Welcome to our dedicated page for First Trust Smith Unconstrained Pl BdETF SEC filings (Ticker: UCON), 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 Smith Unconstrained Bond ETF (UCON) provides access to official regulatory documents filed with the Securities and Exchange Commission for this exchange-traded fund, which is a series of First Trust Exchange-Traded Fund VIII. These filings include proxy statements and related materials that describe governance matters, advisory and sub-advisory arrangements, and shareholder voting procedures.
For UCON, a key filing type is the definitive proxy statement (DEF 14A). In these documents, shareholders can review proposals such as the election or re-election of trustees to the Board of Trustees of First Trust Exchange-Traded Fund VIII, as well as information about the manager of managers structure that applies to UCON and certain other funds. The proxy materials explain how shareholders of record as of a specified date may vote, what vote is required to approve proposals, and how proxy solicitation costs are shared among affected funds.
Filings related to UCON also describe the investment advisory relationship with First Trust Advisors L.P. and the investment sub-advisory relationship with Smith Capital Investors, LLC. They outline the Board’s role in approving sub-advisory agreements and in overseeing the use of a manager of managers framework, under which the advisor and the trust, subject to Board approval, may enter into and materially amend sub-advisory agreements without additional shareholder approval.
On Stock Titan, UCON’s SEC filings are updated as they are made available through EDGAR. AI-powered summaries help explain the purpose and main points of lengthy documents such as proxy statements, highlighting items like trustee election proposals, advisory structures, and changes affecting how the fund is managed, so investors can more easily understand the regulatory information relevant to this ETF.
First Trust Exchange-Traded Fund VIII reporting persons First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation jointly disclose beneficial ownership of 1,442,970 shares of the FT Vest U.S. Equity Moderate Buffer ETF - September (CUSIP 33740U711), representing 26.85% of the class. The filing shows no sole voting or dispositive power; voting power is shared for 1,378,292 shares and shared dispositive power for all 1,442,970 shares. The Charger Corporation is the general partner of the other filers and the filing explains that many shares are held through unit investment trusts for which advisory or trustee arrangements determine voting and disposition. The reporting parties disclaim beneficial ownership of certain shares held in other vehicles.
First Trust Exchange-Traded Fund VIII filings show that First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation jointly report beneficial ownership of 1,452,158 shares of FT Vest U.S. Equity Moderate Buffer ETF - November (CUSIP 33740U687), representing 21.92% of the class. The reporting group discloses no sole voting or dispositive power and instead reports shared voting power of 1,387,195 shares and shared dispositive power over all 1,452,158 shares. The filing clarifies these shares are held across unit investment trusts and other accounts and disclaims direct beneficial ownership by the filers.
First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation report joint beneficial ownership of 1,362,675 shares of the FT Vest U.S. Equity Moderate Buffer ETF - July (CUSIP 33740U661), representing 8.99% of the class. The reporting entities disclose 0 shares of sole voting or dispositive power and 1,300,858 shares of shared voting power with 1,362,675 shares of shared dispositive power. The filing states these shares are held predominantly in unit investment trusts and other advisory accounts, and the filers disclaim sole beneficial ownership and voting control.
First Trust Exchange-Traded Fund VIII reporting persons First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation jointly disclose ownership of 13,257,344 shares of the class FT Vest U.S. Equity Buffer ETF - March (CUSIP 33740F599), representing 69.23% of the class. The filing states these shares are held across unit investment trusts and other vehicles where First Trust Portfolios L.P. sponsors trusts and First Trust Advisors L.P. serves as portfolio supervisor. The filers disclaim sole beneficial ownership and note that voting is performed by trustees of the unit investment trusts.
Schedule 13G/A filed reporting that First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation jointly hold 2,831,605 shares of the class FT Vest U.S. Equity Deep Buffer ETF - October, representing 39.46% of the class. The filing shows shared voting and dispositive power over those shares (2,831,605). The filing explains these shares are held in unit investment trusts and other vehicles for which the reporting persons serve as sponsor, portfolio supervisor or investment adviser, and that the reporting persons disclaim beneficial ownership of the shares held by those trusts. The statement is signed by James M. Dykas on behalf of each reporting person (dated 09/08/2025).
Foundations Investment Advisors, LLC filed Amendment No. 2 to Schedule 13G disclosing a large holding in First Trust Exchange-Traded Fund VIII – First Trust Smith Unconstrained Bond ETF (UCON). As of 30 June 2025, the Arizona-based registered investment adviser beneficially owned 737,087 shares, equal to 38.3 % of the ETF’s outstanding units. The firm reports sole dispositive power over the entire stake but no voting power, indicating authority to trade the shares without influencing proxy matters. The filing is made under Rule 13d-1(b) applicable to investment advisers and was signed by CCO Marc Pugsley on 28 July 2025. No group membership, subsidiary involvement, or other reportable relationships are indicated.