FPE / First Trust Exchange-Traded Fund III - First Trust Preferred Securities and Income ETF - Документы SEC, Годовой отчет, Доверенное заявление

As filed with the Securities and Exchange Commission on July 11, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

As filed with the Securities and Exchange Commission on July 11, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

As filed with the Securities and Exchange Commission on May 13, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

As filed with the Securities and Exchange Commission on May 13, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

FEMB / First Trust Exchange Traded Fund III - First Trust Emerging Markets Local Currency Bond ETF / FIRST TRUST PORTFOLIOS LP - JOINT FILING AGREEMENT Exhibit 99.1 - Joint Filing Agreement

Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete

FEMB / First Trust Exchange Traded Fund III - First Trust Emerging Markets Local Currency Bond ETF / FIRST TRUST PORTFOLIOS LP - JOINT FILING AGREEMENT Exhibit 99.1 - Joint Filing Agreement

Exhibit 99.1 Exhibit 99.1 - Joint Filing Agreement The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete

RFEM / First Trust Exchange-Traded Fund III - First Trust RiverFront Dynamic Emerging Markets ETF / BAIRD ROBERT W & CO INC /WI/ - AMENDED SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP 12-31-23 Passive Investment

SC 13G/A 1 rwbciftrdemetf-sc13ga.htm AMENDED SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP 12-31-23 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust RiverFront Dynamic Emerging Markets ETF, a series of the First Trust Exchange-Traded Fund III (Name of Issuer) Shares of Benef

April 10, 2023

Chapman and Cutler LLP 320 South Canal Street, 27th Floor Chicago, Illinois 60606 T 312.

RFEM / First Trust RiverFront Dynamic Emerging Markets ETF / BAIRD ROBERT W & CO INC /WI/ - SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP 12-31-22 Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* First Trust RiverFront Dynamic Emerging Markets ETF, a series of the First Trust Exchange-Traded Fund III (Name of Issuer) Shares of Beneficial Interest (Title of Class of Securities) 33739P707 (CUSIP Number) December 31, 2022 (Date of Event Which Requires

First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95.

First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited)

First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited)

First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95.

First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

First Trust Merger Arbitrage ETF (MARB)

First Trust Merger Arbitrage ETF (MARB) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 82.

First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95.

First Trust Exchange-Traded Fund III October 31, 2021 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

First Trust Municipal High Income ETF (FMHI)

First Trust Municipal High Income ETF (FMHI) Portfolio of Investments October 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

As filed with the Securities and Exchange Commission on December 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment

As filed with the Securities and Exchange Commission on December 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

As filed with the Securities and Exchange Commission on November 18, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy State

PRE 14A 1 etf3pre14a.htm PRELIMINARY PROXY STATEMENT As filed with the Securities and Exchange Commission on November 18, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by t

As filed with the Securities and Exchange Commission on October 25, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment

As filed with the Securities and Exchange Commission on October 25, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

As filed with the Securities and Exchange Commission on September 30, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Stat

As filed with the Securities and Exchange Commission on September 30, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

First Trust Long/Short Equity ETF (FTLS)

First Trust Long/Short Equity ETF (FTLS) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 90.

First Trust Exchange-Traded Fund III July 31, 2021 (Unaudited)

NPORT-EX 2 edgar.htm RIVERFRONT 7-31-21 N-PORT PART F First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 95.8% Australia – 22.3% 6,947 ALS Ltd. $64,949 2,124 ARB Corp., Ltd. 72,791 3,355 Aristocrat Leisure Ltd. 102,521 1,274 ASX Ltd. 71,886 19,877 Aurizon Holdings Ltd. 56,305 6,601 BHP Group Ltd. 25

First Trust Exchange-Traded Fund III July 31, 2021 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 95.

First Trust Preferred Securities and Income ETF (FPE)

First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 25.

First Trust Exchange-Traded Fund III July 31, 2021 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a)?? 95.

First Trust Institutional Preferred Securities and Income ETF (FPEI)

First Trust Institutional Preferred Securities and Income ETF (FPEI) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Stated Rate Stated Maturity Value $100 PAR PREFERRED SECURITIES – 0.

First Trust Emerging Markets Local Currency Bond ETF (FEMB)

First Trust Emerging Markets Local Currency Bond ETF (FEMB) Portfolio of Investments July 31, 2021 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES – 82.

First Trust Managed Municipal ETF (FMB)

First Trust Managed Municipal ETF (FMB) Portfolio of Investments July 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98.

First Trust Exchange-Traded Fund III July 31, 2021 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a)?? 95.

As filed with the Securities and Exchange Commission on September 16, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 19

As filed with the Securities and Exchange Commission on September 16, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

July 29, 2021

CORRESP 1 filename1.htm 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com July 29, 2021 VIA EDGAR CORRESPONDENCE Yoon Choo Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund III, on behalf of First Trust RiverFront Dynamic Developed International ETF, a ser

(a) Consent of Independent Registered Public Accounting Firm for First Trust RiverFront Dynamic Asia Pacific ETF, is filed herewith

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of First Trust RiverFront Dynamic Asia Pacific ETF (?RFAP?), a series of First Trust Exchange-Traded Fund III, appearing in the Annual Report on Form N-C

First Trust Exchange-Traded Fund III 120 East Liberty Drive Wheaton, Illinois 60187 July 29, 2021

CORRESP 1 filename1.htm First Trust Exchange-Traded Fund III 120 East Liberty Drive Wheaton, Illinois 60187 July 29, 2021 Via EDGAR Correspondence Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Trust Exchange-Traded Fund III, on behalf of First Trust River Front Dynamic Developed International ETF, a series of the Registrant Registration Statement on Form N-

(b) Consent of Independent Registered Public Accounting Firm for First Trust RiverFront Dynamic Developed International ETF, is filed herewith

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of First Trust RiverFront Dynamic Developed International ETF (?RFDI?), a series of First Trust Exchange-Traded Fund III, appearing in the Annual Report

As filed electronically with the Securities and Exchange Commission on or about July 29, 2021

As filed electronically with the Securities and Exchange Commission on or about July 29, 2021 Registration No.

July 22, 2021

CORRESP 1 filename1.htm 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com July 22, 2021 VIA EDGAR CORRESPONDENCE Yoon Choo Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund III, on behalf of First Trust RiverFront Dynamic Developed International ETF, a ser

FCAL / First Trust California Municipal High Income ETF / Towerpoint Wealth, LLC - TOWERPOINT WEALTH, LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 First Trust California Municipal High Income ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33739P863 (CUSIP Number) June 30, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to

First Trust California Municipal High Income ETF (FCAL)

First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments April 30, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98.

First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments April 30, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97.

First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments April 30, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97.

First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95.

First Trust Merger Arbitrage ETF (MARB)

First Trust Merger Arbitrage ETF (MARB) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 47.

First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95.

First Trust Exchange-Traded Fund III April 30, 2021 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2021 (Unaudited) Shares Description Value COMMON STOCKS – 95.

First Trust Municipal High Income ETF (FMHI)

First Trust Municipal High Income ETF (FMHI) Portfolio of Investments April 30, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

- REGISTRATION OF CERTAIN CLASSES OF SECURITIES

Securities and Exchange Commission Washington, D.C. Form 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in its charter) Massachusetts See Exhibit 1 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) 120 East Liberty Dr

(a) Consent of Independent Registered Public Accounting Firm for First Trust RiverFront Dynamic Asia Pacific ETF

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of First Trust RiverFront Dynamic Asia Pacific ETF (?RFAP?), a series of First Trust Exchange-Traded Fund III, appearing in the Annual Report on Form N-C

Powers of Attorney for Messrs. Bowen, Erickson, Kadlec, Keith and Nielson authorizing James A. Bowen, W. Scott Jardine, James M. Dykas, Kristi A. Maher and Eric F. Fess to execute the Registration Statement

First Trust Exchange-Traded Fund III Power of Attorney Know All Men By These Presents, that the undersigned, a trustee of the above-referenced organizations, hereby constitutes and appoints James M.

- INITIAL REGISTRATION STATEMENT

As filed electronically with the Securities and Exchange Commission on or about May 5, 2021 Registration No.

(b) Consent of Independent Registered Public Accounting Firm for First Trust RiverFront Dynamic Developed International ETF

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated December 23, 2020, relating to the financial statements and financial highlights of First Trust RiverFront Dynamic Developed International ETF (?RFDI?), a series of First Trust Exchange-Traded Fund III, appearing in the Annual Report

Opinion and Consent of Chapman and Cutler LLP dated May 5, 2021

1270 Avenue of the Americas 30th Floor New York, New York 10020 T 212-655-6000 May 5, 2021 First Trust Exchange-Traded Fund III, on behalf of First Trust RiverFront Dynamic Asia Pacific ETF c/o First Trust Advisors L.

Opinion and Consent of Morgan, Lewis & Bockius LLP dated May 5, 2021

May 5, 2021 First Trust Exchange-Traded Fund III 120 E. Liberty Street Wheaton, Illinois 60187 Re: First Trust Exchange-Traded Fund III Ladies and Gentlemen: We have acted as special Massachusetts counsel to First Trust Exchange-Traded Fund III (the "Trust") on behalf of its series, First Trust RiverFront Dynamic Developed International ETF (the ?Acquiring Fund?), in connection with the Trust?s Re

April 12, 2021

CORRESP 1 filename1.htm 111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com April 12, 2021 VIA EDGAR CORRESPONDENCE Elena Stojic United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: First Trust Exchange-Traded Fund III (the “Trust”) File Nos. 333-176976; 811-22245 Dear Ms. Stojic: This letter responds to your c

First Trust Institutional Preferred Securities and Income ETF (FPEI)

First Trust Institutional Preferred Securities and Income ETF (FPEI) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Stated Rate Stated Maturity Value $1,000 PAR PREFERRED SECURITIES – 1.

First Trust Exchange-Traded Fund III January 31, 2021 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 96.

First Trust Exchange-Traded Fund III January 31, 2021 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 96.

First Trust Long/Short Equity ETF (FTLS)

First Trust Long/Short Equity ETF (FTLS) Portfolio of Investments January 31, 2021 (Unaudited) Shares/ Units Description Value COMMON STOCKS – 93.

First Trust Managed Municipal ETF (FMB)

First Trust Managed Municipal ETF (FMB) Portfolio of Investments January 31, 2021 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98.

First Trust Emerging Markets Local Currency Bond ETF (FEMB)

First Trust Emerging Markets Local Currency Bond ETF (FEMB) Portfolio of Investments January 31, 2021 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES – 87.

First Trust Preferred Securities and Income ETF (FPE)

First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 25.

First Trust Exchange-Traded Fund III January 31, 2021 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 96.

First Trust Exchange-Traded Fund III January 31, 2021 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 96.

First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 94.

First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97.

First Trust Municipal High Income ETF (FMHI)

First Trust Municipal High Income ETF (FMHI) Portfolio of Investments October 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97.

First Trust Merger Arbitrage ETF (MARB)

First Trust Merger Arbitrage ETF (MARB) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 50.

First Trust California Municipal High Income ETF (FCAL)

First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments October 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98.

First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 94.

First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97.

First Trust Exchange-Traded Fund III October 31, 2020 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 94.

October 14, 2020

111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com October 14, 2020 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: First Trust Exchange-Traded Fund III (Registration Nos. 333-176976 and 811-22245) Ladies and Gentlemen: On behalf of First Trust Exchange-Traded Fund III (the “Registrant”), we are transmitting for electron

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111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com October 9, 2020 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Filings for First Trust Funds listed in Exhibit A attached hereto Ladies and Gentlemen: This letter responds to comments, provided by Ken Ellington and Christina DiAn

First Trust Exchange-Traded Fund III July 31, 2020 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 97.

First Trust Preferred Securities and Income ETF (FPE)

First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 28.

First Trust Institutional Preferred Securities and Income ETF (FPEI)

First Trust Institutional Preferred Securities and Income ETF (FPEI) Portfolio of Investments July 31, 2020 (Unaudited) Par Amount Description Stated Rate Stated Maturity Value CAPITAL PREFERRED SECURITIES – 95.

First Trust Exchange-Traded Fund III July 31, 2020 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 97.

First Trust Exchange-Traded Fund III July 31, 2020 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 97.

First Trust Emerging Markets Local Currency Bond ETF (FEMB)

First Trust Emerging Markets Local Currency Bond ETF (FEMB) Portfolio of Investments July 31, 2020 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES – 87.

First Trust Long/Short Equity ETF (FTLS)

First Trust Long/Short Equity ETF (FTLS) Portfolio of Investments July 31, 2020 (Unaudited) Shares/ Units Description Value COMMON STOCKS – 95.

First Trust Exchange-Traded Fund III July 31, 2020 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments July 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 97.

First Trust Managed Municipal ETF (FMB)

First Trust Managed Municipal ETF (FMB) Portfolio of Investments July 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 98.

First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 97.

First Trust Municipal High Income ETF (FMHI)

First Trust Municipal High Income ETF (FMHI) Portfolio of Investments April 30, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 93.

First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 97.

First Trust California Municipal High Income ETF (FCAL)

First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments April 30, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 93.

First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments April 30, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 94.

First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 97.

First Trust Merger Arbitrage ETF (MARB)

First Trust Merger Arbitrage ETF (MARB) Portfolio of Investments April 30, 2020 (Unaudited) Shares Description Value COMMON STOCKS – 71.

First Trust Exchange-Traded Fund III April 30, 2020 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments April 30, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 94.

- WITHDRAWAL OF AMENDMENT

May 26, 2020 Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Form AW - Request for Withdrawal First Trust Exchange-Traded Fund III Registration on Form N-1A Post-Effective Amendment No.

First Trust Exchange-Traded Fund III January 31, 2020 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 99.

First Trust Exchange-Traded Fund III January 31, 2020 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 99.

First Trust Exchange-Traded Fund III January 31, 2020 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 99.

First Trust Preferred Securities and Income ETF (FPE)

First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 25.

First Trust Managed Municipal ETF (FMB)

First Trust Managed Municipal ETF (FMB) Portfolio of Investments January 31, 2020 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 97.

First Trust Emerging Markets Local Currency Bond ETF (FEMB)

First Trust Emerging Markets Local Currency Bond ETF (FEMB) Portfolio of Investments January 31, 2020 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES – 90.

First Trust Long/Short Equity ETF (FTLS)

First Trust Long/Short Equity ETF (FTLS) Portfolio of Investments January 31, 2020 (Unaudited) Shares/ Units Description Value COMMON STOCKS – 94.

First Trust Institutional Preferred Securities and Income ETF (FPEI)

First Trust Institutional Preferred Securities and Income ETF (FPEI) Portfolio of Investments January 31, 2020 (Unaudited) Par Amount Description Stated Rate Stated Maturity Value CAPITAL PREFERRED SECURITIES – 97.

First Trust Exchange-Traded Fund III January 31, 2020 (Unaudited)

First Trust RiverFront Dynamic Asia Pacific ETF (RFAP) Portfolio of Investments January 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS (a) – 99.

FPEI / First Trust Institutional Preferred Securities and Income ETF / PNC FINANCIAL SERVICES GROUP, INC. - SC 13G/A Passive Investment

SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (“ACT”) (FINAL AMENDMENT) First Trust Institutional Preferred Securities and Income ETF (Name of Issuer) Exchange-Traded

FPE / First Trust Preferred Securities and Income ETF CORRESP - -

CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 January 23, 2020 VIA EDGAR CORRESPONDENCE Ed Bartz United States Securities and Exchange Commission 100 F Street, N.

First Trust Municipal High Income ETF (FMHI)

First Trust Municipal High Income ETF (FMHI) Portfolio of Investments October 31, 2019 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 94.

First Trust Exchange-Traded Fund III October 31, 2019 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2019 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

First Trust California Municipal High Income ETF (FCAL)

First Trust California Municipal High Income ETF (FCAL) Portfolio of Investments October 31, 2019 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

First Trust Exchange-Traded Fund III October 31, 2019 (Unaudited)

First Trust Short Duration Managed Municipal ETF (FSMB) Portfolio of Investments October 31, 2019 (Unaudited) Principal Value Description Stated Coupon Stated Maturity Value MUNICIPAL BONDS – 96.

First Trust Exchange-Traded Fund III October 31, 2019 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value COMMON STOCKS – 92.

First Trust Exchange-Traded Fund III October 31, 2019 (Unaudited)

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments October 31, 2019 (Unaudited) Shares Description Value COMMON STOCKS – 92.

FEMB / First Trust Exchange-Traded Fund III NPORT-EX - - PORTFOLIO HOLDINGS

First Trust Preferred Securities and Income ETF (FPE) Portfolio of Investments July 31, 2019 (Unaudited) Shares Description Stated Rate Stated Maturity Value $25 PAR PREFERRED SECURITIES – 27.

FEMB / First Trust Exchange-Traded Fund III NPORT-EX - - PORTFOLIO HOLDINGS

First Trust Horizon Managed Volatility Domestic ETF (HUSV) Portfolio of Investments April 30, 2019 (Unaudited) Shares Description Value COMMON STOCKS – 90.

FEMB / First Trust Exchange-Traded Fund III QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS (Quarterly Schedule of Portfolio Holdings)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal executive offices) (Zip cod

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne

FPEI / First Trust Institutional Prefer / PNC FINANCIAL SERVICES GROUP, INC. - SC 13G/A Passive Investment

SC 13G/A 1 d664584dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (“ACT”) (AMENDMENT NO. 1) First Trust Institutional Preferred Securities and Income ETF (Na

FEMB / First Trust Exchange-Traded Fund III QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS (Quarterly Schedule of Portfolio Holdings)

N-Q 1 etf3nq.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton,

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne

FEMB / First Trust Exchange-Traded Fund III QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS (Quarterly Schedule of Portfolio Holdings)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal executive offices) (Zip cod

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M.

FEMB / First Trust Exchange-Traded Fund III QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS (Quarterly Schedule of Portfolio Holdings)

N-Q 1 etf3nq.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton,

Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act

EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust Exchange-Traded Fund III; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact ne

FEMB / First Trust Exchange-Traded Fund III QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS (Quarterly Schedule of Portfolio Holdings)

N-Q 1 etf3nq.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22245 First Trust Exchange-Traded Fund III (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton,

FPEI / First Trust Institutional Prefer / PNC FINANCIAL SERVICES GROUP, INC. - SC 13G Passive Investment

SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (“ACT”) First Trust Institutional Preferred Securities and Income ETF (Name of Issuer) Exchange-Traded Fund (Title of Class o

RFAP / First Tr Exchange Traded FD III / Prospera Financial Services Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 First Trust RiverFront Dynamic Asia Pacific ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33739P509 (CUSIP Number) May 01, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh

RFAP / First Tr Exchange Traded FD III / Prospera Financial Services - INITIAL FILING Passive Investment

SC 13G 1 rfap32117.htm INITIAL FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 First Trust RiverFront Dynamic Asia Pacific ETF (Name of Issuer) Exchange Traded Fund (Title of Class of Securities) 33739P509 (CUSIP Number) March 09, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate

FEMB / First Trust Exchange-Traded Fund III / IFC Holdings Incorporated/FL - INVEST FINANCIAL CORPORATION Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* FIRST TRUST PORTFOLIOS, L.P. (Name of Issuer) FIRST TRUST EMERGING MARKETS LOCAL CURRENCY BOND ETF (Title of Class of Securities) 33739P202 (CUSIP Number) October 12, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box

First Trust Exchange-Traded Fund III NOTICE OF PROPOSED SALE OF SECURITIES

Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: May 31, 2017 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either

First Trust Exchange-Traded Fund III NOTICE OF PROPOSED SALE OF SECURITIES

144 1 femb144.htm NOTICE OF PROPOSED SALE OF SECURITIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: May 31, 2017 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing

First Trust Exchange-Traded Fund III NOTICE OF PROPOSED SALE OF SECURITIES

Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 325-0101 Expires: May 31, 2017 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either p

FEMB / First Trust Exchange-Traded Fund III / IFC Holdings Incorporated/FL - INVEST FINANCIAL CORPORATION Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* FIRST TRUST PORTFOLIOS, L.P. (Name of Issuer) FIRST TRUST EMERGING MARKETS LOCAL CURRENCY BOND ETF (Title of Class of Securities) 33739P202 (CUSIP Number) July 11, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to

FEMB / First Trust Exchange-Traded Fund III / IFC Holdings Incorporated/FL - INVEST FINANCIAL CORPORATION Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 FIRST TRUST PORTFOLIOS, L.P. (Name of Issuer) FIRST TRUST EMERGING MARKETS LOCAL CURRENCY BOND ETF (Title of Class of Securities) 33739P202 (CUSIP Number) June 30, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule

FEMB / First Trust Exchange-Traded Fund III / IFC Holdings Incorporated/FL - INVEST FINANCIAL CORPORATION Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 FIRST TRUST PORTFOLIOS, L.P. (Name of Issuer) FIRST TRUST EMERGING MARKETS LOCAL CURRENCY BOND ETF (Title of Class of Securities) 33739P202 (CUSIP Number) June 30, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule