Basisstatistiken
| LEI | 5493003Z20QMESC6XS29 |
| CIK | 1424212 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to First Trust Exchange Traded Fund III - First Trust Emerging Markets Local Currency Bond ETF
SEC Filings (Chronological Order)
Auf dieser Seite finden Sie eine vollständige, chronologische Liste der SEC-Einreichungen, mit Ausnahme der Eigentumseinreichungen, die wir an anderer Stelle bereitstellen.
| October 2, 2025 |
144 0000875626 XXXXXXXX LIVE 0001424212 First Trust Exchange-Traded Fund III, First Trust New York Municipal High Income ETF 811-22245 120 East Liberty Drive Suite 400 Wheaton IL 60187 800-621-1675 First Trust Portfolios L. |
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| July 11, 2025 |
As filed with the Securities and Exchange Commission on July 11, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 13, 2025 |
As filed with the Securities and Exchange Commission on May 13, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 11, 2025 |
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| February 7, 2025 |
Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 6, 2025 |
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| January 7, 2025 |
Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| July 12, 2024 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| July 12, 2024 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* First Trust New York Municipal High Income ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P822 - (CUSIP Number) June 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| July 8, 2024 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 28)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) June 30, 2024 - (Date of Event Which Requires Filing of this Statement |
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| July 8, 2024 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| February 12, 2024 |
SC 13G/A 1 rwbciftrdemetf-sc13ga.htm AMENDED SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP 12-31-23 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust RiverFront Dynamic Emerging Markets ETF, a series of the First Trust Exchange-Traded Fund III (Name of Issuer) Shares of Benef |
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| January 19, 2024 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 27)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this State |
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| January 19, 2024 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| January 19, 2024 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| January 19, 2024 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust New York Municipal High Income ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P822 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| August 8, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| August 8, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 26)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) July 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| May 9, 2023 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| May 9, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 25)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) April 30, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| April 10, 2023 |
Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312. |
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| February 15, 2023 |
HUSV / First Trust / TRUIST FINANCIAL CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* FIRST TRUST HORIZON MANAGED VOLATILITY DOMESTIC ETF 33739P889 December 31, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover |
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| February 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13GA Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust RiverFront Dynamic Emerging Markets ETF 33739P707 December 31, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cove |
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| February 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13GA Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust RiverFront Dynamic Developed International ETF 33739P608 December 31, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of th |
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| February 13, 2023 |
RFEU / First Trust RiverFront Dynamic Europe ETF / TRUIST FINANCIAL CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust RiverFront Dynamic Europe ETF 33739P806 December 31, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shal |
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| February 10, 2023 |
RFEU / First Trust RiverFront Dynamic Europe ETF / TRUIST FINANCIAL CORP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust RiverFront Dynamic Europe ETF 33739P806 December 31, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shal |
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| February 10, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 10, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 24)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) January 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* First Trust RiverFront Dynamic Emerging Markets ETF, a series of the First Trust Exchange-Traded Fund III (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 33739P707 (CUSIP Number) December 31, 2022 (Date of Event Which Requires |
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| February 3, 2023 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| February 3, 2023 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 23)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| January 10, 2023 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust New York Municipal High Income ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P822 - (CUSIP Number) December 31, 2022 - (Date of Event Which Requires Filing of this Statement) C |
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| January 10, 2023 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| October 6, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 22)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) September 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa |
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| October 6, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| June 10, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust New York Municipal High Income ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P822 - (CUSIP Number) May 31, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| June 10, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| March 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust RiverFront Dynamic Developed International ETF 33739P608 December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of thi |
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| March 17, 2022 |
SC 13G 1 r13g1TRRFDynETF1221.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust RiverFront Dynamic Emerging Markets ETF 33739P707 December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 |
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| January 28, 2022 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 28, 2022 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 21)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| December 28, 2021 |
First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95. |
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| December 28, 2021 |
First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
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| December 28, 2021 |
First Trust Municipal High Income ETF (FMHI) First Trust Municipal High Income ETF (FMHI) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
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| December 28, 2021 |
First Trust Merger Arbitrage ETF (MARB) First Trust Merger Arbitrage ETF (MARB) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 82. |
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| December 28, 2021 |
First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
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| December 28, 2021 |
First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited) First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
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| December 28, 2021 |
First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95. |
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| December 28, 2021 |
First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95. |
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| December 28, 2021 |
First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited) First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
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| December 14, 2021 |
As filed with the Securities and Exchange Commission on December 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 18, 2021 |
PRE 14A 1 etf3pre14a.htm PRELIMINARY PROXY STATEMENT As filed with the Securities and Exchange Commission on November 18, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by t |
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| November 10, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 10, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 20)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) October 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| October 26, 2021 |
As filed with the Securities and Exchange Commission on October 25, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 30, 2021 |
As filed with the Securities and Exchange Commission on September 30, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 24, 2021 |
First Trust Exchange-Traded Fund III July 31, 2021 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a)?? 95. |
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| September 24, 2021 |
First Trust Exchange-Traded Fund III July 31, 2021 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 95. |
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| September 24, 2021 |
First Trust Preferred Securities and Income ETF (FPE) First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 25. |
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| September 24, 2021 |
First Trust Exchange-Traded Fund III July 31, 2021 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a)?? 95. |
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| September 24, 2021 |
First Trust Managed Municipal ETF (FMB) First Trust Managed Municipal ETF (FMB) Portfolio of Investments July 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98. |
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| September 24, 2021 |
First Trust Exchange-Traded Fund III July 31, 2021 (Unaudited) NPORT-EX 2 edgar.htm RIVERFRONT 7-31-21 N-PORT PART F First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 95.8% Australia – 22.3% 6,947 ALS Ltd. $64,949 2,124 ARB Corp., Ltd. 72,791 3,355 Aristocrat Leisure Ltd. 102,521 1,274 ASX Ltd. 71,886 19,877 Aurizon Holdings Ltd. 56,305 6,601 BHP Group Ltd. 25 |
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| September 24, 2021 |
First Trust Institutional Preferred Securities and Income ETF (FPEI) First Trust Institutional Preferred Securities and Income ETF (FPEI) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Stated Rate Stated Maturity Value $100 PAR PREFERRED SECURITIES – 0. |
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| September 24, 2021 |
First Trust Long/Short Equity ETF (FTLS) First Trust Long/Short Equity ETF (FTLS) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 90. |
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| September 24, 2021 |
First Trust Emerging Markets Local Currency Bond ETF (FEMB) First Trust Emerging Markets Local Currency Bond ETF (FEMB) Portfolio of Investments July 31, 2021 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES – 82. |
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| September 17, 2021 |
As filed with the Securities and Exchange Commission on September 16, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 30, 2021 |
form25 |
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| July 29, 2021 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of First Trust RiverFront Dynamic Asia Pacific ETF (?RFAP?), a series of First Trust Exchange-Traded Fund III, appearing in the Annual Report on Form N-C |
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| July 29, 2021 |
First Trust Exchange-Traded Fund III 120 East Liberty Drive Wheaton, Illinois 60187 July 29, 2021 CORRESP 1 filename1.htm First Trust Exchange-Traded Fund III 120 East Liberty Drive Wheaton, Illinois 60187 July 29, 2021 Via EDGAR Correspondence Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Trust Exchange-Traded Fund III, on behalf of First Trust River Front Dynamic Developed International ETF, a series of the Registrant Registration Statement on Form N- |
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| July 29, 2021 |
CORRESP 1 filename1.htm 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com July 29, 2021 VIA EDGAR CORRESPONDENCE Yoon Choo Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund III, on behalf of First Trust RiverFront Dynamic Developed International ETF, a ser |
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| July 29, 2021 |
As filed electronically with the Securities and Exchange Commission on or about July 29, 2021 As filed electronically with the Securities and Exchange Commission on or about July 29, 2021 Registration No. |
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| July 29, 2021 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of First Trust RiverFront Dynamic Developed International ETF (?RFDI?), a series of First Trust Exchange-Traded Fund III, appearing in the Annual Report |
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| July 22, 2021 |
CORRESP 1 filename1.htm 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com July 22, 2021 VIA EDGAR CORRESPONDENCE Yoon Choo Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund III, on behalf of First Trust RiverFront Dynamic Developed International ETF, a ser |
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| July 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 First Trust California Municipal High Income ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33739P863 (CUSIP Number) June 30, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| June 29, 2021 |
First Trust California Municipal High Income ETF (FCAL) First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments April 30, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98. |
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| June 23, 2021 |
First Trust Merger Arbitrage ETF (MARB) First Trust Merger Arbitrage ETF (MARB) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 47. |
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| June 23, 2021 |
First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95. |
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| June 23, 2021 |
First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments April 30, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97. |
|
| June 23, 2021 |
First Trust Municipal High Income ETF (FMHI) First Trust Municipal High Income ETF (FMHI) Portfolio of Investments April 30, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
|
| June 23, 2021 |
First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95. |
|
| June 23, 2021 |
First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95. |
|
| June 23, 2021 |
First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments April 30, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97. |
|
| May 11, 2021 |
- REGISTRATION OF CERTAIN CLASSES OF SECURITIES Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dr |
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| May 11, 2021 |
begin 644 FMNY051121.pdf M)5!$1BTQ+C<-"B6UM;6U#0HQ(# @;V)J#0H\/"]4>7!E+T-A=&%L;V'1'4W1A=&4\/"]'4S8@-B P(%(O1U,Y(#D@,"!2/CXO1F]N M=#P\+T8Q(#<@,"!2+T8R(#$P(# @4B]&,R Q,B P(%(O1C0@,34@,"!2+T8U M(#$W(# @4CX^+U!R;V-3971;+U!$1B]497AT+TEM86=E0B]);6%G94,O26UA M9V5)72 ^/B]-961I84)O>%L@," P(#8Q,B W.3)=("]#;VYT96YTEM/+^O%Z]?H\/@(C=Z,"S3[ M-MC[=[!',!5*<50H@KE$!:6XDH@2BB5:U(.]#[^CN\%>01DB\-<^MV?8\LS% M[6!O='8[ |
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| May 10, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| May 10, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 19)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) April 30, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| May 5, 2021 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of First Trust RiverFront Dynamic Developed International ETF (?RFDI?), a series of First Trust Exchange-Traded Fund III, appearing in the Annual Report |
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| May 5, 2021 |
Opinion and Consent of Morgan, Lewis & Bockius LLP dated May 5, 2021 May 5, 2021 First Trust Exchange-Traded Fund III 120 E. Liberty Street Wheaton, Illinois 60187 Re: First Trust Exchange-Traded Fund III Ladies and Gentlemen: We have acted as special Massachusetts counsel to First Trust Exchange-Traded Fund III (the "Trust") on behalf of its series, First Trust RiverFront Dynamic Developed International ETF (the ?Acquiring Fund?), in connection with the Trust?s Re |
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| May 5, 2021 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of First Trust RiverFront Dynamic Asia Pacific ETF (?RFAP?), a series of First Trust Exchange-Traded Fund III, appearing in the Annual Report on Form N-C |
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| May 5, 2021 |
First Trust Exchange-Traded Fund III Power of Attorney Know All Men By These Presents, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints James M. |
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| May 5, 2021 |
- INITIAL REGISTRATION STATEMENT As filed electronically with the Securities and Exchange Commission on or about May 5, 2021 Registration No. |
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| May 5, 2021 |
Opinion and Consent of Chapman and Cutler LLP dated May 5, 2021 1270 Avenue of the Americas 30th Floor New York, New York 10020 T 212-655-6000 May 5, 2021 First Trust Exchange-Traded Fund III, on behalf of First Trust RiverFront Dynamic Asia Pacific ETF c/o First Trust Advisors L. |
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| April 12, 2021 |
CORRESP 1 filename1.htm 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com April 12, 2021 VIA EDGAR CORRESPONDENCE Elena Stojic United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Trust Exchange-Traded Fund III (the “Trust”) File Nos. 333-176976; 811-22245 Dear Ms. Stojic: This letter responds to your c |
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| April 7, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| April 7, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 18)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) March 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
|
| March 29, 2021 |
First Trust Emerging Markets Local Currency Bond ETF (FEMB) First Trust Emerging Markets Local Currency Bond ETF (FEMB) Portfolio of Investments January 31, 2021 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES – 87. |
|
| March 29, 2021 |
First Trust Exchange-Traded Fund III January 31, 2021 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 96. |
|
| March 29, 2021 |
First Trust Long/Short Equity ETF (FTLS) First Trust Long/Short Equity ETF (FTLS) Portfolio of Investments January 31, 2021 (Unaudited) Shares/ Units Description Value COMMON STOCKS – 93. |
|
| March 29, 2021 |
First Trust Exchange-Traded Fund III January 31, 2021 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 96. |
|
| March 29, 2021 |
First Trust Exchange-Traded Fund III January 31, 2021 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 96. |
|
| March 29, 2021 |
First Trust Institutional Preferred Securities and Income ETF (FPEI) First Trust Institutional Preferred Securities and Income ETF (FPEI) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Stated Rate Stated Maturity Value $1,000 PAR PREFERRED SECURITIES – 1. |
|
| March 29, 2021 |
First Trust Preferred Securities and Income ETF (FPE) First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 25. |
|
| March 29, 2021 |
First Trust Exchange-Traded Fund III January 31, 2021 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 96. |
|
| March 29, 2021 |
First Trust Managed Municipal ETF (FMB) First Trust Managed Municipal ETF (FMB) Portfolio of Investments January 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98. |
|
| February 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* First Trust Dow 30 EQL WGHT ETF 33739P707 December 30, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be fille |
|
| February 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* First Trust Dynamic APAC ETF 33737P509 December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be filled o |
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| February 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1394 (Amendment No. )* First Trust Dynamic Dev Intl ETF 33739P608 December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1 (b) [ ] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *The remainder of this cover page shall be fill |
|
| January 8, 2021 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| January 8, 2021 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 17)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) December 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
|
| December 22, 2020 |
First Trust California Municipal High Income ETF (FCAL) First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments October 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98. |
|
| December 22, 2020 |
First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97. |
|
| December 22, 2020 |
First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 94. |
|
| December 22, 2020 |
First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 94. |
|
| December 22, 2020 |
First Trust Merger Arbitrage ETF (MARB) First Trust Merger Arbitrage ETF (MARB) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 50. |
|
| December 22, 2020 |
First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97. |
|
| December 22, 2020 |
First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 94. |
|
| December 22, 2020 |
First Trust Municipal High Income ETF (FMHI) First Trust Municipal High Income ETF (FMHI) Portfolio of Investments October 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97. |
|
| October 14, 2020 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com October 14, 2020 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund III (Registration Nos. 333-176976 and 811-22245) Ladies and Gentlemen: On behalf of First Trust Exchange-Traded Fund III (the “Registrant”), we are transmitting for electron |
|
| October 9, 2020 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com October 9, 2020 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Filings for First Trust Funds listed in Exhibit A attached hereto Ladies and Gentlemen: This letter responds to comments, provided by Ken Ellington and Christina DiAn |
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| September 25, 2020 |
First Trust Managed Municipal ETF (FMB) First Trust Managed Municipal ETF (FMB) Portfolio of Investments July 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98. |
|
| September 25, 2020 |
First Trust Long/Short Equity ETF (FTLS) First Trust Long/Short Equity ETF (FTLS) Portfolio of Investments July 31, 2020 (Unaudited) Shares/ Units Description Value COMMON STOCKS – 95. |
|
| September 25, 2020 |
First Trust Exchange-Traded Fund III July 31, 2020 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 97. |
|
| September 25, 2020 |
First Trust Exchange-Traded Fund III July 31, 2020 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 97. |
|
| September 25, 2020 |
First Trust Exchange-Traded Fund III July 31, 2020 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 97. |
|
| September 25, 2020 |
First Trust Emerging Markets Local Currency Bond ETF (FEMB) First Trust Emerging Markets Local Currency Bond ETF (FEMB) Portfolio of Investments July 31, 2020 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES – 87. |
|
| September 25, 2020 |
First Trust Preferred Securities and Income ETF (FPE) First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 28. |
|
| September 25, 2020 |
First Trust Institutional Preferred Securities and Income ETF (FPEI) First Trust Institutional Preferred Securities and Income ETF (FPEI) Portfolio of Investments July 31, 2020 (Unaudited) Par Amount Description Stated Rate Stated Maturity Value CAPITAL PREFERRED SECURITIES – 95. |
|
| September 25, 2020 |
First Trust Exchange-Traded Fund III July 31, 2020 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 97. |
|
| August 7, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| August 7, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 16)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) July 31, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
|
| June 22, 2020 |
First Trust California Municipal High Income ETF (FCAL) First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments April 30, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 93. |
|
| June 22, 2020 |
First Trust Merger Arbitrage ETF (MARB) First Trust Merger Arbitrage ETF (MARB) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 71. |
|
| June 22, 2020 |
First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 97. |
|
| June 22, 2020 |
First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments April 30, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 94. |
|
| June 22, 2020 |
First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 97. |
|
| June 22, 2020 |
First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments April 30, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 94. |
|
| June 22, 2020 |
First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 97. |
|
| June 22, 2020 |
First Trust Municipal High Income ETF (FMHI) First Trust Municipal High Income ETF (FMHI) Portfolio of Investments April 30, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 93. |
|
| May 26, 2020 |
May 26, 2020 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW - Request for Withdrawal First Trust Exchange-Traded Fund III Registration on Form N-1A Post-Effective Amendment No. |
|
| May 8, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 15)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) April 30, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
|
| May 8, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| April 3, 2020 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Libe |
|
| April 3, 2020 |
FPE / First Trust Preferred Securities and Income ETF CERT - - NYSE ARCA CERTIFICATION begin 644 HSMV040320.pdf M)5!$1BTQ+C4*):;IS\0-"C0@,"!O8FH*/#P*+TQE;F=T:" U(# @4@HO1FEL M=&5R("]&;&%T941E8V]D90H^/@IS=')E86T-"GC:E5=-;]M&$+WS5#0 Q>( MUMP/?O766';C @[02*D;%#T(LF(9M:@DLI.XOSZS,[.K78I :!C0FMS9F3-57FME&QJE59[72>0E?#=8KW?9V=5.Y?-]]F?V MF;S472FU:5@R9\@;]I[\Z:FD67KI6MZ=C(>".K.ED!&-W(3N6ME5V==[+1 M/M[K979V"1NR-/GR8Z;0H\K],5."[WRYRXIW@HC;;$15K;%-S'3NI95\4', M:JF*/>QUQ1=125W\!WNJD:98B)F%Y5$< |
|
| March 24, 2020 |
First Trust Exchange-Traded Fund III January 31, 2020 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 99. |
|
| March 24, 2020 |
First Trust Managed Municipal ETF (FMB) First Trust Managed Municipal ETF (FMB) Portfolio of Investments January 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97. |
|
| March 24, 2020 |
First Trust Emerging Markets Local Currency Bond ETF (FEMB) First Trust Emerging Markets Local Currency Bond ETF (FEMB) Portfolio of Investments January 31, 2020 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES – 90. |
|
| March 24, 2020 |
First Trust Exchange-Traded Fund III January 31, 2020 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 99. |
|
| March 24, 2020 |
First Trust Exchange-Traded Fund III January 31, 2020 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 99. |
|
| March 24, 2020 |
First Trust Exchange-Traded Fund III January 31, 2020 (Unaudited) First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 99. |
|
| March 24, 2020 |
First Trust Long/Short Equity ETF (FTLS) First Trust Long/Short Equity ETF (FTLS) Portfolio of Investments January 31, 2020 (Unaudited) Shares/ Units Description Value COMMON STOCKS – 94. |
|
| March 24, 2020 |
First Trust Institutional Preferred Securities and Income ETF (FPEI) First Trust Institutional Preferred Securities and Income ETF (FPEI) Portfolio of Investments January 31, 2020 (Unaudited) Par Amount Description Stated Rate Stated Maturity Value CAPITAL PREFERRED SECURITIES – 97. |
|
| March 24, 2020 |
First Trust Preferred Securities and Income ETF (FPE) First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 25. |
|
| March 13, 2020 |
CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 March 13, 2020 VIA EDGAR CORRESPONDENCE - Jennifer Hardy United States Securities and Exchange Commission 100 F Street, N. |
|
| March 9, 2020 |
CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 March 9, 2020 VIA EDGAR CORRESPONDENCE - Jennifer Hardy United States Securities and Exchange Commission 100 F Street, N. |
|
| February 14, 2020 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| February 14, 2020 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 14)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) December 31, 2019 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
|
| February 7, 2020 |
SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (“ACT”) (FINAL AMENDMENT) First Trust Institutional Preferred Securities and Income ETF (Name of Issuer) Exchange-Traded |
|
| February 3, 2020 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Libe |
|
| February 3, 2020 |
FPE / First Trust Preferred Securities and Income ETF CERT - - NYSE ARCA CERTIFICATION FILING begin 644 MARB8A020320.pdf M)5!$1BTQ+C,*)79E7!E+U!A9V4O365D:6%";W@@6S @," V,3(@-SDR70HO4F]T M871E(# O4&%R96YT(#,@,"!2"B]297-O=7)C97,\/"]0)RU6=UO%#<0 M5Q)(X!J%)B$-$"@+A;)+>XZ/UZK5I6JOH!.ZD/I$ZA4%:$*?^ECNVU9;. MEZLH)2^#/;9G?O.;&:OLN-,R(['OR*\OIB=OW3=V[]GES/961-\=S$S@O,L MOQMEX0S(L@AS'[IWL\NNS09[14G6 A6!ZR3MHW=-7L!?Y=EZ<5DOR0; M9V3:>Q2NW#OII+V%J)NCJ@(5V#TJBZ*GLEY6>/GC*'QX"T9YIN*-$#EUQ?= M=XNXUG2PS>+W |
|
| January 23, 2020 |
FPE / First Trust Preferred Securities and Income ETF CORRESP - - CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 January 23, 2020 VIA EDGAR CORRESPONDENCE Ed Bartz United States Securities and Exchange Commission 100 F Street, N. |
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| December 30, 2019 |
CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 December 30, 2019 Securities and Exchange Commission 100 F Street, N. |
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| December 23, 2019 |
First Trust Exchange-Traded Fund III October 31, 2019 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2019 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
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| December 23, 2019 |
First Trust Exchange-Traded Fund III October 31, 2019 (Unaudited) First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2019 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
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| December 23, 2019 |
First Trust Exchange-Traded Fund III October 31, 2019 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value COMMON STOCKS – 92. |
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| December 23, 2019 |
First Trust Municipal High Income ETF (FMHI) First Trust Municipal High Income ETF (FMHI) Portfolio of Investments October 31, 2019 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 94. |
|
| December 23, 2019 |
First Trust Exchange-Traded Fund III October 31, 2019 (Unaudited) First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value COMMON STOCKS – 92. |
|
| December 23, 2019 |
First Trust California Municipal High Income ETF (FCAL) First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments October 31, 2019 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96. |
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| October 18, 2019 |
CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 October 18, 2019 Securities and Exchange Commission 100 F Street, N. |
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| September 27, 2019 |
FEMB / First Trust Exchange-Traded Fund III NPORT-EX - - PORTFOLIO HOLDINGS First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments July 31, 2019 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 27. |
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| June 27, 2019 |
FEMB / First Trust Exchange-Traded Fund III NPORT-EX - - PORTFOLIO HOLDINGS First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2019 (Unaudited) Shares Description Value COMMON STOCKS – 90. |
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| March 29, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne |
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| March 29, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal executive offices) (Zip cod |
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| February 11, 2019 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 13)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) December 31, 2018 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| February 11, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| February 1, 2019 |
SC 13G/A 1 d664584dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (“ACT”) (AMENDMENT NO. 1) First Trust Institutional Preferred Securities and Income ETF (Na |
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| December 27, 2018 |
N-Q 1 etf3nq.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, |
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| December 27, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne |
|
| November 9, 2018 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
|
| November 9, 2018 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) October 31, 2018 - (Date of Event Which Requires Filing of this Statem |
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| November 1, 2018 |
FEMB / First Trust Exchange-Traded Fund III NYSE CERTIFICATION FIRST TRUST EXCHANGE-TRADED FUND III begin 644 FUMB8A110118.pdf M)5!$1BTQ+C,*)79E |
|
| November 1, 2018 |
FEMB / First Trust Exchange-Traded Fund III NYSE CERTIFICATION FIRST TRUST EXCHANGE-TRADED FUND III begin 644 FSMB8A110118.pdf M)5!$1BTQ+C,*)79E"!;," P(#4Y-2 X-#)="B]2 M;W1A=&4@,"]087)E;G0@,R P(%(*+U)E'1="B]#;VQOO9CIT9M.H5Y\%W5ZLW;V/WPW]6'U>F"U&' M,<3N:N6R33XH3Y:Y:9'(\8KK[M?EY][%P.KHAT(%J/.0>5:5E1D[N'OU M#C[40BXVI9='GW*=E;%XX8J3:KF9445O"==J@M*CR$DTE4?JRZK5'U48BQT M^:++*MWQ@DF+92W6*0M>I#0Y95,T]/AA?E2Y/DZ+Y\=)5XE+]9O=?#+#R U MC1;E!=R-U5]^=+M,!W<4P&O+C\UTH!$MFI*;"Z,&@!NM-T=< MJ8,V!C9MU&B33\;UMP>M1Q |
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| October 25, 2018 |
FEMB / First Trust Exchange-Traded Fund III REGISTRATION OF CERTAIN CLASSES OF SECURITIES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Libe |
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| October 25, 2018 |
FEMB / First Trust Exchange-Traded Fund III REGISTRATION OF CERTAIN CLASSES OF SECURITIES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Libe |
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| October 23, 2018 |
FEMB / First Trust Exchange-Traded Fund III CORRESP CORRESP 1 filename1.txt CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 October 23, 2018 VIA EDGAR CORRESPONDENCE Frank Buda United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Trust Exchange-Traded Fund III File Nos. 333-176976; 811-22245 - Dear Mr. Buda: This letter responds to your comments, provided by telephone on October |
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| October 23, 2018 |
FEMB / First Trust Exchange-Traded Fund III CORRESP CORRESP 1 filename1.txt CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 October 23, 2018 VIA EDGAR CORRESPONDENCE Frank Buda United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Trust Exchange-Traded Fund III File Nos. 333-176976; 811-22245 - Dear Mr. Buda: This letter responds to your comments, provided by telephone on October |
|
| September 26, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal executive offices) (Zip cod |
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| September 26, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne |
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| September 10, 2018 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| September 10, 2018 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) August 31, 2018 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| August 17, 2018 |
CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 August 17, 2018 Securities and Exchange Commission 100 F Street, N. |
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| August 17, 2018 |
CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 August 17, 2018 Securities and Exchange Commission 100 F Street, N. |
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| June 27, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. |
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| June 27, 2018 |
N-Q 1 etf3nq.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, |
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| March 29, 2018 |
N-Q 1 etf3nq.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, |
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| March 29, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne |
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| March 9, 2018 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) February 28, 2018 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| March 9, 2018 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| February 12, 2018 |
SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (“ACT”) First Trust Institutional Preferred Securities and Income ETF (Name of Issuer) Exchange-Traded Fund (Title of Class o |
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| February 9, 2018 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| February 9, 2018 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) January 31, 2018 - (Date of Event Which Requires Filing of this Stateme |
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| January 12, 2018 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) December 31, 2017 - (Date of Event Which Requires Filing of this Statem |
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| January 12, 2018 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| December 29, 2017 |
EX-99.CERT 2 cert302.txt SECTION 302 CERTIFICIATIONS CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact n |
|
| December 29, 2017 |
First Trust Exchange-traded Fund Iii - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 - First Trust Exchange-Traded Fund III - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of principal executive offices) (Z |
|
| December 27, 2017 |
First Trust Exchange-traded Fund Iii - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 - First Trust Exchange-Traded Fund III - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of principal executive offices) (Z |
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| December 27, 2017 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. |
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| December 15, 2017 |
HYLS / First Trust Exchange-Traded Fund IV ESP CORRESP 1 filename1.txt First Trust Senior Floating Rate 2022 Target Term Fund First Trust Exchange-Traded Funds December 15, 2017 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Filings for First Trust Senior Floating Rate 2022 Target Term Fund with a 5/31/17 Year End and First Trust Exchange-Traded Funds with 9/30/16, 10/31/16, 12/31/16, 3/31/17, 7/31/17 and 8/31 |
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| October 30, 2017 |
First Trust Exchange-Traded Fund III REGISTRATION STATEMENT ON FORM 8-A 8-A12B 1 etf38a.txt REGISTRATION STATEMENT ON FORM 8-A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation I.R.S. Emplo |
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| September 29, 2017 |
First Trust Exchange-traded Fund Iii - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 - First Trust Exchange-Traded Fund III - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of principal executive offices) (Z |
|
| September 29, 2017 |
EX-99.CERT 2 cert302.txt SECTION 302 CERTIFICATIONS CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne |
|
| August 15, 2017 |
First Trust Exchange-Traded Fund III REGISTRATION STATEMENT ON FORM 8-A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Libe |
|
| June 28, 2017 |
First Trust Exchange-traded Fund Iii - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 - First Trust Exchange-Traded Fund III - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of principal executive offices) (Z |
|
| June 28, 2017 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. |
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| June 19, 2017 |
First Trust Exchange-Traded Fund III REGISTRATION OF CERTAIN CLASSES OF SECURITIES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Libe |
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| May 11, 2017 |
RFAP / First Tr Exchange Traded FD III / Prospera Financial Services Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 First Trust RiverFront Dynamic Asia Pacific ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33739P509 (CUSIP Number) May 01, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
|
| May 10, 2017 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) April 30, 2017 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
|
| May 10, 2017 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
|
| April 10, 2017 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
|
| April 10, 2017 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) March 31, 2017 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
|
| March 31, 2017 |
First Trust Exchange-traded Fund Iii - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS N-Q 1 etf3nq.txt QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 - First Trust Exchange-Traded Fund III - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheat |
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| March 31, 2017 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. |
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| March 29, 2017 |
EX-99.77Q1 OTHR EXHB 3 ex77q1b.txt INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-Advisory Agreement (this "Agreement"), made as of August 22, 2016, by and among the First Trust Exchange-Traded Fund III, a Massachusetts business trust (the "Trust"), First Trust Advisors L.P., an Illinois limited partnership (the "Manager") and a registered investment advise |
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| March 29, 2017 |
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this fourth day of February 2016, by and between FIRST TRUST EXCHANGE-TRADED FUND III, a Massachusetts business trust (the "Trust"), and FIRST TRUST ADVISORS L. |
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| March 21, 2017 |
SC 13G 1 rfap32117.htm INITIAL FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 First Trust RiverFront Dynamic Asia Pacific ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33739P509 (CUSIP Number) March 09, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate |
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| January 12, 2017 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 12, 2017 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) December 31, 2016 - (Date of Event Which Requires Filing of this Statem |
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| December 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 - First Trust Exchange-Traded Fund III - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of principal executive offices) (Z |
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| December 29, 2016 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. |
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| December 9, 2016 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) November 30, 2016 - (Date of Event Which Requires Filing of this Statem |
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| December 9, 2016 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| October 14, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* FIRST TRUST PORTFOLIOS, L.P. (Name of Issuer) FIRST TRUST EMERGING MARKETS LOCAL CURRENCY BOND ETF (Title of Class of Securities) 33739P202 (CUSIP Number) October 12, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box |
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| October 7, 2016 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| October 7, 2016 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) September 30, 2016 - (Date of Event Which Requires Filing of this State |
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| September 29, 2016 |
EX-99.CERT 2 cert302.txt SECTION 302 CERTIFICATIONS CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne |
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| September 29, 2016 |
N-Q 1 etf3nq.txt QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 - First Trust Exchange-Traded Fund III - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheat |
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| September 23, 2016 |
First Trust Exchange-Traded Fund III NOTICE OF PROPOSED SALE OF SECURITIES Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: May 31, 2017 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either |
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| September 22, 2016 |
First Trust Exchange-Traded Funds First Trust Variable Insurance Trust Funds September 7, 2016 Securities and Exchange Commission 100 F Street, N. |
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| September 20, 2016 |
First Trust Exchange-Traded Fund III NOTICE OF PROPOSED SALE OF SECURITIES 144 1 femb144.htm NOTICE OF PROPOSED SALE OF SECURITIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: May 31, 2017 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing |
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| August 30, 2016 |
First Trust Exchange-Traded Fund III NOTICE OF PROPOSED SALE OF SECURITIES Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 325-0101 Expires: May 31, 2017 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either p |
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| August 30, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* FIRST TRUST PORTFOLIOS, L.P. (Name of Issuer) FIRST TRUST EMERGING MARKETS LOCAL CURRENCY BOND ETF (Title of Class of Securities) 33739P202 (CUSIP Number) July 11, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to |
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| August 22, 2016 |
First Trust Exchange-Traded Fund III ESP CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 August 22, 2016 VIA EDGAR CORRESPONDENCE - Karen Rossotto, Esq. |
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| August 19, 2016 |
First Trust Exchange-Traded Fund III REGISTRATION OF A CLASS OF SECURITIES 8-A12B 1 etf38a12b.txt REGISTRATION OF A CLASS OF SECURITIES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation or Org |
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| August 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 FIRST TRUST PORTFOLIOS, L.P. (Name of Issuer) FIRST TRUST EMERGING MARKETS LOCAL CURRENCY BOND ETF (Title of Class of Securities) 33739P202 (CUSIP Number) June 30, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| June 28, 2016 |
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this fourth day of February 2016, by and between FIRST TRUST EXCHANGE-TRADED FUND III, a Massachusetts business trust (the "Trust"), and FIRST TRUST ADVISORS L. |
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| June 28, 2016 |
EX-99.77Q1 OTHR EXHB 2 exh77q1b.txt INVESTMENT SUB-ADVISORY AGREEMENT INVESTMENT SUB-ADVISORY AGREEMENT This Investment Sub-Advisory Agreement (this "Agreement"), made as of February 4, 2016, by and among the First Trust Exchange-Traded Fund III, a Massachusetts business trust (the "Trust"), First Trust Advisors L.P., an Illinois limited partnership (the "Manager") and a registered investment advi |
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| June 13, 2016 |
First Trust Exchange-Traded Fund III REGISTRATION/LISTING OF SECURITIES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS 61-1774306 - - (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty |
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| June 6, 2016 |
First Trust Exchange-Traded Fund III R COVER 2 filename2.txt CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 June 6, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund III (Registration Nos. 333-176976 and 811-22245) - Ladies and Gentlemen: On behalf of First Trust Exchange-Traded Fund III (the "Registrant"), we are transmitting for electronic filin |
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| April 12, 2016 |
First Trust Exchange-Traded Fund III REGISTRATION/LISTING OF SECURITIES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST EXCHANGE-TRADED FUND III - (Exact name of registrant as specified in its charter) MASSACHUSETTS See Exhibit 1 - - (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Libe |
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| April 8, 2016 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| April 8, 2016 |
SC 13G/A 1 sc13g3.txt AMENDED SCHEDULE 13G UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* First Trust Emerging Markets Local Currency Bond ETF - (Name of Issuer) Common - (Title of Class of Securities) 33739P202 - (CUSIP Number) March 31, 2016 - (Date of Event Which Requires Filing of this Statement |
