Periodic Transaction Report
| Asset | Ticker | Category | Type | Transaction Date | Amount |
|---|---|---|---|---|---|
| First Trust Health Care AlphaDEX (FXH) | FXH | ETF | Sale | March 17, 2016 | $15,001 - $50,000 |
| First Trust Energy AlphaDEX Fund (FXN) | FXN | ETF | Purchase | March 16, 2016 | $15,001 - $50,000 |
| First Trust Amex biotech Index Fund (FbT) | FBT | ETF | Sale | Feb. 2, 2016 | $15,001 - $50,000 |
| First Trust NASDAQ-100 Ex-Technology Sector Index Fund (QQXT) | QQXT | ETF | Purchase | Feb. 2, 2016 | $15,001 - $50,000 |