<SEC-DOCUMENT>0001445546-25-006782-index.html : 20251014 <SEC-HEADER>0001445546-25-006782.hdr.sgml : 20251014 <ACCEPTANCE-DATETIME>20251014094936 ACCESSION NUMBER: 0001445546-25-006782 CONFORMED SUBMISSION TYPE: 40-17G PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 20251014 DATE AS OF CHANGE: 20251014 EFFECTIVENESS DATE: 20251014 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND CENTRAL INDEX KEY: 0001383496 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22019 FILM NUMBER: 251390145 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST HIGH YIELD OPPORTUNITIES 2027 TERM FUND CENTRAL INDEX KEY: 0001810523 ORGANIZATION NAME: EIN: 851075664 FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-23565 FILM NUMBER: 251390148 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: FIRST TRUST HIGH YIELD OPPORTUNITIES 2032 TARGET TERM FUND DATE OF NAME CHANGE: 20200424 FORMER COMPANY: FORMER CONFORMED NAME: FIRST TRUST HIGH YIELD OPPORTUNITIES 2032 TERM FUND DATE OF NAME CHANGE: 20200424 FORMER COMPANY: FORMER CONFORMED NAME: FIRST TRUST HIGH YIELD OPPORTUNITIES 2027 TERM FUND DATE OF NAME CHANGE: 20200423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST MORTGAGE INCOME FUND CENTRAL INDEX KEY: 0001319183 ORGANIZATION NAME: EIN: 356758396 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-21727 FILM NUMBER: 251390159 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: FIRST TRUST/FIDAC MORTGAGE INCOME FUND DATE OF NAME CHANGE: 20050228 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND CENTRAL INDEX KEY: 0001329377 ORGANIZATION NAME: EIN: 000000000 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-21774 FILM NUMBER: 251390161 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND II CENTRAL INDEX KEY: 0001364608 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-21944 FILM NUMBER: 251390160 BUSINESS ADDRESS: STREET 1: 12O EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 12O EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND III CENTRAL INDEX KEY: 0001424212 ORGANIZATION NAME: EIN: 000000000 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22245 FILM NUMBER: 251390153 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE STREET 2: SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE STREET 2: SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: First Trust Exchange-Traded Fund III DATE OF NAME CHANGE: 20160419 FORMER COMPANY: FORMER CONFORMED NAME: First Trust Exchange Traded Fund III DATE OF NAME CHANGE: 20080116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST SERIES FUND CENTRAL INDEX KEY: 0001497778 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22452 FILM NUMBER: 251390158 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II CENTRAL INDEX KEY: 0001510337 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22519 FILM NUMBER: 251390157 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND IV CENTRAL INDEX KEY: 0001517936 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22559 FILM NUMBER: 251390156 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST VARIABLE INSURANCE TRUST CENTRAL INDEX KEY: 0001537395 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22652 FILM NUMBER: 251390154 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND V CENTRAL INDEX KEY: 0001549548 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22709 FILM NUMBER: 251390151 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND VI CENTRAL INDEX KEY: 0001552740 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22717 FILM NUMBER: 251390155 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND VII CENTRAL INDEX KEY: 0001561785 ORGANIZATION NAME: EIN: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22767 FILM NUMBER: 251390150 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: First Trust Intermediate Duration Preferred & Income Fund CENTRAL INDEX KEY: 0001567569 ORGANIZATION NAME: EIN: 320405071 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-22795 FILM NUMBER: 251390152 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: First Trust Intermediate Duration Preferred & Income Trust DATE OF NAME CHANGE: 20130130 FORMER COMPANY: FORMER CONFORMED NAME: First Trust Ltd Duration Preferred & Income Trust DATE OF NAME CHANGE: 20130122 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND VIII CENTRAL INDEX KEY: 0001667919 ORGANIZATION NAME: EIN: 000000000 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-23147 FILM NUMBER: 251390149 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST SENIOR FLOATING RATE INCOME FUND II CENTRAL INDEX KEY: 0001282850 ORGANIZATION NAME: EIN: 113716541 FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-21539 FILM NUMBER: 251390147 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE STREET 2: SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE STREET 2: SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: FIRST TRUST FOUR CORNERS SENIOR FLOATING RATE INCOME FUND II DATE OF NAME CHANGE: 20040305 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST ENHANCED EQUITY INCOME FUND CENTRAL INDEX KEY: 0001291334 ORGANIZATION NAME: EIN: 300261406 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-21586 FILM NUMBER: 251390146 BUSINESS ADDRESS: STREET 1: C/O FIRST TRUST PORTFOLIOS L.P. STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: C/O FIRST TRUST PORTFOLIOS L.P. STREET 2: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: First Trust/Fiduciary Asset Management Covered Call Fund DATE OF NAME CHANGE: 20040526 FORMER COMPANY: FORMER CONFORMED NAME: First Trust/Fiduciary Asset Management Covered Call Income Fund DATE OF NAME CHANGE: 20040521 </SEC-HEADER> <DOCUMENT> <TYPE>40-17G <SEQUENCE>1 <FILENAME>funds_17g.htm <DESCRIPTION>AMENDED FIDELITY BOND <TEXT> Document 1 - file: funds_17g.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99 <SEQUENCE>2 <FILENAME>exhibit1.htm <DESCRIPTION>BLANKET BOND AND RIDERS <TEXT> Document 2 - file: exhibit1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99 <SEQUENCE>3 <FILENAME>exhibit4.htm <DESCRIPTION>CERTIFICATE OF ASSISTANT SECRETARY <TEXT> Document 3 - file: exhibit4.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99 <SEQUENCE>4 <FILENAME>exhibit5.htm <DESCRIPTION>BLANKET BOND INSURANCE AGREEMENT <TEXT> Document 4 - file: exhibit5.htm
</DOCUMENT> </SEC-DOCUMENT>