# EDGAR Filing Document

**Accession Number:** 0001383496
**File Stem:** 0000940400-25-002094
**Filing Date:** 2025-9
**Character Count:** 38923
**Document Hash:** aa1657fcdfc11dfd4a63012b3bfac677
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000940400-25-002094.hdr.sgml**: 20250924

**ACCESSION NUMBER**: 0000940400-25-002094

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250731

**FILED AS OF DATE**: 20250924

**DATE AS OF CHANGE**: 20250924

**PERIOD START**: 20250731

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND
- **CENTRAL INDEX KEY:** 0001383496

**ORGANIZATION NAME:**
- **EIN:** 000000000
- **STATE OF INCORPORATION:** MA

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22019
- **FILM NUMBER:** 251336256

**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 Financials AlphaDEX Fund (Series ID: S000017699)

| Class ID   | Class Name                           | Ticker Symbol   |
|:---|:---|:---|
| C000048899 | First Trust Financials AlphaDEX Fund | FXO             |

## 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 Exchange-Traded AlphaDEX Fund

- **b. Investment Company Act file number:** 811-22019

- **c. CIK number of Registrant:** 0001383496

- **d. LEI of Registrant:** 549300PGRVU1P76W4537

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

  - **Street Address 1:** 120 East Liberty Drive

  - **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 Financials AlphaDEX Fund

- **b. EDGAR series identifier (if any):** S000017699

- **c. LEI of Series:** 549300RVOY34XNQ51513

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

- **a. Date of fiscal year-end:** 2025-07-31

- **b. Date as of which information is reported:** 2025-07-31

**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:** $2187089046.74

**Total Liabilities:** $2121420.99

**Net Assets:** $2184967625.75

**Cash Not Reported:** $5458.51

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000048899 | 5.95%                | 4.35%                | 1.80%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $1626592.39              | $110960702.03                              |
| Month 2  | $3498206.54              | $81510566.35                               |
| Month 3  | $58136602.03             | $-16977353.68                              |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| Northern Trust Corp                | Northern Trust Corp                  | CUSIP: 665859104<br>LEI: 549300GLF98S992BC502 | Long             | EC               | CORP              | US        |    160743 | NS      | $20896590.00  | 0.96%             |  |  |  | No            |                  1 | On Loan: No      |
| Primerica Inc                      | Primerica Inc                        | CUSIP: 74164M108<br>LEI: 254900621R686KJR7022 | Long             | EC               | CORP              | US        |     49647 | NS      | $13187732.61  | 0.60%             |  |  |  | No            |                  1 | On Loan: No      |
| Houlihan Lokey Inc                 | Houlihan Lokey Inc                   | CUSIP: 441593100<br>LEI: 549300S3CNGTQ1QZVY46 | Long             | EC               | CORP              | US        |    151007 | NS      | $28790994.62  | 1.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Aflac Inc                          | Aflac Inc                            | CUSIP: 001055102<br>LEI: 549300N0B7DOGLXWPP39 | Long             | EC               | CORP              | US        |     64417 | NS      | $6400473.12   | 0.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Everest Group Ltd                  | Everest Group Ltd                    | CUSIP: 000000000<br>LEI: 549300N24XF2VV0B3570 | Long             | EC               | CORP              | BM        |     19989 | NS      | $6712306.20   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Loews Corp                         | Loews Corp                           | CUSIP: 540424108<br>LEI: R8V1FN4M5ITGZOG7BS19 | Long             | EC               | CORP              | US        |    296464 | NS      | $26841850.56  | 1.23%             |  |  |  | No            |                  1 | On Loan: No      |
| OneMain Holdings Inc               | OneMain Holdings Inc                 | CUSIP: 68268W103<br>LEI: 549300E3VEW8SMS5XW09 | Long             | EC               | CORP              | US        |    357552 | NS      | $20662930.08  | 0.95%             |  |  |  | No            |                  1 | On Loan: No      |
| American International Group I     | American International Group Inc     | CUSIP: 026874784<br>LEI: ODVCVCQG2BP6VHV36M30 | Long             | EC               | CORP              | US        |    317485 | NS      | $24646360.55  | 1.13%             |  |  |  | No            |                  1 | On Loan: No      |
| Globe Life Inc                     | Globe Life Inc                       | CUSIP: 37959E102<br>LEI: 5493001JFHKQOPP6XA71 | Long             | EC               | CORP              | US        |    218631 | NS      | $30711096.57  | 1.41%             |  |  |  | No            |                  1 | On Loan: No      |
| DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA CAPITAL MARKETS AMERICA INC    | CUSIP: 000000000<br>LEI: M67H5PRC0NQKM73ZAS82 | Long             | RA               | CORP              | US        |     32972 | PA      | $32972.00     | 0.00%             |  |  |  | No            |                  2 | On Loan: No      |
| BOK Financial Corp                 | BOK Financial Corp                   | CUSIP: 05561Q201<br>LEI: GRI2NT5QHYW751NMR949 | Long             | EC               | CORP              | US        |    278332 | NS      | $28259047.96  | 1.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Old Republic International Cor     | Old Republic International Corp      | CUSIP: 680223104<br>LEI: 549300IV6O2YY2A1KH37 | Long             | EC               | CORP              | US        |    530186 | NS      | $19176827.62  | 0.88%             |  |  |  | No            |                  1 | On Loan: No      |
| First Hawaiian Inc                 | First Hawaiian Inc                   | CUSIP: 32051X108<br>LEI: 5493002DJSH46F5OLV06 | Long             | EC               | CORP              | US        |    544350 | NS      | $13200487.50  | 0.60%             |  |  |  | No            |                  1 | On Loan: No      |
| MGIC Investment Corp               | MGIC Investment Corp                 | CUSIP: 552848103<br>LEI: 254900S8483WM4M98R28 | Long             | EC               | CORP              | US        |   1220090 | NS      | $31600331.00  | 1.45%             |  |  |  | No            |                  1 | On Loan: No      |
| Hanover Insurance Group Inc/Th     | Hanover Insurance Group Inc/The      | CUSIP: 410867105<br>LEI: JJYR6MFKFF6CF8DBZ078 | Long             | EC               | CORP              | US        |     79982 | NS      | $13727310.66  | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |
| Franklin Resources Inc             | Franklin Resources Inc               | CUSIP: 354613101<br>LEI: RIFQSET379FOGTEFKS80 | Long             | EC               | CORP              | US        |    569685 | NS      | $13672440.00  | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |
| Cullen/Frost Bankers Inc           | Cullen/Frost Bankers Inc             | CUSIP: 229899109<br>LEI: 529900V2E9G9AY665O34 | Long             | EC               | CORP              | US        |     52850 | NS      | $6733618.50   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Bank of New York Mellon Corp/T     | Bank of New York Mellon Corp/The     | CUSIP: 064058100<br>LEI: WFLLPEPC7FZXENRZV188 | Long             | EC               | CORP              | US        |    372817 | NS      | $37822284.65  | 1.73%             |  |  |  | No            |                  1 | On Loan: No      |
| XP Inc                             | XP Inc                               | CUSIP: 000000000<br>LEI: 5493008KDA8NBZRJST80 | Long             | EC               | CORP              | BR        |   1008928 | NS      | $16284097.92  | 0.75%             |  |  |  | No            |                  1 | On Loan: No      |
| Citigroup Inc                      | Citigroup Inc                        | CUSIP: 172967424<br>LEI: 6SHGI4ZSSLCXXQSBB395 | Long             | EC               | CORP              | US        |    399052 | NS      | $37391172.40  | 1.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Broadridge Financial Solutions     | Broadridge Financial Solutions Inc   | CUSIP: 11133T103<br>LEI: 549300KZDJZQ2YIHRC28 | Long             | EC               | CORP              | US        |     27952 | NS      | $6918399.52   | 0.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Fidelity National Financial In     | Fidelity National Financial Inc      | CUSIP: 31620R303<br>LEI: 549300CAZYIH39SYQ287 | Long             | EC               | CORP              | US        |    363547 | NS      | $20514957.21  | 0.94%             |  |  |  | No            |                  1 | On Loan: No      |
| Arthur J Gallagher & Co            | Arthur J Gallagher & Co              | CUSIP: 363576109<br>LEI: 54930049QLLMPART6V29 | Long             | EC               | CORP              | US        |     21222 | NS      | $6096019.50   | 0.28%             |  |  |  | No            |                  1 | On Loan: No      |
| State Street Corp                  | State Street Corp                    | CUSIP: 857477103<br>LEI: 549300ZFEEJ2IP5VME73 | Long             | EC               | CORP              | US        |    255540 | NS      | $28556595.00  | 1.31%             |  |  |  | No            |                  1 | On Loan: No      |
| First Horizon Corp                 | First Horizon Corp                   | CUSIP: 320517105<br>LEI: TF3RXI1ZB1TQ30H9JV10 | Long             | EC               | CORP              | US        |    640895 | NS      | $13977919.95  | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Synovus Financial Corp             | Synovus Financial Corp               | CUSIP: 87161C501<br>LEI: 549300EIUS8UN5JTLE54 | Long             | EC               | CORP              | US        |    131273 | NS      | $6201336.52   | 0.28%             |  |  |  | No            |                  1 | On Loan: No      |
| Berkshire Hathaway Inc             | Berkshire Hathaway Inc               | CUSIP: 084670702<br>LEI: 5493000C01ZX7D35SD85 | Long             | EC               | CORP              | US        |     69924 | NS      | $32995737.12  | 1.51%             |  |  |  | No            |                  1 | On Loan: No      |
| RenaissanceRe Holdings Ltd         | RenaissanceRe Holdings Ltd           | CUSIP: 000000000<br>LEI: EK6GB9U3U58PDI411C94 | Long             | EC               | CORP              | BM        |    139844 | NS      | $34085576.56  | 1.56%             |  |  |  | No            |                  1 | On Loan: No      |
| Travelers Cos Inc/The              | Travelers Cos Inc/The                | CUSIP: 89417E109<br>LEI: 549300Y650407RU8B149 | Long             | EC               | CORP              | US        |     50784 | NS      | $13216028.16  | 0.60%             |  |  |  | No            |                  1 | On Loan: No      |
| Unum Group                         | Unum Group                           | CUSIP: 91529Y106<br>LEI: 549300E32YFDO6TZ8R31 | Long             | EC               | CORP              | US        |    420595 | NS      | $30202926.95  | 1.38%             |  |  |  | No            |                  1 | On Loan: No      |
| J.P. MORGAN SECURITIES LLC         | JP MORGAN SECURITIES LLC             | CUSIP: 000000000<br>LEI: ZBUT11V806EZRVTWT807 | Long             | RA               | CORP              | US        |    218418 | PA      | $218418.00    | 0.01%             |  |  |  | No            |                  2 | On Loan: No      |
| Affiliated Managers Group Inc      | Affiliated Managers Group Inc        | CUSIP: 008252108<br>LEI: 2JE75BUE3T1BLCYYGK54 | Long             | EC               | CORP              | US        |    138098 | NS      | $28982627.26  | 1.33%             |  |  |  | No            |                  1 | On Loan: No      |
| Cincinnati Financial Corp          | Cincinnati Financial Corp            | CUSIP: 172062101<br>LEI: 254900Q4WEDMZBOZ0002 | Long             | EC               | CORP              | US        |     91235 | NS      | $13458074.85  | 0.62%             |  |  |  | No            |                  1 | On Loan: No      |
| Pinnacle Financial Partners In     | Pinnacle Financial Partners Inc      | CUSIP: 72346Q104<br>LEI: 54930098EZ8JMSAZGS24 | Long             | EC               | CORP              | US        |    123061 | NS      | $10815831.29  | 0.50%             |  |  |  | No            |                  1 | On Loan: No      |
| US Bancorp                         | US Bancorp                           | CUSIP: 902973304<br>LEI: N1GZ7BBF3NP8GI976H15 | Long             | EC               | CORP              | US        |    450395 | NS      | $20249759.20  | 0.93%             |  |  |  | No            |                  1 | On Loan: No      |
| Markel Group Inc                   | Markel Group Inc                     | CUSIP: 570535104<br>LEI: 549300SCNO12JLWIK605 | Long             | EC               | CORP              | US        |     10203 | NS      | $20490582.87  | 0.94%             |  |  |  | No            |                  1 | On Loan: No      |
| Goldman Sachs Group Inc/The        | Goldman Sachs Group Inc/The          | CUSIP: 38141G104<br>LEI: 784F5XWPLTWKTBV3E584 | Long             | EC               | CORP              | US        |     47994 | NS      | $34727978.46  | 1.59%             |  |  |  | No            |                  1 | On Loan: No      |
| Raymond James Financial Inc        | Raymond James Financial Inc          | CUSIP: 754730109<br>LEI: RGUZHJ05YTITL6D76949 | Long             | EC               | CORP              | US        |     44295 | NS      | $7403023.35   | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Equitable Holdings Inc             | Equitable Holdings Inc               | CUSIP: 29452E101<br>LEI: 549300FIBAKMNHPZ4009 | Long             | EC               | CORP              | US        |    605476 | NS      | $31091192.60  | 1.42%             |  |  |  | No            |                  1 | On Loan: No      |
| Tradeweb Markets Inc               | Tradeweb Markets Inc                 | CUSIP: 892672106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     92806 | NS      | $12858271.30  | 0.59%             |  |  |  | No            |                  1 | On Loan: No      |
| American Financial Group Inc/O     | American Financial Group Inc/OH      | CUSIP: 025932104<br>LEI: 549300AFOM7IVKIU1G39 | Long             | EC               | CORP              | US        |     53826 | NS      | $6722867.40   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Allstate Corp/The                  | Allstate Corp/The                    | CUSIP: 020002101<br>LEI: OBT0W1ED8G0NWVOLOJ77 | Long             | EC               | CORP              | US        |     33746 | NS      | $6858874.50   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Moody's Corp                       | Moody's Corp                         | CUSIP: 615369105<br>LEI: 549300GCEDD8YCF5WU84 | Long             | EC               | CORP              | US        |     27086 | NS      | $13969062.78  | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Ares Management Corp               | Ares Management Corp                 | CUSIP: 03990B101<br>LEI: 529900JUV61FH7B8VW38 | Long             | EC               | CORP              | US        |    117673 | NS      | $21831871.69  | 1.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Axis Capital Holdings Ltd          | Axis Capital Holdings Ltd            | CUSIP: 000000000<br>LEI: 635400VD2NQBYAHMEM55 | Long             | EC               | CORP              | BM        |    261742 | NS      | $24561869.28  | 1.12%             |  |  |  | No            |                  1 | On Loan: No      |
| Progressive Corp/The               | Progressive Corp/The                 | CUSIP: 743315103<br>LEI: 529900TACNVLY9DCR586 | Long             | EC               | CORP              | US        |    101828 | NS      | $24646449.12  | 1.13%             |  |  |  | No            |                  1 | On Loan: No      |
| SLM Corp                           | SLM Corp                             | CUSIP: 78442P106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    828724 | NS      | $26353423.20  | 1.21%             |  |  |  | No            |                  1 | On Loan: No      |
| MSILF Treasury Portfolio           | MSILF Treasury Portfolio             | CUSIP: 61747C582<br>LEI: 549300D1XR6GP7EZ0T47 | Long             | STIV             | RF                | US        |   2368583 | NS      | $2368582.89   | 0.11%             |  |  |  | No            |                  1 | On Loan: No      |
| LPL Financial Holdings Inc         | LPL Financial Holdings Inc           | CUSIP: 50212V100<br>LEI: 549300XROQ4Y8G2L7682 | Long             | EC               | CORP              | US        |     90585 | NS      | $35847202.05  | 1.64%             |  |  |  | No            |                  1 | On Loan: No      |
| First American Financial Corp      | First American Financial Corp        | CUSIP: 31847R102<br>LEI: 549300B6VEZK3N0A1P55 | Long             | EC               | CORP              | US        |    110659 | NS      | $6645072.95   | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Ameriprise Financial Inc           | Ameriprise Financial Inc             | CUSIP: 03076C106<br>LEI: 6ZLKQF7QB6JAEKQS5388 | Long             | EC               | CORP              | US        |     38185 | NS      | $19787085.15  | 0.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Wells Fargo & Co                   | Wells Fargo & Co                     | CUSIP: 949746101<br>LEI: PBLD0EJDB5FWOLXP3B76 | Long             | EC               | CORP              | US        |     84793 | NS      | $6836859.59   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| BOFA SECURITIES, INC.              | BOFA SECURITIES INC                  | CUSIP: 000000000<br>LEI: 549300HN4UKV1E2R3U73 | Long             | RA               | CORP              | US        |    159269 | PA      | $159269.00    | 0.01%             |  |  |  | No            |                  2 | On Loan: No      |
| Carlyle Group Inc/The              | Carlyle Group Inc/The                | CUSIP: 14316J108<br>LEI: 529900NGGVF94UK6PG95 | Long             | EC               | CORP              | US        |    132171 | NS      | $8017492.86   | 0.37%             |  |  |  | No            |                  1 | On Loan: No      |
| Credit Acceptance Corp             | Credit Acceptance Corp               | CUSIP: 225310101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     13334 | NS      | $6537393.52   | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Invesco Ltd                        | Invesco Ltd                          | CUSIP: 000000000<br>LEI: ECPGFXU8A2SHKVVGJI15 | Long             | EC               | CORP              | US        |   2153919 | NS      | $45253838.19  | 2.07%             |  |  |  | No            |                  1 | On Loan: No      |
| Arch Capital Group Ltd             | Arch Capital Group Ltd               | CUSIP: 000000000<br>LEI: 549300AYR4P8AFKDCE43 | Long             | EC               | CORP              | BM        |    373062 | NS      | $32105715.72  | 1.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Assurant Inc                       | Assurant Inc                         | CUSIP: 04621X108<br>LEI: H3F39CAXWQRVWURFXL38 | Long             | EC               | CORP              | US        |     34399 | NS      | $6442932.70   | 0.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Western Alliance Bancorp           | Western Alliance Bancorp             | CUSIP: 957638109<br>LEI: 5493003VJXZ5JXT9S762 | Long             | EC               | CORP              | US        |    261352 | NS      | $20270461.12  | 0.93%             |  |  |  | No            |                  1 | On Loan: No      |
| Regions Financial Corp             | Regions Financial Corp               | CUSIP: 7591EP100<br>LEI: CW05CS5KW59QTC0DG824 | Long             | EC               | CORP              | US        |    866512 | NS      | $21948748.96  | 1.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Assured Guaranty Ltd               | Assured Guaranty Ltd                 | CUSIP: 000000000<br>LEI: 549300BBOQUJEPH87M14 | Long             | EC               | CORP              | BM        |    389980 | NS      | $32984508.40  | 1.51%             |  |  |  | No            |                  1 | On Loan: No      |
| M&T Bank Corp                      | M&T Bank Corp                        | CUSIP: 55261F104<br>LEI: 549300WYXDDBYRASEG81 | Long             | EC               | CORP              | US        |    140078 | NS      | $26432718.60  | 1.21%             |  |  |  | No            |                  1 | On Loan: No      |
| Ally Financial Inc                 | Ally Financial Inc                   | CUSIP: 02005N100<br>LEI: 549300JBN1OSM8YNAI90 | Long             | EC               | CORP              | US        |    697661 | NS      | $26406468.85  | 1.21%             |  |  |  | No            |                  1 | On Loan: No      |
| PNC Financial Services Group I     | PNC Financial Services Group Inc/The | CUSIP: 693475105<br>LEI: CFGNEKW0P8842LEUIA51 | Long             | EC               | CORP              | US        |     72883 | NS      | $13867448.41  | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |
| Interactive Brokers Group Inc      | Interactive Brokers Group Inc        | CUSIP: 45841N107<br>LEI: 5493004DT6DCDUZNDM53 | Long             | EC               | CORP              | US        |    613015 | NS      | $40189263.40  | 1.84%             |  |  |  | No            |                  1 | On Loan: No      |
| Webster Financial Corp             | Webster Financial Corp               | CUSIP: 947890109<br>LEI: KMRURHT0VWKYS6Z5KU67 | Long             | EC               | CORP              | US        |    373267 | NS      | $21518842.55  | 0.98%             |  |  |  | No            |                  1 | On Loan: No      |
| SEI Investments Co                 | SEI Investments Co                   | CUSIP: 784117103<br>LEI: 5LJTIFADGZ6XH1RVOC11 | Long             | EC               | CORP              | US        |    226800 | NS      | $19985616.00  | 0.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Citizens Financial Group Inc       | Citizens Financial Group Inc         | CUSIP: 174610105<br>LEI: 2138004JDDA4ZQUPFW65 | Long             | EC               | CORP              | US        |    303616 | NS      | $14488555.52  | 0.66%             |  |  |  | No            |                  1 | On Loan: No      |
| MIZUHO SECURITIES USA LLC          | MIZUHO SECURITIES USA LLC            | CUSIP: 000000000<br>LEI: 7TK5RJIZDFROZCA6XF66 | Long             | RA               | CORP              | US        |    154405 | PA      | $154405.00    | 0.01%             |  |  |  | No            |                  2 | On Loan: No      |
| SouthState Corp                    | SouthState Corp                      | CUSIP: 840441109<br>LEI: 549300JZUANXM0YQ4W53 | Long             | EC               | CORP              | US        |     73816 | NS      | $6951252.72   | 0.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Coinbase Global Inc                | Coinbase Global Inc                  | CUSIP: 19260Q107<br>LEI: 5493004G3J2SC154DU06 | Long             | EC               | CORP              | US        |     96917 | NS      | $36611365.92  | 1.68%             |  |  |  | No            |                  1 | On Loan: No      |
| Bank OZK                           | Bank OZK                             | CUSIP: 06417N103<br>LEI: 549300VYK2WBD7SST478 | Long             | EC               | CORP              | US        |    721785 | NS      | $35584000.50  | 1.63%             |  |  |  | No            |                  1 | On Loan: No      |
| East West Bancorp Inc              | East West Bancorp Inc                | CUSIP: 27579R104<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    134553 | NS      | $13488938.25  | 0.62%             |  |  |  | No            |                  1 | On Loan: No      |
| Huntington Bancshares Inc/OH       | Huntington Bancshares Inc/OH         | CUSIP: 446150104<br>LEI: 549300XTVCVV9I7B5T19 | Long             | EC               | CORP              | US        |   1216012 | NS      | $19979077.16  | 0.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Robinhood Markets Inc              | Robinhood Markets Inc                | CUSIP: 770700102<br>LEI: 213800FS5AO3YWIE6F63 | Long             | EC               | CORP              | US        |    362784 | NS      | $37384891.20  | 1.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Comerica Inc                       | Comerica Inc                         | CUSIP: 200340107<br>LEI: I9Q57JVPWHHZ3ZGBW498 | Long             | EC               | CORP              | US        |    341666 | NS      | $23086371.62  | 1.06%             |  |  |  | No            |                  1 | On Loan: No      |
| W R Berkley Corp                   | W R Berkley Corp                     | CUSIP: 084423102<br>LEI: SQOAGCLKBDWNVYV1OV80 | Long             | EC               | CORP              | US        |     92468 | NS      | $6362723.08   | 0.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Popular Inc                        | Popular Inc                          | CUSIP: 733174700<br>LEI: 5493008CARDZMVQ3LO89 | Long             | EC               | CORP              | PR        |    308203 | NS      | $35313899.74  | 1.62%             |  |  |  | No            |                  1 | On Loan: No      |
| Columbia Banking System Inc        | Columbia Banking System Inc          | CUSIP: 197236102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |   1162268 | NS      | $27661978.40  | 1.27%             |  |  |  | No            |                  1 | On Loan: No      |
| T Rowe Price Group Inc             | T Rowe Price Group Inc               | CUSIP: 74144T108<br>LEI: 549300SIV6FPS9Y7IH33 | Long             | EC               | CORP              | US        |    351995 | NS      | $35709892.75  | 1.63%             |  |  |  | No            |                  1 | On Loan: No      |
| Rithm Capital Corp                 | Rithm Capital Corp                   | CUSIP: 64828T201<br>LEI: 549300WNTHGEO5LP2G31 | Long             | EC               | CORP              | US        |   2406895 | NS      | $28954946.85  | 1.33%             |  |  |  | No            |                  1 | On Loan: No      |
| Reinsurance Group of America I     | Reinsurance Group of America Inc     | CUSIP: 759351604<br>LEI: LORM1GNEU1DKEW527V90 | Long             | EC               | CORP              | US        |     34249 | NS      | $6591220.05   | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Kemper Corp                        | Kemper Corp                          | CUSIP: 488401100<br>LEI: 549300FNI1JKTRY2PV09 | Long             | EC               | CORP              | US        |    421040 | NS      | $25931853.60  | 1.19%             |  |  |  | No            |                  1 | On Loan: No      |
| FNB Corp/PA                        | FNB Corp/PA                          | CUSIP: 302520101<br>LEI: PCYSKIGYNYFDTBLVZU83 | Long             | EC               | CORP              | US        |   1863774 | NS      | $28553017.68  | 1.31%             |  |  |  | No            |                  1 | On Loan: No      |
| SoFi Technologies Inc              | SoFi Technologies Inc                | CUSIP: 83406F102<br>LEI: 549300SW81JCMVZDDY09 | Long             | EC               | CORP              | US        |   1865309 | NS      | $42118677.22  | 1.93%             |  |  |  | No            |                  1 | On Loan: No      |
| Lazard Inc                         | Lazard Inc                           | CUSIP: 52110M109<br>LEI: 254900RIBCDJSUFG1A11 | Long             | EC               | CORP              | US        |    283180 | NS      | $14719696.40  | 0.67%             |  |  |  | No            |                  1 | On Loan: No      |
| Brighthouse Financial Inc          | Brighthouse Financial Inc            | CUSIP: 10922N103<br>LEI: 5493003T8SZSHOGGAW52 | Long             | EC               | CORP              | US        |    631717 | NS      | $30227658.45  | 1.38%             |  |  |  | No            |                  1 | On Loan: No      |
| Hartford Insurance Group Inc/T     | Hartford Insurance Group Inc/The     | CUSIP: 416515104<br>LEI: IU7C3FTM7Y3BQM112U94 | Long             | EC               | CORP              | US        |    160642 | NS      | $19982258.38  | 0.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Chubb Ltd                          | Chubb Ltd                            | CUSIP: 000000000<br>LEI: E0JAN6VLUDI1HITHT809 | Long             | EC               | CORP              | CH        |     70345 | NS      | $18714583.80  | 0.86%             |  |  |  | No            |                  1 | On Loan: No      |
| Morgan Stanley                     | Morgan Stanley                       | CUSIP: 617446448<br>LEI: IGJSJL3JD5P30I6NJZ34 | Long             | EC               | CORP              | US        |     48229 | NS      | $6870703.34   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| First Citizens BancShares Inc/     | First Citizens BancShares Inc/NC     | CUSIP: 31946M103<br>LEI: 549300N3Z00ZHE2XC526 | Long             | EC               | CORP              | US        |     10418 | NS      | $20781409.68  | 0.95%             |  |  |  | No            |                  1 | On Loan: No      |
| Freedom Holding Corp/NV            | Freedom Holding Corp/NV              | CUSIP: 356390104<br>LEI: 254900RKI81EPUJ3RW71 | Long             | EC               | CORP              | KZ        |    186060 | NS      | $34572738.90  | 1.58%             |  |  |  | No            |                  1 | On Loan: —       |
| TPG Inc                            | TPG Inc                              | CUSIP: 872657101<br>LEI: 549300NLO4R8MX77XJ02 | Long             | EC               | CORP              | US        |    518089 | NS      | $29567339.23  | 1.35%             |  |  |  | No            |                  1 | On Loan: No      |
| Kinsale Capital Group Inc          | Kinsale Capital Group Inc            | CUSIP: 49714P108<br>LEI: 529900QTUQHNZ6HOA508 | Long             | EC               | CORP              | US        |     28079 | NS      | $12374134.51  | 0.57%             |  |  |  | No            |                  1 | On Loan: No      |
| Voya Financial Inc                 | Voya Financial Inc                   | CUSIP: 929089100<br>LEI: 549300T065Z4KJ686G75 | Long             | EC               | CORP              | US        |     95682 | NS      | $6697740.00   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Virtu Financial Inc                | Virtu Financial Inc                  | CUSIP: 928254101<br>LEI: 5493001OPW2K42CH3884 | Long             | EC               | CORP              | US        |    303348 | NS      | $13389780.72  | 0.61%             |  |  |  | No            |                  1 | On Loan: No      |
| Ryan Specialty Holdings Inc        | Ryan Specialty Holdings Inc          | CUSIP: 78351F107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     99917 | NS      | $6113921.23   | 0.28%             |  |  |  | No            |                  1 | On Loan: No      |
| Brookfield Asset Management Lt     | Brookfield Asset Management Ltd      | CUSIP: 113004105<br>LEI: 549300CZ84WPNJZKY093 | Long             | EC               | CORP              | US        |    245785 | NS      | $15157560.95  | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Lincoln National Corp              | Lincoln National Corp                | CUSIP: 534187109<br>LEI: EFQMQROEDSNBRIP7LE47 | Long             | EC               | CORP              | US        |    981716 | NS      | $37413196.76  | 1.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Jefferies Financial Group Inc      | Jefferies Financial Group Inc        | CUSIP: 47233W109<br>LEI: 549300HOF34RGOJ5YL07 | Long             | EC               | CORP              | US        |    248433 | NS      | $14324646.78  | 0.66%             |  |  |  | No            |                  1 | On Loan: No      |
| Wintrust Financial Corp            | Wintrust Financial Corp              | CUSIP: 97650W108<br>LEI: Q774KI4AW80FHFW33O61 | Long             | EC               | CORP              | US        |    109589 | NS      | $14025200.22  | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Zions Bancorp NA                   | Zions Bancorp NA                     | CUSIP: 989701107<br>LEI: 8WH0EE09O9V05QJZ3V89 | Long             | EC               | CORP              | US        |    523177 | NS      | $28052750.74  | 1.28%             |  |  |  | No            |                  1 | On Loan: No      |
| Charles Schwab Corp/The            | Charles Schwab Corp/The              | CUSIP: 808513105<br>LEI: 549300VSGCJ7E698NM85 | Long             | EC               | CORP              | US        |    148912 | NS      | $14553169.76  | 0.67%             |  |  |  | No            |                  1 | On Loan: No      |
| NU Holdings Ltd/Cayman Islands     | NU Holdings Ltd/Cayman Islands       | CUSIP: 000000000<br>LEI: 5493002DG1RHWK9W2X27 | Long             | EC               | CORP              | BR        |   1980602 | NS      | $24202956.44  | 1.11%             |  |  |  | No            |                  1 | On Loan: No      |
| CNA Financial Corp                 | CNA Financial Corp                   | CUSIP: 126117100<br>LEI: 549300YX2GSZD7YG1R84 | Long             | EC               | CORP              | US        |    292003 | NS      | $12944492.99  | 0.59%             |  |  |  | No            |                  1 | On Loan: No      |
| Janus Henderson Group PLC          | Janus Henderson Group PLC            | CUSIP: 000000000<br>LEI: 2138009WPYMWJN3RVF44 | Long             | EC               | CORP              | GB        |    699633 | NS      | $30294108.90  | 1.39%             |  |  |  | No            |                  1 | On Loan: No      |
| Annaly Capital Management Inc      | Annaly Capital Management Inc        | CUSIP: 035710839<br>LEI: 2DTL0G3FPRYUT58TI025 | Long             | EC               | CORP              | US        |    360970 | NS      | $7338520.10   | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Bank of America Corp               | Bank of America Corp                 | CUSIP: 060505104<br>LEI: 9DJT3UXIJIZJI4WXO774 | Long             | EC               | CORP              | US        |    430692 | NS      | $20358810.84  | 0.93%             |  |  |  | No            |                  1 | On Loan: No      |
| Prosperity Bancshares Inc          | Prosperity Bancshares Inc            | CUSIP: 743606105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    290155 | NS      | $19330126.10  | 0.88%             |  |  |  | No            |                  1 | On Loan: No      |
| Fifth Third Bancorp                | Fifth Third Bancorp                  | CUSIP: 316773100<br>LEI: THRNG6BD57P9QWTQLG42 | Long             | EC               | CORP              | US        |    495511 | NS      | $20598392.27  | 0.94%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2025-09-23

**Name of Applicant:** First Trust Exchange-Traded AlphaDEX Fund

**Signature:** Derek Maltbie

**Name of Signer:** Derek Maltbie

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