SUSL vs. FTA ETF Comparison

Comparison of iShares ESG MSCI USA Leaders ETF (SUSL) to First Trust Large Cap Value AlphaDEX Fund (based onthe Defined Large Cap Value Index (FTA)

SUSL

iShares ESG MSCI USA Leaders ETF

SUSL Description

The investment seeks to track the investment results of the MSCI Japan Equal Weighted Index (USD) composed of equal weighted Japanese equities. The index is designed to represent an alternative weighting methodology to its market capitalization-weighted parent index, the MSCI Japan Index (the "parent index"). The fund generally will invest at least 90% of its assets in the component securities of the underlying index and in investments that have economic characteristics that are substantially identical to the component securities of the underlying index. It is non-diversified.

Grade (RS Rating)

Last Trade

$101.26

Average Daily Volume

29,734

Number of Holdings ^*

293

* may have additional holdings in another (foreign) market

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

$78.91

Average Daily Volume

32,437

Number of Holdings ^*

186

* may have additional holdings in another (foreign) market

Performance

Period	SUSL	FTA
30 Days	2.56%	2.00%
60 Days	4.88%	3.14%
90 Days	4.26%	7.84%
12 Months	35.78%	23.39%

91 Overlapping Holdings

Symbol	Grade	Weight in SUSL	Weight in FTA	Overlap
ACGL	B	0.16%	0.93%	0.16%
AFL	A	0.22%	0.59%	0.22%
APD	B	0.25%	0.37%	0.25%
APTV	D	0.07%	0.84%	0.07%
ATO	B	0.08%	0.79%	0.08%
AWK	C	0.11%	0.19%	0.11%
BBY	A	0.08%	0.57%	0.08%
BEN	F	0.02%	0.63%	0.02%
BG	F	0.05%	0.79%	0.05%
BIIB	F	0.11%	0.14%	0.11%
BKR	C	0.13%	0.51%	0.13%
BLK	B	0.53%	0.19%	0.19%
CAG	B	0.06%	0.77%	0.06%
CBRE	B	0.14%	0.22%	0.14%
CFG	D	0.07%	0.79%	0.07%
CHTR	D	0.11%	0.54%	0.11%
CI	C	0.37%	0.18%	0.18%
CMCSA	C	0.6%	0.86%	0.6%
CMI	B	0.17%	0.18%	0.17%
CMS	B	0.08%	0.57%	0.08%
COF	B	0.21%	0.74%	0.21%
CPB	C	0.04%	0.38%	0.04%
DE	A	0.4%	0.54%	0.4%
DGX	B	0.06%	0.56%	0.06%
DHI	C	0.21%	1.18%	0.21%
DOV	B	0.1%	0.36%	0.1%
EBAY	B	0.12%	0.79%	0.12%
ED	B	0.13%	0.77%	0.13%
EIX	B	0.12%	0.58%	0.12%
ELV	D	0.45%	0.16%	0.16%
EXC	B	0.15%	0.95%	0.15%
EXPD	B	0.07%	0.16%	0.07%
FOXA	B	0.04%	0.99%	0.04%
GIS	B	0.16%	0.58%	0.16%
GPC	D	0.07%	0.34%	0.07%
HAL	F	0.09%	0.59%	0.09%
HBAN	B	0.08%	0.76%	0.08%
HCA	B	0.3%	0.42%	0.3%
HIG	B	0.13%	0.78%	0.13%
HPE	C	0.1%	0.75%	0.1%
HPQ	C	0.14%	0.33%	0.14%
HRL	F	0.04%	0.35%	0.04%
HUM	F	0.14%	0.14%	0.14%
INTC	D	0.38%	0.34%	0.34%
IPG	C	0.04%	0.73%	0.04%
JBHT	D	0.05%	0.54%	0.05%
JCI	B	0.19%	0.18%	0.18%
JNJ	C	1.46%	0.38%	0.38%
K	A	0.08%	0.23%	0.08%
KDP	B	0.15%	0.38%	0.15%
KEY	C	0.06%	0.41%	0.06%
KMB	C	0.18%	0.17%	0.17%
KR	B	0.14%	0.54%	0.14%
LKQ	F	0.04%	0.66%	0.04%
LNG	D	0.15%	0.7%	0.15%
LOW	B	0.57%	0.4%	0.4%
LYB	D	0.09%	0.68%	0.09%
MKC	C	0.08%	0.19%	0.08%
MOH	D	0.07%	0.4%	0.07%
MPC	F	0.22%	0.81%	0.22%
MS	B	0.48%	0.35%	0.35%
NKE	D	0.41%	0.18%	0.18%
NUE	D	0.14%	0.79%	0.14%
OC	C	0.06%	0.69%	0.06%
OKE	C	0.2%	0.39%	0.2%
OMC	B	0.08%	0.39%	0.08%
PFG	B	0.08%	0.18%	0.08%
PNC	C	0.27%	0.4%	0.27%
POOL	C	0.05%	0.2%	0.05%
PPG	C	0.12%	0.35%	0.12%
PRU	C	0.16%	0.17%	0.16%
PSX	F	0.21%	0.79%	0.21%
PYPL	B	0.3%	0.45%	0.3%
RF	B	0.08%	0.57%	0.08%
RJF	C	0.09%	0.16%	0.09%
SJM	C	0.05%	0.74%	0.05%
SRE	B	0.19%	0.53%	0.19%
STLD	C	0.07%	0.78%	0.07%
STT	B	0.1%	0.59%	0.1%
SYF	C	0.07%	0.91%	0.07%
TGT	C	0.27%	0.36%	0.27%
TRGP	C	0.12%	0.19%	0.12%
TROW	C	0.09%	0.64%	0.09%
TRV	C	0.2%	0.39%	0.2%
TSCO	B	0.12%	0.17%	0.12%
UPS	D	0.37%	0.32%	0.32%
USB	C	0.27%	0.57%	0.27%
VLO	F	0.17%	0.74%	0.17%
VZ	A	0.71%	0.72%	0.71%
WY	C	0.09%	0.4%	0.09%
ZBH	F	0.08%	0.48%	0.08%

SUSL Overweight 202 Positions Relative to FTA

Symbol	Grade	Weight
NVDA	C	11.48%
MSFT	C	11.46%
GOOGL	D	3.6%
GOOG	D	3.12%
LLY	D	2.76%
TSLA	C	2.74%
V	C	1.61%
PG	C	1.54%
MA	B	1.53%
HD	B	1.48%
KO	B	1.1%
MRK	F	1.08%
AMD	C	1.02%
CRM	C	1.01%
PEP	D	0.88%
LIN	B	0.87%
ADBE	F	0.86%
ACN	C	0.84%
MCD	B	0.82%
IBM	B	0.77%
GE	C	0.76%
TXN	B	0.72%
CAT	B	0.72%
DHR	B	0.69%
NOW	C	0.68%
INTU	D	0.67%
DIS	D	0.65%
AMAT	D	0.65%
AMGN	D	0.64%
SPGI	C	0.62%
AXP	B	0.58%
PGR	C	0.56%
UNP	D	0.56%
BKNG	B	0.54%
ETN	C	0.5%
TJX	C	0.5%
PLD	C	0.44%
MMC	C	0.42%
LRCX	D	0.42%
ADP	C	0.42%
AMT	C	0.41%
PANW	D	0.41%
GILD	B	0.39%
FI	B	0.39%
BMY	C	0.38%
MELI	C	0.36%
SCHW	D	0.36%
ICE	C	0.34%
TT	B	0.33%
ZTS	B	0.33%
EQIX	B	0.31%
SNPS	F	0.3%
CL	C	0.3%
MMM	B	0.29%
MCO	C	0.29%
ITW	B	0.29%
CDNS	D	0.28%
CTAS	C	0.28%
WELL	C	0.28%
ORLY	B	0.26%
ECL	B	0.25%
CSX	C	0.25%
MRVL	D	0.24%
NEM	C	0.24%
CRH	B	0.24%
CARR	B	0.24%
NXPI	D	0.23%
HLT	B	0.22%
SLB	F	0.22%
ADSK	B	0.22%
WMB	C	0.21%
TFC	D	0.21%
WDAY	D	0.2%
DLR	B	0.2%
BK	B	0.2%
URI	B	0.2%
AZO	B	0.2%
ALL	C	0.19%
CCI	C	0.19%
FICO	B	0.18%
RCL	B	0.17%
GWW	B	0.17%
FIS	C	0.17%
AMP	B	0.17%
IDXX	D	0.16%
A	C	0.16%
IQV	D	0.16%
PAYX	C	0.16%
PWR	B	0.16%
DASH	B	0.16%
YUM	B	0.15%
IR	B	0.15%
EW	F	0.15%
IT	C	0.15%
GEHC	B	0.15%
COR	F	0.15%
FERG	D	0.15%
EA	D	0.14%
ODFL	D	0.14%
IRM	C	0.13%
DFS	C	0.13%
LULU	D	0.12%
ROK	D	0.12%
NDAQ	C	0.12%
MTD	C	0.12%
XYL	C	0.12%
MLM	D	0.12%
AXON	B	0.11%
ANSS	D	0.11%
PHM	B	0.11%
WTW	B	0.11%
NVR	B	0.11%
TTWO	D	0.1%
SBAC	C	0.1%
NTAP	D	0.1%
SW	B	0.1%
FSLR	C	0.1%
HUBS	D	0.1%
TEAM	D	0.1%
IFF	A	0.1%
DXCM	F	0.1%
VLTO	B	0.1%
FTV	C	0.1%
KEYS	B	0.1%
WDC	C	0.09%
STE	B	0.09%
ES	B	0.09%
DECK	C	0.09%
BR	C	0.09%
CHD	C	0.09%
DRI	C	0.08%
CLX	C	0.08%
EME	B	0.08%
TRU	B	0.08%
BALL	C	0.08%
WAT	B	0.08%
CBOE	C	0.08%
COO	C	0.08%
PTC	C	0.08%
STX	B	0.08%
WST	D	0.08%
MANH	B	0.07%
AVTR	C	0.07%
BURL	C	0.07%
AVY	C	0.07%
ALGN	D	0.07%
NTRS	C	0.07%
LH	D	0.07%
HOLX	D	0.07%
NRG	B	0.07%
ULTA	D	0.07%
WSM	C	0.07%
LII	C	0.07%
TRMB	C	0.06%
DPZ	D	0.06%
GEN	A	0.06%
NI	B	0.06%
AKAM	D	0.06%
ZS	F	0.06%
ENPH	D	0.06%
DOC	B	0.06%
IEX	C	0.06%
IP	C	0.06%
PNR	B	0.06%
PODD	C	0.06%
LPLA	D	0.06%
FDS	C	0.06%
TECH	C	0.05%
KMX	D	0.05%
JNPR	A	0.05%
ALLE	B	0.05%
CHRW	B	0.05%
DOCU	C	0.05%
EQH	C	0.05%
GGG	C	0.05%
ALLY	F	0.04%
LW	D	0.04%
MKTX	D	0.04%
CNH	C	0.04%
WTRG	D	0.04%
SOLV	D	0.04%
NLY	B	0.04%
AIZ	B	0.04%
TWLO	C	0.04%
CTLT	B	0.04%
FBIN	B	0.04%
TFX	B	0.04%
NBIX	F	0.04%
BXP	C	0.04%
AZPN	B	0.03%
BBWI	D	0.03%
ACI	F	0.03%
DINO	F	0.03%
RIVN	F	0.03%
DAL	C	0.03%
KNX	C	0.03%
DVA	B	0.03%
TTC	F	0.03%
HSIC	C	0.03%
DAY	D	0.03%
FOX	B	0.02%
WBA	F	0.02%

SUSL Underweight 95 Positions Relative to FTA

Symbol	Grade	Weight
LEN	B	-1.08%
ETR	A	-1.0%
GPN	D	-0.98%
CINF	C	-0.97%
BRK.A	C	-0.95%
T	B	-0.94%
CF	B	-0.94%
UAL	B	-0.91%
GM	C	-0.88%
ADM	D	-0.87%
EG	B	-0.86%
MKL	C	-0.85%
EOG	D	-0.84%
CVS	D	-0.83%
XEL	B	-0.81%
CE	D	-0.81%
COP	F	-0.81%
MTB	C	-0.8%
UHAL	B	-0.8%
EQT	C	-0.79%
AEE	B	-0.79%
CVX	F	-0.78%
AEP	C	-0.78%
CB	B	-0.77%
CNC	D	-0.77%
WBD	D	-0.76%
FANG	F	-0.76%
VTRS	D	-0.75%
PCG	C	-0.75%
SNA	B	-0.74%
CTRA	F	-0.74%
CTSH	B	-0.74%
DVN	F	-0.73%
KHC	C	-0.73%
KMI	C	-0.73%
F	F	-0.73%
L	D	-0.71%
OXY	F	-0.69%
XOM	D	-0.68%
AIG	D	-0.67%
RS	D	-0.67%
WFC	D	-0.63%
WEC	B	-0.59%
FITB	B	-0.59%
D	C	-0.58%
ZM	C	-0.56%
WPC	C	-0.56%
DUK	B	-0.56%
EQR	C	-0.55%
DTE	A	-0.55%
TDY	B	-0.55%
FE	B	-0.55%
INCY	C	-0.54%
TXT	D	-0.51%
LUV	C	-0.5%
JBL	C	-0.5%
BAC	D	-0.5%
TEL	D	-0.49%
C	C	-0.49%
FDX	D	-0.49%
CRBG	C	-0.47%
SWKS	F	-0.46%
CNP	C	-0.45%
LMT	A	-0.41%
SSNC	C	-0.41%
FNF	B	-0.41%
PKG	B	-0.4%
KIM	C	-0.4%
NEE	B	-0.39%
PEG	B	-0.38%
MDT	B	-0.38%
WRB	D	-0.37%
GS	B	-0.37%
HSY	D	-0.36%
CSCO	B	-0.36%
ARE	C	-0.35%
EPAM	F	-0.35%
DOW	C	-0.34%
KVUE	B	-0.21%
VTR	C	-0.2%
MDLZ	C	-0.19%
WMT	B	-0.19%
MAA	C	-0.19%
J	A	-0.18%
TSN	D	-0.18%
CTVA	B	-0.18%
REGN	D	-0.18%
ABT	C	-0.18%
LHX	C	-0.17%
DD	B	-0.17%
SYY	C	-0.17%
GD	C	-0.17%
WLK	C	-0.16%
QCOM	D	-0.14%
DG	F	-0.11%