First Trust Small Cap Growth AlphaDEX Fund

1. 01

   Ahead of SPY over 1 year

   1 month: −0.6% (SPY −1.6%). 3 months: −6.9% (SPY −0.4%). 1 year: +24.4% (SPY +13.6%). Price change to the 4 Nov 2026 close; dividends excluded.

   Daily closes, split-adjusted: FYC, SPY · as of 4 Nov 2026

2. 02

   Below its 50-day average, above its 200-day

   The 4 Nov 2026 close of $115.28 was 0.7% below its 50-day average ($116.08) and 2.9% above its 200-day average ($112.07). It has closed above the 200-day for 12 sessions, since 20 Oct 2026. The 50-day average crossed above the 200-day on 14 Jul 2025, 331 sessions ago.

   Daily closes, split-adjusted; 50- and 200-session simple averages · as of 4 Nov 2026

3. 03

   70% of the way up its 52-week range

   Closed at $115.28 on 4 Nov 2026: 9.6% below the 52-week high of $127.57 (1 Jul 2026) and 32.7% above the low of $86.85 (21 Nov 2025).

   Daily price bars, split-adjusted · as of 4 Nov 2026

4. 04

   Short interest at 0.1% of shares outstanding

   7.9K shares were sold short at the 15 Oct 2026 settlement, 0.1% of the 11.7M shares outstanding; covering them would take 1.0 days of average volume. Short interest is reported twice a month, on a lag.

   Exchange short-interest filing · as of 15 Oct 2026

At the 4 Nov 2026 close