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First Trust Specialty Finance & Financial Opportunities Fund  as of 10/21/2014

NYSE / FGB Asset Class:  Sector Equity Funds 1 YR Lipper Avg:  8.52%

Growth of $10K

Avg Annual Total Return %
  10 YR 5 YR 1 YR YTD
Market Return -- 18.04% 8.85% 10.36%
Lipper Pct. Rank -- 42 40 40
NAV Return -- 14.77% 0.42% -2.52%
Lipper Pct. Rank -- 50 62 77
Premium/Discount History

10 YR Avg 5 YR Avg YTD Avg
-- -2.972% -2.640%

NAV $7.74 Market Price $8.14
Net Change $0.07 Market Change $0.09
Premium/Discount 5.17%
1 YR NAV Return 0.416%
1 YR NAV Rank 62
12-Mo Yield as of 9/30/2014 Yield Def
Income Only Yield 7.51%
Distribution Yield (Market) 8.17%
Most Recent Income Dividend $0.173
Ex-Div Date 8/22/2014
Most Recent Cap Gain Dividend --
Ex-Div Date --
Dividend Frequency Quarterly
YTD Dividends $0.513
YTD Capital Gains --
Inception Date 5/24/2007
Fund Advisor First Trust Advisors LP
Manager & Tenure Team Managed
Phone 800-621-1675
Total Net Assets (mil) as of 9/30/2014 $109.4
% Leveraged Assets as of 11/30/2013 16.76%
Portfolio Turnover 13.00%
Mgmt Fees 1.310%
Expense Ratio 1.730%
Fund Objective
The Fund seeks a high level of current income. The Fund seeks attractive total return as a secondary objective. Under normal market conditions, the Fund will invest at least 80% of its assets in a portfolio of securities of specialty finance and other financial companies.
Top Holdings (as of 5/31/2014)
Ares Capital Corp ORD 11.01%
Golub Capital BDC Inc ORD 7.63%
PennantPark Investment Corp ORD 6.36%
Hercules Technology Growth Capital Inc ORD 6.18%
TCP Capital Corp ORD 5.98%
THL Credit Inc ORD 5.94%
Medley Capital Corp ORD 5.92%
New Mountain Finance Corp ORD 5.75%
CYS Investments Inc 5.64%
Solar Capital Ltd ORD 5.31%
Top Sectors (as of 5/31/2014)
Financials 115.38%
Non Classified Equity 6.05%

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