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Name | Symbol | Market | Type |
---|---|---|---|
First Trust STOXX European Select Dividend Income Fund | AMEX:FDD | AMEX | Exchange Traded Fund |
Price Change | % Change | Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.0683 | 0.54% | 12.65 | 12.65 | 12.58 | 12.64 | 141,177 | 01:00:00 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (Sections 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.
ITEM 1. SCHEDULE OF INVESTMENTS.
The Portfolios of Investments are attached herewith.
FIRST TRUST DJ STOXX(R) SELECT DIVIDEND 30 INDEX FUND
PORTFOLIO OF INVESTMENTS (A)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS--100.0% AUSTRIA--8.0% 4,538 Boehler-Uddeholm AG $ 457,978 16,880 Telekom Austria AG 466,158 4,792 Wienerberger AG 264,030 ------------- 1,188,166 ------------- BELGIUM--4.6% 14,008 Belgacom SA 690,165 ------------- DENMARK--1.8% 7,003 Danske Bank A/S 273,730 ------------- FRANCE--6.1% 25,213 France Telecom SA 904,409 ------------- GERMANY--18.0% 3,788 Deutsche Bank AG 495,120 38,482 Deutsche Telekom AG 845,066 2,849 E.ON AG 606,439 6,142 RWE AG 745,962 ------------- 2,692,587 ------------- IRELAND--7.2% 11,981 Allied Irish Banks PLC 274,749 16,271 Bank of Ireland Group 242,454 93,280 Independent News & Media PLC 324,129 13,667 Irish Life & Permanent PLC 233,815 ------------- 1,075,147 ------------- ITALY--7.3% 17,703 Eni S.p.A. 646,096 142,928 Unipol Gruppo Finanziario S.p.A. 451,869 ------------- 1,097,965 ------------- NORWAY--10.6% 36,714 DnB NOR ASA 558,493 32,708 Norske Skogindustrier ASA 269,668 24,344 StatoilHydro ASA 751,031 ------------- 1,579,192 ------------- SWEDEN--2.2% 31,884 Fabege AB 324,243 ------------- SWITZERLAND--6.3% 5,593 Ciba Specialty Chemicals AG 258,620 967 Swisscom AG 377,474 1,050 Zurich Financial Services AG 308,161 ------------- 944,255 ------------- |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST DJ STOXX(R) SELECT DIVIDEND 30 INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (C0NTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) UNITED KINGDOM--27.9% 31,939 Alliance & Leicester PLC $ 399,554 52,474 Amlin PLC 309,903 59,268 Amlin PLC, B Shares 26,427 205,762 DSG International PLC 406,799 83,057 Lloyds TSB Group PLC 782,123 23,411 Provident Financial PLC 386,446 59,491 United Utilities PLC 894,042 259,150 Vodafone Group PLC 972,829 ------------- 4,178,123 ------------- TOTAL COMMON STOCKS--100.0% 14,947,982 (Cost $15,154,239) ------------- MONEY MARKET--0.5% UNITED STATES--0.5% 74,577 J.P. Morgan Institutional Treasury Money Market Fund - 3.09% (c) (Cost $74,577) 74,577 ------------- TOTAL INVESTMENTS--100.5% (Cost $15,228,816) (b) 15,022,559 NET OTHER ASSETS AND LIABILITIES--(0.5%) (78,469) ------------- NET ASSETS--100.0% $ 14,944,090 ============= |
(a) All percentages shown in the Portfolio of Investments are based on net assets.
(b) Aggregate cost for federal income tax and financial reporting purposes. As of December 31, 2007, the aggregate gross unrealized appreciation for all securities in which there was an excess of value over tax cost was $468,550 and the aggregate gross unrealized depreciation for all securities in which there was an excess of tax cost over value was $674,807.
(c) Represents annualized 7-day yield at December 31, 2007.
See Notes to Quarterly Portfolio of Investments
FIRST TRUST DJ STOXX(R) SELECT DIVIDEND 30 INDEX FUND INDUSTRY BREAKDOWN AS OF 12/31/2007 % OF INDUSTRY NET ASSETS ------------------------------------------------------------------------------- Diversified Telecommunications 21.9 % Commercial Banks 16.9 Multi-Utilities 11.0 Oil, Gas & Consumable Fuels 9.3 Insurance 8.9 Wireless Telecommunication Services 6.5 Electric Utilities 4.1 Capital Markets 3.3 Metals & Mining 3.1 Specialty Retail 2.7 Consumer Finance 2.6 Media 2.2 Real Estate Management & Development 2.2 Building Products 1.8 Paper & Forest Products 1.8 Chemicals 1.7 Money Market Fund 0.5 ----------------------------------------------------------------------------- TOTAL INVESTMENTS 100.5 NET OTHER ASSETS AND LIABILITIES (0.5) --------- TOTAL 100.0 % ========= |
FIRST TRUST FTSE EPRA/NAREIT GLOBAL REAL ESTATE INDEX FUND
PORTFOLIO OF INVESTMENTS (A)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS--99.0% AUSTRALIA--12.1% 3,781 Abacus Property Group $ 5,767 2,730 Australand Property Group 5,534 3,088 Babcock & Brown Japan Property Trust 3,777 1,775 Bunnings Warehouse Property Trust 3,638 4,977 Centro Properties Group 4,353 13,466 Centro Retail Group 11,137 9,874 CFS Retail Property Trust 20,194 9,510 Commonwealth Property Office Fund 12,835 17,269 DB RREEF Trust 30,146 1,536 FKP Property Group 8,496 10,085 Goodman Group 42,921 12,173 GPT Group 42,844 6,578 ING Industrial Fund 14,574 7,412 ING Office Fund 10,470 7,865 Macquarie CountryWide Trust 11,315 5,474 Macquarie DDR Trust 3,683 11,952 Macquarie Office Trust 14,612 6,052 Mirvac Group 31,628 8,543 Stockland 62,704 1,407 Sunland Group Ltd. 5,503 2,020 Tishman Speyer Office Fund 2,862 8,965 Valad Property Group 10,095 11,347 Westfield Group 207,451 ------------- 566,539 ------------- AUSTRIA--1.1% 514 CA Immobilien Anlagen AG (b) 11,432 503 Conwert Immobilien Invest AG (b) 8,777 2,703 Immofinanz Immobilien Analagen AG 27,306 13 Sparkassen Immo Invest Genusscheine 1,714 401 Sparkassen Immobilien AG (b) 4,532 ------------- 53,761 ------------- BELGIUM--0.5% 77 Befimmo S.C.A. 8,204 47 Cofinimmo SA 8,851 41 Intervest Offices NV 1,777 9 Leasinvest Real Estate S.C.A. 874 38 Warehouses De Pauw S.C.A. 2,538 13 Wereldhave Belgium S.C.A. 953 ------------- 23,197 ------------- BERMUDA--2.2% 1,780 Great Eagle Holdings Ltd. 6,585 9,922 Hongkong Land Holdings Ltd. 48,595 3,469 Hopson Development Holdings Ltd. 9,461 3,330 Kerry Properties Ltd. 26,478 248 Orient-Express Hotels Ltd., Class A 14,265 ------------- 105,384 ------------- |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST FTSE EPRA/NAREIT GLOBAL REAL ESTATE INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) CANADA--3.4% 147 Allied Properties Real Estate Investment Trust $ 3,089 305 Boardwalk Real Estate Investment 13,767 1,753 Brookfield Properties 34,138 448 Calloway Real Estate Investment Trust 11,117 391 Canadian Apartment Properties Real Estate Investment Trust 6,351 356 Canadian Real Estate Investment Trust 10,457 552 Chartwell Seniors Housing Real Estate Investment Trust 6,348 266 Cominar Real Estate Investment Trust 5,498 100 Dundee Real Estate Investment Trust 3,417 356 Extendicare Real Estate Investment Trust 4,505 788 H&R Real Estate Investment Trust 15,841 427 InnVest Real Estate Investment Trust 4,647 261 Morguard Real Estate Investment Trust 3,425 133 Northern Property Real Estate Investment Trust 3,012 364 Primaris Retail Real Estate Investment Trust 6,749 1,228 RioCan Real Estate Investment Trust 27,149 ------------- 159,510 ------------- CAYMAN ISLANDS--1.9% 8,824 Agile Property Holdings Ltd. 15,841 8,815 China Resources Land Ltd. 19,192 19,271 Country Garden Holdings, Co., Ltd. (b) 21,960 6,718 New World China Land Ltd. 5,972 7,757 Shimao Property Holdings Ltd. 19,454 7,395 Shui On Land Ltd. 8,538 ------------- 90,957 ------------- DENMARK--0.1% 165 TK Development A/S (b) 2,350 ------------- FINLAND--0.3% 971 Citycon Oyj 5,180 489 Sponda OyJ 5,814 260 Technopolis Oyj 2,223 ------------- 13,217 ------------- FRANCE--4.1% 255 Acanthe Developpement SA 932 24 Affine Group 1,316 122 Fonciere des Regions Group 15,469 73 Gecina SA 11,453 105 Icade 15,652 408 Klepierre LLC 20,854 172 Mercialys 6,581 30 Societe de la Tour Eiffel 4,117 77 Societe Immobiliere de Location pour l'Industrie et le Commerce 11,286 479 Unibail-Rodamco S.A. 104,963 ------------- 192,623 ------------- |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST FTSE EPRA/NAREIT GLOBAL REAL ESTATE INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) GERMANY--0.9% 165 Alstria Office AG (b) $ 2,475 129 Colonia Real Estate AG (b) 3,206 202 Deutsche Euroshop AG 6,940 113 Deutsche Wohnen AG 3,525 126 DIC Asset AG 3,919 512 IVG Immobilien AG 16,900 154 Patrizia Immobilien AG 1,162 114 Vivacon AG 2,158 ------------- 40,285 ------------- GREECE--0.2% 150 Babis Vovos International Construction S.A. 4,468 108 Eurobank Properties Real Estate Investment Co. 1,437 77 Lamda Development S.A. 1,602 ------------- 7,507 ------------- GUERNSEY--0.5% 1,385 Assura Group Ltd. 4,837 1,727 F&C Commercial Property Trust Ltd. 3,109 1,952 ING UK Real Estate Income Trust Ltd. 2,694 2,082 Invista Foundation Property Trust Ltd. 3,375 334 ISIS Property Trust Ltd. 730 488 ISIS Property Trust 2 Ltd. 853 69 Mapeley Ltd. 2,090 613 Standard Life Investment Property Income Trust PLC 951 841 Teesland Advantage Property Income Trust Ltd. 1,167 1,532 UK Commercial Property Trust Ltd. 2,113 ------------- 21,919 ------------- HONG KONG--11.9% 8,077 Champion Real Estate Investment Trust 4,708 22,801 China Overseas Land & Investment Ltd. 46,696 12,198 Hang Lung Properties Ltd. 54,501 6,322 Henderson Land Development Co., Ltd. 58,713 4,585 Hysan Development Co., Ltd. 12,950 3,389 Kowloon Development Co., Ltd. 8,710 12,589 Link (The) REIT 27,105 16,308 New World Development Co., Ltd. 57,095 9,477 Shenzhen Investment Ltd. 6,640 14,171 Sino Land Co., Ltd. 49,624 11,004 Sun Hung Kai Properties Ltd. 231,123 ------------- 557,865 ------------- ITALY--0.3% 446 Aedes S.p.A. 2,271 4,511 Beni Stabili S.p.A. 4,894 729 Immobiliare Grande Distribuzione 2,163 646 Risanamento S.p.A. (b) 3,465 ------------- 12,793 ------------- |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST FTSE EPRA/NAREIT GLOBAL REAL ESTATE INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) JAPAN--11.8% 416 AEON Mall Co., Ltd. $ 10,917 337 DAIBIRU Corp. 3,603 83 GOLDCREST Co., Ltd. 2,450 840 HEIWA Real Estate Co., Ltd. 5,324 4 Japan Prime Realty Investment Corp. 15,998 2 Japan Real Estate Investment Corp. 24,822 2 Japan Retail Fund Investment Corp. 14,182 1 Kenedix Realty Investment Corp. 6,607 5,930 Mitsubishi Estate Co., Ltd. 141,282 5,081 Mitsui Fudosan Co., Ltd. 109,579 3 Nippon Building Fund, Inc. 41,894 2 Nippon Commercial Investment Corp. 8,823 2 Nomura Real Estate Office Fund, Inc. 18,821 8 NTT Urban Development Corp. 12,807 1 ORIX JREIT, Inc. 6,579 1 Premier Investment Co. 6,093 2,744 Sumitomo Realty & Development Co., Ltd 67,107 592 TOC Co., Ltd. 4,496 1,375 Tokyo Tatemono Co., Ltd. 12,897 2,297 Tokyu Land Corp. 19,654 1 TOKYU REIT, Inc. 9,345 1 United Urban Investment Corp. 6,702 ------------- 549,982 ------------- JERSEY-- 0.0% 904 Invesco Property Income Trust, Ltd 621 ------------- LUXEMBOURG--0.2% 265 Gagfah SA 4,603 333 ProLogis European Properties 4,839 ------------- 9,442 ------------- NETHERLANDS--1.7% 396 Corio NV 32,036 208 Eurocommercial Properties NV 10,745 211 Nieuwe Steen Investments Funds NV 5,465 689 Plaza Centers (Europe) BV (b) 3,155 124 Vastned Offices/Industrial NV 4,120 99 VastNed Retail NV 9,523 122 Wereldhave NV 13,304 ------------- 78,348 ------------- NEW ZEALAND--0.1% 4,194 Kiwi Income Property Trust 4,312 ------------- NORWAY--0.1% 466 Norwegian Property ASA 5,662 ------------- POLAND--0.2% 638 Globe Trade Centre S.A. (b) 11,529 ------------- |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST FTSE EPRA/NAREIT GLOBAL REAL ESTATE INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) SINGAPORE--2.5% 4,539 Allgreen Properties Ltd. $ 4,625 7,400 Ascendas Real Estate Investment Trust 12,528 5,945 CapitaCommercial Trust 9,966 8,020 Capitaland Ltd. 34,505 6,728 CapitaMall Trust 15,953 1,558 Guocoland Ltd. 6,070 2,064 Keppel Land Ltd. 10,327 4,790 Mapletree Logistics Trust 3,602 1,000 Singapore Land Ltd. 5,482 8,197 Suntec Real Estate Investment Trust 9,648 3,087 Wing Tai Holdings Ltd. 5,709 ------------- 118,415 ------------- SPAIN--0.0% 59 Renta Corporation Real Estate SA 1,319 ------------- SWEDEN--0.9% 1,013 Castellum AB 10,482 1,051 Fabege AB 10,688 478 Hufvudstaden AB 4,602 736 Klovern AB 2,885 804 Kungsleden AB 8,908 226 Wihlborgs Fastigheter AB 4,017 ------------- 41,582 ------------- SWITZERLAND--0.5% 34 Allreal Holding AG 3,923 276 PSP Swiss Property AG 13,904 113 Swiss Prime Site AG 5,753 201 Zueblin Immobilien Holding AG 1,775 ------------- 25,355 ------------- UNITED KINGDOM--7.2% 141 A.J. Mucklow Group PLC 957 507 Big Yellow Group PLC 4,391 3,013 British Land Co. PLC 56,502 1,580 Brixton PLC 9,179 418 Capital & Regional PLC 3,270 306 CLS Holdings PLC (b) 1,989 29 Daejan Holdings PLC 1,722 592 Derwent London PLC 16,460 240 Development Securities PLC 2,379 571 Grainger PLC 3,943 1,066 Great Portland Estates PLC 9,933 1,711 Hammerson PLC 34,870 561 Helical Bar PLC 3,586 2,740 Land Securities Group PLC 82,111 2,137 Liberty International PLC 45,658 237 Marylebone Warwick Balfour Group PLC (b) 1,142 942 Minerva PLC (b) 2,509 |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST FTSE EPRA/NAREIT GLOBAL REAL ESTATE INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) UNITED KINGDOM (CONTINUED) 198 Primary Health Properties PLC $ 1,339 762 Quintain Estates & Development PLC 7,696 2,550 Segro PLC 23,724 796 Shaftesbury PLC 7,942 534 St. Modwen Properties PLC 4,209 724 Unite Group PLC 5,129 1,021 Workspace Group PLC 5,492 ------------- 336,132 ------------- UNITED STATES--34.3% 189 Acadia Realty Trust 4,840 45 Agree Realty Corp. 1,355 12 Alexander's, Inc. (b) 4,239 188 Alexandria Real Estate Equities, Inc. 19,114 583 AMB Property Corp. 33,557 160 American Campus Communities, Inc. 4,296 768 American Financial Realty Trust 6,159 563 Apartment Investment & Management Co. 19,553 722 Ashford Hospitality Trust 5,191 103 Associated Estates Realty Corp. 972 463 AvalonBay Communities, Inc. 43,587 386 BioMed Realty Trust, Inc. 8,944 701 Boston Properties, Inc. 64,359 513 Brandywine Realty Trust 9,198 297 BRE Properties, Inc. 12,037 327 Camden Property Trust 15,745 385 CBL & Associates Properties, Inc. 9,205 260 Cedar Shopping Centers, Inc. 2,660 277 Colonial Properties Trust 6,269 277 Corporate Office Properties Trust 8,726 723 Corrections Corp. of America (b) 21,336 228 Cousins Properties, Inc. 5,039 984 DCT Industrial Trust, Inc. 9,161 736 Developers Diversified Realty Corp. 28,181 557 DiamondRock Hospitality Co. 8,344 372 Digital Realty Trust, Inc. 14,274 323 Douglas Emmett, Inc. 7,303 858 Duke Realty Corp. 22,377 184 DuPont Fabros Technology, Inc. 3,606 139 EastGroup Properties, Inc. 5,817 168 Education Realty Trust, Inc. 1,888 165 Entertainment Properties Trust 7,755 143 Equity Lifestyle Properties, Inc. 6,531 217 Equity One, Inc. 4,998 1,632 Equity Residential 59,519 148 Essex Property Trust, Inc. 14,429 382 Extra Space Storage, Inc. 5,459 331 Federal Realty Investment Trust 27,192 365 FelCor Lodging Trust, Inc. 5,690 263 First Industrial Realty Trust, Inc. 9,100 143 First Potomac Realty Trust 2,472 459 Forest City Enterprises, Inc., Class A 20,398 1,443 General Growth Properties, Inc. 59,423 |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST FTSE EPRA/NAREIT GLOBAL REAL ESTATE INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) UNITED STATES (CONTINUED) 109 Getty Realty Corp. $ 2,908 222 Glimcher Realty Trust 3,172 245 GMH Communities Trust 1,352 1,269 HCP, Inc. 44,136 474 Health Care REIT, Inc. 21,183 299 Healthcare Realty Trust, Inc. 7,592 244 Hersha Hospitality Trust 2,318 334 Highwoods Properties, Inc. 9,813 249 Hilltop Holdings, Inc. (b) 2,719 198 Home Properties, Inc. 8,880 553 Hospitality Properties Trust 17,818 3,085 Host Hotels & Resorts, Inc. 52,568 1,323 HRPT Properties Trust 10,227 383 Inland Real Estate Corp. 5,423 327 Investors Real Estate Trust 2,933 191 Kilroy Realty Corp. 10,497 1,491 Kimco Realty Corp. 54,272 170 Kite Realty Group Trust 2,596 235 LaSalle Hotel Properties 7,497 377 Lexington Realty Trust 5,482 542 Liberty Property Trust 15,615 135 LTC Properties, Inc. 3,382 427 Macerich (The) Co. 30,343 400 Mack-Cali Realty Corp. 13,600 277 Maguire Properties, Inc. 8,163 290 Medical Properties Trust, Inc. 2,955 149 Mid-America Apartment Communities, Inc. 6,370 55 National Healthcare Corp 2,844 423 National Retail Properties, Inc. 9,890 547 Nationwide Health Properties, Inc. 17,159 400 OMEGA Healthcare Investors, Inc. 6,420 94 Parkway Properties, Inc. 3,476 228 Pennsylvania Real Estate Investment Trust 6,767 255 Post Properties, Inc. 8,956 1,509 ProLogis 95,639 94 PS Business Parks, Inc. 4,940 752 Public Storage 55,204 109 Ramco-Gershenson Properties 2,329 595 Realty Income Corp. 16,077 404 Regency Centers Corp. 26,054 78 Saul Centers, Inc. 4,168 488 Senior Housing Properties Trust 11,068 1,316 Simon Property Group, Inc. 114,307 350 SL Green Realty Corp. 32,711 127 Sovran Self Storage, Inc. 5,093 438 Strategic Hotels & Resorts, Inc. 7,328 108 Sun Communities, Inc. 2,276 352 Sunstone Hotel Investors, Inc. 6,438 184 Tanger Factory Outlet Centers, Inc. 6,939 234 Taubman Centers, Inc. 11,510 793 UDR, Inc. 15,741 69 Universal Health Realty Income Trust 2,445 110 Urstadt Biddle Properties, Inc. 1,705 336 U-Store-It Trust 3,078 785 Ventas, Inc. 35,521 |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST FTSE EPRA/NAREIT GLOBAL REAL ESTATE INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) UNITED STATES (CONTINUED) 893 Vornado Realty Trust $ 78,539 275 Washington Real Estate Investment Trust 8,638 504 Weingarten Realty Investors 15,846 290 Winthrop Realty Trust, Inc. 1,534 ------------- 1,604,752 ------------- TOTAL COMMON STOCKS--99.0% 4,635,358 (Cost $4,918,730) ------------- MONEY MARKET--2.9% UNITED STATES--2.9% 134,572 J.P. Morgan Institutional Treasury Money Market Fund - 3.09% (d) (Cost $134,573) 134,572 ------------- TOTAL INVESTMENTS--101.9% (Cost $5,053,303) 4,769,930 NET OTHER ASSETS LESS LIABILITIES--(1.9%) (89,998) ------------- NET ASSETS--100.0% $ 4,679,932 ============= |
(a) All percentages shown in the Portfolio of Investments are based on net assets. (b) Non-income producing security.
(c) Aggregate cost for federal income tax and financial reporting purposes. As of December 31, 2007, the aggregate gross unrealized appreciation for all securities in which there was an excess of value over tax cost was $247,758 and the aggregate gross unrealized depreciation for all securities in which there was an excess of tax cost over value was $531,131.
(d) Represents annualized 7-day yield at December 31, 2007.
REIT - Real Estate Investment Trust.
See Notes to Quarterly Portfolio of Investments
FIRST TRUST FTSE/EPRA NAREIT GLOBAL REAL ESTATE INDEX FUND INDUSTRY BREAKDOWN AS OF 12/31/2007 % OF INDUSTRY NET ASSETS ----------------------------------------------------------------------------- Real Estate Investment Trusts 65.7 % Real Estate Management & Development 32.2 Money Market 2.9 Commercial Services & Supplies 0.4 Hotels, Restaurants & Leisure 0.3 Capital Markets 0.2 Health Care Providers & Services 0.1 Insurance 0.1 Household Durables 0.0 ----------------------------------------------------------------------------- TOTAL INVESTMENTS 101.9 NET OTHER ASSETS AND LIABILITIES (1.9) --------- TOTAL 100.0 % ========= |
FIRST TRUST DOW JONES GLOBAL SELECT DIVIDEND INDEX FUND
PORTFOLIO OF INVESTMENTS (A)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS--99.6% AUSTRALIA--21.0% 1,038 Australia & New Zealand Banking Group Ltd. $ 24,841 3,094 BlueScope Steel Ltd. 25,972 420 Commonwealth Bank of Australia 21,655 21,093 Commonwealth Property Office Fund REIT 28,467 10,038 CSR Ltd. 27,181 5,258 Fairfax Media Ltd. 21,471 15,806 ING Industrial Fund REIT 35,019 22,765 ING Office Fund REIT 32,156 8,962 Insurance Australia Group Ltd. 32,255 2,714 Lion Nathan Ltd. 22,788 9,104 Macquarie Airports 32,156 12,029 Macquarie Infrastructure Group 31,815 29,032 Macquarie Office Trust REIT 35,493 992 National Australia Bank Ltd. 32,676 5,233 Qantas Airways Ltd. 24,864 839 Sims Group Ltd. 19,590 836 St George Bank Ltd. 23,003 3,512 Stockland REIT 25,778 1,873 Suncorp-Metway Ltd. 27,646 7,325 Telstra Corp. Ltd. 30,019 746 Wesfarmers Ltd. 26,367 1,400 Westfield Group REIT 25,596 878 Westpac Banking Corp. 21,350 ------------- 628,158 ------------- BELGIUM--2.1% 1,277 Fortis 33,527 317 Mobistar SA 28,917 ------------- 62,444 ------------- BERMUDA--0.9% 3,945 VTech Holdings Ltd. 28,048 ------------- CANADA--6.4% 847 Canadian Oil Sands Trust 33,221 660 Manitoba Telecom Services, Inc. 30,741 3,465 Mullen Group Income Fund 61,790 3,330 Norbord, Inc. 26,857 1,538 Russel Metals, Inc. 39,660 ------------- 192,269 ------------- FINLAND--0.7% 486 Fortum Oyj 21,831 ------------- FRANCE--1.7% 659 France Telecom SA 23,639 190 Societe Generale 27,480 ------------- 51,119 ------------- |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST DOW JONES GLOBAL SELECT DIVIDEND INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) GERMANY--0.6% 137 RWE AG $ 19,299 ------------- HONG KONG--3.2% 9,054 BOC Hong Kong Holdings Ltd. 25,104 3,945 Citic Pacific Ltd. 21,810 3,349 CLP Holdings Ltd. 22,753 4,287 Hongkong Electric Holdings Ltd. 24,534 ------------- 94,201 ------------- IRELAND--3.1% 1,251 Allied Irish Banks PLC 28,688 2,314 Bank of Ireland 34,481 1,764 Irish Life & Permanent PLC 30,179 ------------- 93,348 ------------- ITALY--4.4% 744 Eni S.p.A. 27,153 4,233 Milano Assicurazioni S.p.A. 33,134 1,055 Pirelli & C. Real Estate S.p.A. 38,781 10,197 Telecom Italia S.p.A. 31,614 ------------- 130,682 ------------- JAPAN--1.1% 1,390 TAKEFUJI Corp. 33,386 ------------- NETHERLANDS--3.9% 806 Heijmans N.V. 30,306 730 ING Groep N.V. 28,445 1,428 Oce N.V. 25,770 303 Wereldhave N.V. REIT 33,043 ------------- 117,564 ------------- NEW ZEALAND--2.3% 20,892 Telecom Corp. of New Zealand Ltd. 69,791 ------------- NORWAY--2.1% 1,552 DnB NOR ASA 23,609 2,662 Norsk Hydro ASA 37,904 ------------- 61,513 ------------- SINGAPORE--2.4% 5,000 Singapore Petroleum Co., Ltd. 26,103 31,000 UOB-Kay Hian Holdings Ltd. 45,722 ------------- 71,825 ------------- |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST DOW JONES GLOBAL SELECT DIVIDEND INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- COMMON STOCKS (CONTINUED) SWEDEN--3.4% 6,349 Kungsleden AB $ 70,348 1,459 NCC AB, Class B 31,145 ------------- 101,493 ------------- UNITED KINGDOM--20.2% 3,467 Alliance & Leicester PLC 43,372 3,540 Amlin PLC 20,907 3,265 Amlin PLC, Class B 1,456 3,097 Barclays PLC 31,278 7,225 Bradford & Bingley PLC 38,231 7,187 Brit Insurance Holdings PLC 32,686 4,746 BT Group PLC 25,638 26,657 FKI PLC 31,365 1,993 HBOS PLC 28,980 13,820 HMV Group PLC 32,851 2,433 IMI PLC 19,087 4,439 Jardine Lloyd Thompson Group PLC 29,153 14,387 JJB Sports PLC 35,547 4,011 Lloyds TSB Group PLC 37,770 1,783 Provident Financial PLC 29,432 10,580 Rentokil Initial PLC 25,234 2,566 Rexam PLC 21,365 681 Severn Trent PLC 20,711 10,491 Tomkins PLC 36,902 4,571 Trinity Mirror PLC 31,471 2,015 United Utilities PLC 30,282 ------------- 603,718 ------------- UNITED STATES--20.1% 268 Altria Group, Inc. 20,255 460 AT&T, Inc. 19,118 715 Bank of America Corp. 29,501 865 BB&T Corp. 26,530 1,158 Citigroup, Inc. 34,091 733 Comerica, Inc. 31,907 479 Consolidated Edison, Inc. 23,399 2,067 D.R. Horton, Inc. 27,222 463 DTE Energy Co. 20,353 2,198 First Horizon National Corp. 39,894 2,662 Huntington Bancshares, Inc. 39,291 1,331 KeyCorp 31,212 2,628 National City Corp. 43,257 640 Pepco Holdings, Inc. 18,771 507 Progress Energy, Inc. 24,555 1,324 Regions Financial Corp. 31,313 479 SCANA Corp. 20,190 536 Southern Co. 20,770 1,309 TECO Energy, Inc. 22,528 1,777 Umpqua Holdings Corp. 27,259 381 UST, Inc. 20,879 798 Wachovia Corp. 30,348 ------------- 602,643 ------------- |
See Notes to Quarterly Portfolio of Investments
FIRST TRUST DOW JONES GLOBAL SELECT DIVIDEND INDEX FUND
PORTFOLIO OF INVESTMENTS (A) (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
SHARES DESCRIPTION VALUE ---------- ------------------------------------------------ ------------- TOTAL COMMON STOCKS--99.6% $ 2,983,332 (Cost $2,991,459) ------------- MONEY MARKET--10.0% UNITED STATES--10.0% 301,225 J.P. Morgan Institutional Treasury Money Market Fund - 3.09% (c) (Cost $301,226) 301,225 ------------- TOTAL INVESTMENTS--109.6% (Cost $3,292,685) 3,284,557 NET OTHER ASSETS AND LIABILITIES--(9.6%) (288,426) ------------- NET ASSETS--100.0% $ 2,996,131 ============= |
(a) All percentages shown in the Portfolio of Investments are based on net assets.
(b) Aggregate cost for federal income tax and financial reporting purposes. As of December 31, 2007, the aggregate gross unrealized appreciation for all securities in which there was an excess of value over tax cost was $60,858 and the aggregate gross unrealized depreciation for all securities in which there was an excess of tax cost over value was $68,986.
(c) Represents 7-day annualized yield at December 31, 2007.
REIT - Real Estate Investment Trust.
See Notes to Quarterly Portfolio of Investments
FIRST TRUST DOW JONES GLOBAL SELECT DIVIDEND INDEX FUND
INDUSTRY BREAKDOWN
AS OF 12/31/2007
% OF INDUSTRY NET ASSETS ------------------------------------------------------------------------------- Commercial Banks 23.5 % Money Market Fund 10.0 Diversified Telecommunications 7.7 Real Estate Investment Trust 7.2 Insurance 6.9 Multi-Utilities 4.5 Electric Utilities 4.4 Diversified Financial Service 4.2 Metals & Mining 4.1 Real Estate Management & Development 3.6 Oil, Gas & Consumable Fuels 2.9 Industrial Conglomerates 2.9 Specialty Retail 2.3 Transportation Infrastructure 2.1 Consumer Finance 2.1 Energy Equipment & Services 2.1 Construction & Engineering 2.1 Media 1.8 Machinery 1.7 Capital Markets 1.5 Tobacco 1.4 Thrifts & Mortgage Finance 1.3 Wireless Telecommunication Services 1.0 Communications Equipment 0.9 Household Durables 0.9 Paper & Forest Products 0.9 Food & Staples Retailing 0.9 Office Electronics 0.9 Commercial Services & Supplies 0.8 Airlines 0.8 Beverages 0.8 Containers & Packaging 0.7 Water Utilities 0.7 ------------------------------------------------------------------------------- TOTAL INVESTMENTS 109.6 NET OTHER ASSETS AND LIABILITIES (9.6) ---------- TOTAL 100.0 % ========== |
FIRST TRUST EXCHANGE -TRADED FUND II
NOTES TO QUARTERLY PORTFOLIO OF INVESTMENTS
DECEMBER 31, 2007 (UNAUDITED)
1. VALUATION AND INVESTMENT PRACTICES
A. PORTFOLIO VALUATION:
First Trust Exchange-Traded Fund II (the "Trust") is an open-end management
investment company that currently consists of three funds: First Trust DJ
STOXX(R) Select Dividend 30 Index Fund, First Trust FTSE EPRA/NAREIT Global Real
Estate Index Fund, and First Trust Dow Jones Global Select Dividend Index Fund
(each a "Fund" or collectively the "Funds"). Each Fund's net asset value ("NAV")
is determined daily, as of the close of regular trading on the New York Stock
Exchange ("NYSE"), normally 4:00 p.m. Eastern time, on each day the NYSE is open
for trading. The NAV is computed by dividing the value of all assets of the Fund
(including accrued interest and dividends), less all liabilities (including
accrued expenses and dividends declared but unpaid), by the total number of
shares outstanding.
Each Fund's investments are valued at market value or, in the absence of market value with respect to any portfolio securities, at fair value according to procedures adopted by the Trust's Board of Trustees. Portfolio securities listed on any exchange other than The NASDAQ(R) Stock Market, Inc. ("NASDAQ(R)") are valued at the last sale price on the business day as of which such value is being determined. If there has been no sale on such day, the securities are valued at the mean of the most recent bid and asked prices on such day. Securities traded on the NASDAQ(R) are valued at the NASDAQ(R) Official Closing Price as determined by NASDAQ(R). Portfolio securities traded on more than one securities exchange are valued at the last sale price on the business day as of which such value is being determined at the close of the exchange representing the principal market for such securities. Portfolio securities traded in the over-the-counter market, but excluding securities traded on the NASDAQ(R), are valued at the closing bid prices. Short-term investments that mature in less than 60 days are valued at amortized cost.
Certain securities may not be able to be priced by pre-established pricing methods. Such securities may be valued by the Board of Trustees or its delegate at fair value. These securities generally include, but are not limited to, restricted securities (securities which may not be publicly sold without registration under the Securities Act of 1933) for which a pricing service is unable to provide a market price; securities whose trading has been formally suspended; a security whose market price is not available from a pre-established pricing source; a security with respect to which an event has occurred that is likely to materially affect the value of the security after the market has closed but before the calculation of a Fund's NAV or make it difficult or impossible to obtain a reliable market quotation; and a security whose price, as provided by the pricing service, does not reflect the security's "fair value." As a general principle, the current "fair value" of a security would appear to be the amount which the owner might reasonably expect to receive for the security upon its current sale. The use of fair value prices by a Fund generally results in the prices used by a Fund differing from the closing sale prices on the applicable exchange and fair value prices may not reflect the market price of a security. A variety of factors may be considered in determining the fair value of such securities.
Valuing a Fund's securities using fair value pricing will result in using prices for the securities that may differ from current market valuations. Use of fair value prices and certain current market valuations could result in a difference between the prices used to calculate a Fund's NAV and the prices used by such Fund's corresponding Index, which, in turn, could result in a difference between a Fund's performance and the performance of such Index.
Because foreign markets may be open on different days than the days during which investors may purchase the shares of each Fund, the value of each Fund's securities may change on the days when investors are not able to purchase the shares of the Fund. The value of securities denominated in foreign currencies is converted into U.S. dollars using exchange rates determined daily as of the close of regular trading on the NYSE. Any use of a different rate from the rates used by the Index may adversely affect the Fund's ability to track the Index.
FIRST TRUST EXCHANGE -TRADED FUND II
NOTES TO QUARTERLY PORTFOLIO OF INVESTMENTS (CONTINUED)
DECEMBER 31, 2007 (UNAUDITED)
B. SECURITIES TRANSACTIONS:
Securities transactions are recorded as of the trade date. Realized gains and losses from securities transactions are recorded on the identified cost basis.
ADDITIONAL INFORMATION
"STOXX" and "Dow Jones STOXX(R) Select Dividend 30 Index" are trademarks of Dow Jones & Company, Inc. ("Dow Jones") and have been licensed for use for certain purposes by First Trust Advisors L.P. ("First Trust") and the Fund. The Fund, based on the Dow Jones STOXX(R) Select Dividend 30 Index, is not sponsored, endorsed, sold, or promoted by STOXX or Dow Jones and neither STOXX nor Dow Jones makes any representation regarding advisability of trading or investing in such product.
The FTSE EPRA/NAREIT Global Real Estate Index is calculated by FTSE International Limited ("FTSE"). FTSE does not sponsor, endorse or promote the First Trust FTSE EPRA/NAREIT Global Real Estate Index Fund. All copyright in the index values and constituent list vests in FTSE and/or its licensors. First Trust and the First Trust FTSE EPRA/NAREIT Global Real Estate Index Fund has obtained full license from FTSE to use such copyright in the creation of the First Trust FTSE EPRA/NAREIT Global Real Estate Index Fund. "FTSE(R)", "FT-SE(R)" and "Footsie(R)" are trademarks jointly owned by the London Stock Exchange Plc and the Financial Times Limited and are used by FTSE under license. "NAREIT(R)" is the trademark of the National Association of Real Estate Investment Trusts and "EPRA(R)" is the trademark of the European Public Real Estate Association and are used by FTSE under license.
Dow Jones and Dow Jones Global Select Dividend Index(SM) are trademarks of Dow Jones and have been licensed for use. The Fund, based on the Dow Jones Global Select Dividend Index(SM), is not sponsored, endorsed, sold or promoted by Dow Jones, and Dow Jones makes no representation regarding the advisability of trading in the Fund.
ITEM 2. CONTROLS AND PROCEDURES.
(a) The registrant's principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended (the "1940 Act") (17 CFR 270.30a-3 (c))) are effective, as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on their evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rules 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934, as amended (17 CFR 240.13a-15(b) or 240.15d-15 (b)).
(b) There were no changes in the registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR 270.30a-3(d)) that occurred during the registrant's last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the registrant's internal control over financial reporting.
ITEM 3. EXHIBITS.
Certifications pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act of 2002 are attached hereto.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
By: /s/ James A. Bowen ---------------------------------------------------------------- James A. Bowen, Chairman of the Board, President and Chief Executive Officer (principal executive officer) Date: February 26, 2008 --------------------------------------------------- |
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
By: /s/ James A. Bowen ---------------------------------------------------------------- James A. Bowen, Chairman of the Board, President and Chief Executive Officer (principal executive officer) Date: February 26, 2008 --------------------------------------------------- By: /s/ Mark R. Bradley --------------------------------------------------------------------------- Mark R. Bradley, Treasurer, Controller, Chief Financial Officer and Chief Accounting Officer (principal financial officer) Date: February 26, 2008 --------------------------------------------------- |
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