Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FIRST TRUST HIGH YIELD OPPORTUNITIES 2027 TERM FUNDFTHY · Entity 5488 | Director | June 25, 2020 | June 25, 2020 |
| FIRST TRUST MORTGAGE INCOME FUNDFMY · Entity 7214 | Director | October 31, 2025 | November 04, 2025 |
| FIRST TRUST SENIOR FLOATING RATE 2022 TARGET TERM FUNDFIV · Entity 133788 | Director | December 21, 2016 | December 21, 2016 |
| FIRST TRUST SENIOR FLOATING RATE INCOME FUND IIFCT · Entity 8902 | Director | December 28, 2021 | December 29, 2021 |
| FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUNDFGB · Entity 91924 | Director | December 28, 2021 | December 29, 2021 |
| FIRST TRUST/ABRDN GLOBAL OPPORTUNITY INCOME FUNDFAM · Entity 89771 | Director | December 28, 2021 | December 29, 2021 |
| MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUNDMFD · Entity 91766 | Director | December 28, 2021 | December 29, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FIRST TRUST HIGH YIELD OPPORTUNITIES 2027 TERM FUND
Report date June 25, 2020 · Filed June 25, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2020-06-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
FIRST TRUST MORTGAGE INCOME FUND
Report date October 31, 2025 · Filed November 04, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 1,616 |
Reported balance
After 2025-10-31 transaction · row 1
1 source rowRow 1 · 2025-10-31 · Purchase · Acquired 503 · Balance 1,616 |
FIRST TRUST SENIOR FLOATING RATE 2022 TARGET TERM FUND
Report date December 21, 2016 · Filed December 21, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2016-12-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
Report date December 28, 2021 · Filed December 29, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 1
1 source rowRow 1 · 2021-12-28 · Sale · Disposed 719.389 · Balance 0 |
FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND
Report date December 28, 2021 · Filed December 29, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 1
1 source rowRow 1 · 2021-12-28 · Sale · Disposed 2,432.206 · Balance 0 |
FIRST TRUST/ABRDN GLOBAL OPPORTUNITY INCOME FUND
Report date December 28, 2021 · Filed December 29, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 1
1 source rowRow 1 · 2021-12-28 · Sale · Disposed 1,011.32 · Balance 0 |
MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUND
Report date December 28, 2021 · Filed December 29, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-12-28 transaction · row 1
1 source rowRow 1 · 2021-12-28 · Sale · Disposed 957.806 · Balance 0 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 31, 2025 Filed Nov 4, 2025 10:54 UTC | FIRST TRUST MORTGAGE INCOME FUND FMY · Entity 7214 | PurchaseCommon Shares | 503 | $12.04 | $6,056.12 |
DisclosureSEC source: 0001445546-25-007267 · ownership.xml · nonDerivative · entry 1 KADLEC THOMAS R · CIK 0001241134 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,616 Read SEC document |
| October 10, 2025 Filed Oct 14, 2025 09:32 UTC | FIRST TRUST MORTGAGE INCOME FUND FMY · Entity 7214 | PurchaseCommon Shares | 242 | $12.20 | $2,952.40 |
DisclosureSEC source: 0001445546-25-006780 · ownership.xml · nonDerivative · entry 1 KADLEC THOMAS R · CIK 0001241134 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,113 Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 20:32 UTC | FIRST TRUST/ABRDN GLOBAL OPPORTUNITY INCOME FUND FAM · Entity 89771 | SaleCommon Shares | 1,011.32 | $9.80 | $9,909.72 |
DisclosureSEC source: 0001445546-21-006443 · ownership.xml · nonDerivative · entry 1 KADLEC THOMAS R · CIK 0001241134 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 20:33 UTC | FIRST TRUST SENIOR FLOATING RATE INCOME FUND II FCT · Entity 8902 | SaleCommon Shares | 719.389 | $11.83 | $8,509.29 |
DisclosureSEC source: 0001445546-21-006445 · ownership.xml · nonDerivative · entry 1 KADLEC THOMAS R · CIK 0001241134 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 15:36 UTC | MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUND MFD · Entity 91766 | SaleCommon Shares | 957.806 | $9.66 | $9,255.09 |
DisclosureSEC source: 0001445546-21-006449 · ownership.xml · nonDerivative · entry 1 KADLEC THOMAS R · CIK 0001241134 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 28, 2021 Filed Dec 29, 2021 15:35 UTC | FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND FGB · Entity 91924 | SaleCommon Shares | 2,432.206 | $4.07 | $9,898.11 |
DisclosureSEC source: 0001445546-21-006447 · ownership.xml · nonDerivative · entry 1 KADLEC THOMAS R · CIK 0001241134 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| October 02, 2019 Filed Oct 3, 2019 15:16 UTC | FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND FGB · Entity 91924 | PurchaseCommon Shares | 2,000 | $6.05 | $12,099.80 |
DisclosureSEC source: 0001445546-19-004211 · kadlec_fpf4.xml · nonDerivative · entry 1 KADLEC THOMAS R · CIK 0001241134 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.