, I.R.S. Identification Nos. First Trust Portfolios L.P. 36-3768815 First Trust Advisors L.P.: 36-3788904 The Charger Corporation: 36-3772451

Activist investor & 5%+ owner · SC 13D/13G filings

Total Filings

595

Stocks Covered

229

Latest Filing

Apr 10, 2023

Filings

NBH

Neuberger Berman Municipal Fund Inc.

SC 13G/A · Apr 10, 2023

10.5%

2.0M shares

FXD

First Trust Consumer Discretionary AlphaDEX(R) Fund

SC 13G · Apr 10, 2023

54.6%

13.0M shares

FTXN

First Trust Nasdaq Oil & Gas ETF

SC 13G/A · Apr 10, 2023

0.1%

11K shares

FTXL

First Trust Nasdaq Semiconductor ETF

SC 13G · Apr 10, 2023

68.9%

10.5M shares

FSEP

FT Cboe Vest U.S. Equity Buffer ETF - September

SC 13G/A · Apr 10, 2023

27.0%

2.2M shares

FMAR

FT Cboe Vest U.S. Equity Buffer ETF - March

SC 13G/A · Apr 10, 2023

40.5%

3.1M shares

FJP

First Trust Japan AlphaDEX(R) Fund

SC 13G/A · Apr 10, 2023

60.0%

1.4M shares

FJAN

FT Cboe Vest U.S. Equity Buffer ETF - January

SC 13G/A · Apr 10, 2023

34.6%

3.0M shares

FAUG

FT Cboe Vest U.S. Equity Buffer ETF - August

SC 13G/A · Apr 10, 2023

24.3%

2.1M shares

FAPR

FT Cboe Vest U.S. Equity Buffer ETF - April

SC 13G/A · Apr 10, 2023

37.5%

3.5M shares

DMAR

FT Cboe Vest U.S. Equity Deep Buffer ETF - March

SC 13G/A · Apr 10, 2023

31.3%

2.1M shares

DJUN

FT Cboe Vest U.S. Equity Deep Buffer ETF - June

SC 13G/A · Apr 10, 2023

30.3%

1.2M shares

DAPR

FT Cboe Vest U.S. Equity Deep Buffer ETF - April

SC 13G/A · Apr 10, 2023

14.3%

1.4M shares

AGD

abrdn Global Dynamic Dividend Fund

SC 13G/A · Apr 10, 2023

7.8%

2.0M shares

NFTY

First Trust India NIFTY 50 Equal Weight ETF

SC 13G/A · Mar 10, 2023

64.9%

1.4M shares

FXO

First Trust Financials AlphaDEX(R) Fund

SC 13G · Mar 10, 2023

31.8%

16.0M shares

FXN

First Trust Energy AlphaDEX(R) Fund

SC 13G/A · Mar 10, 2023

0.2%

115K shares

FJAN

FT Cboe Vest U.S. Equity Buffer ETF - January

SC 13G/A · Mar 10, 2023

29.1%

2.1M shares

DSEP

FT Cboe Vest U.S. Equity Deep Buffer ETF - September

SC 13G/A · Mar 10, 2023

21.0%

1.3M shares

DFEB

FT Cboe Vest U.S. Equity Deep Buffer ETF - February

SC 13G/A · Mar 10, 2023

25.5%

2.0M shares

ASG

Liberty All-Star Growth Fund, Inc.

SC 13G/A · Mar 10, 2023

10.0%

5.7M shares

SHYD

VanEck Short High Yield Muni ETF

SC 13G/A · Feb 13, 2023

4.6%

859K shares

PAGP

Plains GP Holdings, L.P. (Class A)

SC 13G/A · Feb 13, 2023

4.9%

9.5M shares

NNY

Nuveen New York Municipal Value Fund, Inc.

SC 13G/A · Feb 13, 2023

4.8%

911K shares

NML

Neuberger Berman MLP & Energy Income Fund Inc.

SC 13G/A · Feb 13, 2023

4.4%

2.5M shares

NCA

Nuveen California Municipal Value Fund

SC 13G/A · Feb 13, 2023

4.7%

1.6M shares

IVH

Delaware Ivy High Income Opportunities Fund

SC 13G/A · Feb 13, 2023

4.8%

803K shares

HYI

Western Asset High Yield Defined Opportunity Fund Inc.

SC 13G/A · Feb 13, 2023

4.6%

1.0M shares

FRA

BlackRock Floating Rate Income Strategies Fund, Inc.

SC 13G/A · Feb 13, 2023

4.2%

1.5M shares

EVG

Eaton Vance Short Duration Diversified Income Fund

SC 13G/A · Feb 13, 2023

4.1%

554K shares

ENX

Eaton Vance New York Municipal Bond Fund

SC 13G/A · Feb 13, 2023

4.7%

837K shares

DSU

BlackRock Debt Strategies Fund, Inc.

SC 13G/A · Feb 13, 2023

4.3%

2.0M shares

BGB

Blackstone Strategic Credit Fund

SC 13G/A · Feb 13, 2023

4.2%

1.9M shares

AIF

Apollo Tactical Income Fund Inc.

SC 13G/A · Feb 13, 2023

4.2%

614K shares

QMAR

FT Cboe Vest Nasdaq-100(R) Buffer ETF - March

SC 13G/A · Feb 10, 2023

11.0%

210K shares

FSIG

First Trust Limited Duration Investment Grade Corporate ETF

SC 13G/A · Feb 10, 2023

18.5%

3.8M shares

FSEP

FT Cboe Vest U.S. Equity Buffer ETF - September

SC 13G/A · Feb 10, 2023

32.9%

2.9M shares

FJAN

FT Cboe Vest U.S. Equity Buffer ETF - January

SC 13G/A · Feb 10, 2023

44.2%

3.0M shares

FGD

First Trust Dow Jones Global Select Dividend Index Fund

SC 13G · Feb 10, 2023

11.6%

3.2M shares

FFEB

FT Cboe Vest U.S. Equity Buffer ETF - February

SC 13G/A · Feb 10, 2023

28.2%

1.9M shares

VVR

Invesco Senior Income Trust

SC 13G/A · Feb 10, 2023

3.5%

5.3M shares

SPXX

Nuveen S&P 500 Dynamic Overwrite Fund

SC 13G/A · Feb 10, 2023

3.8%

679K shares

SPLB

SPDR Portfolio Long Term Corporate Bond ETF

SC 13G/A · Feb 10, 2023

3.7%

904K shares

PNI

PIMCO New York Municipal Income Fund II

SC 13G/A · Feb 10, 2023

3.6%

401K shares

NXC

Nuveen California Select Tax-Free Income Portfolio

SC 13G/A · Feb 10, 2023

3.7%

235K shares

NIM

Nuveen Select Maturities Municipal Fund

SC 13G/A · Feb 10, 2023

3.5%

429K shares

NIE

Virtus Equity & Convertible Income Fund

SC 13G/A · Feb 10, 2023

3.5%

966K shares

MFM

MFS Municipal Income Trust

SC 13G/A · Feb 10, 2023

3.7%

1.5M shares

JRO

Nuveen Floating Rate Income Opportunity Fund

SC 13G/A · Feb 10, 2023

3.6%

1.4M shares

JGH

Nuveen Global High Income Fund

SC 13G/A · Feb 10, 2023

3.9%

911K shares