number of Holdings ^*

256

* may have additional holdings in another (foreign) market

HAPS

Harbor Corporate Culture Small Cap ETF

HAPS Description

The fund invests at least 80% of its total assets in securities that are included in the index. The index consists of a modified market capitalization-weighted portfolio of equity securities of approximately 200 small cap U.S. companies identified by Irrational Capital LLC those it believes to possess strong corporate culture based on its proprietary scoring methodology.

Grade (RS Rating)

Last Trade

$31.08

Average Daily Volume

121

Number of Holdings ^*

179

* may have additional holdings in another (foreign) market

Performance

Period	FYT	HAPS
30 Days	7.02%	5.32%
60 Days	5.29%	5.21%
90 Days	4.45%	10.83%
12 Months	23.16%	25.09%

37 Overlapping Holdings

Symbol	Grade	Weight in FYT	Weight in HAPS	Overlap
AIN	C	0.11%	0.8%	0.11%
AMN	F	0.28%	0.35%	0.28%
APLE	B	0.64%	1.71%	0.64%
BANR	B	0.44%	0.54%	0.44%
BFH	C	0.73%	0.57%	0.57%
BHF	C	0.14%	0.75%	0.14%
BKE	B	0.4%	0.49%	0.4%
BY	B	0.57%	0.17%	0.17%
CASH	B	0.44%	0.43%	0.43%
CCS	D	0.52%	0.57%	0.52%
CENTA	C	0.49%	0.33%	0.33%
CSGS	B	0.27%	0.21%	0.21%
DK	C	0.25%	0.72%	0.25%
EFSC	B	0.41%	0.47%	0.41%
FHB	B	0.29%	0.74%	0.29%
FRME	B	0.42%	0.56%	0.42%
HTH	C	0.25%	0.32%	0.25%
IVT	A	0.13%	0.94%	0.13%
JBGS	F	0.11%	0.55%	0.11%
KFRC	D	0.12%	0.35%	0.12%
KOS	D	0.62%	1.2%	0.62%
LAUR	A	0.4%	0.77%	0.4%
LGIH	F	0.32%	0.51%	0.32%
NNI	D	0.12%	0.4%	0.12%
OXM	F	0.11%	0.28%	0.11%
PSMT	D	0.23%	0.78%	0.23%
REZI	A	0.62%	1.42%	0.62%
SCSC	C	0.5%	0.41%	0.41%
TOWN	B	0.26%	0.49%	0.26%
TRMK	C	0.59%	0.47%	0.47%
UPWK	B	0.17%	0.71%	0.17%
VBTX	B	0.4%	0.35%	0.35%
VSAT	F	0.32%	0.12%	0.12%
WAFD	B	0.26%	0.62%	0.26%
WGO	C	0.38%	0.39%	0.38%
WSBC	B	0.43%	0.44%	0.43%
YETI	D	0.23%	1.02%	0.23%

FYT Overweight 219 Positions Relative to HAPS

Symbol	Grade	Weight
CXW	C	1.03%
RIOT	C	0.98%
BMBL	C	0.79%
GBX	A	0.79%
HTZ	C	0.76%
JBT	B	0.73%
CTOS	B	0.72%
ECVT	C	0.72%
CUBI	B	0.72%
VTLE	C	0.71%
CABO	B	0.71%
TGNA	B	0.7%
TALO	C	0.69%
DNOW	B	0.69%
ULH	C	0.69%
PINC	B	0.69%
KMT	B	0.68%
EIG	B	0.68%
GEF	A	0.66%
GPOR	B	0.65%
HELE	C	0.65%
PK	C	0.64%
RLJ	C	0.64%
TDS	B	0.64%
GT	C	0.64%
IART	C	0.63%
GIII	D	0.62%
VAC	C	0.62%
WS	C	0.62%
BTU	B	0.62%
CRGY	B	0.62%
SPNT	B	0.62%
PARR	F	0.61%
PLAB	C	0.61%
INVA	D	0.61%
UVV	B	0.61%
SHO	D	0.6%
AVA	A	0.59%
EPC	F	0.59%
VC	F	0.59%
INDB	B	0.59%
IMKTA	C	0.59%
PEBO	B	0.58%
ZD	B	0.58%
PRDO	B	0.58%
RES	D	0.57%
GHC	B	0.56%
FOR	F	0.56%
CAL	F	0.56%
FFBC	B	0.56%
WKC	C	0.55%
USM	B	0.55%
PHIN	A	0.55%
EBC	B	0.55%
KSS	F	0.54%
SAH	C	0.54%
DBRG	F	0.54%
WMK	C	0.53%
VSH	F	0.52%
MRC	B	0.52%
SEB	F	0.52%
HOV	D	0.51%
DRH	B	0.51%
CMCO	C	0.51%
AMWD	C	0.51%
GES	F	0.51%
SBH	C	0.5%
GEO	B	0.5%
CVI	F	0.5%
VSCO	C	0.5%
EQC	B	0.49%
NWN	A	0.49%
LZB	B	0.49%
BV	C	0.49%
LADR	B	0.49%
NAVI	F	0.48%
PRG	C	0.48%
NWE	B	0.47%
ABR	C	0.47%
OEC	C	0.47%
MLKN	F	0.47%
CVBF	A	0.46%
ANDE	D	0.46%
VSTS	C	0.46%
HIW	C	0.46%
SASR	B	0.44%
BNL	D	0.44%
PDCO	F	0.44%
PLYA	B	0.44%
ADNT	F	0.44%
CATY	B	0.43%
CRK	B	0.43%
FULT	A	0.42%
PFBC	B	0.42%
WSFS	B	0.41%
HY	D	0.41%
RNST	B	0.41%
SFNC	C	0.41%
VRTS	B	0.41%
BKU	A	0.4%
TCBK	C	0.4%
KALU	C	0.4%
SNDR	B	0.39%
ALG	B	0.39%
DAN	D	0.39%
HOPE	C	0.39%
FIBK	B	0.39%
FCF	B	0.39%
SRCE	B	0.39%
HUBG	A	0.39%
NX	C	0.39%
XRX	F	0.39%
MCRI	A	0.38%
PTVE	B	0.38%
XHR	B	0.37%
BUSE	B	0.37%
ARCB	C	0.37%
MODG	F	0.37%
WERN	C	0.37%
UNF	B	0.36%
KLG	B	0.36%
IPGP	D	0.36%
MRTN	D	0.35%
SPB	C	0.35%
LILAK	D	0.33%
SJW	F	0.33%
PEB	D	0.33%
SSTK	F	0.32%
TTMI	C	0.32%
LC	A	0.32%
CAR	C	0.3%
GRBK	D	0.3%
ASB	B	0.3%
SCVL	F	0.3%
NIC	B	0.29%
SNEX	B	0.29%
HMN	B	0.29%
CRI	F	0.29%
FHI	B	0.28%
PBH	A	0.28%
OMI	F	0.28%
KAR	B	0.28%
DFH	D	0.28%
NWBI	B	0.27%
SBCF	B	0.27%
GOGO	C	0.27%
FBNC	B	0.27%
ABM	B	0.26%
MTX	B	0.26%
ENOV	C	0.26%
HLF	C	0.26%
IOSP	C	0.26%
BHE	C	0.26%
STBA	B	0.25%
ROCK	C	0.25%
GO	C	0.25%
SYNA	C	0.24%
OFG	B	0.24%
SCL	C	0.24%
CXT	C	0.24%
ARI	C	0.24%
ALEX	B	0.24%
LNN	B	0.24%
KWR	C	0.24%
DFIN	D	0.23%
DEA	D	0.23%
SHEN	F	0.23%
THRM	F	0.23%
LCII	C	0.23%
ROG	D	0.22%
PATK	C	0.22%
ODP	F	0.21%
FOXF	F	0.19%
AVNS	F	0.19%
MYRG	B	0.18%
MCW	C	0.15%
MGPI	F	0.15%
TCBI	C	0.15%
FDP	B	0.14%
BHLB	B	0.14%
PFS	B	0.14%
CBU	B	0.14%
FBK	C	0.14%
MTRN	C	0.13%
XPEL	B	0.13%
DEI	B	0.13%
HLIO	B	0.13%
GNW	A	0.13%
CVCO	A	0.13%
PPBI	C	0.13%
ROIC	A	0.13%
SAM	C	0.13%
NBTB	B	0.13%
NVEE	F	0.12%
STC	B	0.12%
NMRK	C	0.12%
CNMD	C	0.12%
OI	C	0.12%
MSEX	C	0.12%
UPBD	B	0.12%
EVTC	B	0.12%
PGRE	F	0.12%
AIR	B	0.12%
HAYW	B	0.12%
SAFT	B	0.12%
CWEN	C	0.11%
SHOO	F	0.11%
MSGE	F	0.11%
LXP	D	0.11%
RC	D	0.11%
CMTG	F	0.11%
SHLS	F	0.11%
CNXN	C	0.11%
CC	C	0.11%
BLMN	F	0.1%
PLUS	F	0.1%
GIC	D	0.1%
GPRE	F	0.1%
OLPX	D	0.09%

FYT Underweight 142 Positions Relative to HAPS

Symbol	Grade	Weight
AWI	A	-2.18%
CBT	D	-2.02%
PECO	A	-1.99%
MOG.A	B	-1.91%
ACLX	C	-1.89%
RYTM	C	-1.76%
EAT	A	-1.72%
PTCT	B	-1.63%
LOPE	C	-1.58%
AGIO	C	-1.55%
AVT	C	-1.53%
NUVL	C	-1.39%
HLNE	B	-1.37%
KYMR	D	-1.32%
HRI	C	-1.32%
TNL	A	-1.3%
KBH	D	-1.26%
NSA	C	-1.26%
GVA	A	-1.25%
TEX	F	-1.24%
OGS	A	-1.24%
PIPR	A	-1.17%
MC	C	-1.14%
TPG	A	-1.13%
SR	A	-1.11%
RDN	D	-1.1%
LBRT	D	-1.0%
POWL	C	-0.98%
CPA	D	-0.96%
SGRY	F	-0.95%
NSP	F	-0.9%
BROS	A	-0.9%
NTLA	F	-0.86%
CAKE	C	-0.79%
ALTR	B	-0.74%
SXT	C	-0.73%
WD	D	-0.71%
HURN	C	-0.69%
STEP	C	-0.69%
ACIW	B	-0.68%
GSAT	C	-0.66%
TRIP	F	-0.64%
AUR	C	-0.62%
BOX	B	-0.62%
APPF	B	-0.6%
TARS	C	-0.6%
WK	B	-0.57%
KURA	F	-0.56%
ALGT	B	-0.55%
PI	D	-0.55%
CMPR	D	-0.54%
COLL	F	-0.51%
MD	C	-0.5%
UPST	B	-0.5%
PLMR	A	-0.5%
IRWD	F	-0.49%
TROX	D	-0.49%
FLYW	B	-0.48%
FORM	D	-0.45%
FROG	C	-0.45%
TDC	D	-0.44%
AESI	B	-0.44%
PRVA	C	-0.43%
ALRM	C	-0.43%
CRAI	C	-0.42%
IDT	B	-0.4%
SCS	C	-0.39%
MCY	A	-0.38%
PRGS	A	-0.38%
SONO	C	-0.38%
LOB	C	-0.37%
CSTL	D	-0.35%
VERX	A	-0.35%
RPD	B	-0.34%
UAA	C	-0.33%
PAR	A	-0.31%
ZETA	D	-0.31%
RYI	C	-0.3%
RGNX	D	-0.29%
DOLE	D	-0.29%
VIAV	C	-0.29%
ENV	B	-0.28%
OPEN	F	-0.27%
EXPI	D	-0.27%
KOP	C	-0.27%
BRZE	C	-0.27%
DOCN	C	-0.26%
EXTR	C	-0.26%
OCFC	B	-0.26%
USNA	C	-0.25%
BZH	C	-0.25%
CARG	B	-0.25%
CALX	D	-0.24%
INTA	B	-0.23%
SPT	C	-0.23%
CGEM	F	-0.23%
OBK	C	-0.22%
VERV	F	-0.21%
SPTN	D	-0.21%
INFN	D	-0.2%
PSCF	B	-0.2%
SDGR	C	-0.19%
FWRG	C	-0.19%
SAGE	F	-0.18%
PRA	C	-0.17%
CARS	C	-0.17%
ARLO	C	-0.17%
ASAN	B	-0.17%
LMB	B	-0.17%
ALKT	B	-0.16%
AMCX	C	-0.16%
MBIN	F	-0.15%
ATEN	A	-0.15%
CERT	F	-0.15%
AGS	A	-0.14%
FC	F	-0.14%
COUR	F	-0.13%
UDMY	D	-0.12%
GDYN	B	-0.12%
YEXT	B	-0.12%
HSTM	B	-0.11%
ALTG	C	-0.1%
BASE	B	-0.1%
NABL	F	-0.1%
RGP	F	-0.1%
HVT	D	-0.1%
ZIP	D	-0.09%
MITK	C	-0.09%
CHGG	C	-0.09%
BIGC	B	-0.08%
NEWT	C	-0.08%
ENFN	B	-0.08%
HCAT	D	-0.07%
IRBT	F	-0.06%
EB	C	-0.06%
SAVE	F	-0.05%
SEMR	C	-0.04%
HMST	F	-0.04%
GPRO	F	-0.04%
DOMO	B	-0.04%
VRA	C	-0.03%
RMAX	C	-0.03%