Welcome to our dedicated page for First Trust Brazil AlphaDEX® ETF SEC filings (Ticker: FBZ), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation reported collective beneficial ownership of 1,351,524 shares, representing 62.86% of the outstanding shares of the First Trust China AlphaDEX(R) Fund. The filing states that the holdings arise principally from unit investment trusts sponsored by First Trust Portfolios L.P. and from accounts for which First Trust Advisors L.P. serves as advisor or sub-advisor. The reporting parties disclaim sole beneficial ownership and note that trustees of the unit investment trusts vote the shares to align generally with other shareholders.
Key take-away: First Trust Exchange-Traded AlphaDEX® Fund II and its 15 ETF series, including FBZ, have called a special shareholder meeting for 1:15 p.m. CT on August 12 2025 at the adviser’s Wheaton, IL offices.
Shareholders of record on June 9 2025 will vote on a single governance item:
- Election or re-election of eight trustee nominees – the seven current trustees plus one new independent nominee, former Deloitte partner Thomas J. Driscoll.
Rationale: once all trustees have been elected by shareholders, the Board can fill future vacancies or add members without incurring the cost of another shareholder meeting, as permitted under the Investment Company Act. If elected, the Board would comprise one interested trustee (CEO James A. Bowen) and seven independent trustees.
Voting mechanics: plurality of votes cast, with the funds voting together; quorum is 33⅓ % of aggregate voting power. Proxy cards may be returned by mail, phone, internet or in person. The Board unanimously recommends “FOR” each nominee.
Cost: estimated proxy-solicitation expense of roughly $41,000, shared pro-rata among the Trust and related First Trust funds; no SEC filing fee required. Deloitte & Touche remains independent auditor.
No changes to investment objectives, fees, distributions or portfolio strategy are proposed. The matter is routine and has limited direct financial impact for ETF holders.
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