# EDGAR Filing Document

**Accession Number:** 0001383496
**File Stem:** 0000940400-26-011355
**Filing Date:** 2026-3
**Character Count:** 37646
**Document Hash:** 746685ea4a0e5e32e8af662bb757ae95
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000940400-26-011355.hdr.sgml**: 20260325

**ACCESSION NUMBER**: 0000940400-26-011355

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20260131

**FILED AS OF DATE**: 20260325

**DATE AS OF CHANGE**: 20260325

**PERIOD START**: 20260731

**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:** 26792061

**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:** 2026-07-31

- **b. Date as of which information is reported:** 2026-01-31

**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:** $2170573777.80

**Total Liabilities:** $9125576.13

**Net Assets:** $2161448201.67

**Cash Not Reported:** $6290.23

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000048899 | 3.29%                | 2.23%                | 1.03%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $9457020.66              | $54477856.74                               |
| Month 2  | $6415595.73              | $35926271.32                               |
| Month 3  | $52955234.97             | $-33256710.74                              |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| Prosperity Bancshares Inc          | Prosperity Bancshares Inc            | CUSIP: 743606105<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    394575 | NS      | $27229620.75  | 1.26%             |  |  |  | No            |                  1 | On Loan: No      |
| Principal Financial Group Inc      | Principal Financial Group Inc        | CUSIP: 74251V102<br>LEI: CUMYEZJOAF02RYZ1JJ85 | Long             | EC               | CORP              | US        |     77284 | NS      | $7320340.48   | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Raymond James Financial Inc        | Raymond James Financial Inc          | CUSIP: 754730109<br>LEI: RGUZHJ05YTITL6D76949 | Long             | EC               | CORP              | US        |     42451 | NS      | $7040922.86   | 0.33%             |  |  |  | No            |                  1 | On Loan: No      |
| First Horizon Corp                 | First Horizon Corp                   | CUSIP: 320517105<br>LEI: TF3RXI1ZB1TQ30H9JV10 | Long             | EC               | CORP              | US        |    570483 | NS      | $13971128.67  | 0.65%             |  |  |  | No            |                  1 | On Loan: No      |
| DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA CAPITAL MARKETS AMERICA INC    | CUSIP: 000000000<br>LEI: M67H5PRC0NQKM73ZAS82 | Long             | RA               | CORP              | US        |   7529662 | PA      | $7529662.00   | 0.35%             |  |  |  | No            |                  2 | On Loan: No      |
| Allstate Corp/The                  | Allstate Corp/The                    | CUSIP: 020002101<br>LEI: OBT0W1ED8G0NWVOLOJ77 | Long             | EC               | CORP              | US        |    171946 | NS      | $34215534.54  | 1.58%             |  |  |  | No            |                  1 | On Loan: No      |
| US Bancorp                         | US Bancorp                           | CUSIP: 902973304<br>LEI: N1GZ7BBF3NP8GI976H15 | Long             | EC               | CORP              | US        |    255521 | NS      | $14337283.31  | 0.66%             |  |  |  | No            |                  1 | On Loan: No      |
| Voya Financial Inc                 | Voya Financial Inc                   | CUSIP: 929089100<br>LEI: 549300T065Z4KJ686G75 | Long             | EC               | CORP              | US        |    183039 | NS      | $14031769.74  | 0.65%             |  |  |  | No            |                  1 | On Loan: No      |
| Webster Financial Corp             | Webster Financial Corp               | CUSIP: 947890109<br>LEI: KMRURHT0VWKYS6Z5KU67 | Long             | EC               | CORP              | US        |    433256 | NS      | $28495247.12  | 1.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Corebridge Financial Inc           | Corebridge Financial Inc             | CUSIP: 21871X109<br>LEI: 549300XY1661QCIA7J65 | Long             | EC               | CORP              | US        |    451925 | NS      | $13932847.75  | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Equitable Holdings Inc             | Equitable Holdings Inc               | CUSIP: 29452E101<br>LEI: 549300FIBAKMNHPZ4009 | Long             | EC               | CORP              | US        |    143070 | NS      | $6638448.00   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Kemper Corp                        | Kemper Corp                          | CUSIP: 488401100<br>LEI: 549300FNI1JKTRY2PV09 | Long             | EC               | CORP              | US        |    882850 | NS      | $34793118.50  | 1.61%             |  |  |  | No            |                  1 | On Loan: No      |
| Goldman Sachs Group Inc/The        | Goldman Sachs Group Inc/The          | CUSIP: 38141G104<br>LEI: 784F5XWPLTWKTBV3E584 | Long             | EC               | CORP              | US        |     31022 | NS      | $29018289.02  | 1.34%             |  |  |  | No            |                  1 | On Loan: No      |
| RenaissanceRe Holdings Ltd         | RenaissanceRe Holdings Ltd           | CUSIP: 000000000<br>LEI: EK6GB9U3U58PDI411C94 | Long             | EC               | CORP              | BM        |    127296 | NS      | $35859283.20  | 1.66%             |  |  |  | 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        |     65322 | NS      | $14586402.60  | 0.67%             |  |  |  | No            |                  1 | On Loan: No      |
| Cincinnati Financial Corp          | Cincinnati Financial Corp            | CUSIP: 172062101<br>LEI: 254900Q4WEDMZBOZ0002 | Long             | EC               | CORP              | US        |    166974 | NS      | $26864446.86  | 1.24%             |  |  |  | No            |                  1 | On Loan: No      |
| Western Alliance Bancorp           | Western Alliance Bancorp             | CUSIP: 957638109<br>LEI: 5493003VJXZ5JXT9S762 | Long             | EC               | CORP              | US        |    243272 | NS      | $21687698.80  | 1.00%             |  |  |  | No            |                  1 | On Loan: No      |
| MetLife Inc                        | MetLife Inc                          | CUSIP: 59156R108<br>LEI: C4BXATY60WC6XEOZDX54 | Long             | EC               | CORP              | US        |     86360 | NS      | $6812076.80   | 0.32%             |  |  |  | No            |                  1 | On Loan: No      |
| SLM Corp                           | SLM Corp                             | CUSIP: 78442P106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    503863 | NS      | $13679880.45  | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |
| First Hawaiian Inc                 | First Hawaiian Inc                   | CUSIP: 32051X108<br>LEI: 5493002DJSH46F5OLV06 | Long             | EC               | CORP              | US        |    808373 | NS      | $21462303.15  | 0.99%             |  |  |  | No            |                  1 | On Loan: No      |
| Affiliated Managers Group Inc      | Affiliated Managers Group Inc        | CUSIP: 008252108<br>LEI: 2JE75BUE3T1BLCYYGK54 | Long             | EC               | CORP              | US        |     70944 | NS      | $22211856.96  | 1.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Globe Life Inc                     | Globe Life Inc                       | CUSIP: 37959E102<br>LEI: 5493001JFHKQOPP6XA71 | Long             | EC               | CORP              | US        |    194974 | NS      | $27339254.28  | 1.26%             |  |  |  | No            |                  1 | On Loan: No      |
| MSILF Treasury Portfolio           | MSILF Treasury Portfolio             | CUSIP: 61747C582<br>LEI: 549300D1XR6GP7EZ0T47 | Long             | STIV             | RF                | US        |   2108801 | NS      | $2108800.59   | 0.10%             |  |  |  | No            |                  1 | On Loan: No      |
| Prudential Financial Inc           | Prudential Financial Inc             | CUSIP: 744320102<br>LEI: 5PRBRS5FEH7NREC8OR45 | Long             | EC               | CORP              | US        |     60394 | NS      | $6710377.34   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Jefferies Financial Group Inc      | Jefferies Financial Group Inc        | CUSIP: 47233W109<br>LEI: 549300HOF34RGOJ5YL07 | Long             | EC               | CORP              | US        |    220019 | NS      | $13460762.42  | 0.62%             |  |  |  | No            |                  1 | On Loan: No      |
| State Street Corp                  | State Street Corp                    | CUSIP: 857477103<br>LEI: 549300ZFEEJ2IP5VME73 | Long             | EC               | CORP              | US        |    158528 | NS      | $20744974.08  | 0.96%             |  |  |  | No            |                  1 | On Loan: No      |
| Arch Capital Group Ltd             | Arch Capital Group Ltd               | CUSIP: 000000000<br>LEI: 549300AYR4P8AFKDCE43 | Long             | EC               | CORP              | BM        |    373131 | NS      | $35835501.24  | 1.66%             |  |  |  | No            |                  1 | On Loan: No      |
| Progressive Corp/The               | Progressive Corp/The                 | CUSIP: 743315103<br>LEI: 529900TACNVLY9DCR586 | Long             | EC               | CORP              | US        |    119748 | NS      | $24907584.00  | 1.15%             |  |  |  | No            |                  1 | On Loan: No      |
| AGNC Investment Corp               | AGNC Investment Corp                 | CUSIP: 00123Q104<br>LEI: 5TRACI5HRMELWV32OF39 | Long             | EC               | CORP              | US        |    635940 | NS      | $7249716.00   | 0.34%             |  |  |  | No            |                  1 | On Loan: —       |
| Axis Capital Holdings Ltd          | Axis Capital Holdings Ltd            | CUSIP: 000000000<br>LEI: 635400VD2NQBYAHMEM55 | Long             | EC               | CORP              | BM        |    334212 | NS      | $34483994.16  | 1.60%             |  |  |  | No            |                  1 | On Loan: No      |
| SoFi Technologies Inc              | SoFi Technologies Inc                | CUSIP: 83406F102<br>LEI: 549300SW81JCMVZDDY09 | Long             | EC               | CORP              | US        |   1041601 | NS      | $23758918.81  | 1.10%             |  |  |  | No            |                  1 | On Loan: No      |
| Old Republic International Cor     | Old Republic International Corp      | CUSIP: 680223104<br>LEI: 549300IV6O2YY2A1KH37 | Long             | EC               | CORP              | US        |    298742 | NS      | $11701724.14  | 0.54%             |  |  |  | No            |                  1 | On Loan: No      |
| Franklin Resources Inc             | Franklin Resources Inc               | CUSIP: 354613101<br>LEI: RIFQSET379FOGTEFKS80 | Long             | EC               | CORP              | US        |    856085 | NS      | $22788982.70  | 1.05%             |  |  |  | No            |                  1 | On Loan: No      |
| East West Bancorp Inc              | East West Bancorp Inc                | CUSIP: 27579R104<br>LEI: 254900O4X656YXFOYB11 | Long             | EC               | CORP              | US        |    121315 | NS      | $13883288.60  | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Wells Fargo & Co                   | Wells Fargo & Co                     | CUSIP: 949746101<br>LEI: PBLD0EJDB5FWOLXP3B76 | Long             | EC               | CORP              | US        |     73147 | NS      | $6619072.03   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Wintrust Financial Corp            | Wintrust Financial Corp              | CUSIP: 97650W108<br>LEI: Q774KI4AW80FHFW33O61 | Long             | EC               | CORP              | US        |     97514 | NS      | $14382339.86  | 0.67%             |  |  |  | No            |                  1 | On Loan: No      |
| Northern Trust Corp                | Northern Trust Corp                  | CUSIP: 665859104<br>LEI: 549300GLF98S992BC502 | Long             | EC               | CORP              | US        |     49911 | NS      | $7458200.73   | 0.35%             |  |  |  | No            |                  1 | On Loan: No      |
| Columbia Banking System Inc        | Columbia Banking System Inc          | CUSIP: 197236102<br>LEI: 254900CTRJTQZ3BJ2V17 | Long             | EC               | CORP              | US        |    487820 | NS      | $14361420.80  | 0.66%             |  |  |  | No            |                  1 | On Loan: No      |
| Citizens Financial Group Inc       | Citizens Financial Group Inc         | CUSIP: 174610105<br>LEI: 2138004JDDA4ZQUPFW65 | Long             | EC               | CORP              | US        |    116713 | NS      | $7350584.74   | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Coinbase Global Inc                | Coinbase Global Inc                  | CUSIP: 19260Q107<br>LEI: 5493004G3J2SC154DU06 | Long             | EC               | CORP              | US        |     90438 | NS      | $17611896.12  | 0.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Interactive Brokers Group Inc      | Interactive Brokers Group Inc        | CUSIP: 45841N107<br>LEI: 5493004DT6DCDUZNDM53 | Long             | EC               | CORP              | US        |    424026 | NS      | $31751066.88  | 1.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Morningstar Inc                    | Morningstar Inc                      | CUSIP: 617700109<br>LEI: 529900YGNQPOVAXQ7F29 | Long             | EC               | CORP              | US        |     31372 | NS      | $6339967.48   | 0.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Brighthouse Financial Inc          | Brighthouse Financial Inc            | CUSIP: 10922N103<br>LEI: 5493003T8SZSHOGGAW52 | Long             | EC               | CORP              | US        |    552412 | NS      | $35387512.72  | 1.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Travelers Cos Inc/The              | Travelers Cos Inc/The                | CUSIP: 89417E109<br>LEI: 549300Y650407RU8B149 | Long             | EC               | CORP              | US        |     94011 | NS      | $26747069.61  | 1.24%             |  |  |  | No            |                  1 | On Loan: No      |
| American Financial Group Inc/O     | American Financial Group Inc/OH      | CUSIP: 025932104<br>LEI: 549300AFOM7IVKIU1G39 | Long             | EC               | CORP              | US        |     49878 | NS      | $6497607.06   | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Charles Schwab Corp/The            | Charles Schwab Corp/The              | CUSIP: 808513105<br>LEI: 549300VSGCJ7E698NM85 | Long             | EC               | CORP              | US        |    136469 | NS      | $14181858.48  | 0.66%             |  |  |  | No            |                  1 | On Loan: No      |
| Lincoln National Corp              | Lincoln National Corp                | CUSIP: 534187109<br>LEI: EFQMQROEDSNBRIP7LE47 | Long             | EC               | CORP              | US        |    803743 | NS      | $33443746.23  | 1.55%             |  |  |  | No            |                  1 | On Loan: No      |
| First American Financial Corp      | First American Financial Corp        | CUSIP: 31847R102<br>LEI: 549300B6VEZK3N0A1P55 | Long             | EC               | CORP              | US        |    582530 | NS      | $36804245.40  | 1.70%             |  |  |  | No            |                  1 | On Loan: No      |
| Citigroup Inc                      | Citigroup Inc                        | CUSIP: 172967424<br>LEI: 6SHGI4ZSSLCXXQSBB395 | Long             | EC               | CORP              | US        |    306716 | NS      | $35490108.36  | 1.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Markel Group Inc                   | Markel Group Inc                     | CUSIP: 570535104<br>LEI: 549300SCNO12JLWIK605 | Long             | EC               | CORP              | US        |      9515 | NS      | $19416689.60  | 0.90%             |  |  |  | No            |                  1 | On Loan: No      |
| Invesco Ltd                        | Invesco Ltd                          | CUSIP: 000000000<br>LEI: ECPGFXU8A2SHKVVGJI15 | Long             | EC               | CORP              | US        |   1362417 | NS      | $37180359.93  | 1.72%             |  |  |  | No            |                  1 | On Loan: No      |
| Assured Guaranty Ltd               | Assured Guaranty Ltd                 | CUSIP: 000000000<br>LEI: 549300BBOQUJEPH87M14 | Long             | EC               | CORP              | BM        |    398249 | NS      | $33791427.65  | 1.56%             |  |  |  | No            |                  1 | On Loan: No      |
| M&T Bank Corp                      | M&T Bank Corp                        | CUSIP: 55261F104<br>LEI: 549300WYXDDBYRASEG81 | Long             | EC               | CORP              | US        |    135344 | NS      | $29988170.08  | 1.39%             |  |  |  | No            |                  1 | On Loan: No      |
| Credit Acceptance Corp             | Credit Acceptance Corp               | CUSIP: 225310101<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     46119 | NS      | $22978330.56  | 1.06%             |  |  |  | No            |                  1 | On Loan: —       |
| Bank of America Corp               | Bank of America Corp                 | CUSIP: 060505104<br>LEI: 9DJT3UXIJIZJI4WXO774 | Long             | EC               | CORP              | US        |    371853 | NS      | $19782579.60  | 0.92%             |  |  |  | No            |                  1 | On Loan: No      |
| MGIC Investment Corp               | MGIC Investment Corp                 | CUSIP: 552848103<br>LEI: 254900S8483WM4M98R28 | Long             | EC               | CORP              | US        |   1224870 | NS      | $32973500.40  | 1.53%             |  |  |  | No            |                  1 | On Loan: No      |
| FNB Corp/PA                        | FNB Corp/PA                          | CUSIP: 302520101<br>LEI: PCYSKIGYNYFDTBLVZU83 | Long             | EC               | CORP              | US        |   1594686 | NS      | $27986739.30  | 1.29%             |  |  |  | No            |                  1 | On Loan: No      |
| RLI Corp                           | RLI Corp                             | CUSIP: 749607107<br>LEI: 529900AMTJE5ECN9PS55 | Long             | EC               | CORP              | US        |    106554 | NS      | $6225950.22   | 0.29%             |  |  |  | No            |                  1 | On Loan: No      |
| SEI Investments Co                 | SEI Investments Co                   | CUSIP: 784117103<br>LEI: 5LJTIFADGZ6XH1RVOC11 | Long             | EC               | CORP              | US        |    436367 | NS      | $38334840.95  | 1.77%             |  |  |  | No            |                  1 | On Loan: No      |
| Regions Financial Corp             | Regions Financial Corp               | CUSIP: 7591EP100<br>LEI: CW05CS5KW59QTC0DG824 | Long             | EC               | CORP              | US        |    754681 | NS      | $21508408.50  | 1.00%             |  |  |  | No            |                  1 | On Loan: No      |
| SOUTHSTATE BANK CORP               | SOUTHSTATE BANK CORP                 | CUSIP: 84472E102<br>LEI: 549300JZUANXM0YQ4W53 | Long             | EC               | CORP              | US        |    217318 | NS      | $22238150.94  | 1.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Primerica Inc                      | Primerica Inc                        | CUSIP: 74164M108<br>LEI: 254900621R686KJR7022 | Long             | EC               | CORP              | US        |     52774 | NS      | $13881672.96  | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Fifth Third Bancorp                | Fifth Third Bancorp                  | CUSIP: 316773100<br>LEI: THRNG6BD57P9QWTQLG42 | Long             | EC               | CORP              | US        |    291274 | NS      | $14627780.28  | 0.68%             |  |  |  | No            |                  1 | On Loan: No      |
| Truist Financial Corp              | Truist Financial Corp                | CUSIP: 89832Q109<br>LEI: 549300DRQQI75D2JP341 | Long             | EC               | CORP              | US        |    554137 | NS      | $28493724.54  | 1.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Everest Group Ltd                  | Everest Group Ltd                    | CUSIP: 000000000<br>LEI: 549300N24XF2VV0B3570 | Long             | EC               | CORP              | BM        |     20090 | NS      | $6655415.20   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Bank OZK                           | Bank OZK                             | CUSIP: 06417N103<br>LEI: 549300VYK2WBD7SST478 | Long             | EC               | CORP              | US        |    777721 | NS      | $36988410.76  | 1.71%             |  |  |  | No            |                  1 | On Loan: No      |
| MarketAxess Holdings Inc           | MarketAxess Holdings Inc             | CUSIP: 57060D108<br>LEI: 5493002U1CA1XJOVID83 | Long             | EC               | CORP              | US        |     37613 | NS      | $6365247.99   | 0.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Aflac Inc                          | Aflac Inc                            | CUSIP: 001055102<br>LEI: 549300N0B7DOGLXWPP39 | Long             | EC               | CORP              | US        |    123648 | NS      | $13718745.60  | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |
| OneMain Holdings Inc               | OneMain Holdings Inc                 | CUSIP: 68268W103<br>LEI: 549300E3VEW8SMS5XW09 | Long             | EC               | CORP              | US        |    302766 | NS      | $19843283.64  | 0.92%             |  |  |  | No            |                  1 | On Loan: No      |
| Annaly Capital Management Inc      | Annaly Capital Management Inc        | CUSIP: 035710839<br>LEI: 2DTL0G3FPRYUT58TI025 | Long             | EC               | CORP              | US        |   1219549 | NS      | $28061822.49  | 1.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Ally Financial Inc                 | Ally Financial Inc                   | CUSIP: 02005N100<br>LEI: 549300JBN1OSM8YNAI90 | Long             | EC               | CORP              | US        |    602101 | NS      | $25456830.28  | 1.18%             |  |  |  | No            |                  1 | On Loan: No      |
| Berkshire Hathaway Inc             | Berkshire Hathaway Inc               | CUSIP: 084670702<br>LEI: 5493000C01ZX7D35SD85 | Long             | EC               | CORP              | US        |     54250 | NS      | $26068752.50  | 1.21%             |  |  |  | No            |                  1 | On Loan: No      |
| Pinnacle Financial Partners In     | Pinnacle Financial Partners Inc      | CUSIP: 72348N109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    214358 | NS      | $20383302.22  | 0.94%             |  |  |  | No            |                  1 | On Loan: No      |
| Moody's Corp                       | Moody's Corp                         | CUSIP: 615369105<br>LEI: 549300GCEDD8YCF5WU84 | Long             | EC               | CORP              | US        |     13345 | NS      | $6880148.20   | 0.32%             |  |  |  | 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        |    308301 | NS      | $36971455.92  | 1.71%             |  |  |  | No            |                  1 | On Loan: No      |
| UWM Holdings Corp                  | UWM Holdings Corp                    | CUSIP: 91823B109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |   1556457 | NS      | $7642203.87   | 0.35%             |  |  |  | No            |                  1 | On Loan: No      |
| Popular Inc                        | Popular Inc                          | CUSIP: 733174700<br>LEI: 5493008CARDZMVQ3LO89 | Long             | EC               | CORP              | PR        |    164245 | NS      | $21931634.85  | 1.01%             |  |  |  | No            |                  1 | On Loan: No      |
| Zions Bancorp NA                   | Zions Bancorp NA                     | CUSIP: 989701107<br>LEI: 8WH0EE09O9V05QJZ3V89 | Long             | EC               | CORP              | US        |    465820 | NS      | $27907276.20  | 1.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Aon PLC                            | Aon PLC                              | CUSIP: 000000000<br>LEI: 635400FALWQYX5E6QC64 | Long             | EC               | CORP              | GB        |     19320 | NS      | $6755044.80   | 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        |      6353 | NS      | $13147978.21  | 0.61%             |  |  |  | No            |                  1 | On Loan: No      |
| Cullen/Frost Bankers Inc           | Cullen/Frost Bankers Inc             | CUSIP: 229899109<br>LEI: 529900V2E9G9AY665O34 | Long             | EC               | CORP              | US        |     53836 | NS      | $7419677.52   | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Reinsurance Group of America I     | Reinsurance Group of America Inc     | CUSIP: 759351604<br>LEI: LORM1GNEU1DKEW527V90 | Long             | EC               | CORP              | US        |     33507 | NS      | $6793544.25   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Robinhood Markets Inc              | Robinhood Markets Inc                | CUSIP: 770700102<br>LEI: 213800FS5AO3YWIE6F63 | Long             | EC               | CORP              | US        |    120553 | NS      | $11992612.44  | 0.55%             |  |  |  | No            |                  1 | On Loan: No      |
| American International Group I     | American International Group Inc     | CUSIP: 026874784<br>LEI: ODVCVCQG2BP6VHV36M30 | Long             | EC               | CORP              | US        |    418360 | NS      | $31326796.80  | 1.45%             |  |  |  | No            |                  1 | On Loan: No      |
| TPG Inc                            | TPG Inc                              | CUSIP: 872657101<br>LEI: 549300NLO4R8MX77XJ02 | Long             | EC               | CORP              | US        |    560631 | NS      | $33026772.21  | 1.53%             |  |  |  | No            |                  1 | On Loan: No      |
| Chubb Ltd                          | Chubb Ltd                            | CUSIP: 000000000<br>LEI: E0JAN6VLUDI1HITHT809 | Long             | EC               | CORP              | CH        |     65527 | NS      | $20284538.12  | 0.94%             |  |  |  | No            |                  1 | On Loan: No      |
| Unum Group                         | Unum Group                           | CUSIP: 91529Y106<br>LEI: 549300E32YFDO6TZ8R31 | Long             | EC               | CORP              | US        |    263895 | NS      | $20048103.15  | 0.93%             |  |  |  | No            |                  1 | On Loan: No      |
| Hanover Insurance Group Inc/Th     | Hanover Insurance Group Inc/The      | CUSIP: 410867105<br>LEI: JJYR6MFKFF6CF8DBZ078 | Long             | EC               | CORP              | US        |    149200 | NS      | $25981688.00  | 1.20%             |  |  |  | No            |                  1 | On Loan: No      |
| XP Inc                             | XP Inc                               | CUSIP: 000000000<br>LEI: 5493008KDA8NBZRJST80 | Long             | EC               | CORP              | BR        |    832899 | NS      | $16249859.49  | 0.75%             |  |  |  | No            |                  1 | On Loan: No      |
| Rithm Capital Corp                 | Rithm Capital Corp                   | CUSIP: 64828T201<br>LEI: 549300WNTHGEO5LP2G31 | Long             | EC               | CORP              | US        |   3283552 | NS      | $35922058.88  | 1.66%             |  |  |  | No            |                  1 | On Loan: No      |
| Starwood Property Trust Inc        | Starwood Property Trust Inc          | CUSIP: 85571B105<br>LEI: BUGSFQZERKRBFWIG5267 | Long             | EC               | CORP              | US        |    378527 | NS      | $6786989.11   | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Huntington Bancshares Inc/OH       | Huntington Bancshares Inc/OH         | CUSIP: 446150104<br>LEI: 549300XTVCVV9I7B5T19 | Long             | EC               | CORP              | US        |   1178779 | NS      | $20605056.92  | 0.95%             |  |  |  | No            |                  1 | On Loan: No      |
| Fidelity National Financial In     | Fidelity National Financial Inc      | CUSIP: 31620R303<br>LEI: 549300CAZYIH39SYQ287 | Long             | EC               | CORP              | US        |    374645 | NS      | $20376941.55  | 0.94%             |  |  |  | No            |                  1 | On Loan: No      |
| LPL Financial Holdings Inc         | LPL Financial Holdings Inc           | CUSIP: 50212V100<br>LEI: 549300XROQ4Y8G2L7682 | Long             | EC               | CORP              | US        |     76347 | NS      | $27828481.50  | 1.29%             |  |  |  | No            |                  1 | On Loan: No      |
| Willis Towers Watson PLC           | Willis Towers Watson PLC             | CUSIP: 000000000<br>LEI: 549300WHC56FF48KL350 | Long             | EC               | CORP              | GB        |     62239 | NS      | $19759015.33  | 0.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Hartford Insurance Group Inc/T     | Hartford Insurance Group Inc/The     | CUSIP: 416515104<br>LEI: IU7C3FTM7Y3BQM112U94 | Long             | EC               | CORP              | US        |    197889 | NS      | $26726888.34  | 1.24%             |  |  |  | No            |                  1 | On Loan: No      |
| BOK Financial Corp                 | BOK Financial Corp                   | CUSIP: 05561Q201<br>LEI: GRI2NT5QHYW751NMR949 | Long             | EC               | CORP              | US        |    115099 | NS      | $14955964.06  | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| T Rowe Price Group Inc             | T Rowe Price Group Inc               | CUSIP: 74144T108<br>LEI: 549300SIV6FPS9Y7IH33 | Long             | EC               | CORP              | US        |    349587 | NS      | $36944354.16  | 1.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Loews Corp                         | Loews Corp                           | CUSIP: 540424108<br>LEI: R8V1FN4M5ITGZOG7BS19 | Long             | EC               | CORP              | US        |    258942 | NS      | $27336506.94  | 1.26%             |  |  |  | No            |                  1 | On Loan: No      |
| Assurant Inc                       | Assurant Inc                         | CUSIP: 04621X108<br>LEI: H3F39CAXWQRVWURFXL38 | Long             | EC               | CORP              | US        |     56610 | NS      | $13480539.30  | 0.62%             |  |  |  | No            |                  1 | On Loan: No      |
| FactSet Research Systems Inc       | FactSet Research Systems Inc         | CUSIP: 303075105<br>LEI: 549300ZSJE7NBK6K9P30 | Long             | EC               | CORP              | US        |     70478 | NS      | $17926784.08  | 0.83%             |  |  |  | No            |                  1 | On Loan: No      |
| CNA Financial Corp                 | CNA Financial Corp                   | CUSIP: 126117100<br>LEI: 549300YX2GSZD7YG1R84 | Long             | EC               | CORP              | US        |    428401 | NS      | $20503271.86  | 0.95%             |  |  |  | No            |                  1 | On Loan: No      |
| Commerce Bancshares Inc/MO         | Commerce Bancshares Inc/MO           | CUSIP: 200525103<br>LEI: N/A                  | Long             | EC               | CORP              | US        |    130249 | NS      | $6856307.36   | 0.32%             |  |  |  | No            |                  1 | On Loan: No      |
| W R Berkley Corp                   | W R Berkley Corp                     | CUSIP: 084423102<br>LEI: SQOAGCLKBDWNVYV1OV80 | Long             | EC               | CORP              | US        |    194447 | NS      | $13335175.26  | 0.62%             |  |  |  | No            |                  1 | On Loan: No      |
| NU Holdings Ltd/Cayman Islands     | NU Holdings Ltd/Cayman Islands       | CUSIP: 000000000<br>LEI: 5493002DG1RHWK9W2X27 | Long             | EC               | CORP              | BR        |   2138034 | NS      | $37950103.50  | 1.76%             |  |  |  | No            |                  1 | On Loan: No      |
| Virtu Financial Inc                | Virtu Financial Inc                  | CUSIP: 928254101<br>LEI: 5493001OPW2K42CH3884 | Long             | EC               | CORP              | US        |    818402 | NS      | $33971867.02  | 1.57%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2026-03-25

**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