BOWEN JAMES A

SEC source: 0001445546-25-002024 · bowen_fthy.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,500

SEC source: 0001445546-24-008490 · bowen_ffa.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001445546-24-008492 · bowen_fct.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001445546-24-006685 · bowen_fthy.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,500

SEC source: 0001445546-24-006670 · bowen_fthy.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,370

SEC source: 0001445546-24-006260 · bowen_fthy.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,000

SEC source: 0001445546-24-002841 · bowen_fthy.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,000

SEC source: 0001445546-24-002589 · bowen_fthy.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,000

SEC source: 0001445546-24-002523 · bowen_fthy.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,000

SEC source: 0001241109-24-000001 · primary_doc.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · First Trust Capital Partners LLC

Disclosed balance after: 475,393

F1 · ownership.nature: MR. BOWEN DISCLAIMS BENEFICIAL OWNERSHIP OF THESE SECURITIES EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.

SEC source: 0001445546-22-001930 · bowen_fthy.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001445546-21-004121 · fdeu_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,808

SEC source: 0001445546-21-004026 · fdeu_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,528

SEC source: 0001445546-21-000554 · fdeu_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,288

SEC source: 0001445546-19-003499 · fdeu_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,288

SEC source: 0001445546-19-004017 · fsd_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,025

F1 · kind: The amount of securities beneficially owned following the reported transaction reflects a prior transfer of shares to the Reporting Person's former spouse, as separate property pursuant to a divorce decree.

SEC source: 0001445546-19-004014 · fct_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer-Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,955

F1 · kind: The amount of securities beneficially owned following the reported transaction reflects a prior transfer of shares to the Reporting Person's former spouse, as separate property pursuant to a divorce decree.

SEC source: 0001445546-18-004528 · fdeu_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,288

SEC source: 0001445546-18-003851 · fdeu_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,288

SEC source: 0001445546-18-003844 · fdeu_bowen4.xml · nonDerivative · entry 2

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,851

SEC source: 0001445546-18-003844 · fdeu_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,651

SEC source: 0001445546-18-003630 · bowen4_band.xml · nonDerivative · entry 3

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,113

F3 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes.

SEC source: 0001445546-18-003224 · bowen4_band.xml · nonDerivative · entry 3

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,113

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: Represents the conversion of shares of Class B Common Stock of the Issuer into shares of Class A Common Stock of the Issuer on a one-for-one basis at the option of the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes.

F2 · balance_after: Represents the conversion of shares of Class B Common Stock of the Issuer into shares of Class A Common Stock of the Issuer on a one-for-one basis at the option of the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes.

SEC source: 0001445546-18-003224 · bowen4_band.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 751,356

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: The shares of Class B Common Stock of the Issuer are automatically converted into shares of Class A Common Stock of the Issuer on a one-for-one basis upon any transfer or disposition of the Class B Common Stock or at any time at the option of the holder of such Class B Common Stock, according to information included by the Issuer in its Proxy Statement dated April 6, 2018.

F2 · kind: Represents the conversion of shares of Class B Common Stock of the Issuer into shares of Class A Common Stock of the Issuer on a one-for-one basis at the option of the reporting person. The reporting person disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes.

SEC source: 0001445546-18-003042 · bowen4_band.xml · nonDerivative · entry 4

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 24,088

F2 · kind: Represents distributions of such shares of Class B Common Stock of the Issuer on a percentage ownership basis to the members of FT Bandwidth Ventures, LLC and FT Bandwidth Ventures II, LLC, respectively. The reporting person is an officer of the manager of each of such entities. The reporting person disclaims beneficial ownership of the securities distributed by such entities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes. Upon the distribution of the shares of Class B Common Stock of the Issuer as reported herein, such shares of Class B Common Stock of the Issuer were automatically converted into shares of Class A Common Stock of the Issuer on a one-for-one basis, according to information included by the Issuer in its Proxy Statement dated April 6, 2018.

F5 · ownership.nature: The securities shown as beneficially owned following the reported transaction are held through FT Bandwidth Ventures LLC and FT Bandwidth Ventures II, LLC, which continue to hold the aggregate of the fractional shares of Class A Common Stock which could not be distributed to the members thereof, and through FTCP, which received shares of Class A Common Stock in the distributions discussed in footnote 2 above. The reporting person is an officer of the manager of each of such entities. The reporting person disclaims beneficial ownership of the securities owned by such entities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes.

SEC source: 0001445546-18-003042 · bowen4_band.xml · nonDerivative · entry 3

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,113

F2 · kind: Represents distributions of such shares of Class B Common Stock of the Issuer on a percentage ownership basis to the members of FT Bandwidth Ventures, LLC and FT Bandwidth Ventures II, LLC, respectively. The reporting person is an officer of the manager of each of such entities. The reporting person disclaims beneficial ownership of the securities distributed by such entities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes. Upon the distribution of the shares of Class B Common Stock of the Issuer as reported herein, such shares of Class B Common Stock of the Issuer were automatically converted into shares of Class A Common Stock of the Issuer on a one-for-one basis, according to information included by the Issuer in its Proxy Statement dated April 6, 2018.

F4 · balance_after: These shares were previously reported as shares of Class B Common Stock indirectly owned by the reporting person. However, the reporting person's spouse received shares of Class A Common Stock in the distributions discussed in footnote 2 above. The reporting person disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes.

SEC source: 0001445546-18-003042 · bowen4_band.xml · nonDerivative · entry 2

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 178,573

F1 · security: The shares of Class B Common Stock of the Issuer are automatically converted into shares of Class A Common Stock of the Issuer on a one-for-one basis upon any transfer or disposition of the Class B Common Stock or at any time at the option of the holder of such Class B Common Stock, according to information included by the Issuer in its Proxy Statement dated April 6, 2018.

F2 · kind: Represents distributions of such shares of Class B Common Stock of the Issuer on a percentage ownership basis to the members of FT Bandwidth Ventures, LLC and FT Bandwidth Ventures II, LLC, respectively. The reporting person is an officer of the manager of each of such entities. The reporting person disclaims beneficial ownership of the securities distributed by such entities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes. Upon the distribution of the shares of Class B Common Stock of the Issuer as reported herein, such shares of Class B Common Stock of the Issuer were automatically converted into shares of Class A Common Stock of the Issuer on a one-for-one basis, according to information included by the Issuer in its Proxy Statement dated April 6, 2018.

F3 · ownership.nature: The securities shown as beneficially owned following the reported transaction are held through First Capital Partners LLC ("FTCP"). The reporting person is an officer of the manager of FTCP. The reporting person disclaims beneficial ownership of the securities owned by such entities except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purposes.

SEC source: 0001445546-18-002959 · fsd_bowen4.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · Director · Officer - Investment Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,236

F1 · kind: The acquisition of shares were in connection with the previously announced merger of First Trust Strategic High Income Fund II ("FHY") with and into First Trust High Income Long/Short Fund ("FSD"), which became effective on June 25, 2018 in accordance with the terms of the Agreement and Plan of Merger.

F1 · shares: The acquisition of shares were in connection with the previously announced merger of First Trust Strategic High Income Fund II ("FHY") with and into First Trust High Income Long/Short Fund ("FSD"), which became effective on June 25, 2018 in accordance with the terms of the Agreement and Plan of Merger.

SEC source: 0001445546-18-000965 · bowen4_band.xml · derivative · entry 3

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 4,927 shares

Expires 2018-02-22

SEC source: 0001445546-18-000965 · bowen4_band.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,101,356

SEC source: 0001445546-18-000239 · bowen4_band.xml · derivative · entry 3

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 1,252 shares

Expires 2018-01-19

SEC source: 0001445546-18-000239 · bowen4_band.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,096,429

SEC source: 0001445546-17-005275 · bowen4_band.xml · nonDerivative · entry 1

BOWEN JAMES A · CIK 0001241109 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · *

Disclosed balance after: 547,743