List of insiders holdings for FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND:
- Shares directly owned by the insider.
- Shares indirectly owned by the insider.
- Total shares owned by the insider (sum of shares directly and indirectly owned).
- Total market value if available.
- Shares are not adjusted for stock split.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
| # | Insider Holder Name | Report Date Time |
Shares Owned Directly Indirectly |
Total Shares Owned |
Filing |
| 1 | Keller Mark A. Officer-Investment Sub-Advisor |
2009-01-13 11:54:51 | 10,000 0 |
10,000 | Form 4 |
| 2 | SCHULTE DAVID J Director-Investment Subadviser |
2012-01-13 18:32:33 | 7,025 0 |
7,025 | Form 5 |
| 3 | Miyazaki David B. Officer-Investment Sub-Advisor |
2008-12-31 11:09:26 | 4,100 0 |
4,100 | Form 4 |
| 4 | HANSEN BRIAN N Officer-Investment Sub-Advisor |
2021-09-09 17:54:45 | 0 4,000 |
4,000 | Form 4 |
| 5 | HANZLIK JOSEPH J Officer-Investment Sub-Advisor |
2008-08-21 17:59:15 | 0 2,000 |
2,000 | Form 4 |
| 6 | Winter Daniel T. Officer-Investment Sub-Advisor |
2014-12-30 14:17:00 | 400 0 |
400 | Form 4 |
| 7 | UREVIG KATHERINE L Assistant Treasurer |
2014-06-18 12:17:08 | 0 0 |
0 | Form 4 |
| 8 | TORTOISE CAPITAL ADVISORS LLC Affiliate of Inv. Subadviser |
2008-11-21 14:32:54 | 0 0 |
0 | Form 3 |
| 9 | FIRST TRUST PORTFOLIOS LP Affiliate of Issuer's Advisor |
2009-05-07 18:26:41 | 0 0 |
0 | Form 4 |
| 10 | CAREY ROBERT F Vice President |
2014-06-18 12:14:28 | 0 0 |
0 | Form 4 |
| 11 | ERICKSON JON C Investment Adviser |
2014-06-18 12:14:50 | 0 0 |
0 | Form 4 |
| 12 | GATTA ROSANNE Assistant Secretary |
2014-06-18 12:15:16 | 0 0 |
0 | Form 4 |
| 13 | KLASSMAN ERIN E Assistant Secretary |
2014-06-18 12:15:41 | 0 0 |
0 | Form 4 |
| 14 | LYNCH COLEEN D Assistant Vice President |
2014-06-18 12:16:02 | 0 0 |
0 | Form 4 |
| 15 | SHANNON SHANE Assistant Secretary |
2014-06-18 12:16:28 | 0 0 |
0 | Form 4 |
| 16 | Swade Donald Assistant Treasurer |
2014-06-18 12:16:48 | 0 0 |
0 | Form 4 |
| 17 | DAHL PATRICIA A Officer-Investment Sub-Adviser |
2008-08-06 17:39:33 | 0 0 |
0 | Form 3 |
| 18 | BRADLEY MARK R President |
2016-01-08 09:11:26 | 0 0 |
0 | Form 5 |
| 19 | KOCHEVAR ANNE Officer - Invest. Sub-Advisor |
2019-07-05 10:04:17 | 0 0 |
0 | Form 5 |
| 20 | Farmer Steven Patrick Officer-Invest. Sub-Advisor |
2019-07-15 13:41:57 | 0 0 |
0 | Form 3 |
| 21 | HALL R SCOTT Officer-Investment Advisor |
2020-06-30 16:34:26 | 0 0 |
0 | Form 5 |
| 22 | FRISKE SCOTT MICHAEL Officer - Investment Advisor |
2020-07-02 14:48:31 | 0 0 |
0 | Form 3 |
| 23 | BROWN KATHLEEN WIELAND Officer-Investment Advisor |
2021-08-17 17:31:18 | 0 0 |
0 | Form 5 |
| 24 | DEHLER KELLY CATHERINE Officer - Investment Advisor |
2021-08-17 13:47:56 | 0 0 |
0 | Form 3 |
| 25 | DENISE M KEEFE Director |
2021-11-05 16:54:01 | 0 0 |
0 | Form 3 |
| 26 | KADLEC THOMAS R Director |
2021-12-29 15:35:26 | 0 0 |
0 | Form 4 |
| 27 | Wright Bronwyn Director |
2023-09-12 17:35:14 | 0 0 |
0 | Form 3 |
| 28 | MALTBIE DEREK Treasurer and CFO |
2024-04-18 12:46:18 | 0 0 |
0 | Form 3 |
| 29 | KEITH ROBERT F Director |
2007-05-24 13:08:33 | 0 0 |
0 | Form 3 |
| 30 | MILLER PETER M Director |
2007-05-23 12:02:15 | 0 0 |
0 | Form 3 |
| 31 | O'Donnell Thomas N. Director |
2007-05-23 12:10:14 | 0 0 |
0 | Form 3 |
| 32 | Gallatin Asset Management Inc. Investment Advisor |
2007-05-23 14:33:27 | 0 0 |
0 | Form 3 |
| 33 | Scafati Michael Director |
2007-05-23 12:14:04 | 0 0 |
0 | Form 3 |
| 34 | Havey James M. Director |
2007-05-23 11:27:52 | 0 0 |
0 | Form 3 |
| 35 | BOWEN JAMES A President |
2007-05-24 12:55:55 | 0 0 |
0 | Form 3 |
| 36 | BRADLEY CHARLES H Officer-Investment Adviser |
2007-05-24 12:56:26 | 0 0 |
0 | Form 3 |
| 37 | CHRISTENSEN KELLEY Vice President |
2007-05-24 13:00:05 | 0 0 |
0 | Form 3 |
| 38 | Dykas James M Assistant Treasurer |
2007-05-24 13:00:36 | 0 0 |
0 | Form 3 |
| 39 | ERICKSON RICHARD E Director |
2007-05-24 13:01:37 | 0 0 |
0 | Form 3 |
| 40 | FALLOW CHRISTOPHER R Assistant Vice President |
2007-05-24 13:02:07 | 0 0 |
0 | Form 3 |
| 41 | FIRST TRUST ADVISORS LP Investment Adviser |
2007-05-24 13:02:40 | 0 0 |
0 | Form 3 |
| 42 | JARDINE W SCOTT Secretary |
2007-05-24 13:05:54 | 0 0 |
0 | Form 3 |
| 43 | KELLY DOUGLAS L Director |
2007-05-23 11:18:56 | 0 0 |
0 | Form 3 |
| 44 | LINDQUIST DANIEL J Vice President |
2007-05-24 13:09:15 | 0 0 |
0 | Form 3 |
| 45 | MAHER KRISTI A Assistant Secretary |
2007-05-24 13:09:59 | 0 0 |
0 | Form 3 |
| 46 | MCALISTER RONALD DEAN Officer-Investment Adviser |
2007-05-24 13:10:33 | 0 0 |
0 | Form 3 |
| 47 | MCDERMOTT JOSEPH D Officer-Investment Adviser |
2007-05-24 13:11:04 | 0 0 |
0 | Form 3 |
| 48 | MCGAREL DAVID Officer-Investment Adviser |
2007-05-24 13:11:54 | 0 0 |
0 | Form 3 |
| 49 | NIELSON NIEL B Director |
2007-05-24 13:12:33 | 0 0 |
0 | Form 3 |
| 50 | ROGGENSACK ANDY Officer-Investment Adviser |
2007-05-24 13:13:07 | 0 0 |
0 | Form 3 |
| 51 | TESTIN ROGER Vice President |
2007-05-24 13:13:51 | 0 0 |
0 | Form 3 |
| 52 | MUNN W DOUGLAS Director, Gallatin* Director |
2007-12-07 16:07:32 | 0 0 |
0 | Form 3 |
| 53 | Moss Matthew Chief Financial Officer,* |
2007-12-07 16:13:34 | 0 0 |
0 | Form 3 |
| 54 | GERSHEN RICHARD S Director, Gallatin* Director |
2007-12-07 16:03:20 | 0 0 |
0 | Form 3 |
| 55 | DeSantis Joseph Portfolio Manager Supervisor |
2007-12-07 16:24:29 | 0 0 |
0 | Form 3 |
| 56 | CONFLUENCE INVESTMENT MANAGEMENT LLC Investment Sub-Adviser |
2008-08-06 17:37:21 | 0 0 |
0 | Form 3 |