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[SCHEDULE 13G/A] First Trust Smith Unconstrained Bond ETF SEC Filing

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(Low)
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Form Type
SCHEDULE 13G/A
Rhea-AI Filing Summary

Schedule 13G/A (Amend. 3) filed for FT Vest U.S. Equity Moderate Buffer ETF – May

First Trust Portfolios L.P., First Trust Advisors L.P. and parent The Charger Corporation jointly report 1,156,814 shares of the ETF (CUSIP 33740F441) held as of 30 Jun 2025, equal to 14.19 % of the outstanding class. They claim no sole voting or dispositive power; authority is shared—1,104,248 shares with shared voting power and the entire position with shared dispositive power.

The stake is owned through unit investment trusts and other vehicles sponsored or advised by the First Trust entities. Trustees, not the reporters, vote the shares to mirror the broader shareholder base, indicating a passive, ordinary-course investment with no intention to influence control. Filers are classified as Broker-Dealer (BD), Investment Adviser (IA) and Holding Company (HC), respectively.

Schedule 13G/A (Emendamento 3) depositato per FT Vest U.S. Equity Moderate Buffer ETF – Maggio

First Trust Portfolios L.P., First Trust Advisors L.P. e la società madre The Charger Corporation riportano congiuntamente il possesso di 1.156.814 azioni dell'ETF (CUSIP 33740F441) al 30 giugno 2025, pari al 14,19% della classe in circolazione. Dichiarano di non detenere potere esclusivo di voto o dispositivi; l'autorità è condivisa—1.104.248 azioni con potere di voto condiviso e l'intera posizione con potere dispositive condiviso.

La partecipazione è detenuta tramite unità di investimento e altri veicoli sponsorizzati o consigliati dalle entità First Trust. I fiduciari, non i segnalanti, esercitano il voto sulle azioni per riflettere la base più ampia degli azionisti, indicando un investimento passivo e ordinario senza intenzione di influenzare il controllo. I depositanti sono classificati rispettivamente come Broker-Dealer (BD), Consulente per Investimenti (IA) e Società Holding (HC).

Schedule 13G/A (Enmienda 3) presentado para FT Vest U.S. Equity Moderate Buffer ETF – Mayo

First Trust Portfolios L.P., First Trust Advisors L.P. y la matriz The Charger Corporation reportan conjuntamente 1,156,814 acciones del ETF (CUSIP 33740F441) al 30 de junio de 2025, equivalentes al 14.19 % de la clase en circulación. Afirman no tener poder exclusivo de voto o disposición; la autoridad es compartida—1,104,248 acciones con poder de voto compartido y toda la posición con poder dispositive compartido.

La participación se posee a través de fideicomisos de inversión y otros vehículos patrocinados o asesorados por las entidades First Trust. Los fiduciarios, no los reportantes, votan las acciones para reflejar la base más amplia de accionistas, indicando una inversión pasiva y ordinaria sin intención de influir en el control. Los declarante están clasificados como Broker-Dealer (BD), Asesor de Inversiones (IA) y Compañía Holding (HC), respectivamente.

FT Vest U.S. Equity Moderate Buffer ETF – 5월에 대한 Schedule 13G/A (수정 3) 제출

First Trust Portfolios L.P., First Trust Advisors L.P. 및 모회사 The Charger Corporation는 2025년 6월 30일 기준으로 해당 ETF(CUSIP 33740F441)의 1,156,814주를 공동 보고하며, 이는 전체 발행 주식의 14.19%에 해당합니다. 이들은 단독 의결권 또는 처분권이 없음을 주장하며; 권한은 공유됨—1,104,248주는 공유 의결권이 있으며 전체 지분에 대해 공유 처분권을 가집니다.

지분은 First Trust 계열사가 후원하거나 자문하는 단위 투자 신탁 및 기타 수단을 통해 보유됩니다. 보고자가 아닌 수탁자가 주주 기반을 반영하여 주식을 투표하며, 이는 수동적이고 일상적인 투자로서 지배권에 영향을 미칠 의도가 없음을 나타냅니다. 제출자들은 각각 중개업자(BD), 투자 자문사(IA), 지주회사(HC)로 분류됩니다.

Déclaration Schedule 13G/A (Amendement 3) déposée pour FT Vest U.S. Equity Moderate Buffer ETF – Mai

First Trust Portfolios L.P., First Trust Advisors L.P. et la société mère The Charger Corporation déclarent conjointement détenir 1 156 814 actions de l'ETF (CUSIP 33740F441) au 30 juin 2025, soit 14,19 % de la classe en circulation. Ils affirment ne pas détenir de pouvoir de vote ou de disposition exclusif ; l'autorité est partagée—1 104 248 actions avec pouvoir de vote partagé et la totalité de la position avec pouvoir de disposition partagé.

La participation est détenue via des trusts d'investissement unitaires et d'autres véhicules parrainés ou conseillés par les entités First Trust. Les fiduciaires, et non les déclarants, votent les actions afin de refléter la base plus large des actionnaires, indiquant un investissement passif et ordinaire sans intention d'influencer le contrôle. Les déclarants sont respectivement classés comme Broker-Dealer (BD), Conseiller en Investissement (IA) et Société Holding (HC).

Schedule 13G/A (Änderung 3) eingereicht für FT Vest U.S. Equity Moderate Buffer ETF – Mai

First Trust Portfolios L.P., First Trust Advisors L.P. und die Muttergesellschaft The Charger Corporation berichten gemeinsam über 1.156.814 Aktien des ETFs (CUSIP 33740F441) zum 30. Juni 2025, was 14,19 % der ausstehenden Klasse entspricht. Sie geben an, keine alleinige Stimm- oder Verfügungsgewalt zu besitzen; die Befugnis wird geteilt—1.104.248 Aktien mit geteilter Stimmrechtsmacht und die gesamte Position mit geteilter Verfügungsgewalt.

Die Beteiligung wird über Unit Investment Trusts und andere Vehikel gehalten, die von den First Trust-Einheiten gesponsert oder beraten werden. Treuhänder, nicht die Melder, stimmen die Aktien ab, um die breitere Aktionärsbasis widerzuspiegeln, was auf eine passive, gewöhnliche Investition ohne Absicht zur Einflussnahme auf die Kontrolle hinweist. Die Melder sind jeweils als Broker-Dealer (BD), Investmentberater (IA) und Holdinggesellschaft (HC) klassifiziert.

Positive
  • Significant institutional ownership (14.19 %) may be interpreted as confidence in the ETF’s strategy.
  • Passive classification lowers immediate governance or takeover risk for other shareholders.
Negative
  • High concentration in a single sponsor group could heighten redemption-driven liquidity pressure during market stress.
  • No sole voting power limits direct accountability of the large holder in stewardship matters.

Insights

TL;DR – Passive 14.2 % stake disclosed; limited control implications, modest liquidity risk.

The filing shows First Trust affiliates collectively own a sizeable 14.19 % of the ETF, but all authority is shared and voting is delegated to trustees, signalling a passive position. Because the shares reside in numerous unit investment trusts, redemptions could create periodic liquidity needs, yet no single trust exceeds 3 % ownership, mitigating concentration risk. The disclosure does not introduce new capital, operational or governance changes; therefore, market impact is expected to be limited and largely informational.

Schedule 13G/A (Emendamento 3) depositato per FT Vest U.S. Equity Moderate Buffer ETF – Maggio

First Trust Portfolios L.P., First Trust Advisors L.P. e la società madre The Charger Corporation riportano congiuntamente il possesso di 1.156.814 azioni dell'ETF (CUSIP 33740F441) al 30 giugno 2025, pari al 14,19% della classe in circolazione. Dichiarano di non detenere potere esclusivo di voto o dispositivi; l'autorità è condivisa—1.104.248 azioni con potere di voto condiviso e l'intera posizione con potere dispositive condiviso.

La partecipazione è detenuta tramite unità di investimento e altri veicoli sponsorizzati o consigliati dalle entità First Trust. I fiduciari, non i segnalanti, esercitano il voto sulle azioni per riflettere la base più ampia degli azionisti, indicando un investimento passivo e ordinario senza intenzione di influenzare il controllo. I depositanti sono classificati rispettivamente come Broker-Dealer (BD), Consulente per Investimenti (IA) e Società Holding (HC).

Schedule 13G/A (Enmienda 3) presentado para FT Vest U.S. Equity Moderate Buffer ETF – Mayo

First Trust Portfolios L.P., First Trust Advisors L.P. y la matriz The Charger Corporation reportan conjuntamente 1,156,814 acciones del ETF (CUSIP 33740F441) al 30 de junio de 2025, equivalentes al 14.19 % de la clase en circulación. Afirman no tener poder exclusivo de voto o disposición; la autoridad es compartida—1,104,248 acciones con poder de voto compartido y toda la posición con poder dispositive compartido.

La participación se posee a través de fideicomisos de inversión y otros vehículos patrocinados o asesorados por las entidades First Trust. Los fiduciarios, no los reportantes, votan las acciones para reflejar la base más amplia de accionistas, indicando una inversión pasiva y ordinaria sin intención de influir en el control. Los declarante están clasificados como Broker-Dealer (BD), Asesor de Inversiones (IA) y Compañía Holding (HC), respectivamente.

FT Vest U.S. Equity Moderate Buffer ETF – 5월에 대한 Schedule 13G/A (수정 3) 제출

First Trust Portfolios L.P., First Trust Advisors L.P. 및 모회사 The Charger Corporation는 2025년 6월 30일 기준으로 해당 ETF(CUSIP 33740F441)의 1,156,814주를 공동 보고하며, 이는 전체 발행 주식의 14.19%에 해당합니다. 이들은 단독 의결권 또는 처분권이 없음을 주장하며; 권한은 공유됨—1,104,248주는 공유 의결권이 있으며 전체 지분에 대해 공유 처분권을 가집니다.

지분은 First Trust 계열사가 후원하거나 자문하는 단위 투자 신탁 및 기타 수단을 통해 보유됩니다. 보고자가 아닌 수탁자가 주주 기반을 반영하여 주식을 투표하며, 이는 수동적이고 일상적인 투자로서 지배권에 영향을 미칠 의도가 없음을 나타냅니다. 제출자들은 각각 중개업자(BD), 투자 자문사(IA), 지주회사(HC)로 분류됩니다.

Déclaration Schedule 13G/A (Amendement 3) déposée pour FT Vest U.S. Equity Moderate Buffer ETF – Mai

First Trust Portfolios L.P., First Trust Advisors L.P. et la société mère The Charger Corporation déclarent conjointement détenir 1 156 814 actions de l'ETF (CUSIP 33740F441) au 30 juin 2025, soit 14,19 % de la classe en circulation. Ils affirment ne pas détenir de pouvoir de vote ou de disposition exclusif ; l'autorité est partagée—1 104 248 actions avec pouvoir de vote partagé et la totalité de la position avec pouvoir de disposition partagé.

La participation est détenue via des trusts d'investissement unitaires et d'autres véhicules parrainés ou conseillés par les entités First Trust. Les fiduciaires, et non les déclarants, votent les actions afin de refléter la base plus large des actionnaires, indiquant un investissement passif et ordinaire sans intention d'influencer le contrôle. Les déclarants sont respectivement classés comme Broker-Dealer (BD), Conseiller en Investissement (IA) et Société Holding (HC).

Schedule 13G/A (Änderung 3) eingereicht für FT Vest U.S. Equity Moderate Buffer ETF – Mai

First Trust Portfolios L.P., First Trust Advisors L.P. und die Muttergesellschaft The Charger Corporation berichten gemeinsam über 1.156.814 Aktien des ETFs (CUSIP 33740F441) zum 30. Juni 2025, was 14,19 % der ausstehenden Klasse entspricht. Sie geben an, keine alleinige Stimm- oder Verfügungsgewalt zu besitzen; die Befugnis wird geteilt—1.104.248 Aktien mit geteilter Stimmrechtsmacht und die gesamte Position mit geteilter Verfügungsgewalt.

Die Beteiligung wird über Unit Investment Trusts und andere Vehikel gehalten, die von den First Trust-Einheiten gesponsert oder beraten werden. Treuhänder, nicht die Melder, stimmen die Aktien ab, um die breitere Aktionärsbasis widerzuspiegeln, was auf eine passive, gewöhnliche Investition ohne Absicht zur Einflussnahme auf die Kontrolle hinweist. Die Melder sind jeweils als Broker-Dealer (BD), Investmentberater (IA) und Holdinggesellschaft (HC) klassifiziert.






Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
Rule 13d-1(b)
Rule 13d-1(c)
Rule 13d-1(d)






SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G





SCHEDULE 13G



First Trust Portfolios L.P.
Signature:/s/ James M. Dykas
Name/Title:James M. Dykas, Chief Financial Officer
Date:07/23/2025
First Trust Advisors L.P.
Signature:/s/ James M. Dykas
Name/Title:James M. Dykas, Chief Financial Officer
Date:07/23/2025
The Charger Corporation
Signature:/s/ James M. Dykas
Name/Title:James M. Dykas, Chief Financial Officer and Treasurer
Date:07/23/2025
Exhibit Information

Please see Exhibit 99.1 for Joint Filing Agreement

FAQ

How many FT Vest U.S. Equity Moderate Buffer ETF shares do First Trust entities own?

They report 1,156,814 shares, representing 14.19 % of the fund.

Do the reporting persons have voting control over the ETF shares?

They have shared voting power over 1,104,248 shares and no sole voting power; trustees vote the units.

Why was this Schedule 13G/A filed?

Ownership exceeded the 5 % threshold, requiring disclosure; this amendment updates holdings as of 30 Jun 2025.

Are the First Trust entities seeking control of the ETF?

No. The filing states the shares were acquired in the ordinary course with no intent to influence control.

What types of firms are the filers classified as?

First Trust Portfolios L.P. – Broker-Dealer; First Trust Advisors L.P. – Investment Adviser; The Charger Corporation – Holding Company.
First Trust Smith Unconstrained Pl BdETF

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