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.
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The Form N-CSR transmits annual shareholder reports for multiple First Trust ETF series and summarizes each Fund's results, holdings and key statistics for the period ended May 31, 2025. FT Raymond James Multicap Growth Equity ETF (RJMG) returned 7.70% for the 12 months vs. the Russell 3000 Growth Index at 17.04%, held $12,620,172 in net assets, 40 holdings and a portfolio turnover of 145%; top holdings included Shake Shack (2.8%), ROBLOX (2.7%) and Alphabet Class A (2.7%).
Numerous FT Vest option-based Funds (buffer/accelerator/max buffer series) began operations across 2024–2025, most using FLEX options with purchased option exposures >100% and written option offsets. Typical expense ratios were 0.85% (some funds 0.95%). Fund size varies materially — the largest disclosed was FT Vest U.S. Equity Max Buffer ETF - March (MARM) with $135,759,690 in net assets while several newer funds report net assets near or below $2.1M. The MARM report also discloses a reset of its predetermined upside cap and downside buffer during the year.
Filing type: Form N-CEN for First Trust Smith Unconstrained Bond ETF (UCON) appears partially completed and primarily contains operational disclosures about trading counterparties and fees.
The filing records aggregate brokerage commissions and principal transaction volumes for multiple management records. Reported aggregate brokerage commissions include $3,689.42, $19,824.00, and $4,032.00 for three separate management records. Aggregate principal purchase/sale values reported include $12,732,017.21, $967,323.88, and $997,183.04. Individual broker commission line items and top principal-dealer transaction totals are also listed.
Many required fields are not populated in the provided extract (registrant name in form fields, CIK/LEI, asset amounts, director and officer details and other core disclosures), which limits the ability to assess financial significance or investor impact beyond the trading and commission figures shown.
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.
On 07/28/2025, Foundations Investment Advisors, LLC filed a Schedule 13G revealing a 5.5 % passive ownership stake in First Trust Exchange-Traded Fund VIII (ticker UCON, CUSIP 33740F250) based on holdings as of 06/30/2025. The firm reports 331,884 ETF units under beneficial ownership, with sole dispositive power and no voting power. Foundations is classified as an investment adviser ("IA") under Rule 13d-1(b) and certifies the position was acquired in the ordinary course, not to influence control. No other material transactions or financial metrics are disclosed.
Schedule 13G filing: On 07/28/2025 First Trust Portfolios L.P., First Trust Advisors L.P. and their parent, The Charger Corp., disclosed a passive stake in FT Vest International Equity Moderate Buffer ETF – June (CUSIP 33740U869). The position was triggered by crossing the 5 % threshold on 06/30/2025.
- Shares owned: 402,463
- Percent of class: 6.82 %
- Voting power: Sole 0; Shared 301,393
- Dispositive power: Sole 0; Shared 402,463
The units are held across multiple unit investment trusts and other vehicles sponsored or advised by the reporting parties. They disclaim beneficial ownership and certify the holdings were acquired in the ordinary course, with no intent to influence control of the issuer. The Charger Corp. is general partner of both limited partnerships, and the entities are filing jointly under Rule 13d-1(k)(1).
This filing signals notable institutional ownership but, because the reporters lack sole voting or dispositive authority and characterize the stake as passive, the immediate governance impact appears limited.
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