Fny Investment Advisers, LLC First Trust Specialty Finance & Financial Opportunities Fund Transaction History

Fny Investment Advisers, LLC

$208 Million
Q3 2024

Shares

7 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q4 2021 Jan 10, 2022	SELL	$3.83 - $4.26 $88,779 - $98,746	-23,180 Closed	0 $0
Q3 2021 Oct 13, 2021	SELL	$3.88 - $4.3 $41,950 - $46,491	-10,812 Reduced 31.81%	23,180 $92,000
Q2 2021 Jul 14, 2021	SELL	$3.99 - $4.36 $46,758 - $51,094	-11,719 Reduced 25.64%	33,992 $137,000
Q1 2021 Apr 12, 2021	SELL	$3.12 - $3.99 $45,517 - $58,210	-14,589 Reduced 24.19%	45,711 $182,000
Q4 2020 Jan 19, 2021	BUY	$2.34 - $3.34 $141,102 - $201,402	60,300 New	60,300 $188,000
Q1 2020 Apr 09, 2020	SELL	$1.6 - $6.34 $19,955 - $79,072	-12,472 Closed	0 $0
Q4 2019 Jan 10, 2020	BUY	$5.75 - $6.4 $71,714 - $79,820	12,472 New	12,472 $74,000

Others Institutions Holding FGB

# of Institutions

40

Shares Held

4.69M

Call Options Held

0

Put Options Held

0

Lpl Financial LLC Fort Mill, SC

1.07M
Shares

$4.53 Million
0.0% of portfolio
Saba Capital Management, L.P. New York, NY

748K
Shares

$3.18 Million
0.06% of portfolio
Morgan Stanley New York, NY

570K
Shares

$2.42 Million
0.0% of portfolio
Rivernorth Capital Management, LLC West Palm Beach, FL

384K
Shares

$1.63 Million
0.09% of portfolio
Sit Investment Associates Inc Minneapolis, MN

285K
Shares

$1.21 Million
0.03% of portfolio

About FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND

Ticker FGB
Exchange NYSE
Sector Financial Services
Industry Asset Management
Description
First Trust Specialty Finance and Financial Opportunities Fund is a closed-ended equity mutual fund launched and managed by First Trust Advisors L.P. It is co-managed by Confluence Investment Management LLC. The fund invests in the public equity markets of the United States. It seeks to invest in stocks of companies operating in the specialty fi...

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