# EDGAR Filing Document

**Accession Number:** 0001497778
**File Stem:** 0000940400-26-011423
**Filing Date:** 2026-3
**Character Count:** 19060
**Document Hash:** 386b288ecf887e2383c697806258ecb1
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000940400-26-011423.hdr.sgml**: 20260325

**ACCESSION NUMBER**: 0000940400-26-011423

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20260130

**FILED AS OF DATE**: 20260325

**DATE AS OF CHANGE**: 20260325

**PERIOD START**: 20261031

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIRST TRUST SERIES FUND
- **CENTRAL INDEX KEY:** 0001497778

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

**FILING VALUES:**
- **FORM TYPE:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22452
- **FILM NUMBER:** 26792224

**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** 

**Portfolio of Investments** 

**January 31, 2026 (Unaudited)**

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;

---

| | | |
|:---|:---|:---|
| <br> **Shares**<br>| **Description** | **Value** |
| **COMMON STOCKS – 99.3%**  | **COMMON STOCKS – 99.3%**  | **COMMON STOCKS – 99.3%**  |
|  | **Automobiles – 3.6%** |  |
| 6215 | Winnebago Industries, Inc.  | $285331 |
|  | **Building Products – 6.6%** |  |
| 15072 | Hayward Holdings, Inc. (a) | 243262 |
| 2761 | UFP Industries, Inc.  | 285156 |
|  |  | 528418 |
|  | **Capital Markets – 3.5%** |  |
| 1393 | Morningstar, Inc.  | 281511 |
|  | **Commercial Services &** <br> **Supplies – 3.2%**<br>|  |
| 1203 | UniFirst Corp.  | 258645 |
|  | **Electronic Equipment,** <br> **Instruments & Components –** <br> **9.5%**<br>|  |
| 10154 | Knowles Corp. (a) | 246133 |
| 824 | Littelfuse, Inc.  | 266778 |
| 6632 | Vontier Corp.  | 248700 |
|  |  | 761611 |
|  | **Financial Services – 0.3%** |  |
| 1661 | Cannae Holdings, Inc.  | 23935 |
|  | **Food Products – 5.6%** |  |
| 3009 | J&J Snack Foods Corp.  | 285855 |
| 1985 | John B. Sanfilippo & Son, Inc.  | 160587 |
|  |  | 446442 |
|  | **Ground Transportation – 3.0%** |  |
| 19243 | Marten Transport Ltd.  | 236689 |
|  | **Health Care Equipment &** <br> **Supplies – 12.6%**<br>|  |
| 7455 | CONMED Corp.  | 286198 |
| 9514 | Enovis Corp. (a) | 209689 |
| 3867 | Haemonetics Corp. (a) | 257774 |
| 1002 | UFP Technologies, Inc. (a) | 251642 |
|  |  | 1005303 |
|  | **Hotels, Restaurants &** <br> **Leisure – 3.6%**<br>|  |
| 2195 | Vail Resorts, Inc.  | 292089 |
|  | **Household Durables – 2.8%** |  |
| 462 | Cavco Industries, Inc. (a) | 227313 |
|  | **Household Products – 3.1%** |  |
| 3848 | Spectrum Brands Holdings, Inc.  | 245156 |
|  | **Insurance – 12.8%** |  |
| 11386 | &nbsp;&nbsp; Baldwin Insurance (The) Group, <br> Inc. (a)<br>| 249581 |
| 22153 | Hagerty, Inc., Class A (a) | 279349 |
| 4298 | RLI Corp.  | 251132 |

---

---

| | | |
|:---|:---|:---|
| <br> **Shares**<br>| **Description** | **Value** |
|  | **Insurance (Continued)** |  |
| 3660 | &nbsp;&nbsp; Stewart Information Services <br> Corp. <br>| $246794 |
|  |  | 1026856 |
|  | **Interactive Media & Services –** <br> **3.6%**<br>|  |
| 21445 | TripAdvisor, Inc. (a) | 285004 |
|  | **Machinery – 13.4%** |  |
| 2103 | Esab Corp.  | 254673 |
| 10922 | Gates Industrial Corp. PLC (a) | 251425 |
| 1778 | JBT Marel Corp.  | 279697 |
| 567 | RBC Bearings, Inc. (a) | 283313 |
|  |  | 1069108 |
|  | **Real Estate Management &** <br> **Development – 1.4%**<br>|  |
| 3158 | Altus Group Ltd.  | 108446 |
|  | **Software – 3.5%** |  |
| 12500 | I3 Verticals, Inc., Class A (a) | 277625 |
|  | **Specialty Retail – 3.7%** |  |
| 9056 | Valvoline, Inc. (a) | 296312 |
|  | **Textiles, Apparel & Luxury** <br> **Goods – 3.5%**<br>|  |
| 12173 | Movado Group, Inc.  | 277544 |
|  | **Total Investments – 99.3%** | 7933338 |
|  | (Cost $7,690,680)  |  |
|  | **Net Other Assets and** <br> **Liabilities – 0.7%**<br>| 54952 |
|  | **Net Assets – 100.0%** | $7988290 |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;

&nbsp;&nbsp;&nbsp;&nbsp;(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:

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

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• 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.)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;• 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.

------

**First Trust/Confluence Small Cap Value Fund** 

**Portfolio of Investments (Continued)**

**January 31, 2026 (Unaudited)**

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, 2026 is as follows:

---

| | | | | |
|:---|:---|:---|:---|:---|
|  | **Total**<br> **Value at**<br> **1/31/2026**<br>| **Level 1**<br> **Quoted**<br> **Prices**<br>| **Level 2**<br> **Significant**<br> **Observable**<br> **Inputs**<br>| **Level 3**<br> **Significant**<br> **Unobservable**<br> **Inputs**<br>|
| Common Stocks\* | $7933338 | &nbsp;&nbsp; $7933338 | $— | $— |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;

\* 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

  - **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:** 2026-10-31

- **b. Date as of which information is reported:** 2026-01-30

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **Yes**

### Fund Information

**Total Assets:** $8073699.29

**Total Liabilities:** $50084.75

**Net Assets:** $8023614.54

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000092938 | 4.54%                | -0.84%               | 1.53%                |
| Class ID C000092939 | 4.46%                | -0.90%               | 1.45%                |
| Class ID C000092941 | 4.56%                | -0.83%               | 1.52%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-488299.62              | $1067312.37                                |
| Month 2  | $590505.66               | $-677618.32                                |
| Month 3  | $496013.11               | $-297651.20                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| UniFirst Corp/MA               | UniFirst Corp/MA                  | CUSIP: 904708104<br>LEI: 5493003XBTNWBC8UK019 | Long             | EC               | CORP              | US        |      1203 | NS      | $258645.00    | 3.22%             |  |  |  | No            |                  1 | On Loan: No      |
| John B Sanfilippo & Son Inc    | John B Sanfilippo & Son Inc       | CUSIP: 800422107<br>LEI: 5299007IBEYVXKYDUX28 | Long             | EC               | CORP              | US        |      1985 | NS      | $160586.50    | 2.00%             |  |  |  | No            |                  1 | On Loan: No      |
| Spectrum Brands Holdings Inc   | Spectrum Brands Holdings Inc      | CUSIP: 84790A105<br>LEI: 549300JM0MJETDD30O20 | Long             | EC               | CORP              | US        |      3848 | NS      | $245156.08    | 3.06%             |  |  |  | No            |                  1 | On Loan: No      |
| Hagerty Inc                    | Hagerty Inc                       | CUSIP: 405166109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     23729 | NS      | $299222.69    | 3.73%             |  |  |  | No            |                  1 | On Loan: No      |
| JBT Marel Corp                 | JBT Marel Corp                    | CUSIP: 477839104<br>LEI: 5493007CT6ATBZ2L6826 | Long             | EC               | CORP              | US        |      1905 | NS      | $299675.55    | 3.73%             |  |  |  | No            |                  1 | On Loan: No      |
| Vail Resorts Inc               | Vail Resorts Inc                  | CUSIP: 91879Q109<br>LEI: 529900PSZHRNU9HKH870 | Long             | EC               | CORP              | US        |      2195 | NS      | $292088.65    | 3.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Stewart Information Services C | Stewart Information Services Corp | CUSIP: 860372101<br>LEI: 529900TV1XI0PLKENU10 | Long             | EC               | CORP              | US        |      3660 | NS      | $246793.80    | 3.08%             |  |  |  | No            |                  1 | On Loan: No      |
| Cannae Holdings Inc            | Cannae Holdings Inc               | CUSIP: 13765N107<br>LEI: 549300OGRF1ICI7D2V77 | Long             | EC               | CORP              | US        |      1661 | NS      | $23935.01     | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Enovis Corp                    | Enovis Corp                       | CUSIP: 194014502<br>LEI: 635400OP2DYYYMOIYL17 | Long             | EC               | CORP              | US        |      9514 | NS      | $209688.56    | 2.61%             |  |  |  | No            |                  1 | On Loan: No      |
| UFP Industries Inc             | UFP Industries Inc                | CUSIP: 90278Q108<br>LEI: 5493007KB485C9OV5572 | Long             | EC               | CORP              | US        |      2960 | NS      | $305708.80    | 3.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Movado Group Inc               | Movado Group Inc                  | CUSIP: 624580106<br>LEI: 549300WCGCGPWGHVXM59 | Long             | EC               | CORP              | US        |     13049 | NS      | $297517.20    | 3.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Winnebago Industries Inc       | Winnebago Industries Inc          | CUSIP: 974637100<br>LEI: 549300B7OYKYJLTE3G11 | Long             | EC               | CORP              | US        |      6215 | NS      | $285330.65    | 3.56%             |  |  |  | No            |                  1 | On Loan: No      |
| CONMED Corp                    | CONMED Corp                       | CUSIP: 207410101<br>LEI: Z6C0YCECH9DCU5ZIQW84 | Long             | EC               | CORP              | US        |      7455 | NS      | $286197.45    | 3.57%             |  |  |  | No            |                  1 | On Loan: No      |
| Gates Industrial Corp PLC      | Gates Industrial Corp PLC         | CUSIP: 000000000<br>LEI: 549300S6K4FWUSB9KM27 | Long             | EC               | CORP              | US        |     10922 | NS      | $251424.44    | 3.13%             |  |  |  | No            |                  1 | On Loan: No      |
| Morningstar Inc                | Morningstar Inc                   | CUSIP: 617700109<br>LEI: 529900YGNQPOVAXQ7F29 | Long             | EC               | CORP              | US        |      1393 | NS      | $281511.37    | 3.51%             |  |  |  | No            |                  1 | On Loan: No      |
| TripAdvisor Inc                | TripAdvisor Inc                   | CUSIP: 896945201<br>LEI: 549300XVG45PT5BART17 | Long             | EC               | CORP              | US        |     22990 | NS      | $305537.10    | 3.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Baldwin Insurance Group Inc/Th | Baldwin Insurance Group Inc/The   | CUSIP: 05589G102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     11386 | NS      | $249581.12    | 3.11%             |  |  |  | No            |                  1 | On Loan: No      |
| UFP Technologies Inc           | UFP Technologies Inc              | CUSIP: 902673102<br>LEI: 549300RJ8LY41HS70C91 | Long             | EC               | CORP              | US        |      1002 | NS      | $251642.28    | 3.14%             |  |  |  | No            |                  1 | On Loan: No      |
| Vontier Corp                   | Vontier Corp                      | CUSIP: 928881101<br>LEI: 549300VVSQLG4P5K4639 | Long             | EC               | CORP              | US        |      6632 | NS      | $248700.00    | 3.10%             |  |  |  | No            |                  1 | On Loan: No      |
| Hayward Holdings Inc           | Hayward Holdings Inc              | CUSIP: 421298100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     15072 | NS      | $243262.08    | 3.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Littelfuse Inc                 | Littelfuse Inc                    | CUSIP: 537008104<br>LEI: 549300MY7HLQFYTPCX75 | Long             | EC               | CORP              | US        |       824 | NS      | $266778.24    | 3.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Haemonetics Corp               | Haemonetics Corp                  | CUSIP: 405024100<br>LEI: 549300ZEL6TXZS6F5F95 | Long             | EC               | CORP              | US        |      3867 | NS      | $257774.22    | 3.21%             |  |  |  | No            |                  1 | On Loan: No      |
| RBC Bearings Inc               | RBC Bearings Inc                  | CUSIP: 75524B104<br>LEI: N/A                  | Long             | EC               | CORP              | US        |       567 | NS      | $283312.89    | 3.53%             |  |  |  | No            |                  1 | On Loan: No      |
| Valvoline Inc                  | Valvoline Inc                     | CUSIP: 92047W101<br>LEI: 549300CMHPBEY6VPOT75 | Long             | EC               | CORP              | US        |      9056 | NS      | $296312.32    | 3.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Knowles Corp                   | Knowles Corp                      | CUSIP: 49926D109<br>LEI: 5493003EO323TDZQU148 | Long             | EC               | CORP              | US        |     10154 | NS      | $246132.96    | 3.07%             |  |  |  | No            |                  1 | On Loan: No      |
| J & J Snack Foods Corp         | J & J Snack Foods Corp            | CUSIP: 466032109<br>LEI: 894500IGP1Y2ZQFQMJ83 | Long             | EC               | CORP              | US        |      3009 | NS      | $285855.00    | 3.56%             |  |  |  | No            |                  1 | On Loan: No      |
| Esab Corp                      | Esab Corp                         | CUSIP: 29605J106<br>LEI: 549300ZNV0SWBXEIWT04 | Long             | EC               | CORP              | US        |      2103 | NS      | $254673.30    | 3.17%             |  |  |  | No            |                  1 | On Loan: No      |
| Cavco Industries Inc           | Cavco Industries Inc              | CUSIP: 149568107<br>LEI: N/A                  | Long             | EC               | CORP              | US        |       462 | NS      | $227313.24    | 2.83%             |  |  |  | No            |                  1 | On Loan: No      |
| I3 Verticals Inc               | I3 Verticals Inc                  | CUSIP: 46571Y107<br>LEI: 549300944CYWVP06CJ97 | Long             | EC               | CORP              | US        |     12500 | NS      | $277625.00    | 3.46%             |  |  |  | No            |                  1 | On Loan: No      |
| Marten Transport Ltd           | Marten Transport Ltd              | CUSIP: 573075108<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     19243 | NS      | $236688.90    | 2.95%             |  |  |  | No            |                  1 | On Loan: No      |
| Altus Group Ltd/Canada         | Altus Group Ltd/Canada            | CUSIP: 02215R107<br>LEI: 54930041VO1EIY4IV355 | Long             | EC               | CORP              | CA        |      3158 | NS      | $108445.72    | 1.35%             |  |  |  | No            |                  1 | On Loan: No      |
| RLI Corp                       | RLI Corp                          | CUSIP: 749607107<br>LEI: 529900AMTJE5ECN9PS55 | Long             | EC               | CORP              | US        |      4298 | NS      | $251132.14    | 3.13%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

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

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

**Signature:** Derek Maltbie

**Name of Signer:** Derek Maltbie

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