# EDGAR Filing Document

**Accession Number:** 0001497778
**File Stem:** 0001145549-23-017788
**Filing Date:** 2023-3
**Character Count:** 22911
**Document Hash:** 517c3e59e1579468308cdc20b0fd84c2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001145549-23-017788.hdr.sgml**: 20230323

**ACCESSION NUMBER**: 0001145549-23-017788

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230131

**FILED AS OF DATE**: 20230323

**DATE AS OF CHANGE**: 20230323

**PERIOD START**: 20231031

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIRST TRUST SERIES FUND
- **CENTRAL INDEX KEY:** 0001497778
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** MA

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22452
- **FILM NUMBER:** 23755613

**BUSINESS ADDRESS:**
- **STREET 1:** 120 EAST LIBERTY DRIVE, SUITE 400
- **CITY:** WHEATON
- **STATE:** IL
- **ZIP:** 60187
- **BUSINESS PHONE:** 630-765-8000

**MAIL ADDRESS:**
- **STREET 1:** 120 EAST LIBERTY DRIVE, SUITE 400
- **CITY:** WHEATON
- **STATE:** IL
- **ZIP:** 60187

## Series and Classes Contracts Data

### First Trust/Confluence Small Cap Value Fund (Series ID: S000030199)

| Class ID   | Class Name   | Ticker Symbol   |
|:---|:---|:---|
| C000092938 | Class A      | FOVAX           |
| C000092939 | Class C      | FOVCX           |
| C000092941 | Class I      | FOVIX           |

## Nport-Ex

#### First Trust/Confluence Small Cap Value Fund<br>

#### Portfolio of Investments

#### January 31, 2023 (Unaudited)

---

| | | |
|:---|:---|:---|
| **Shares** | **Description** | **Value** |
| **COMMON STOCKS – 94.8%** | **COMMON STOCKS – 94.8%** | **COMMON STOCKS – 94.8%** |
|  | **Air Freight & Logistics – 3.0%** |  |
| &nbsp;&nbsp;&nbsp;8022 | Forward Air Corp. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;$865173 |
|  | **Automobiles – 3.1%** |  |
| &nbsp;&nbsp;14208 | Winnebago Industries, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;904765 |
|  | **Banks – 5.3%** |  |
| &nbsp;&nbsp;24918 | Bank of Marin Bancorp. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;759251 |
| &nbsp;&nbsp;27772 | Veritex Holdings, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;781782 |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1541033 |
|  | **Beverages – 2.6%** |  |
| &nbsp;&nbsp;&nbsp;7750 | MGP Ingredients, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;755935 |
|  | **Building Products – 8.7%** |  |
| &nbsp;&nbsp;48986 | AZEK (The) Co., Inc. (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1182032 |
| 101935 | Hayward Holdings, Inc. (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1375103 |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2557135 |
|  | **Capital Markets – 2.9%** |  |
| &nbsp;&nbsp;&nbsp;3560 | Morningstar, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;864653 |
|  | **Chemicals – 1.8%** |  |
| &nbsp;&nbsp;18934 | Mativ Holdings, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;521821 |
|  | **Diversified Consumer<br> Services – 2.5%** |  |
| &nbsp;&nbsp;26579 | Frontdoor, Inc. (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;722417 |
|  | **Diversified Financial Services – 2.3%** |  |
| &nbsp;&nbsp;27876 | Cannae Holdings, Inc. (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;681289 |
|  | **Electrical Equipment – 3.1%** |  |
| &nbsp;&nbsp;22425 | Allied Motion Technologies, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;911352 |
|  | **Electronic Equipment,<br> Instruments & Components – 1.1%** |  |
| &nbsp;&nbsp;11454 | FARO Technologies, Inc. (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;314756 |
|  | **Energy Equipment &<br> Services – 3.3%** |  |
| &nbsp;&nbsp;37837 | Core Laboratories N.V. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;968627 |
|  | **Food Products – 2.7%** |  |
| &nbsp;&nbsp;&nbsp;5558 | J&J Snack Foods Corp. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;796461 |
|  | **Gas Utilities – 3.1%** |  |
| &nbsp;&nbsp;18320 | Northwest Natural Holding Co. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;918565 |
|  | **Household Products – 4.8%** |  |
| &nbsp;&nbsp;20798 | Spectrum Brands Holdings, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1411768 |
|  | **Insurance – 11.4%** |  |
| &nbsp;&nbsp;16043 | Brown & Brown, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;939478 |
| &nbsp;&nbsp;37401 | BRP Group, Inc., Class A (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1071539 |
| &nbsp;&nbsp;91625 | Hagerty, Inc., Class A (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;880516 |
| &nbsp;&nbsp;&nbsp;9587 | Stewart Information Services Corp. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;457971 |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3349504 |

---

---

| | | |
|:---|:---|:---|
| **Shares** | **Description** | **Value** |
|  | **IT Services – 6.5%** |  |
| 35380 | I3 Verticals, Inc., Class A (a) | &nbsp;&nbsp;&nbsp;&nbsp;$1023190 |
| 12009 | Perficient, Inc. (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;890347 |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1913537 |
|  | **Leisure Products – 2.0%** |  |
| 55162 | American Outdoor Brands, Inc. (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;578098 |
|  | **Machinery – 11.6%** |  |
| 52963 | Gates Industrial Corp. PLC (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;699642 |
| &nbsp;&nbsp;8181 | John Bean Technologies Corp. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;914063 |
| &nbsp;&nbsp;4530 | Kadant, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;923078 |
| &nbsp;&nbsp;3527 | RBC Bearings, Inc. (a) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;860482 |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3397265 |
|  | **Personal Products – 2.9%** |  |
| 20080 | Edgewell Personal Care Co. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;860629 |
|  | **Real Estate Management &<br> Development – 1.4%** |  |
| 17400 | RE/MAX Holdings, Inc., Class A | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;396894 |
|  | **Road & Rail – 2.9%** |  |
| 38555 | Marten Transport Ltd. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;851680 |
|  | **Textiles, Apparel & Luxury<br> Goods – 3.0%** |  |
| 25152 | Movado Group, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;889375 |
|  | **Water Utilities – 2.8%** |  |
| 10514 | SJW Group | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;813889 |
|  | **Total Common Stocks** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;27786621 |
|  | (Cost $22,452,497) |  |
| **REAL ESTATE INVESTMENT TRUSTS – 1.2%** | **REAL ESTATE INVESTMENT TRUSTS – 1.2%** | **REAL ESTATE INVESTMENT TRUSTS – 1.2%** |
|  | **Equity Real Estate Investment<br> Trusts – 1.2%** |  |
| &nbsp;&nbsp;9653 | Rayonier, Inc. | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;351273 |
|  | (Cost $239,212) |  |
|  | **Total Investments – 96.0%** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;28137894 |
|  | (Cost $22,691,709) |  |
|  | **Net Other Assets and Liabilities – 4.0%** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1179714 |
|  | **Net Assets – 100.0%** | &nbsp;&nbsp;&nbsp;$29317608 |

---

(a) Non-income producing security.

------

#### Valuation Inputs
The Fund is subject to fair value accounting standards that define fair value, establish the framework for measuring fair value and provide a three-level hierarchy for fair valuation based upon the inputs to the valuation as of the measurement date. The three levels of the fair value hierarchy are as follows:

• Level 1 – Level 1 inputs are quoted prices in active markets for identical investments.

------

#### First Trust/Confluence Small Cap Value Fund<br>

#### Portfolio of Investments (Continued)

#### January 31, 2023 (Unaudited)
• Level 2 – Level 2 inputs are observable inputs, either directly or indirectly. (Quoted prices for similar investments, valuations based on interest rates and yield curves, or valuations derived
from observable market data.)

• Level 3 – Level 3 inputs are unobservable inputs that may reflect the reporting entity's own assumptions about the assumptions that market participants would use in
pricing the investment.

The inputs or methodologies used for valuing investments are not necessarily an indication of the risk associated with investing in those investments.

A summary of the inputs used to value the Fund's investments as of January 31, 2023 is as follows:

---

| | | | | |
|:---|:---|:---|:---|:---|
|  | **Total<br> Value at<br> 1/31/2023** | &nbsp;&nbsp;**Level 1<br> Quoted<br> Prices** | **Level 2<br> Significant<br> Observable<br> Inputs** | **Level 3<br> Significant<br> Unobservable<br> Inputs** |
| Common Stocks\* | $27786621 | &nbsp;&nbsp;$27786621 | $— | $— |
| Real Estate Investment Trusts\* | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; 351273 | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; 351273 | &nbsp;&nbsp;&nbsp;&nbsp; — | &nbsp;&nbsp;&nbsp;&nbsp; — |
| Total Investments | $28137894 | &nbsp;&nbsp;$28137894 | $— | $— |

---

\* See Portfolio of Investments for industry breakout.

## Form NPORT-P: Monthly Portfolio Investments Report

### NPORT-P: Part A: General Information

**Item A.1. Information about the Registrant.**

- **a. Name of Registrant:** First Trust Series Fund

- **b. Investment Company Act file number:** 811-22452

- **c. CIK number of Registrant:** 0001497778

- **d. LEI of Registrant:** 549300RL1B5O4HI4N885

- **e. Address and telephone number of Registrant.**

  - **Street Address 1:** 120 East Liberty Drive, Suite 400

  - **City:** Wheaton

  - **State:** IL

  - **Foreign country:** US

  - **Zip / Postal Code:** 60187

  - **Telephone number:** 630-765-8000

**Item A.2. Information about the Series.**

- **a. Name of Series:** First Trust/Confluence Small Cap Value Fund

- **b. EDGAR series identifier (if any):** S000030199

- **c. LEI of Series:** 549300GLRTARYID06M81

**Item A.3. Reporting period.**

- **a. Date of fiscal year-end:** 2023-10-31

- **b. Date as of which information is reported:** 2023-01-31

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **No**

### Fund Information

**Total Assets:** $29350999.63

**Total Liabilities:** $151582.42

**Net Assets:** $29199417.33

**Cash Not Reported:** $945855.99

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000092938 | 5.42%                | -5.28%               | 11.14%               |
| Class ID C000092939 | 5.35%                | -5.32%               | 11.05%               |
| Class ID C000092941 | 5.43%                | -5.25%               | 11.15%               |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-90876.94               | $1544762.54                                |
| Month 2  | $366949.77               | $-1857480.42                               |
| Month 3  | $-23771.35               | $2960201.52                                |

### Schedule of Portfolio Investments

| Name                                     | Title                        | Identifiers                                   | Payoff Profile   | Asset Category   | Issuer Category   | Country   |   Balance | Units   | Value (USD)   | % of Net Assets   | Maturity Date   | Coupon Type   | Annualized Rate (%)   | Restricted?   |   Fair Value Level | Lending Status   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| Hayward Holdings Inc                     | HAYWARD HOLDINGS INC         | CUSIP: 421298100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    101935 | NS      | $1375103.15   | 4.71%             |  |  |  | No            |                  1 | On Loan: No      |
| I3 Verticals INC                         | I3 VERTICALS INC-CLASS A     | CUSIP: 46571Y107<br>LEI: 549300944CYWVP06CJ97 | Long             | EC               | CORP              | US        |     35380 | NS      | $1023189.60   | 3.50%             |  |  |  | No            |                  1 | On Loan: No      |
| J&J Snack Foods Corp                     | J & J SNACK FOODS CORP       | CUSIP: 466032109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |      5558 | NS      | $796461.40    | 2.73%             |  |  |  | No            |                  1 | On Loan: No      |
| John Bean Technologies Corp.             | JOHN BEAN TECHNOLOGIES CORP  | CUSIP: 477839104<br>LEI: 5493007CT6ATBZ2L6826 | Long             | EC               | CORP              | US        |      8181 | NS      | $914063.13    | 3.13%             |  |  |  | No            |                  1 | On Loan: No      |
| Morningstar Inc                          | MORNINGSTAR INC              | CUSIP: 617700109<br>LEI: 529900YGNQPOVAXQ7F29 | Long             | EC               | CORP              | US        |      3560 | NS      | $864652.80    | 2.96%             |  |  |  | No            |                  1 | On Loan: No      |
| Rayonier Inc                             | RAYONIER INC                 | CUSIP: 754907103<br>LEI: HGV8VDVNL0W6SF2U9C50 | Long             | EC               | CORP              | US        |      9653 | NS      | $351272.67    | 1.20%             |  |  |  | No            |                  1 | On Loan: No      |
| RBC Bearings Inc                         | RBC BEARINGS INC             | CUSIP: 75524B104<br>LEI: N/A                  | Long             | EC               | CORP              | US        |      3527 | NS      | $860482.19    | 2.95%             |  |  |  | No            |                  1 | On Loan: No      |
| RE/MAX Holdings Inc.                     | RE/MAX HOLDINGS INC-CL A     | CUSIP: 75524W108<br>LEI: 54930033W2KS56JHAN30 | Long             | EC               | CORP              | US        |     17400 | NS      | $396894.00    | 1.36%             |  |  |  | No            |                  1 | On Loan: No      |
| Spectrum Brands Holdings Inc             | SPECTRUM BRANDS HOLDINGS INC | CUSIP: 84790A105<br>LEI: 549300JM0MJETDD30O20 | Long             | EC               | CORP              | US        |     20798 | NS      | $1411768.24   | 4.83%             |  |  |  | No            |                  1 | On Loan: No      |
| Stewart Information Services Corporation | STEWART INFORMATION SERVICES | CUSIP: 860372101<br>LEI: 529900TV1XI0PLKENU10 | Long             | EC               | CORP              | US        |      9587 | NS      | $457970.99    | 1.57%             |  |  |  | No            |                  1 | On Loan: No      |
| Allied Motion Technologies Inc.          | ALLIED MOTION TECHNOLOGIES   | CUSIP: 019330109<br>LEI: 549300I2LHAWYGNBPM97 | Long             | EC               | CORP              | US        |     22425 | NS      | $911352.00    | 3.12%             |  |  |  | No            |                  1 | On Loan: No      |
| Brown & Brown Inc                        | BROWN & BROWN INC            | CUSIP: 115236101<br>LEI: 549300PC8KTJ71XKFY89 | Long             | EC               | CORP              | US        |     16043 | NS      | $939478.08    | 3.22%             |  |  |  | No            |                  1 | On Loan: No      |
| Edgewell Personal Care Co                | EDGEWELL PERSONAL CARE CO    | CUSIP: 28035Q102<br>LEI: 549300CY8QZDL4Z3RU59 | Long             | EC               | CORP              | US        |     20080 | NS      | $860628.80    | 2.95%             |  |  |  | No            |                  1 | On Loan: No      |
| American Outdoor Brands Inc              | AMERICAN OUTDOOR BRANDS INC  | CUSIP: 02875D109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     55162 | NS      | $578097.76    | 1.98%             |  |  |  | No            |                  1 | On Loan: No      |
| The AZEK Company Inc                     | AZEK CO INC/THE              | CUSIP: 05478C105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     48986 | NS      | $1182032.18   | 4.05%             |  |  |  | No            |                  1 | On Loan: No      |
| Bank of Marin Bancorp.                   | BANK OF MARIN BANCORP/CA     | CUSIP: 063425102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     24918 | NS      | $759251.46    | 2.60%             |  |  |  | No            |                  1 | On Loan: No      |
| FARO Technologies Inc.                   | FARO TECHNOLOGIES INC        | CUSIP: 311642102<br>LEI: 529900MFEFNOFP3YR823 | Long             | EC               | CORP              | US        |     11454 | NS      | $314755.92    | 1.08%             |  |  |  | No            |                  1 | On Loan: No      |
| MGP Ingredients Inc.                     | MGP INGREDIENTS INC          | CUSIP: 55303J106<br>LEI: 2549006OMHFVZ4MS8538 | Long             | EC               | CORP              | US        |      7750 | NS      | $755935.00    | 2.59%             |  |  |  | No            |                  1 | On Loan: No      |
| Marten Transport Ltd.                    | MARTEN TRANSPORT LTD         | CUSIP: 573075108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     38555 | NS      | $851679.95    | 2.92%             |  |  |  | No            |                  1 | On Loan: No      |
| Movado Group Inc                         | MOVADO GROUP INC             | CUSIP: 624580106<br>LEI: 549300WCGCGPWGHVXM59 | Long             | EC               | CORP              | US        |     25152 | NS      | $889374.72    | 3.05%             |  |  |  | No            |                  1 | On Loan: No      |
| Northwest Natural Holding Company        | NORTHWEST NATURAL HOLDING CO | CUSIP: 66765N105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     18320 | NS      | $918564.80    | 3.15%             |  |  |  | No            |                  1 | On Loan: No      |
| Perficient Inc                           | PERFICIENT INC               | CUSIP: 71375U101<br>LEI: 549300HTBXKL2755T650 | Long             | EC               | CORP              | US        |     12009 | NS      | $890347.26    | 3.05%             |  |  |  | No            |                  1 | On Loan: No      |
| SJW Group                                | SJW GROUP                    | CUSIP: 784305104<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     10514 | NS      | $813888.74    | 2.79%             |  |  |  | No            |                  1 | On Loan: No      |
| Mativ Holdings Inc                       | MATIV HOLDINGS INC           | CUSIP: 808541106<br>LEI: 549300Z1FU4IDULG1R21 | Long             | EC               | CORP              | US        |     18934 | NS      | $521821.04    | 1.79%             |  |  |  | No            |                  1 | On Loan: No      |
| Gates Industrial Corp PLC                | GATES INDUSTRIAL CORP PLC    | CUSIP: G39108108<br>LEI: 549300S6K4FWUSB9KM27 | Long             | EC               | CORP              | GB        |     52963 | NS      | $699641.23    | 2.40%             |  |  |  | No            |                  1 | On Loan: No      |
| BRP Group Inc.                           | BRP GROUP INC-A              | CUSIP: 05589G102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     37401 | NS      | $1071538.65   | 3.67%             |  |  |  | No            |                  1 | On Loan: No      |
| Cannae Holdings Incorporation            | CANNAE HOLDINGS INC          | CUSIP: 13765N107<br>LEI: 549300OGRF1ICI7D2V77 | Long             | EC               | CORP              | US        |     27876 | NS      | $681289.44    | 2.33%             |  |  |  | No            |                  1 | On Loan: No      |
| Core Laboratories                        | CORE LABORATORIES N.V.       | CUSIP: N22717107<br>LEI: 724500MDYY5VBSAF5W50 | Long             | EC               | CORP              | NL        |     37837 | NS      | $968627.20    | 3.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Forward Air Corp.                        | FORWARD AIR CORP             | CUSIP: 349853101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |      8022 | NS      | $865172.70    | 2.96%             |  |  |  | No            |                  1 | On Loan: No      |
| Frontdoor Inc                            | FRONTDOOR INC                | CUSIP: 35905A109<br>LEI: 5493008RB0JZJI3QGZ06 | Long             | EC               | CORP              | US        |     26579 | NS      | $722417.22    | 2.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Hagerty Inc                              | HAGERTY INC-A                | CUSIP: 405166109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     91625 | NS      | $880516.25    | 3.02%             |  |  |  | No            |                  1 | On Loan: No      |
| Veritex Hldgs Inc                        | VERITEX HOLDINGS INC         | CUSIP: 923451108<br>LEI: 549300F3SMOML02SC814 | Long             | EC               | CORP              | US        |     27772 | NS      | $781781.80    | 2.68%             |  |  |  | No            |                  1 | On Loan: No      |
| Winnebago Industries Inc.                | WINNEBAGO INDUSTRIES         | CUSIP: 974637100<br>LEI: 549300B7OYKYJLTE3G11 | Long             | EC               | CORP              | US        |     14208 | NS      | $904765.44    | 3.10%             |  |  |  | No            |                  1 | On Loan: No      |
| Kadant Inc                               | KADANT INC                   | CUSIP: 48282T104<br>LEI: 549300K06LNJYBMPYP15 | Long             | EC               | CORP              | US        |      4530 | NS      | $923078.10    | 3.16%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2023-02-03

**Name of Applicant:** First Trust Series Fund

**Signature:** Donald P. Swade

**Name of Signer:** First Trust Series Fund

**Title:** Treasurer, Chief Financial Officer and Chief Accounting Officer