, 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

SLQD

iShares 0-5 Year Investment Grade Corporate Bond ETF

SC 13G · Jan 31, 2022

5.3%

2.6M shares

RXT

Rackspace Technology, Inc.

SC 13G · Jan 31, 2022

7.9%

16.6M shares

Kingsoft Cloud Holdings Limited

SC 13G · Jan 31, 2022

5.7%

13.7M shares

JMBS

Janus Henderson Mortgage-Backed Securities ETF

SC 13G/A · Jan 31, 2022

9.0%

1.5M shares

HMOP

Hartford Municipal Opportunities ETF

SC 13G · Jan 31, 2022

5.5%

314K shares

HESM

Hess Midstream LP (Class A)

SC 13G · Jan 31, 2022

6.6%

2.2M shares

FSEP

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

SC 13G/A · Jan 31, 2022

41.5%

1.6M shares

FOCT

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

SC 13G/A · Jan 31, 2022

38.6%

1.7M shares

FMAY

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

SC 13G/A · Jan 31, 2022

38.9%

1.3M shares

FJUN

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

SC 13G/A · Jan 31, 2022

36.4%

1.3M shares

FJUL

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

SC 13G/A · Jan 31, 2022

32.3%

1.3M shares

FJAN

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

SC 13G/A · Jan 31, 2022

32.9%

1.4M shares

FFEB

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

SC 13G/A · Jan 31, 2022

19.2%

1.3M shares

FDEC

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

SC 13G/A · Jan 31, 2022

58.7%

1.8M shares

DOCT

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

SC 13G/A · Jan 31, 2022

27.2%

788K shares

DNOV

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

SC 13G/A · Jan 31, 2022

19.9%

737K shares

DMAY

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

SC 13G/A · Jan 31, 2022

42.3%

972K shares

DJUN

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

SC 13G/A · Jan 31, 2022

50.7%

989K shares

DJUL

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

SC 13G/A · Jan 31, 2022

37.7%

773K shares

DFEB

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

SC 13G/A · Jan 31, 2022

15.4%

1.1M shares

WLKP

Westlake Chemical Partners LP

SC 13G/A · Jan 28, 2022

5.2%

1.8M shares

SHYD

VanEck Short High Yield Muni ETF

SC 13G/A · Jan 28, 2022

5.6%

988K shares

PGHY

Invesco Global Short Term High Yield Bond ETF

SC 13G/A · Jan 28, 2022

7.3%

800K shares

PAGP

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

SC 13G · Jan 28, 2022

5.4%

10.5M shares

MIME

Mimecast Limited

SC 13G · Jan 28, 2022

5.1%

3.4M shares

LMBS

First Trust Low Duration Opportunities ETF

SC 13G/A · Jan 28, 2022

7.0%

8.8M shares

JGH

Nuveen Global High Income Fund

SC 13G/A · Jan 28, 2022

9.7%

2.2M shares

GER

Goldman Sachs MLP and Energy Renaissance Fund

SC 13G/A · Jan 28, 2022

14.7%

2.5M shares

FTXR

First Trust Nasdaq Transportation ETF

SC 13G/A · Jan 28, 2022

52.7%

18.9M shares

FNOV

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

SC 13G/A · Jan 28, 2022

22.9%

1.6M shares

FGEN

FibroGen, Inc.

SC 13G · Jan 28, 2022

5.7%

5.3M shares

FEUZ

First Trust Eurozone AlphaDEX(R) ETF

SC 13G/A · Jan 28, 2022

55.9%

978K shares

FEMB

First Trust Emerging Markets Local Currency Bond ETF

SC 13G/A · Jan 28, 2022

38.6%

3.2M shares

FAUG

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

SC 13G/A · Jan 28, 2022

28.8%

1.5M shares

EFAD

ProShares MSCI EAFE Dividend Growers ETF

SC 13G/A · Jan 28, 2022

5.8%

176K shares

DIAX

Nuveen Dow 30 Dynamic Overwrite Fund

SC 13G · Jan 28, 2022

5.7%

2.1M shares

DAUG

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

SC 13G/A · Jan 28, 2022

18.4%

738K shares

CMBS

iShares CMBS ETF

SC 13G/A · Jan 28, 2022

12.2%

2.0M shares

CEN

Center Coast Brookfield MLP & Energy Infrastructure Fund

SC 13G/A · Jan 28, 2022

7.6%

373K shares

ATEN

A10 Networks, Inc.

SC 13G · Jan 28, 2022

5.3%

4.1M shares

ACV

Virtus AllianzGI Diversified Income & Convertible Fund

SC 13G/A · Jan 28, 2022

7.2%

744K shares

VGI

Virtus Global Multi-Sector Income Fund

SC 13G/A · Jan 26, 2022

11.4%

1.3M shares

NXG

Cushing NextGen Infrastructure Income Fund

SC 13G · Jan 26, 2022

8.3%

215K shares

SMM

Salient Midstream & MLP Fund

SC 13G/A · Jan 26, 2022

16.3%

2.9M shares

NML

Neuberger Berman MLP & Energy Income Fund Inc.

SC 13G/A · Jan 26, 2022

7.8%

4.4M shares

NFTY

First Trust India NIFTY 50 Equal Weight ETF

SC 13G/A · Jan 26, 2022

69.3%

901K shares

KIO

KKR Income Opportunities Fund

SC 13G/A · Jan 26, 2022

12.5%

2.6M shares

IVH

Delaware Ivy High Income Opportunities Fund

SC 13G/A · Jan 26, 2022

10.7%

1.8M shares

ILTB

iShares Core 10+ Year USD Bond ETF

SC 13G/A · Jan 26, 2022

17.4%

855K shares

HYLS

First Trust Tactical High Yield ETF

SC 13G/A · Jan 26, 2022

17.4%

8.3M shares