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.
Truist Financial Corp (NYSE: TFC) has filed Amendment No. 4 to Schedule 13G reporting its passive ownership in the First Trust Exchange-Traded Fund VIII – First Trust Smith Unconstrained Bond ETF (ticker UCON). As of 30 Sep 2024, Truist – acting as parent holding company for Truist Advisory Services, Inc. – beneficially owned 134,428 shares, representing 13.1 % of the ETF’s outstanding units. All shares are held with sole voting and dispositive power; no shared authority is reported.
The amendment states that the only change from prior filings is a correction of the issuer’s CIK number; the economic ownership figures remain unchanged. Truist certifies that the position is held in the ordinary course of business with no intent to influence control, qualifying the filing under Rules 13d-1(b) and 13d-1(c). Truist classifies itself as both a Holding Company (HC) and an Investment Adviser (IA).
Because UCON is a relatively small ETF, a 13.1 % stake implies meaningful concentration. For existing unit-holders, Truist’s presence may add liquidity and signal institutional confidence, yet it also introduces single-holder concentration risk should the firm materially change its position.
Truist Financial Corporation, acting as parent holding company for its registered investment adviser subsidiary Truist Advisory Services, Inc., has filed Amendment No. 1 to a Schedule 13G for First Trust Exchange-Traded Fund VIII (ticker presumed UCON) covering the period ended 30 June 2025.
The filing reports that Truist beneficially owns 173,267 shares of the ETF, representing 5.02 % of the outstanding class. Truist has sole dispositive power over all reported shares but no voting power, indicating a passive, investment-only position made in the ordinary course of business. The ownership level triggers the 5 % reporting threshold under Rule 13d-1(b), appropriate for institutional investors.
This amendment was submitted solely to correct a typographical error in the issuer’s CIK number contained in the original Schedule 13G; there are no changes to share count, percentage ownership or dispositive/voting powers. Truist classifies itself as both an Investment Adviser (IA) and a Holding Company (HC) for reporting purposes.
While the absolute share figure is modest, crossing the 5 % threshold can be viewed as a signal of growing institutional interest in the ETF. However, the lack of voting authority and Truist’s certification that the stake is not intended to influence control reduce the strategic significance of the position.
Truist Financial Corporation, acting as parent holding company for its registered investment adviser Truist Advisory Services, Inc., has filed Amendment No. 3 to Schedule 13G disclosing a sizeable passive stake in First Trust Exchange-Traded Fund VIII – First Trust Smith Unconstrained Bond ETF (ticker: UCON).
As of the event date 30 June 2025, Truist reports beneficial ownership of 276,682 shares, representing 23.06 % of UCON’s outstanding units. The filing indicates:
- Sole voting power: 0 shares – Truist does not exercise or retain proxy voting authority.
- Sole dispositive power: 276,682 shares – the firm may dispose of or direct the disposition of all reported units.
- Shared voting / dispositive power: 0 shares.
The shares are held in the ordinary course of business, and the filer certifies the investment was not made to influence or control the issuer, consistent with Rule 13d-1(b) requirements for institutional investors. Truist is classified as both an “IA” (Investment Adviser) and “HC” (Holding Company) under Item 3.
The Schedule 13G filing formally updates Truist’s ownership position and signals that an institutional manager now controls nearly a quarter of the ETF’s float. No financial performance metrics, earnings data, or transactional terms beyond share count and percentage are included.
Truist Financial Corporation filed a Schedule 13G disclosing a passive stake in First Trust Exchange-Traded Fund VIII (UCON). As of 30 June 2025, Truist, acting as parent holding company for its registered investment adviser Truist Advisory Services, beneficially owned 1,242,612 shares, equal to 6.24 % of the ETF’s outstanding units (CUSIP 33740F599). The firm reports sole dispositive power over all shares but no voting power, classifying the position as purely investment-driven under Rule 13d-1(b). The certification section confirms the shares were acquired in the ordinary course of business with no intent to influence control. No purchase prices, transaction details, or forward-looking statements are provided. The filing simply elevates UCON’s institutional ownership profile and signals ongoing interest from a large U.S. financial institution, but it carries limited immediate operational or governance implications for the ETF.