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.
The SEC filings page for First Trust Brazil AlphaDEX Fund (FBZ) provides access to regulatory documents that describe the fund’s status as a series of First Trust Exchange-Traded AlphaDEX Fund II and its transition through liquidation and delisting. These filings include a Form 25 (25-NSE) and a definitive proxy statement (DEF 14A) that together outline both listing status and governance matters relevant to shareholders.
Form 25 (25-NSE) is the notification of removal from listing and/or registration under Section 12(b) of the Securities Exchange Act of 1934. In this filing, Nasdaq Stock Market LLC identifies First Trust Exchange-Traded AlphaDEX Fund II as the issuer and First Trust Brazil AlphaDEX Fund as the class of securities being struck from listing and/or withdrawn from registration. The form indicates that the exchange and the issuer have complied with the applicable rules for voluntary withdrawal of the class of securities from listing and registration.
The definitive proxy statement (DEF 14A) for First Trust Exchange-Traded AlphaDEX Fund II provides governance context for FBZ as one of the exchange-traded funds that are series of the trust. It explains that shareholders of each fund, including First Trust Brazil AlphaDEX Fund, are asked to vote on the election or re-election of trustees at a special meeting of shareholders. The proxy materials describe how shareholders may vote, the role of independent trustees, and the voting standard (plurality of votes cast) for approving the proposal.
On Stock Titan, these filings are presented with AI-powered summaries that highlight the key points of each document, such as the effective removal of FBZ from Nasdaq listing via Form 25 and the governance framework described in the proxy statement. Users can quickly see how the fund’s regulatory history reflects its move from an actively listed exchange-traded fund toward liquidation and termination, while still having access to the full-text filings for detailed review.
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.