Filing Details
- Accession Number:
- 0001140361-10-001747
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2010-01-13 12:00:00
- Reporting Period:
- 2009-11-30
- Filing Date:
- 2010-01-13
- Accepted Time:
- 2010-01-13 17:01:19
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1392994 | First Trust Specialty Finance & Financial Opportunities Fund | FGB | () | 061810845 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1107140 | J David Schulte | 11550 Ash Street Suite 300 Leawood KS 66211 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Acquisiton | 2008-12-02 | 163 | $3.06 | 5,900 | No | 5 | L | Direct | |
| Common Shares | Acquisiton | 2009-03-02 | 387 | $2.47 | 5,900 | No | 5 | L | Direct | |
| Common Shares | Acquisiton | 2009-06-01 | 189 | $4.12 | 5,900 | No | 5 | L | Direct | |
| Common Shares | Acquisiton | 2009-09-01 | 161 | $5.00 | 5,900 | No | 5 | L | Direct | |
| Common Shares | Disposition | 2009-11-30 | 265 | $5.49 | 5,900 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | L | Direct | |
| No | 5 | L | Direct | |
| No | 5 | L | Direct | |
| No | 5 | L | Direct | |
| No | 4 | S | Direct |
Footnotes
- Automatic reinvestment of dividend. This transaction is being reported on Form 5 pursuant to Rule 16a-6.
Billionaire Hedge Funds
