, 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

GHY

PGIM Global High Yield Fund Inc.

SC 13G/A · Jan 10, 2023

10.1%

4.1M shares

GER

Goldman Sachs MLP and Energy Renaissance Fund

SC 13G/A · Jan 10, 2023

9.2%

1.6M shares

FSZ

First Trust Switzerland AlphaDEX(R) Fund

SC 13G/A · Jan 10, 2023

58.7%

1.1M shares

FSIG

First Trust Limited Duration Investment Grade Corporate ETF

SC 13G · Jan 10, 2023

80.9%

3.2M shares

FMNY

First Trust New York Municipal High Income ETF

SC 13G/A · Jan 10, 2023

17.0%

85K shares

FMAR

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

SC 13G/A · Jan 10, 2023

48.4%

3.0M shares

FLN

First Trust Latin America AlphaDEX(R) Fund

SC 13G/A · Jan 10, 2023

78.4%

3.3M shares

FLHY

Franklin High Yield Corporate ETF

SC 13G/A · Jan 10, 2023

17.1%

1.5M shares

FJP

First Trust Japan AlphaDEX(R) Fund

SC 13G · Jan 10, 2023

66.7%

1.3M shares

FJAN

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

SC 13G/A · Jan 10, 2023

56.0%

3.0M shares

FFEB

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

SC 13G/A · Jan 10, 2023

34.2%

2.6M shares

FDEC

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

SC 13G/A · Jan 10, 2023

32.7%

2.0M shares

EVF

Eaton Vance Senior Income Trust

SC 13G/A · Jan 10, 2023

5.5%

970K shares

DOCT

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

SC 13G/A · Jan 10, 2023

21.7%

1.4M shares

DNOV

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

SC 13G/A · Jan 10, 2023

13.9%

1.3M shares

DJUL

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

SC 13G/A · Jan 10, 2023

29.4%

1.4M shares

DJAN

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

SC 13G/A · Jan 10, 2023

29.1%

1.4M shares

DFEB

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

SC 13G/A · Jan 10, 2023

22.1%

2.2M shares

DDEC

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

SC 13G/A · Jan 10, 2023

26.8%

2.3M shares

DAPR

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

SC 13G/A · Jan 10, 2023

22.0%

2.3M shares

CXE

MFS High Income Municipal Trust

SC 13G/A · Jan 10, 2023

9.2%

2.9M shares

PIM

Putnam Master Intermediate Income Trust

SC 13G/A · Dec 9, 2022

10.4%

5.3M shares

PICB

Invesco International Corporate Bond ETF

SC 13G/A · Dec 9, 2022

10.5%

543K shares

MAV

Pioneer Municipal High Income Advantage Fund, Inc.

SC 13G/A · Dec 9, 2022

7.5%

1.8M shares

KSM

DWS Strategic Municipal Income Trust

SC 13G/A · Dec 9, 2022

12.2%

1.4M shares

JCE

Nuveen Core Equity Alpha Fund

SC 13G/A · Dec 9, 2022

9.5%

1.5M shares

IAE

Voya Asia Pacific High Dividend Equity Income Fund

SC 13G/A · Dec 9, 2022

11.2%

1.3M shares

FXZ

First Trust Materials AlphaDEX(R) Fund

SC 13G/A · Dec 9, 2022

38.6%

9.0M shares

FXR

First Trust Industrials/Producer Durables AlphaDEX(R) Fund

SC 13G/A · Dec 9, 2022

41.3%

12.1M shares

FSEP

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

SC 13G/A · Dec 9, 2022

24.1%

1.8M shares

FOCT

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

SC 13G/A · Dec 9, 2022

19.9%

1.8M shares

FNOV

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

SC 13G/A · Dec 9, 2022

27.7%

2.5M shares

FMAR

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

SC 13G/A · Dec 9, 2022

37.9%

2.0M shares

FJAN

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

SC 13G/A · Dec 9, 2022

43.0%

1.9M shares

FDEC

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

SC 13G/A · Dec 9, 2022

55.2%

3.2M shares

FCVT

First Trust SSI Strategic Convertible Securities ETF

SC 13G · Dec 9, 2022

10.3%

497K shares

FAUG

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

SC 13G/A · Dec 9, 2022

30.4%

2.6M shares

EVM

Eaton Vance California Municipal Bond Fund

SC 13G/A · Dec 9, 2022

8.9%

2.2M shares

EDI

Virtus Stone Harbor Emerging Markets Total Income Fund

SC 13G/A · Dec 9, 2022

11.9%

1.2M shares

DOCT

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

SC 13G/A · Dec 9, 2022

28.5%

2.3M shares

DNOV

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

SC 13G/A · Dec 9, 2022

22.5%

2.2M shares

DMAY

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

SC 13G/A · Dec 9, 2022

23.8%

1.4M shares

DJUL

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

SC 13G/A · Dec 9, 2022

41.1%

2.3M shares

DDEC

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

SC 13G/A · Dec 9, 2022

20.7%

1.5M shares

DAUG

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

SC 13G/A · Dec 9, 2022

14.4%

1.4M shares

CMU

MFS High Yield Municipal Trust

SC 13G/A · Dec 9, 2022

8.1%

2.3M shares

NFTY

First Trust India NIFTY 50 Equal Weight ETF

SC 13G/A · Nov 10, 2022

60.2%

632K shares

IVH

Delaware Ivy High Income Opportunities Fund

SC 13G/A · Nov 10, 2022

5.5%

908K shares

IGA

Voya Global Advantage and Premium Opportunity Fund

SC 13G/A · Nov 10, 2022

14.6%

2.3M shares

GNT

GAMCO Natural Resources, Gold & Income Trust

SC 13G/A · Nov 10, 2022

7.6%

1.4M shares