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First Trust Exchange-Traded Fund, et al. · 485BXT · On 11/22/06

Filed On 11/22/06, 1:27pm ET   ·   Accession Number 875626-6-2288   ·   SEC Files 811-21774, 333-125751

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  As Of                Filer                Filing    For/On/As Docs:Size              Issuer               Agent

11/22/06  First Trust Exchange-Traded Fund  485BXT                 1:34K                                    Nike Securities LP
          First Trust Exchange-Traded Fund

Post-Effective Amendment to Designate a New Effective Date
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 485BXT      Request to Delay Effectiveness                        20     75K 


Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
2Item 23. Exhibits
7Item 24. Persons Controlled by or Under Common Control With Registrant
"Item 25. Indemnification
9Item 26. Business and Other Connections of the Investment Adviser
11Item 27. Principal Underwriter
19Item 28. Location of Accounts and Records
"Item 29. Management Services
"Item 30. Undertakings
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As filed with the Securities and Exchange Commission on or about November 22, 2006 ================================================================================ 1933 Act Registration No. 333-125751 1940 Act Registration No. 811-21774 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. __ [ ] Post-Effective Amendment No. 25 [X] and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [ ] Amendment No. 25 [X] FIRST TRUST EXCHANGE-TRADED FUND (Exact name of registrant as specified in charter) 1001 Warrenville Road, Suite 300 Lisle, Illinois 60532 (Address of Principal Executive Offices) (Zip Code) REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE: (630) 241-4141 W. Scott Jardine, Esq., Secretary First Trust Exchange-Traded Fund First Trust Advisors L.P. 1001 Warrenville Road, Suite 300 Lisle, Illinois 60532 (Name and Address of Agent for Service) Copy to: Eric F. Fess, Esq. Chapman and Cutler LLP 111 West Monroe Street Chicago, Illinois 60603 It is proposed that this filing will become effective (check appropriate box): [ ] immediately upon filing pursuant to paragraph (b) [X] on December 27, 2006 pursuant to paragraph (b) [ ] 60 days after filing pursuant to paragraph (a)(1) [ ] on (date) pursuant to paragraph (a)(1) [ ] 75 days after filing pursuant to paragraph (a)(2) [ ] on (date) pursuant to paragraph (a)(2) of Rule 485 If appropriate, check the following box: [ ] this post-effective amendment designates a new effective date for a previously filed post-effective amendment.
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The sole purpose of this filing is to delay the effectiveness of Registrant's Post-Effective Amendment No. 14 to its Registration Statement until December 27, 2006. Parts A and B of Registrant's Post-Effective Amendment No. 14 under the Securities Act of 1933 and Amendment No. 14 under the Investment Company Act of 1940, filed on June 21, 2006, are incorporated by reference herein. FIRST TRUST EXCHANGE-TRADED FUND PART C - OTHER INFORMATION ITEM 23. EXHIBITS EXHIBIT NO. DESCRIPTION (a) Declaration of Trust of Registrant. (1) (b) By-Laws of the Registrant. (2) (c)(i) Establishment and Designation of Series dated June 10, 2005. (1) (ii) Amended and Restated Establishment and Designation of Series dated January 23, 2006. (3) (iii) Amended and Restated Establishment and Designation of Series dated March 13, 2006. (7) (iv) Amended and Restated Establishment and Designation of Series dated July 26, 2006. (14) (d)(i) Investment Management Agreement dated September 24, 2005, as amended. (3) (ii) Excess Expense Agreement, as amended. (3) (iii) Amendment to Schedule A of the Investment Management Agreement. (6) (iv) Amendment to Appendix I of the Excess Expense Agreement. (6) (v) Amendment to Schedule A of the Investment Management Agreement. (7) (vi) Amendment to Appendix I of the Excess Expense Agreement. (7) (vii) Amendment to Schedule A of the Investment Management Agreement. (10) (viii) Amendment to Appendix I of the Excess Expense Agreement. (10) (ix) Amendment to Schedule A of the Investment Management Agreement. (11)
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(x) Amendment to Appendix I of the Excess Expense Agreement. (11) (xi) Amendment to Schedule A of the Investment Management Agreement. (14) (e)(i) Distribution Agreement dated September 24, 2005, as amended. (3) (ii) Amendment to Exhibit A of the Distribution Agreement. (6) (iii) Amendment to Exhibit A of the Distribution Agreement. (7) (iv) Amendment to Exhibit A of the Distribution Agreement. (10) (v) Amendment to Exhibit A of the Distribution Agreement. (11) (vi) Amendment to Exhibit A of the Distribution Agreement. (14) (f) Not Applicable. (g)(i) Custody Agreement between the Registrant and The Bank of New York. (2) (ii) Amendment to Schedule II of the Custody Agreement. (3) (iii) Amendment to Schedule II of the Custody Agreement. (6) (iv) Amendment to Schedule II of the Custody Agreement. (7) (v) Amendment to Schedule II of the Custody Agreement. (10) (vi) Amendment to Schedule II of the Custody Agreement. (11) (vii) Amendment to Schedule II of the Custody Agreement. (14) (h)(i) Transfer Agency Agreement between the Registrant and The Bank of New York. (2) (ii) Administration and Accounting Agreement between the Registrant and The Bank of New York. (2) (iii) Subscription Agreement. (2) (iv) Participant Agreement. (2) (v) Amendment to Exhibit A of the Transfer Agency Agreement. (3) (vi) Amendment to Exhibit A of the Administration and Accounting Agreement. (3)
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(vii) Amendment to Schedule I of the Participant Agreement. (3) (viii) Sublicense Agreement by and among the First Trust Morningstar(R) Dividend Leaders(SM) Index Fund, Morningstar, Inc. and First Trust Advisors L.P. dated March 14, 2006. (3) (ix) Amendment to Exhibit A of the Transfer Agency Agreement. (6) (x) Amendment to Exhibit A of the Administration and Accounting Agreement. (6) (xi) Amendment to Schedule I of the Participant Agreement. (6) (xii) Sublicense Agreement by and among the First Trust IPOX-100 Index Fund, IPOX Schuster LLC and First Trust Advisors L.P. dated April 5, 2006. (6) (xiii) Amendment to Exhibit A of the Transfer Agency Agreement. (7) (xiv) Amendment to Exhibit A of the Administration and Accounting Agreement. (7) (xv) Amendment to Schedule I of the Participant Agreement. (7) (xvi) Sublicense Agreement by and between the First Trust NASDAQ-100 Equal Weighted Index(SM) Fund and First Trust Advisors L.P. dated April 24, 2006. (7) (xvii) Sublicense Agreement by and between the First Trust NASDAQ-100-Technology Sector Index(SM) Fund and First Trust Advisors L.P. dated April 24, 2006. (7) (xviii) Amendment to Exhibit A of the Transfer Agency Agreement. (10) (xix) Amendment to Exhibit A of the Administration and Accounting Agreement. (10) (xx) Amendment to Schedule I of the Participant Agreement. (10) (xxi) Sublicense Agreement by and among the First Trust Amex(R) Biotechnology Index Fund, the American Stock Exchange LLC and First Trust Advisors L.P. dated June 22, 2006. (10) (xxii) Sublicense Agreement by and among First Trust Dow Jones Internet Index(SM) Fund, Dow Jones & Company, Inc. and First Trust Advisors L.P. dated June 22, 2006. (10) (xxiii) Amendment to Exhibit A of the Transfer Agency Agreement. (11) (xxiv) Amendment to Exhibit A of the Administration and Accounting Agreement. (11) (xxv) Form of Participant Agreement with Amendment to Schedule I attached thereto. (11)
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(xxvi) Sublicense Agreement by and among First Trust DB Strategic Value Index Fund, Deutsche Bank AG, London Branch and First Trust Advisors L.P. dated July 11, 2006. (11) (xxvii) Amendment to Exhibit A of the Transfer Agency Agreement. (14) (xxviii) Amendment to Exhibit A of the Administration and Accounting Agreement. (14) (xxix) Amendment to Schedule I of the Participant Agreement. (14) (xxx) Sublicense Agreement by and between First Trust Value Line(R) Equity Allocation Index Fund and First Trust Advisors L.P. dated October 4, 2006. (14) (xxxi) Sublicense Agreement by and between First Trust Value Line(R) Dividend Index Fund and First Trust Advisors L.P. dated October 4, 2006. (14) (i)(i) Opinion and Consent of Chapman and Cutler LLP dated September 26, 2005. (3) (ii) Opinion and Consent of Bingham McCutchen LLP dated September 26, 2005. (3) (iii) Opinion and Consent of Chapman and Cutler LLP dated March 15, 2006. (3) (iv) Opinion and Consent of Bingham McCutchen LLP dated March 15, 2006. (3) (v) Opinion and Consent of Chapman and Cutler LLP dated April 13, 2006. (6) (vi) Opinion and Consent of Bingham McCutchen LLP dated April 13, 2006. (6) (vii) Opinion and Consent of Chapman and Cutler LLP dated April 25, 2006. (7) (viii) Opinion and Consent of Bingham McCutchen LLP dated April 25, 2006. (7) (ix) Opinion and Consent of Chapman and Cutler LLP dated April 28, 2006. (8) (x) Opinion and Consent of Deloitte & Touche LLP dated April 27, 2006. (8) (xi) Opinion and Consent of Chapman and Cutler LLP dated June 23, 2006. (10) (xii) Opinion and Consent of Bingham McCutchen LLP dated June 23, 2006. (10) (xiii) Opinion and Consent of Chapman and Cutler LLP dated July 11, 2006. (11) (xiv) Opinion and Consent of Bingham McCutchen LLP dated July 11, 2006. (11) (xv) Opinion and Consent of Chapman and Cutler LLP dated October 13, 2006. (14)
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(xvi) Opinion and Consent of Bingham McCutchen LLP dated October 13, 2006. (14) (xvii) Opinion and Consent of Bingham McCutchen LLP dated October 13, 2006. (14) (j) Not Applicable. (k) Not Applicable. (l) Not Applicable. (m)(i) 12b-1 Service Plan. (2) (ii) Amendment to Exhibit A of the 12b-1 Service Plan. (3) (iii) Amendment to Exhibit A of the 12b-1 Service Plan. (6) (iv) Amendment to Exhibit A of the 12b-1 Service Plan. (7) (v) Amendment to Exhibit A of the 12b-1 Service Plan. (10) (vi) Amendment to Exhibit A of the 12b-1 Service Plan. (11) (vii) Amendment to Exhibit A of the 12b-1 Service Plan. (14) (n) Not Applicable. (o) Not Applicable. (p)(i) Code of Ethics of First Trust Advisors L.P. (2) (ii) Code of Ethics of First Trust Portfolios L.P. (2) (iii) Code of Ethics of First Trust Exchange-Traded Fund. (2) (iv) First Trust Advisors L.P. Investment Adviser Code of Ethics, amended on May 31, 2006. (9) (v) First Trust Portfolios L.P. Code of Ethics, amended on May 31, 2006. (9) (vi) First Trust Funds Code of Ethics, amended on May 31, 2006. (9) (q) Powers of Attorney for Messrs. Bowen, Erickson, Kadlec, Keith and Nielson authorizing, among others, James A. Bowen, W. Scott Jardine and Eric F. Fess to execute the Registration Statement. (9) ------------------
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(1) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on June 13, 2005. (2) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on September 26, 2005. (3) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on March 15, 2006. (4) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on March 24, 2006. (5) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on April 17, 2006. (6) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on April 13, 2006. (7) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on April 25, 2006. (8) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on April 28, 2006. (9) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on June 21, 2006. (10) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on June 23, 2006. (11) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on July 11, 2006. (12) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on August 4, 2006. (13) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on August 10, 2006. (14) Incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on October 13, 2006. ITEM 24. PERSONS CONTROLLED BY OR UNDER COMMON CONTROL WITH REGISTRANT Not applicable. ITEM 25. INDEMNIFICATION Section 5.3 of the Registrant's Declaration of Trust provides as follows: Section 5.3. Mandatory Indemnification. (a) Subject to the exceptions and limitations contained in paragraph (b) below: (i) every person who is or has been a Trustee or officer of the Trust (hereinafter referred to as a "Covered Person") shall be indemnified by the Trust against all liability and against all expenses reasonably incurred or paid by him or her in connection with any claim, action, suit or proceeding in which that individual becomes involved as
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a party or otherwise by virtue of being or having been a Trustee or officer and against amounts paid or incurred by that individual in the settlement thereof; (ii) the words "claim," "action," "suit" or "proceeding" shall apply to all claims, actions, suits or proceedings (civil, criminal, administrative or other, including appeals), actual or threatened; and the words "liability" and "expenses" shall include, without limitation, attorneys' fees, costs, judgments, amounts paid in settlement or compromise, fines, penalties and other liabilities. (b) No indemnification shall be provided hereunder to a Covered Person: (i) against any liability to the Trust or the Shareholders by reason of a final adjudication by the court or other body before which the proceeding was brought that the Covered Person engaged in willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of that individual's office; (ii) with respect to any matter as to which the Covered Person shall have been finally adjudicated not to have acted in good faith in the reasonable belief that that individual's action was in the best interest of the Trust; or (iii) in the event of a settlement involving a payment by a Trustee or officer or other disposition not involving a final adjudication as provided in paragraph (b)(i) or (b)(ii) above resulting in a payment by a Covered Person, unless there has been either a determination that such Covered Person did not engage in willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of that individual's office by the court or other body approving the settlement or other disposition or by a reasonable determination, based upon a review of readily available facts (as opposed to a full trial-type inquiry) that that individual did not engage in such conduct: (A) by vote of a majority of the Disinterested Trustees (as defined below) acting on the matter (provided that a majority of the Disinterested Trustees then in office act on the matter); or (B) by written opinion of (i) the then-current legal counsel to the Trustees who are not Interested Persons of the Trust or (ii) other legal counsel chosen by a majority of the Disinterested Trustees (or if there are no Disinterested Trustees with respect to the matter in question, by a majority of the Trustees who are not Interested Persons of the Trust) and determined by them in their reasonable judgment to be independent. (c) The rights of indemnification herein provided may be insured against by policies maintained by the Trust, shall be severable, shall not affect any other rights to which any Covered Person may now or hereafter be entitled, shall continue as to a person who has ceased to be a Covered Person and shall inure to the benefit of the heirs, executors and administrators of such person. Nothing contained herein shall limit the Trust from entering into
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other insurance arrangements or affect any rights to indemnification to which Trust personnel, including Covered Persons, may be entitled by contract or otherwise under law. (d) Expenses of preparation and presentation of a defense to any claim, action, suit, or proceeding of the character described in paragraph (a) of this Section 5.3 shall be advanced by the Trust prior to final disposition thereof upon receipt of an undertaking by or on behalf of the Covered Person to repay such amount if it is ultimately determined that the Covered Person is not entitled to indemnification under this Section 5.3, provided that either: (i) such undertaking is secured by a surety bond or some other appropriate security or the Trust shall be insured against losses arising out of any such advances; or (ii) a majority of the Disinterested Trustees acting on the matter (provided that a majority of the Disinterested Trustees then in office act on the matter) or legal counsel meeting the requirement in Section 5.3(b)(iii)(B) above in a written opinion, shall determine, based upon a review of readily available facts (as opposed to a full trial-type inquiry), that there is reason to believe that the Covered Person ultimately will be found entitled to indemnification. As used in this Section 5.3 a "Disinterested Trustee" is one (i) who is not an "Interested Person" of the Trust (including anyone who has been exempted from being an "Interested Person" by any rule, regulation or order of the Commission), and (ii) against whom none of such actions, suits or other proceedings or another action, suit or other proceeding on the same or similar grounds is then or had been pending. (e) With respect to any such determination or opinion referred to in clause (b)(iii) above or clause (d)(ii) above, a rebuttable presumption shall be afforded that the Covered Person has not engaged in willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of such Covered Person's office in accordance with pronouncements of the Commission. ITEM 26. BUSINESS AND OTHER CONNECTIONS OF THE INVESTMENT ADVISER First Trust Advisors L.P. ("First Trust") serves as investment adviser to the Registrant, serves as adviser or subadviser to 24 mutual funds, ten exchange-traded funds and 14 closed-end funds and is the portfolio supervisor of certain unit investment trusts. Its principal address is 1001 Warrenville Road, Suite 300, Lisle, Illinois 60532. The principal business of certain of First Trust's principal executive officers involves various activities in connection with the family of unit investment trusts sponsored by First Trust Portfolios L.P. ("FTP"). FTP's principal address is 1001 Warrenville Road, Suite 300, Lisle, Illinois 60532. Information as to other business, profession, vocation or employment during the past two years of the officers and directors of First Trust is as follows:
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[Enlarge/Download Table] NAME AND POSITION WITH FIRST TRUST EMPLOYMENT DURING PAST TWO YEARS James A. Bowen, Managing Director/President Managing Director/President, FTP; Chairman of the Board of Directors, BondWave LLC and Stonebridge Advisors LLC Ronald D. McAlister, Managing Director Managing Director, FTP Mark R. Bradley, Chief Financial Officer and Managing Chief Financial Officer and Managing Director, FTP; Chief Director Financial Officer, BondWave LLC and Stonebridge Advisors LLC Robert W. Bredemeier, Managing Director Managing Director, FTP Robert F. Carey, Chief Investment Officer and Senior Vice Senior Vice President, FTP President W. Scott Jardine, General Counsel General Counsel, FTP; Secretary of BondWave LLC and Stonebridge Advisors LLC Kristi A. Maher, Assistant General Counsel Assistant General Counsel, FTP Michelle Quintos, Assistant General Counsel Assistant General Counsel, FTP; Associate, 2002 to December 2005, Jones Day R. Scott Hall, Managing Director Managing Director, FTP Andrew S. Roggensack, Managing Director Managing Director, FTP Christopher L. Dixon, Senior Vice President Senior Vice President, FTP Jane Doyle, Senior Vice President Senior Vice President, FTP Jon C. Erickson, Senior Vice President Senior Vice President, FTP Kenneth N. Hass, Senior Vice President Senior Vice President, FTP Jason T. Henry, Senior Vice President Senior Vice President, FTP Daniel J. Lindquist, Senior Vice President Senior Vice President, FTP David G. McGarel, Senior Vice President Senior Vice President, FTP Mitchell Mohr, Senior Vice President Senior Vice President, FTP Joseph McDermott, Chief Compliance Officer Senior Vice President, FTP since 2006, CCO Driehaus Capital Management LLC, Driehaus Securities LLC and Driehaus Mutual Funds, January 2004 to April 2006
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NAME AND POSITION WITH FIRST TRUST EMPLOYMENT DURING PAST TWO YEARS Robert M. Porcellino, Senior Vice President Senior Vice President, FTP Roger F. Testin, Senior Vice President Senior Vice President, FTP James M. Dykas, Vice President Vice President, FTP since January 2005; Executive Director, Van Kampen Asset Management and Morgan Stanley Investment Management, 1999 to January 2005 James P. Koeneman, Vice President Vice President, FTP Alan M. Rooney, Vice President Senior Vice President, FTP Ronda L. Saeli, Vice President Vice President, FTP Kirk Sims, Vice President Vice President, FTP Walter E. Stubbings, Jr., Vice President Vice President, FTP Richard S. Swiatek, Vice President Vice President, FTP Michael Zinsky, Vice President Vice President, FTP since April 2005; Senior Tax Manager, Blackman Kallick, September 2004 through April 2005 Brad Bradley, Assistant Vice President Assistant Vice President, FTP Kelley A. Christensen, Assistant Vice President Assistant Vice President, FTP Katie D. Collins, Assistant Vice President Assistant Vice President, FTP Lynae Peays, Assistant Vice President Assistant Vice President, FTP Omar Sepulveda, Assistant Vice President Assistant Vice President, FTP John H. Sherren, Assistant Vice President Assistant Vice President, FTP Michael S. Stange, Assistant Vice President Assistant Vice President, FTP
ITEM 27. PRINCIPAL UNDERWRITER (a) FTP serves as principal underwriter of the shares of the Registrant and the First Defined Portfolio Fund LLC. FTP serves as principal underwriter and depositor of the following investment companies registered as unit investment trusts: the First Trust Combined Series, FT Series (formerly known as the First Trust Special Situations Trust), the First Trust Insured Corporate Trust, the First Trust of Insured Municipal Bonds, and the First Trust GNMA. The name of each director, officer and partner of FTP is provided below.
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(b) Positions and Offices with Underwriter. [Enlarge/Download Table] NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND The Charger Corporation General Partner None Grace Partners of DuPage L.P. Limited Partner None James A. Bowen Managing Director/President President, Chairman of the Board, Trustee, Chief Executive Officer Mark R. Bradley Chief Financial Officer; Managing Treasurer, Chief Financial Officer Director and Chief Accounting Officer Robert W. Bredemeier Managing Director None Frank L. Fichera Managing Director None Russell J. Graham Managing Director None R. Scott Hall Managing Director None W. Scott Jardine General Counsel Chief Compliance Officer and Secretary Kristi A. Maher Assistant General Counsel Assistant Secretary Michelle Quintos Assistant General Counsel None Ronald D. McAlister Managing Director None Richard A. Olson Managing Director None Andrew S. Roggensack Managing Director None Elizabeth H. Bull Senior Vice President None Robert F. Carey Senior Vice President Vice President Patricia L. Costello Senior Vice President None Christopher L. Dixon Senior Vice President None Jane Doyle Senior Vice President None Jon C. Erickson Senior Vice President None Kenneth N. Hass Senior Vice President None
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NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND Thomas V. Hendricks Senior Vice President None Jason T. Henry Senior Vice President None Christian D. Jeppesen Senior Vice President None
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NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND Christopher A. Lagioia Senior Vice President None Daniel J. Lindquist Senior Vice President Vice President Joseph McDermott Senior Vice President None David G. McGarel Senior Vice President None Mark R. McHenney Senior Vice President None Mitchell Mohr Senior Vice President None Paul E. Nelson Senior Vice President None Steve R. Nelson Senior Vice President None Robert M. Porcellino Senior Vice President None Steven R. Ritter Senior Vice President None Alan Rooney Senior Vice President None Francine Russell Senior Vice President None Brad A. Shaffer Senior Vice President None Brian Sheehan Senior Vice President None James J. Simpson Senior Vice President None Andrew C. Subramanian Senior Vice President None Mark P. Sullivan Senior Vice President None Roger F. Testin Senior Vice President Vice President Chadwick K. Thorson Senior Vice President None Gregory E. Wearsch Senior Vice President None Patrick Woelfel Senior Vice President None Dan Affetto Vice President None
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NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND Lance Allen Vice President None Eric Anderson Vice President None Michael Bean Vice President None Rob Biddinger Vice President None Mike Britt Vice President None Nathan S. Cassel Vice President None Robert E. Christensen Vice President None Will Cobb Vice President None Joshua Crosley Vice President None Kit Dailey Vice President None Michael Darr Vice President None Albert K. Davis Vice President None Daren J. Davis Vice President None Michael Dawson Vice President None Sean Degnan Vice President None Nim DeNardo Vice President None Robert T. Doak Vice President None Joel D. Donley Vice President None James M. Dykas Vice President Assistant Treasurer Brett Egner Vice President None Mike Flaherty Vice President None Wendy Flaherty Vice President None Edward Foley Vice President None Don Fuller Vice President None Terry Geary Vice President None
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NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND John Gillis Vice President None Patrick Good Vice President None Matt D. Graham Vice President None Matt Griffin Vice President None William M. Hannold Vice President None Mary Jane Hansen Vice President None Vance Hicks Vice President None Rick Johnson Vice President None Tom Knickerbocker Vice President None James P. Koeneman Vice President None Thomas E. Kotcher Vice President None Daniel Lavin Vice President None Michael P. Leyden Vice President None Keith L. Litavsky Vice President None John J. Majcher Vice President None Todd Marsell Vice President None Stephanie L. Martin Vice President None Marty McFadden Vice President None Sean Moriarty Vice President None John O'Sullivan Vice President None David Pagano Vice President None Brian K. Penney Vice President None Blair R. Peterson Vice President None Jason Peterson Vice President None Tom Powell Vice President None
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NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND Marisa Prestigiacomo Vice President None Craig Prichard Vice President None David A. Rieger Vice President None Michael Rogers Vice President None Paul Rowe Vice President None James Rowlette Vice President None Ronda L. Saeli Vice President None Jeffrey M. Samuel Vice President None Peter H. Sandford Vice President None Timothy Schival Vice President None Stacy Shearer Vice President None Kirk Sims Vice President None Edward J. Sistowicz Vice President None Jonathan L. Steiner Vice President None Eric Stoiber Vice President None Walter E. Stubbings, Jr. Vice President None Richard S. Swiatek Vice President None Todd Tabachka Vice President None Brian Taylor Vice President None John Taylor Vice President None Kerry Tazakine Vice President None Timothy Trudo Vice President None Stanley Ueland Vice President None Bryan Ulmer Vice President None Barbara E. Vinson Vice President None
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NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND Dan Waldron Vice President None Christopher Walsh Vice President None Jeff Westergaard Vice President None Lewin M. Williams Vice President None Michael Zinsky Vice President None Jeffrey S. Barnum Assistant Vice President None Owen Birts III Assistant Vice President None Toby A. Bohl Assistant Vice President None Brad Bradley Assistant Vice President None Kelley A. Christensen Assistant Vice President None Katie D. Collins Assistant Vice President None Michael DeBella Assistant Vice President None Debbie Del Giudice Assistant Vice President None Chris Fallow Assistant Vice President None Ann Marie Giudice Assistant Vice President None Anita K. Henderson Assistant Vice President None James V. Huber Assistant Vice President None Daniel C. Keller Assistant Vice President None Robert J. Madeja Assistant Vice President None David M. McCammond-Watts Assistant Vice President None Michelle Parker Assistant Vice President None Lynae Peays Assistant Vice President None Debra K. Scherbring Assistant Vice President None Steve Schwarting Assistant Vice President None Omar Sepulveda Assistant Vice President None
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NAME AND PRINCIPAL POSITIONS AND OFFICES POSITIONS AND BUSINESS ADDRESS* WITH UNDERWRITER OFFICES WITH FUND John H. Sherren Assistant Vice President None Michael S. Stange Assistant Vice President None Lee Sussman Assistant Vice President None Christopher J. Thill Assistant Vice President None Dave Tweeten Assistant Vice President None Thomas G. Wisnowski Assistant Vice President None
* All addresses are 1001 Warrenville Road, Lisle, IL 60532 unless otherwise noted. (c) Not Applicable. ITEM 28. LOCATION OF ACCOUNTS AND RECORDS First Trust Advisors L.P. ("First Trust"), 1001 Warrenville Road, Suite 300, Lisle, Illinois 60532, maintains the Registrant's organizational documents, minutes of meetings, contracts of the Registrant and all advisory material of the investment adviser. The Bank of New York ("BONY"), 101 Barclay Street, New York, New York 10286, maintains all general and subsidiary ledgers, journals, trial balances, records of all portfolio purchases and sales, and all other requirement records not maintained by First Trust. BONY also maintains all the required records in its capacity as transfer, accounting, dividend payment and interest holder service agent for the Registrant. ITEM 29. MANAGEMENT SERVICES Not Applicable. ITEM 30. UNDERTAKINGS Not Applicable.
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SIGNATURES Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this registration statement under Rule 485(b) under the Securities Act of 1933 and has duly caused this Registration Statement on Form N-1A to be signed on its behalf by the undersigned, thereunto duly authorized in the City of Lisle, in the State of Illinois, on the 22nd day of November, 2006. FIRST TRUST EXCHANGE-TRADED FUND By: /s/ James A. Bowen ------------------------------ James A. Bowen, President Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below by the following persons in the capacities and on the date indicated: SIGNATURE DATE /s/ Mark R. Bradley Treasurer, Controller and Chief -------------------- Financial and Accounting Officer November 22, 2006 Mark R. Bradley /s/ James A. Bowen President, Chief Executive --------------------- Officer, Chairman and Trustee November 22, 2006 James A. Bowen */s/ Richard E. Erickson Trustee ) ------------------------ ) Richard E. Erickson ) ) */s/ Thomas R. Kadlec Trustee ) ------------------------ ) By: /s/ James A. Bowen Thomas R. Kadlec ) --------------------- ) James A. Bowen */s/ Robert F. Keith Trustee ) Attorney-In-Fact ------------------------ ) November 22, 2006 Robert F. Keith ) */s/ Niel B. Nielson Trustee ) ------------------------ ) Niel B. Nielson ) ) * Original powers of attorney authorizing James A. Bowen, W. Scott Jardine and Eric F. Fess to execute Registrant's Registration Statement, and Amendments thereto, for each of the trustees of the Registrant on whose behalf this Post-Effective Amendment No. 25 is filed, were previously executed and are incorporated by reference to the Registrant's Registration Statement on Form N-1A (File No. 333-125751) filed on June 21, 2006.

Dates Referenced Herein   and   Documents Incorporated By Reference

Referenced-On Page
This 485BXT Filing   Date First   Last      Other Filings
6/10/052
6/13/057N-1A, N-8A
9/24/0523
9/26/0557485APOS
1/23/062
3/13/062
3/14/064
3/15/0657485APOS, 485BPOS
3/24/06740-17G/A, 485APOS
4/5/0648-A12B
4/13/0657485BPOS
4/17/067497
4/24/064
4/25/0657485BPOS
4/27/065
4/28/0657485BPOS
5/31/066
6/21/06220485APOS
6/22/064
6/23/0657485BPOS
7/11/0657485BPOS
7/26/062
8/4/067485APOS
8/10/067485APOS
10/4/065
10/13/0657485APOS, N-14/A
Filed On / Filed As Of11/22/06120425, 485APOS
12/27/0612485BXT
 
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